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               WEATHERIZATION
                 ASSISTANCE
                  PROGRAM




POLICIES and PROCEDURES MANUAL




                  Prepared by:

NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
  ENERGY AND REHABILITATION SERVICES BUREAU
                ALBANY, NEW YORK
Weatherization Program Year 2004                 Updated September 2004
Policies and Procedures Manual
                                   Ch. 1 Pg. i
                                                             Table of Contents

                                                                                                                                                               Field Code Changed
Chapter 1....................................................................................................................................... Ch. 1 Pg. 4
       The Manual ...................................................................................................................... Ch. 1 Pg. 5
       Program Organization ...................................................................................................... Ch. 1 Pg. 6
       Funding ............................................................................................................................ Ch. 1 Pg. 8
       Policy Advisory Council/Subgrantee Task Force ........................................................... Ch. 1 Pg. 10
       State Plan ....................................................................................................................... Ch. 1 Pg. 11

Chapter 2....................................................................................................................................... Ch. 2 Pg. 1
       Required Subgrantee Documentation.............................................................................. Ch. 2 Pg. 2
       Insurance Requirements .................................................................................................. Ch. 2 Pg. 3
       Insured Bank Accounts .................................................................................................... Ch. 2 Pg. 5
       Contract Management...................................................................................................... Ch. 2 Pg. 6
       Budget Amendment ......................................................................................................... Ch. 2 Pg. 7
       Indirect Costs ................................................................................................................... Ch. 2 Pg. 8
       Staff Functions/Titles........................................................................................................ Ch. 2 Pg. 9
       Electronic Data Collection, Management, Transfer ....................................................... Ch. 2 Pg. 11
       Coordinated Work .......................................................................................................... Ch. 2 Pg. 13
       Expenditure of Program Income .................................................................................... Ch. 2 Pg. 15
       Incentive Compensation................................................................................................. Ch. 2 Pg. 16
       Reporting Leveraged Funds .......................................................................................... Ch. 2 Pg. 17
       Fee-for-Service Activities ............................................................................................... Ch. 2 Pg. 18
       Fee-for-Service - WAP Related Initiatives ..................................................................... Ch. 2 Pg. 20
       Dhcr-sponsored Training................................................................................................ Ch. 2 Pg. 21
       Training and Technical Assistance ................................................................................ Ch. 2 Pg. 22
       Travel ............................................................................................................................. Ch. 2 Pg. 23
       Prior Approvals for Certain Expenditures or Work ......................................................... Ch. 2 Pg. 24
       Program Field Review/Visit ............................................................................................ Ch. 2 Pg. 25
       Fiscal Field Review/Visit ................................................................................................ Ch. 2 Pg. 29
       Required File Documentation ........................................................................................ Ch. 2 Pg. 31
       Comprehensive Annual Subgrantee Evaluations .......................................................... Ch. 2 Pg. 33
       Conflict of Interest .......................................................................................................... Ch. 2 Pg. 34
       Dispute Resolution ......................................................................................................... Ch. 2 Pg. 36
       Subgrantee Termination................................................................................................. Ch. 2 Pg. 37

Chapter 3....................................................................................................................................... Ch. 3 Pg. 1
       Outreach - Promotion ....................................................................................................... Ch. 3 Pg. 2
       Weatherization Priorities .................................................................................................. Ch. 3 Pg. 3
       Interagency Referrals ....................................................................................................... Ch. 3 Pg. 4
       Client Intake ..................................................................................................................... Ch. 3 Pg. 5
       Eligibility - General ........................................................................................................... Ch. 3 Pg. 7
       Eligibility - Categorical ...................................................................................................... Ch. 3 Pg. 8
       Eligibility- Income ........................................................................................................... Ch. 3 Pg. 10
       Eligibility - Computation of Income................................................................................. Ch. 3 Pg. 12
       Eligibility - Income Documentation ................................................................................. Ch. 3 Pg. 13
       Eligibility - Income Exclusions ........................................................................................ Ch. 3 Pg. 15
       Eligibility - Special Groups ............................................................................................. Ch. 3 Pg. 18
       Notice of Eligibility .......................................................................................................... Ch. 3 Pg. 21
       Notice of Ineligibility ....................................................................................................... Ch. 3 Pg. 22
       Appeals of Ineligibility..................................................................................................... Ch. 3 Pg. 23




Weatherization Program Year 2004                                                                                                     Updated September 2004
Policies and Procedures Manual
                                                                     Ch. 1 Pg. ii
Chapter 4....................................................................................................................................... Ch. 4 Pg. 1
       Weatherization Application .............................................................................................. Ch. 4 Pg. 2
       Client Questionnaire......................................................................................................... Ch. 4 Pg. 3
       Owner Agreements - General .......................................................................................... Ch. 4 Pg. 4
       Land Contracts, Life Tenancy, Life Lease Agreements ................................................... Ch. 4 Pg. 6
       Owner Agreement - 1-4 Units .......................................................................................... Ch. 4 Pg. 7
       Owner Agreement - Multifamily........................................................................................ Ch. 4 Pg. 8
       Client Investment Affidavit................................................................................................ Ch. 4 Pg. 9
       Owner Investment Procedures ...................................................................................... Ch. 4 Pg. 10
       Permission to Enter Building .......................................................................................... Ch. 4 Pg. 14
       Audit Fees ...................................................................................................................... Ch. 4 Pg. 15
       Construction Management Fees .................................................................................... Ch. 4 Pg. 16

Chapter 5....................................................................................................................................... Ch. 5 Pg. 1
       Building Analysis of Unit/Structure ................................................................................... Ch. 5 Pg. 2
       Mobile Homes .................................................................................................................. Ch. 5 Pg. 4
       Multifamily Building Analysis ............................................................................................ Ch. 5 Pg. 7
       Criteria for Self-auditing Agency Designation .................................................................. Ch. 5 Pg. 9
       Building Work Summary................................................................................................. Ch. 5 Pg. 10
       Apartment Building Work Summary ............................................................................... Ch. 5 Pg. 11
       Building Cost/Performance Report ................................................................................ Ch. 5 Pg. 12
       Health and Safety Issues ............................................................................................... Ch. 5 Pg. 14
       Indoor Air Quality/Health/Safety Tests ........................................................................... Ch. 5 Pg. 16
       Building Energy Model ................................................................................................... Ch. 5 Pg. 19
       Savings to Investment Ratio .......................................................................................... Ch. 5 Pg. 20
       Tips Building Analysis .................................................................................................... Ch. 5 Pg. 21
       Blower Door and Air Flow Standards ............................................................................. Ch. 5 Pg. 23
       Steady State Efficiency Testing and Clean and Tune Requirements ............................ Ch. 5 Pg. 25
       Post Inspection and Certification ................................................................................... Ch. 5 Pg. 27
       Refrigerator Replacement Criteria ................................................................................. Ch. 5 Pg. 28

Chapter 6....................................................................................................................................... Ch. 6 Pg. 1
       When Not to Weatherize .................................................................................................. Ch. 6 Pg. 2
       Lead Considerations ....................................................................................................... Ch. 6 Pg. 4
       Extensive Rehabilitation ................................................................................................... Ch. 6 Pg. 7
       Reweatherization ............................................................................................................. Ch. 6 Pg. 8
       Guidelines for Heap Supplemental Funding Cooling Service .......................................... Ch. 6 Pg. 9
       Guidelines for Cooling Services Provided as Health and Safety Measure .................... Ch. 6 Pg. 13
       No-Heat Emergency....................................................................................................... Ch. 6 Pg. 15

Chapter 7....................................................................................................................................... Ch. 7 Pg. 1
       Allowable Expenditures .................................................................................................... Ch. 7 Pg. 2
       Weatherization Data Collection and Reporting Database ............................................... Ch. 7 Pg. 4
       Consolidated Weatherization Status Report .................................................................... Ch. 7 Pg. 5
       Payment Requests ........................................................................................................... Ch. 7 Pg. 6
       Advance ........................................................................................................................... Ch. 7 Pg. 8
       Reimbursements .............................................................................................................. Ch. 7 Pg. 9
       Closeout ......................................................................................................................... Ch. 7 Pg. 12
       Building Certification ...................................................................................................... Ch. 7 Pg. 15
       Changes to Building Data Sent to DHCR ...................................................................... Ch. 7 Pg. 16
       Source Documentation................................................................................................... Ch. 7 Pg. 17
       Weatherization Materials Write-Off ................................................................................ Ch. 7 Pg. 18
       Confirmation Reports ..................................................................................................... Ch. 7 Pg. 19
Weatherization Program Year 2004                                                                                                     Updated September 2004
Policies and Procedures Manual
                                                                     Ch. 1 Pg. iii
Chapter 8....................................................................................................................................... Ch. 8 Pg. 1
       Procurement Procedures ................................................................................................. Ch. 8 Pg. 2
       Contractual Bidding Requirements .................................................................................. Ch. 8 Pg. 3
       Bid Specifications Content ............................................................................................... Ch. 8 Pg. 6
       Solicitation - Newspaper .................................................................................................. Ch. 8 Pg. 8
       Solicitation - Invitation to Bid ............................................................................................ Ch. 8 Pg. 9
       Bidding Procedures ........................................................................................................ Ch. 8 Pg. 10
       Protest Resolution .......................................................................................................... Ch. 8 Pg. 13
       Subcontractor Agreements ............................................................................................ Ch. 8 Pg. 14
       State Contract Purchasing ............................................................................................. Ch. 8 Pg. 15
       Vehicle Purchase, Use ................................................................................................... Ch. 8 Pg. 16
       Clean Boilers Contractor ................................................................................................ Ch. 8 Pg. 17
       Competitive Negotiation ................................................................................................. Ch. 8 Pg. 19
       Capital Equipment Purchase ......................................................................................... Ch. 8 Pg. 20
       Non-competitive Procurement ....................................................................................... Ch. 8 Pg. 21
       Procurement Documentation ......................................................................................... Ch. 8 Pg. 22
       Fair-Market Value Price List ........................................................................................... Ch. 8 Pg. 23
       Tools and Equipment ..................................................................................................... Ch. 8 Pg. 24
CHAPTER 1 ................................................................................................................................................ 51
  THE MANUAL ......................................................................................................................................... 62
  PROGRAM ORGANIZATION ................................................................................................................. 73
  FUNDING................................................................................................................................................ 95
  POLICY ADVISORY COUNCIL SUBGRANTEE TASK FORCE.......................................................... 117
  STATE PLAN ........................................................................................................................................ 128
CHAPTER 2 .............................................................................................................................................. 159
  REQUIRED SUBGRANTEE DOCUMENTATION .............................................................................. 1610
  INSURANCE REQUIREMENTS......................................................................................................... 1711
  INSURED BANK ACCOUNTS............................................................................................................ 2014
  CONTRACT MANAGEMENT ............................................................................................................. 2115
  BUDGET AMENDMENT..................................................................................................................... 2316
  INDIRECT COSTS ............................................................................................................................. 2417
  STAFF FUNCTIONS/TITLES ............................................................................................................. 2518
  ELECTRONIC DATA COLLECTION, MANAGEMENT, TRANSFER ................................................ 2720
  COORDINATED WORK ....................................................................................................................... 224
  EXPENDITURE OF PROGRAM INCOME .......................................................................................... 426
  INCENTIVE COMPENSATION ............................................................................................................ 527
  REPORTING LEVERAGED FUNDS .................................................................................................... 628
  FEE-FOR-SERVICE ACTIVITIES ........................................................................................................ 729
  FEE-FOR-SERVICE - WAP RELATED INITIATIVES ........................................................................ 1031
  DHCR-SPONSORED TRAINING ....................................................................................................... 1132
  TRAINING AND TECHNICAL ASSISTANCE..................................................................................... 1233
  TRAVEL .............................................................................................................................................. 1334
  PRIOR APPROVALS FOR CERTAIN EXPENDITURES OR WORK ................................................ 1435
  PROGRAM FIELD REVIEW/VISIT ..................................................................................................... 1636
  FISCAL FIELD REVIEW/VISIT ........................................................................................................... 2241
  REQUIRED FILE DOCUMENTATION ............................................................................................... 2443
  COMPREHENSIVE ANNUAL SUBGRANTEE EVALUATIONS ........................................................ 2645
  CONFLICT OF INTEREST ................................................................................................................. 2746
  DISPUTE RESOLUTION .................................................................................................................... 2948
  SUBGRANTEE TERMINATION ......................................................................................................... 3049
Weatherization Program Year 2004                                                                                                      Updated September 2004
Policies and Procedures Manual
                                                                     Ch. 1 Pg. iv
CHAPTER 3 ............................................................................................................................................ 3351
  OUTREACH - PROMOTION .............................................................................................................. 3452
  WEATHERIZATION PRIORITIES ...................................................................................................... 3553
  INTERAGENCY REFERRALS ........................................................................................................... 3654
  CLIENT INTAKE ................................................................................................................................. 3655
  ELIGIBILITY - GENERAL ................................................................................................................... 3957
  ELIGIBILITY - CATEGORICAL........................................................................................................... 4058
  ELIGIBILITY- INCOME ....................................................................................................................... 4260
  ELIGIBILITY - COMPUTATION OF INCOME .................................................................................... 4462
  ELIGIBILITY - INCOME DOCUMENTATION ..................................................................................... 4563
  ELIGIBILITY - INCOME EXCLUSIONS ................................................................................................ 465
  ELIGIBILITY - SPECIAL GROUPS....................................................................................................... 768
  NOTICE OF ELIGIBILITY ................................................................................................................... 1171
  NOTICE OF INELIGIBILITY ............................................................................................................... 1372
  APPEALS OF INELIGIBILITY............................................................................................................. 1473
CHAPTER 4 .............................................................................................................................................. 274
  WEATHERIZATION APPLICATION ..................................................................................................... 375
  CLIENT QUESTIONNAIRE .................................................................................................................. 476
  OWNER AGREEMENTS - GENERAL ................................................................................................. 577
  LAND CONTRACTS, LIFE TENANCY, LIFE LEASE AGREEMENTS ................................................ 779
  OWNER AGREEMENT 1-4 UNITS ...................................................................................................... 880
  OWNER AGREEMENT MULTIFAMILY ............................................................................................... 981
  CLIENT INVESTMENT AFFIDAVIT ................................................................................................... 1082
  OWNER INVESTMENT PROCEDURES ........................................................................................... 1183
  PERMISSION TO ENTER BUILDING ................................................................................................ 1587
  AUDIT FEES ....................................................................................................................................... 1688
  CONSTRUCTION MANAGEMENT FEES ......................................................................................... 1789
CHAPTER 5 ............................................................................................................................................ 2090
  BUILDING ANALYSIS OF UNIT/STRUCTURE ................................................................................. 2191
  MOBILE HOMES .................................................................................................................................. 393
  MULTIFAMILY BUILDING ANALYSIS ................................................................................................. 696
  CRITERIA FOR SELF-AUDITING AGENCY DESIGNATION .............................................................. 898
  BUILDING WORK SUMMARY ............................................................................................................. 999
  APARTMENT BUILDING WORK SUMMARY .................................................................................. 10100
  BUILDING COST/PERFORMANCE REPORT................................................................................. 11101
  HEALTH AND SAFETY ISSUES ...................................................................................................... 13103
  INDOOR AIR QUALITY/HEALTH/SAFETY TESTS ......................................................................... 16105
  BUILDING ENERGY MODEL ........................................................................................................... 19108
  SAVINGS TO INVESTMENT RATIO ............................................................................................... 20109
  TIPS BUILDING ANALYSIS ............................................................................................................. 21110
  BLOWER DOOR AND AIR FLOW STANDARDS ............................................................................ 24113
  STEADY STATE EFFICIENCY TESTING AND CLEAN AND TUNE REQUIREMENTS ................ 26115
  POST INSPECTION AND CERTIFICATION .................................................................................... 28117
  REFRIGERATOR REPLACEMENT CRITERIA ............................................................................... 29118
CHAPTER 6 ............................................................................................................................................ 2121
  WHEN NOT TO WEATHERIZE.......................................................................................................... 3122
  LEAD CONSIDERATIONS ................................................................................................................. 5124
  MOLD AND MILDEWEXTENSIVE REHABILITATION ...................................................................... 9128
  EXTENSIVE REHABILITATION ....................................................................................................... 11130
  REWEATHERIZATION ..................................................................................................................... 12131
  GUIDELINES FOR HEAP SUPPLEMENTAL FUNDING COOLING SERVICE .............................. 13132
  GUIDELINES FOR COOLING SERVICES PROVIDED AS HEALTH AND SAFETY MEASURE... 17134
  NO-HEAT EMERGENCY ................................................................................................................. 19134
CHAPTER 7 .......................................................................................................................................... 23134
  ALLOWABLE EXPENDITURES ....................................................................................................... 24134
  WEATHERIZATION DATA COLLECTION AND REPORTING DATABASE ................................... 26134
Weatherization Program Year 2004                                                                                                     Updated September 2004
Policies and Procedures Manual
                                                                     Ch. 1 Pg. v
  CONSOLIDATED WEATHERIZATION STATUS REPORT............................................................. 27134
  PAYMENT REQUESTS .................................................................................................................... 29134
  ADVANCE......................................................................................................................................... 31134
  REIMBURSEMENTS ........................................................................................................................ 32134
  CLOSEOUT ...................................................................................................................................... 36134
  BUILDING CERTIFICATION ............................................................................................................ 39134
  CHANGES TO BUILDING DATA SENT TO ESB ............................................................................ 40134
  SOURCE DOCUMENTATION.......................................................................................................... 41134
  WEATHERIZATION MATERIALS WRITE-OFF ............................................................................... 42134
  CONFIRMATION REPORTS............................................................................................................ 43134
CHAPTER 8 .......................................................................................................................................... 45134
  PROCUREMENT PROCEDURES ................................................................................................... 46134
  CONTRACTUAL BIDDING REQUIREMENTS................................................................................. 47134
  BID SPECIFICATIONS CONTENT .................................................................................................. 50134
  SOLICITATION - NEWSPAPER....................................................................................................... 52134
  SOLICITATION - INVITATION TO BID ............................................................................................ 53134
  BIDDING PROCEDURES ................................................................................................................ 54134
  PROTEST RESOLUTION ................................................................................................................ 57134
  SUBCONTRACTOR AGREEMENTS ............................................................................................... 58134
  STATE CONTRACT PURCHASING ................................................................................................ 59134
  VEHICLE PURCHASE, USE ............................................................................................................ 61134
  CLEAN BOILERS CONTRACTOR ............................................................................................. 63134176
  COMPETITIVE NEGOTIATION........................................................................................................ 66134
  CAPITAL EQUIPMENT PURCHASE ............................................................................................... 67134
  NON-COMPETITIVE PROCUREMENT ........................................................................................... 68134
  PROCUREMENT DOCUMENTATION ............................................................................................. 69134
  FAIR-MARKET VALUE PRICE LIST ................................................................................................ 70134
  TOOLS AND EQUIPMENT............................................................................................................... 71134



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Weatherization Program Year 2004                 Updated September 2004
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                                    CHAPTER 1                                                      Formatted: Centered, Tab stops: Not at 3.25"



The purpose of this Chapter is to provide an overview of the Weatherization Assistance
Program in New York State.



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Weatherization Program Year 2004                                          Updated September 2004
Policies and Procedures Manual
                                      Ch. 1 Pg. 5
                                      THE MANUAL

The Weatherization Assistance Program (WAP) Policy and Procedures Manual
(Manual) is a product of the New York State Division of Housing and Community
Renewal (DHCR), Energy and Rehabilitation Services Bureau (ERSB). The Program
receives funding from the US Departments of Energy (USDOE), and Health and Human
Services (HHS), through the Low-Income Home Energy Assistance Program (LIHEAP).
HEAP funds are made available to the program through an agreement with the New
York State Office of Temporary and Disability Assistance (OTDA).

The Manual is intended for use by State administrators, DHCR regional
supervisorsprogram field coordinators, and DHCR field representatives as well as local
WAP subgrantees. It incorporates information contained in Federal and State
regulations and the Weatherization Assistance Program State Plan.

The Manual was designed as a comprehensive reference on policies and procedures
for the management of the WAP. The Manual is also a contract document (Exhibit 5 of
the WAP contract) and adherence is required. The Manual also:

         provides information regarding weatherization policies mandated by the State
          and Federal government;
         outlines required procedures necessary for operation of the Weatherization
          Assistance Program;
         includes exhibits and charts to clarify requirements and procedures; and,
         provides instruction for completion of required forms.

The PPM is reviewed and revised as needed. Policy changes identified in the annual
Weatherization State Plan are included in the PPM. Input from staff and program users
is considered when making changes to the manual, and the Policy Advisory Council is
provided with a formal opportunity for review and comment.

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Weatherization Program Year 2004                                             Updated September 2004
Policies and Procedures Manual
                                          Ch. 1 Pg. 6
                                   PROGRAM ORGANIZATION

State Administration

The Division of Housing and Community Renewal (DHCR) administers the
Weatherization Assistance Program in New York State through its Energy and
Rehabilitation Services Bureau (ERSB), located in the Office of Community
Development (OCD). DHCR has a central office in Albany and regional offices in
Albany, Buffalo, New York City, and Syracuse. Fiscal, contract administration, policy
planning and reporting, technical assistance, and logistical support functions are
administered from the central office in Albany. Regional office staff provide field
monitoring and technical assistance support.

The Director of Energy and Rehabilitation Services is responsible for compliance with
Federal program requirements, development of policy initiatives, and general program
administration. The Director reports to the Assistant Commissioner for Community
Development.

The Assistant Director administers the program in the Director’s absence, and is in
charge of program field operations. He is also responsible for maintaining oversight of
the Reporting, Payment, Contract, and Training and Technical Assistance units.

Ongoing program monitoring of local subgrantees is conducted by regionally-based
DHCR field representatives under the supervision of DHCR regional supervisors.

The Training and Technical Assistance (T&TA) Unit is responsible for the preparation
and delivery of training and technical assistance to staff and subgrantees. T&TA
activities are designed to improve all areas of program operation. Training for
subgrantees is available on all technical, regulatory, and fiscal aspects of the program.

The Reporting Unit is responsible for contract administration and reporting, tracking
allocations, payment processing, and reporting to USDOE, NYS OTDA and other
agencies. It also maintains the Weatherization Program database which is used to
track program activity (see Chapter 7).

Fiscal monitoring and assistance with payment and contract processing are conducted
by DHCR fiscal representatives located in DHCR regional offices throughout the State
and are supervised by the Supervisor of Contract Operations and Fiscal Compliance,
who reports to the Director of ERSB. DHCR Fiscal representatives visit subgrantees on
a regular basis to monitor fiscal compliance and provide technical assistance in the
areas of accounting, audits, and related activities.
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Subgrantee Administration

In accordance with 10 CFR Part 440, an entity that receives a grant of funds from a
Grantee (DHCR) to manage a weatherization project is considered a Weatherization
Subgrantee.

DHCR enters into contracts with subgrantees to perform weatherization services within
specified service areas throughout the State. A service area may range in size from
several counties with hundreds of square miles to several square blocks within a major
metropolitan area. All areas of New York State are covered by a subgrantee. In cities
served by more than one subgrantee, service areas have been mapped and boundaries
defined by census tracts.

Any changes to the service area of a subgrantee must be mutually agreed upon by all
affected subgrantees and submitted to the DHCR for approval. Any subgrantee that
wishes to weatherize a building outside of their specified service area in a joint venture
to complete a building with another subgrantee must obtain prior approval from the
DHCR Regional Supervisor.

Beginning in 2004 contracts between DHCR and subgrantees are for five years and
identify a specific minimum number of dwelling units to be weatherized within a specific
period of time, referred to as the annual budget period. The contract requires the work
to be performed in accordance with all regulations, policies and procedures, and
priorities set forth in this Manual and all other contract documents. Subgrantees may
have a variety of organizational structures in place; however, the organizational
structure of a subgrantee is subject to the approval of DHCR as part of the budget and
contract approval process.


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                                                                                                      FUNDING

The WAP in New York has two principal funding sources, the US Department of Energy
and the US Department of Health and Human Services Low-Income Home Energy
Assistance Program. Program funds are allocated throughout New York State by a
formula which takes into account climate and the number of income-eligible persons in
each county.

The first factor in the allocation formula is determined by the heating and cooling degree
days for each county. The ratio of each county’s heating and cooling degree days to
the New York State average is this first factor in the allocation formula. The second
factor in the allocation formula is determined by the number of income-eligible persons
in each county. The number of each county’s income-eligible persons divided by the
total number of income-eligible persons in the State yields a percentage of the total
income-eligible persons for each county. This percentage is the second factor in the
formula.

These two factors, the percentage of income-eligible persons in each county and the
ratio of each county’s heating degree days to the New York State average are multiplied
to determine the final percentage for each county.

US Department of Energy

The WAP is a Federal grant program funded by the USDOE and administered in New
York State by DHCR. USDOE distributes funding to the states based on a formula
which takes into account income-eligible population and climate conditions established
in the Federal regulations. New York’s allocation is distributed to subgrantees through a
formula consistent with the Federal regulation. There is no base allocation to states in
the Federal formula. Policies and procedures of the WAP are governed by Federal
statute and implementing regulations set forth in Title 10, Code of Federal Regulation,
Parts 440 and 600 as well as periodic grant guidance from USDOE.

Low-Income Home Energy Assistance Program

Additional funds for WAP are provided through the Low-Income Home Energy
Assistance Program. The State OTDA receives an allocation from the US Department
of Health and Human Services through LIHEAP to assist eligible households in meeting
home energy costs. In accordance with legislation passed by the NYS Legislature in
1992, 15% of the LIHEAP funds received by NYS are targeted for weatherization and
energy-related repairs. DHCR receives 11.5% for weatherization activities and
operates the program in accordance with a Memorandum of Understanding (MOU) from
OTDA in conjunction with USDOE regulations. The remaining 3.5% is used by OTDA to
fund weatherization-related activities sponsored by the State Office for Aging and
County Departments of Social Services.


Weatherization Program Year 2004                                             Updated September 2004
Policies and Procedures Manual
                                        Ch. 1 Pg. 9
Under the USDOE regulations, states must use either 125% of the Federal Office of
Management and Budget poverty level or the state’s LIHEAP eligibility level as eligibility
criteria in the WAP. In program year 2000, OTDA adopted the 60% of State median
income level as eligibility for LIHEAP. DHCR uses this criteria for the Weatherization
Program.
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Weatherization Program Year 2004                                             Updated September 2004
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                                       Ch. 1 Pg. 10
                                                                             POLICY ADVISORY COUNCIL
                                   SUBGRANTEE TASK FORCE

As required by Federal regulations, a Policy Advisory Council (PAC) assists in the
development and implementation of the WAP and advises DHCR on a broad range of
issues relating to weatherization. The PAC is broadly representative of organizations
that provide services to low-income persons in New York State. PAC meetings are held
regularly throughout the contract/budget period. Travel by PAC members to PAC
meetings is reimbursed by DHCR.

A Subgrantee Task Force consisting of subgrantees’ Weatherization Directors from
across the State provides an opportunity for local program operators to meet, identify,
discuss, and resolve a wide variety of program issues. Subgrantee Task Force
meetings are held regularly throughout the contract/budget period and may be either
Statewide or regional in scope. Although the Task Force has no authority in law or
regulation, it is an important source of communication for the identification and
development of program and policy issues. Travel by Weatherization Directors to the
Subgrantee Task Force meetings is reimbursed by DHCR.

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Weatherization Program Year 2004                                            Updated September 2004
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                                          Ch. 1 Pg. 11
                                                                                                     STATE PLAN

A Weatherization Assistance Program State Plan (Plan) is developed annually by
DHCR as part of the State's application for Federal weatherization funds. The Plan is
used as an overall guide for program operation, and outlines the State's objectives for
the expenditure of funds received from USDOE and HEAP. It identifies the local
subgrantees contracted to carry out the State's weatherization activities, projects the
allocation to be awarded to each local subgrantee, and lists the number of units
expected to be weatherized during the annual budgetcontract period.

Before the Plan is submitted to the USDOE for approval, it is reviewed by the PAC and
statewide public hearings are held to obtain comments on the draft of the Plan. These
hearings provide an opportunity for local subgrantees, communities, and residents to
have input regarding current program operations as well as the identification of needs
and potential new weatherization service providers. The final Plan is submitted to
USDOE for approval after consideration of comments received. The approved State
Plan becomes a part of the Weatherization contract.

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          CHAPTER 2

The purpose of this Chapter is to set forth general administrative requirements of the
Weatherization Assistance Program in New York State.


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Weatherization Program Year 2004                                            Updated September 2004
Policies and Procedures Manual
                                       Ch. 1 Pg. 15
REQUIRED SUBGRANTEE DOCUMENTATION

DHCR is required to keep certain documentation on file from all subgrantees. The
following documentation is required from each subgrantee and must be revised and
updated annually:

Subgrantees

         Copy of subgrantee’s incorporation papers (need not be a certified copy),
          including any amendments to date;
         Copy of the subgrantee’s current corporate by-laws;
         List of the current members and officers of the Board of Directors as well as their
          mailing addresses and their terms of office;
         List of individuals authorized to sign contracts and amendments on behalf of the
          subgrantee
         Proof of registration with the Department of Law, Office of Charities Registration,
          or proof of exemption from this requirement;
         Incentive award criteria from subgrantee personnel manual;
         Applicable indirect cost rate approval documentation;
         Documentation that subgrantees are providing the program and making good
          faith efforts to comply as it relates to the hiring of new staff in accordance with
          the OTDA/MOU as follows: 1) When hiring new employees subgrantees shall
          employ, to the maximum extent practical, public assistance recipients referred by
          local department’s of social services to weatherization programs administered by
          DHCR and funded with HEAP and USDOE funds; 2) advise subgrantees of the
          availability of programs to promote employment of public assistance recipients
          and encourage subgrantees to list job openings with local department’s of social
          services; and,
         Written documentation of Lead Abatement Supervisor Certification; and,
         Proof of Insurance..                                                                              Formatted: Bullets and Numbering


Units of Local Government

         Letter, on appropriate letterhead, stating that the organization is a division, office,
          department, etc. of a unit of local government, signed by the government official
          designated to sign contracts.

Native American Tribal Organizations

         Letter, on appropriate letterhead, stating the organization is a Native American
          Tribal Organization, signed by the official designated to sign contracts.
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Weatherization Program Year 2004                                                   Updated September 2004
Policies and Procedures Manual
                                            Ch. 1 Pg. 16
                                     INSURANCE REQUIREMENTS

The Contractor (subgrantee) shall purchase and maintain such insurance as will protect
the Contractor and identify DHCR as a named insured, from claims set forth below
which may arise out of or result from the Contractor’s operations or performance of the
work, whether such operations be conducted by the Contractor or by a subcontractor or
anyone directly or indirectly employed or acting as an agent by either for whose act any
may be liable:

1.        Claims under Worker’s Compensation, disability benefit and other similar
          employee benefit acts;

2.        Claims for damages because of bodily injury, occupational sickness or disease,
          or death of its employees;

3.        Claims for damages because of bodily injury, sickness or disease, or death of
          any person other than its employees;

4.        Claims for damages insured by personal injury liability coverage which are
          sustained (a) by any person as a result of an offense directly or indirectly related
          to the employment of such person by the Contractor, or (b) by any other person;

5.        Claims for damages, other than to the work itself, because of injury to or
          destruction of tangible property, including loss of use resulting there from;

6.        Claims for damages because of bodily injury or death of any person or property
          damage arising out of the ownership, maintenance or use of any motor vehicle;
          and

7.        Claims for damages due to loss of money or other property sustained through
          any fraudulent or dishonest acts committed by any board members (officers) or
          employers.

The insurance required by this section shall be written for not less than any limits of
liability specified below, or required by law, whichever is greater. Such insurance shall
also include contractual liability insurance applicable to the Contractor’s obligations
under Article XIV herein.

1.         Workers’ Compensation                                                                                        Limits

          (a) State ................................................................................................... Statutory
          (b) Applicable Federal (e.g., Longshoremen’s) ........................................ Statutory
          (c) Employer’s Liability ........................................................ $500,000 to Unlimited



Weatherization Program Year 2004                                                                              Updated September 2004
Policies and Procedures Manual
                                                        Ch. 1 Pg. 17
2.        Comprehensive General Liability (including Premises - Operations; Independent
          Contractor’s Protective; Products and Completed Operation Broad Form Property
          Damage)

          (a) Bodily Injury (each occurrence) ........................................................ $500,000*
          (b) Property Damage (each occurrence) ............................................... $500,000*
          (c) Fire and Lightning Coverage                                                              $_______

          *Instead of the $500,000 per occurrence limits in (a) and (b), the Contractor may
          opt to obtain $1,000,000 Single Limit Liability coverage for bodily injury and
          property damage.

3.        Completed Operations and Products Liability shall be maintained for two years
          after final payment.

4.        Comprehensive Automobile Liability

          (a) Bodily Injury

                (1) Each person ................................................................................. Statutory
                (2) Each occurrence........................................................................... Statutory

          (b) Property Damage (each occurrence) .................................................. Statutory

5.        Fidelity Bond

          A Blanket Employee Honesty Bond shall be maintained with DHCR as a named
          insured with a blanket rider for non-compensated board members (officers) in an
          amount which represents the larger of the following two figures: a minimum of
          $100,000 or 30% of the total single-year budget amount.

Pollution Occurrence Insurance

DOE requires that all subgrantees and their subcontractors carry Pollution Occurrence
Insurance (POI). If the subgrantee or subcontractor does not have POI, they must defer
all work that may bring them in contact with lead paint or dust until they have secured
the proper insurance.

Basic minimum limits of coverage:

         $500,000 per occurrence
         $500,000 aggregate for the policy term
         $2,500 deductible per occurrence

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Weatherization Program Year 2004                                                                         Updated September 2004
Policies and Procedures Manual
                                                      Ch. 1 Pg. 18
Certificates of Insurance

Certificates of Insurance in accordance with minimum requirements set forth above
must be on file with DHCR indicating coverage beginning prior to commencement of the
work. These certificates shall identify DHCR as the certificate holder and shall
additional insured, and must contain a provision that the insurer shall give notice that
coverage coverages afforded under the policies will not be canceled or that DHCR’s
interest will not be other affected until at least thirty days prior written notice has been
given to DHCR.

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Weatherization Program Year 2004                                               Updated September 2004
Policies and Procedures Manual
                                        Ch. 1 Pg. 19
                                   INSURED BANK ACCOUNTS

In order to ensure that all funds received on behalf of the Weatherization program are
properly safeguarded, WAP funds must be deposited in either a financial institution
insured by the Federal Deposit Insurance Corporation or a credit union insured by the
National Credit Union Share Insurance Fund. This affects the regular weatherization
bank account and the owner investment bank account. No funds received directly from
DHCR or owner or program income sources can be at risk by being deposited in a
money market, certificate of deposit, bond, or other uninsured financial instrument.

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Weatherization Program Year 2004                                          Updated September 2004
Policies and Procedures Manual
                                          Ch. 1 Pg. 20
                                   CONTRACT MANAGEMENT
The WAP contract is written for a period of five years. These contracts are managed
with one year budget allocations beginning April 1 and ending on March 31 of each
program year. Annual budgets are based on estimated production of a minimum
number of units at the maximum average cost per unit (CPU). Appendix D of the WAP
Contract stipulates that a Subgrantee that averages a lower than maximum average
CPU must complete additional dwelling units in order to be eligible for reimbursement of
the full budget amount.

In addition, the Subgrantee is responsible for the completion of the contract/budget
goals regardless of participation in any other projects that may be entered into by the
subgrantee. Funds utilized for coordinated projects that do not result in additional
completed weatherized units must be replenished and used to complete weatherized
units within the budget period under the contract or within the next budget period. Any
program income remaining must be incorporated into the next budget period.

Subgrantees are required to It is expected that each subgrantee will monitor their
expenditures and production throughout the program year and make any adjustments
necessary to complete their production goal and fully expend their program year
allocation.

USDOE regulations require only reimbursement of actual expenditures on weatherized
dwelling units. Therefore, any subgrantee that completes dwelling units at a cost per
unit that is less than the average cost per unit in their last approved budget for that
program year must complete additional dwelling units to fully expend the amount
budgeted for materials, labor and program support and be eligible for full reimbursement
of these expenditures for that program year.

Subgrantees should make an assessment of their expenditures and production at the
mid-point of each program year and again 90 days prior to the end date of the program
year. This should include expenditures and production to date as well as any
anticipated expenditures and production through the end of the program year. If the
total projected expenditures or production for the program year have changed
significantly from the last approved budget for that program year, or if the projected
expenditures with budget categories vary significantly from the last approved budget for
that program year, the DHCR Program Field Representative and the DHCR Fiscal
Representative should be consulted to determine if a budget modification should be
submitted.

If, as a result of this assessment, it is likely that the contract will not be fully spent or the
production goals completed by the end of the program year, the DHCR Field and Fiscal
Program and Fiscal Representatives should be consulted to determine if a budget
modification or a reduction in allocation for that program year should be submitted.



Weatherization Program Year 2004                                                   Updated September 2004
Policies and Procedures Manual
                                           Ch. 1 Pg. 21
A copy of the program year assessment shall be kept by the subgrantee and made
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Weatherization Program Year 2004                                       Updated September 2004
Policies and Procedures Manual
                                    Ch. 1 Pg. 22
                                   BUDGET AMENDMENT

Subgrantees may be required to submit a budget amendment to reflect any adjustments
to the budget categories that are in excess of 10% or additions in personnel. An
amendment may be used to reconcile the Unaudited Financial Statement (UFS) near
the end of the last quarter of the annual budget period. An amendment is required
whenever capital equipment purchases are made after the initial budget approval.

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Weatherization Program Year 2004                                       Updated September 2004
Policies and Procedures Manual
                                        Ch. 1 Pg. 23
                                   INDIRECT COSTS

Indirect costs are generally considered administrative costs. However, as part of an
approved indirect cost pool, costs may be included that weatherization does not
consider administrative. In the cases of audit and liability insurance, if these costs are
included in the cost pool, they may be prorated and included on the audit and liability
insurance cost category. In those cases, where costs are included in the pool but could
have been direct charged to the Weatherization “Program Support - Other” line, a
prorated share may be allowed. However, costs of this nature still have a share that
has an administrative component. For example, when all copying costs for a
subgrantee are charged to the indirect cost pool, there are both program support and
administrative costs contained within this pool. Subgrantees must first break out the
share of the total copying costs for Weatherization and then provide the appropriate split
between the “Program Support - Other” and Administrative cost categories.

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Weatherization Program Year 2004                                            Updated September 2004
Policies and Procedures Manual
                                       Ch. 1 Pg. 24
                                   STAFF FUNCTIONS/TITLES

In general, there are two categories of subgrantee staff activities; administration and
labor. Staff in titles assigned to the administration category perform management,
fiscal, and support functions. Staff in titles assigned to the labor category may have
direct owner contact through individual client qualifying, may develop weatherization
work scope, or may work at the building site in oversight and actual delivery of
weatherization services. In some instances, staff in administration titles may charge a
portion of their time to labor if they are directly involved with individual clients or
performing work at the building site.

The following lists identify titles that may be charged to the WAP contract. Use of any
other title for contract purposes must be approved by DHCR. Please note that titles
must correspond to the functions of the employees. Where a title is charged to both
administration and labor, the proportionate share for each title must be approved by the
DHCR Field Representative. Personnel charging salaries to both administration and
labor categories must maintain a daily log identifying labor-related activities. Titles must
correspond to the functions of the employee.

All WAP job descriptions must be available for review upon request by either the DHCR
field program or fiscal representative.

Titles with Salaries Allocated 100% Administration
       Accountant
       Account Clerk
       Bookkeeper
       Clerk
       Comptroller
       Deputy/Assistant Director
       Director
       Executive Director
       Fiscal Specialist
       Grants Manager
       Fiscal Auditor/Officer
       Human Resources/Personnel Specialist
       Office Manager
       Secretary

Titles with Salaries Allocated 100% Labor
       Building Analyst
       Carpenter
       Construction Manager
       Crew Chief
       Crew Foreman
       Crew Laborer
Weatherization Program Year 2004                                              Updated September 2004
Policies and Procedures Manual
                                          Ch. 1 Pg. 25
          Crew Mechanic
          Energy Auditor/Technician
          DHCRProgram Field Representative/Auditor
          Inspector
          Intake Worker
          Installer
          Technician/Specialist
          Technician/Specialist Heating
          Technician/Specialist Insulation
          Inventory Clerk
          Production Coordinator
          Program Coordinator
          Data Manager/Data Entry (weatherization portion only)
          Receptionist (weatherization portion only)

Titles with Salaries Allocated Proportionately to both Administration and Labor
       Administrative Assistant
       Data Manager
       Deputy/Assistant Weatherization Director
       Clerk/Inventory
       Clerk/Office
       Director/Housing
       Director/Weatherization
       Director/Outreach
       Maintenance Worker
       Receptionist


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Weatherization Program Year 2004                                            Updated September 2004
Policies and Procedures Manual
                                         Ch. 1 Pg. 26
       ELECTRONIC DATA COLLECTION, MANAGEMENT, TRANSFER

Subgrantees must have the capability to collect and manage WAP data electronically,
using the current Weatherization Data Collection and Reporting Database. In addition,
subgrantees must be capable of transferring and receiving WAP data, spread sheets,
and DHCR text documents electronically as well as connecting to the internet1. (DHCR
text documents are currently written with Microsoft WordCorel WordPerfect 9 software.)

Electronic Equipment standards include:

Computer:
       Minimum                                                    Recommended:
Pentium processor equivalent                                Pentium IV processor equivalent
333 MHZ processing speed                                    1 GHZ processing speed
256 MB RAM or better                                        512 MB RAM or better
Windows 2000 operating system                               Windows XP Professional
CD ROM drive                                                CDRW Drive
3 ½ floppy disk drive                                       30 GB hard drive or more
1GB hard drive space

Printer:
Ink jet or laser printer capable of printing the CWSR and other Weatherization
Assistance Program reports and current Weatherization Data Collection and Reporting
Software.

Modem:
56 Kbps modem - internal or external (required in order to have the ability to download
updates to the WAP Data Base, PPM, and Data Base Manual)

Electronic E-mail capability:
E-mail capability must include the ability to send and receive text messages and
multiple files to and from DHCR. Recommended: high speed internet service or
equivalent.

Local Area Networks (LANS):
The only LAN software guaranteed compatible with the WAP Data Base by DHCR is
SYSBASE ASA STUDIO 7.0.3. This software has been made available to each
subgrantee by DHCR.

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   1
          Subgrantees should frequently check the DHCR website for new program information.
             www.dhcr.state.ny.us
Weatherization Program Year 2004                                                              Updated September 2004
Policies and Procedures Manual
                                                 Ch. 1 Pg. 27
Knowledge standards:

Employees operating the electronic data collection, management and transfer system
must be proficient in the use of Windows 2000 or greater; in file management using
Windows Explorer, including creating, opening, moving or deleting files and folders; in
use of electronic mail systems, the subgrantees’ operating system and internet access.
Training in these areas is considered essential and an allowable expenditure in Training
and Technical Assistance, Program Support or Administration.

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Weatherization Program Year 2004                                           Updated September 2004
Policies and Procedures Manual
                                      Ch. 1 Pg. 28
         COORDINATED EFFORTS WITH LOCAL HOUSING GROUPS

DHCR encourages WAP subgrantees to work with local housing agencies in the
subgrantee’s service area to coordinate weatherization resources with housing
resources whenever possible. Recent DHCR policies requiring local housing agencies
to have energy audits done for projects being considered for work is but one further
example of the potential benefits to DHCR clients when receiving services from WAP
subgrantees and local housing agencies.

Although coordination is strongly encouraged, subgrantees are reminded that there are
core program principles that must be maintained as follows:

 Clients must be WAP eligible.
 There must be a WAP energy audit, with a concern for health and safety,                              Formatted: Bulleted + Level: 1 + Aligned at:
                                                                                                       0" + Tab after: 0.2" + Indent at: 0.2", Tab
  documenting the nature and scope of the work WAP is funding.                                         stops: 0.2", Left
 Material and installation standards must meet WAP requirements.                                      Formatted: Bullets and Numbering
                                                                                                       Formatted: Indent: Left: 0", First line: 0",
The WAP energy audit need not be a comprehensive analysis of all of the building’s                     Bulleted + Level: 1 + Aligned at: 0" + Tab
mechanical and architectural systems from the housing quality standards perspective.                   after: 0.2" + Indent at: 0.2"
Some subgrantees may be capable of providing such building audits but it is not a
fundamental requirement of the program and is beyond the mission and scope of the
majority of subgrantees. For the most part, the WAP energy audit is driven by the
federal requirements of the program and provides a comprehensive analysis of the
energy systems providing heat, hot water, and lighting to the building’s heated
envelope.

The concern for the structural integrity of the building is limited to how it affects the
performance of the energy systems. As such, the WAP energy audit generally does not
focus on the condition of the roof, sidewalls, windows, plumbing and electrical systems
as discreet components but looks at them from the perspective of how they might
impact or adversely effect the energy work proposed for the building’s energy systems.
Since WAP is federally required to perform work that is driven by a savings to
investment ratio of 1.0, the program is limited to activities and work that primarily focus
on energy savings, often to the exclusion of other priorities that the building tenants and
or owners may initially have hoped would be replaced; perhaps the best example of this
is the replacement of prime windows when considered against other priorities such as a
heating system, air sealing, insulation, etc.

DHCR recommends that subgrantees and local housing agencies initiate a dialogue
early in the process where the intent is to coordinate program resources. Familiarity in
terms of understanding each program’s mission is fundamental to knowing what can be
accomplished by each program, and to understanding the limitations and opportunities
inherent in joint coordination. Although the approach may at first appear to be
potentially time consuming or cumbersome, it often establishes a rapport and sense of
collegiality that can be mutually beneficial to all parties while reducing confusion,
misunderstandings and other barriers to success.
Weatherization Program Year 2004                                              Updated September 2004
Policies and Procedures Manual
                                        Ch. 1 Pg. 29
DHCR staff is available to assist in facilitating subgrantees who are interested in
meeting with their local counterparts but may have been unsuccessful for a variety of
reasons. An inquiry to the DHCR Field Representative and or DHCR Regional
Supervisor will initiate a discussion and may result in a decision to proceed further, to
gather additional information or to wait pending resolution of other information relevant
to determining whether coordination is possible.

DHCR is committed to an open and flexible approach in matters related to facilitating
coordination between subgrantees and local housing agencies. A number of
communities across New York State have already begun to work in cooperation and
have realized the value of coordination. Affordable housing is often made possible
when resources from various and seemingly disparate programs are brought together to
produce a result far greater than any one program was capable of achieving by itself. In
a climate of limited resources and mounting energy costs we strongly believe that
coordination of resources must be pursued if we are to provide the greatest benefits for
those who need our services.                                                                          Formatted: Font: 12 pt
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Weatherization Program Year 2004                                             Updated September 2004
Policies and Procedures Manual
                                        Ch. 1 Pg. 30
                                                                           Formatted: Font: 14 pt, Bold




Weatherization Program Year 2004                  Updated September 2004
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Weatherization Program Year 2004                 Updated September 2004
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                                   COORDINATED WORK                                                      Formatted: Centered




Subgrantees may enter into agreements with outside funding sources and use
weatherization resources in order to provide more comprehensive assistance to
weatherization clients. This is considered coordinated work. All such initiatives require
written prior approval from the DHCR Regional Supervisor. These requests will be
approved or disapproved on case by case basis depending on the specific
circumstances of each initiative. A letter must accompany the request for approval and
state the following minimum terms and conditions:

         Nature of the client base to be served (re-weatherization, first time served);
         Program that WAP is coordinating with (local department’s of social services,
          NYSERDA, etc.);
         WAP funds invested by budget category (project, materials, labor, program
          support, other);
         Type of energy audit that will be used to identify the work;
         Size/scope of project initiative;
         Scope of work, range of investment anticipated to be provided to clients; and,
         Other information determined by DHCR Regional Supervisor as relevant to
          project.

Weatherization resources (materials, tools, staff, etc.) may be used to perform
coordinated work and the cost can be charged to the WAP. All costs incurred by WAP
subgrantees in accomplishing a coordinated workscope must be reimbursed by the
outside funding source.

When reporting job costs to the Weatherization Data Collection and Reporting
Database, it is important to keep in mind the following:

         All funds expended in the course of providing services to weatherization clients
          are contract funds and must be documented in the weatherization database.

         All Program Income funds expended within the WAP contract are considered to
          be leveraged funds and are to be recorded as such.

Following are the procedures to be followed when performing coordinated work:

          1.    A copy of any written agreement that the subgrantee enters into with other
                funding sources for coordinated work must accompany the written request
                for prior approval to participate.

          2.    All clients serviced must meet or have met WAP income eligibility guidelines.

          3.    The building analysis processes described in Chapter 5 of this Manual must
                be used for the weatherization portion of the work scope.
Weatherization Program Year 2004                                                Updated September 2004
Policies and Procedures Manual
                                            Ch. 1 Pg. 2
          4.    All work - both work funded by WAP and work funded by other sources -
                must be performed in accordance with all WAP standards.

          5.    With the possible exception of that portion of the work classified as
                supplemental work, all costs incurred must be reported along with WAP-
                funded work as work completed with contract funds in the Weatherization
                Data Collection and Reporting Database.

Supplemental work is work performed on a unit that received Weatherization Assistance
Program funds between September 30, 1993 and April 1, 2002, that is done in
conjunction with the NYSERDA Weatherization Network Initiative (WNI).

Supplemental work may include additional energy-related repairs, appliances and
equipment not covered by the weatherization work scope when the unit was originally
assisted by the Weatherization Assistance Program, minor building improvements that
enhance the scope of services being provided to the client, and other related measures.
Units eligible for the WNI or eligible as supplemental work may also be eligible as
coordinated projects for the Weatherization Assistance Program but require prior
approval from the DHCR Regional Supervisor in each region. As such, with prior
approval, WNI may be considered as a coordinated project. A letter seeking prior
approval to operate WNI as a coordinated initiative must be sent to the DHCR Regional
Supervisor in accordance with the minimum requirements mentioned above under
coordinated work.

NYSERDA provides advances of funds to subgrantees participating in the WNI to cover
costs incurred in performing WNI work. Work performed as part of the WNI is not
considered coordinated work unless Weatherization funds are expended to complete
the work and costs are charged to the Weatherization Assistance Program. If
Weatherization funds are used to pay for work that will be reimbursed as part of WNI,
the rules on coordinated work (see above) apply, and the reimbursement of those funds
is considered program income.

If no Weatherization funds are used, subgrantees are required to notify DHCR prior to
participation in WNI, and to report on supplemental work performed when requested by
DHCR representatives. Where WNI will fund staff time or equipment currently budgeted
in the Weatherization contract, a contract amendment may be required prior to
participation in WNI, to accurately reflect all funding sources.

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Weatherization Program Year 2004                                              Updated September 2004
Policies and Procedures Manual
                                           Ch. 1 Pg. 3
                            EXPENDITURE OF PROGRAM INCOME

Program income means gross income earned by the recipient that is directly generated
by a supported activity or earned as a result of weatherization activities. Program
income includes, but is not limited to, income from fees for services performed, the use
or rental of real or personal property acquired under federally-funded projects, the sale
of commodities or items fabricated under an award, license fees and royalties on
patents and copyrights, and interest on loans made with award funds. Interest earned
on advances of USDOE funds is not program income. Program income does not
include the receipt of principal on loans, rebates, credits, discounts, etc., or interest
earned on any of them.

Program income funds include funds received for coordinated work and funds received
for rental of WAP tools and equipment for fee-for-service activities. Before program
income funds can be expended, a Program Income Expenditure Plan (Form
DHCRESB#1) must be approved by the DHCR Regional Supervisor. The Plan must be
prepared at the beginning of the annual budget period and may be modified during the
budget period.

         Program income funds must be accounted for separately.
         A maximum of ten percent of the program income funds received may be used
          for eligible weatherization administration costs.
         Training and Technical Assistance activities (maximum 10 percent)
         A minimum of 80 percent of the funds received must be used for weatherization
          services in compliance with WAP regulations.
         Program income as received within a WAP budget period must be included on
          the Program Income Expenditure Plan (Form DHCRESB#1) and submitted to the
          DHCR Regional Supervisor, in writing, with all required signatures for approval
          before any funds can be expended.
         USDOE will maintain a reversionary right to all tools and equipment purchased
          with program income.
         All Program Income received during any given program year must be identified in
          Unaudited Financial Statements and utilized via a Program Income Plan
          (DHCRESB#1) for the current or subsequent budget period.
         Interest income earned on program income funds shall be retained by the
          subgrantee and shall be used at the discretion of the subgrantee’s board to
          further the corporate purposes of the subgrantee organization.

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Weatherization Program Year 2004                                             Updated September 2004
Policies and Procedures Manual
                                         Ch. 1 Pg. 4
                                   INCENTIVE COMPENSATION

Incentive compensation may be an important benefit for the weatherization program. It
may help attract and maintain qualified employees. It may also serve as a motivator for
maintaining high employee performance.

The federal regulations allow this cost in OMB Circular A-122, Attachment B, Paragraph
7 (i), it states:

          “Incentive compensation to employees based on cost reduction, or
          efficient performance, suggestion awards, safety awards, etc. are
          allowable to the extent that the overall compensation is determined to be
          reasonable and such costs are paid or accrued pursuant to an agreement
          entered into in good faith between the organization and the employees
          before the services were rendered or pursuant to an established plan
          followed by the organization so consistently as to imply, in effect, an
          agreement to make such payment.”

The conditions for incentive compensation to be an allowable cost for the weatherization
program are a follows:

         Subgrantee personnel policy and procedures manual must discuss the treatment
          of this benefit.

         This cost must be included in the initial budget for the budget year.

         The amount of the compensation must be pre-determined and reasonable.

         There is a relationship between the compensation and the act to earn it.

         The payment of the compensation is not an avoidance of a fund balance.

         The payment of the incentive compensation is made with funds received from the
          final voucher reimbursed from DHCR and is the last expenditure for the contract
          year.
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Weatherization Program Year 2004                                                  Updated September 2004
Policies and Procedures Manual
                                           Ch. 1 Pg. 5
                                   REPORTING LEVERAGED FUNDS
Leveraged funds include all funds received for, or the fair market value of, services
delivered to an eligible client. Leveraged funds are reported in the Weatherization Data
Collection and Reporting System. Subgrantees are responsible for insuring that all
required data are properly included in the Database.

It is extremely important that these leveraged funds are properly accounted for and
documented. DHCR is required to report leveraged funds to USDOE.

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Weatherization Program Year 2004                                           Updated September 2004
Policies and Procedures Manual
                                            Ch. 1 Pg. 6
                                   FEE-FOR-SERVICE ACTIVITIES
WAP subgrantees may sometimes engage in activities that provide services to low
income and other clients across the State under contract to utilities or other entities.
These activities must be performed on a fee-for-service basis by the subgrantee where:
1) services generate fees to the subgrantee in excess of the costs incurred to provide
the service, 2) services are provided to clients that are not eligible for weatherization
(e.g., do not meet income guidelines) or 3) services are not coordinated services
provided in conjunction with weatherization for an eligible client.

Subgrantees who engage in fee-for-service activities are reminded that their primary
responsibility in accordance with the terms and conditions of their contract with DHCR is
the implementation and operation of the low-income Weatherization Assistance
Program. WAP subgrantees are required to provide the highest quality service to
Weatherization clients in their community while meeting all federal and state
requirements and quality assurances.

The following minimum requirements must be met by weatherization subgrantees
engaging in fee-for-service activities in order to continue to receive weatherization
funding from DHCR:

         Subgrantees must notify the DHCR Regional Supervisor, in writing, of any fee-
          for-service activity prior to commencement of that activity and must complete the
          Fee-for-Service Worksheet (ESBDHCR # 13).

         Subgrantees must enter into written agreements for any fee-for-service activities
          and provide the DHCR Regional Supervisor with a copy of that written
          agreement.

         Subgrantees must establish a separate and distinct operation to perform fee-for-
          service work and must establish and maintain separate accounting records for
          this work. All fee-for-service activities must be supported by books and records
          separate and distinct from those required for the WAP. DHCR staff must be
          provided with access to these books and records upon request.

         Subgrantees must notify the DHCR Regional Supervisor, in writing, of any fee-
          for-service activity where federally-funded tools, equipment, facilities or staff are
          planned to be used to complete fee-for-service activities.

         Subgrantees operating fee-for-service activities that utilize tools and equipment
          purchased with federal weatherization funds must pay rental fees to the
          weatherization program in accordance with prevailing rates established by
          private tool and equipment rental firms in the surrounding area. These rental
          fees are considered program income.


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Policies and Procedures Manual
                                            Ch. 1 Pg. 7
         Subgrantees operating fee-for-service activities out of facilities paid for with
          federal weatherization funds must ensure that the weatherization program is
          reimbursed for the use of those facilities.

         Subgrantees must be cognizant of and in compliance with all NYS and Federal
          Labor Labor Department Regulations regarding the employment of staff in
          activities outside the normal scope of their employment and relevant overtime
          compensation. Note: It will not be sufficient to simply say that “staff are
          performing fee-for-service activities on nights and weekends.””. These activities
          must be documented by payroll records that show that those staff are working on
          these activities at times other than those covered by the weatherization contract.
          In cases where fee-for-service activities are performed by staff funded by
          weatherization during times budgeted in the weatherization contract, the program
          budget must be adjusted accordingly.

         Subgrantees engaged in fee-for-service activities may not advance
          weatherization funds to pay for staff salaries, materials, subcontracts or any other
          expenses incurred as a result of those fee-for-service activities. SIn addition,
          subgrantees may not pay for these activities through the weatherization program
          in the first instance. This would constitute a loan of public funds to a private
          enterprise which would be providing it with an unfair advantage over other
          potential competitors. Subgrantees must fully fund all of these types of activities
          with non-program funds.

         Subgrantees must be familiar with the provisions under the DOE Financial
          Assistance Rule (10 CFR Part 600.432 (c) (3)), which regulates the use of
          equipment acquired with grant funds. Specifically, it states that “a subgrant must
          not use equipment acquired with grant funds to provide services for a fee to
          compete unfairly with private companies that provide equivalent services, unless
          specifically permitted or contemplated by Federal statute.”

Funds received as a result of fee-for-service activity are considered Agency Income,
not program income. Therefore, the use of these funds is unrestricted from the
perspective of the weatherization program. However, subgrantees should be careful to
make sure that the receipt of these additional funds does not legally affect their not-for-
profit status, hence, their subgrantee status.

Subgrantees should also involve their accountant and counsel in setting up fee-for-
service components to make sure that all financial and legal matters are established
and maintained as separate and distinct “arms length” entities from the federally funded
weatherization program.

Subgrantees that are using WAP purchased tools and equipment as part of it’s Fee-For-
Service activity are encouraged to use earned agency income to purchase the
necessary tools and equipment for this activity. In no instance, should a successful
Fee-For-Service component continue to rent these tools and equipment from the
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Policies and Procedures Manual
                                            Ch. 1 Pg. 8
WAP beyond three years.            Table of Contents




Weatherization Program Year 2004                           Updated September 2004
Policies and Procedures Manual
                                             Ch. 1 Pg. 9
                   FEE-FOR-SERVICE - WAP RELATED INITIATIVES

Recognizing that weatherization subgrantees are community-based organizations
operating as “energy centers” in their low-income communities, and are dedicated to the
goal of mobilizing and maximizing resources available to target the needs of low-income
housing in service of New York’s affordable housing goals, and consistent with
USDOE’s Weatherization Assistance Program mission, New York’s not-for-profit
weatherization subgrantees are encouraged to participate in other low-income energy
efficiency and affordable housing programs in New York in a manner that is consistent
with the protection of their nonprofit status.

Accordingly, in any instance in which such energy efficiency or affordable housing
programs are “market programs” that are primarily targeting low-income households,
including the working poor who may be above the weatherization income guidelines but
below NYSERDA or HUD cut off levels for low-income program status, the following
procedures and rules apply:

         Obtain prior written approval from the DHCR Regional Supervisor to determine if
          the said initiative meets the terms and intentions stated above.

         The use of vehicles purchased with wetherization funds will be allowed using the
          standard mileage rate.

         Rental rates for tools and equipment: a price list for a standard list of “tool kits”
          shall be developed for specified types of “jobs” by the subgrantees in a region (or
          by a single subgrantee) and charged on a monthly or quarterly basis, in
          consultation with the DHCR Regional Supervisor, using information collected
          regarding the fair market value for use of such “tool kits” for jobs during the
          period.

          Table of Contents




Weatherization Program Year 2004                                                  Updated September 2004
Policies and Procedures Manual
                                           Ch. 1 Pg. 10
                                   DHCR-SPONSORED TRAINING

The Training and Technical Assistance (T&TA) unit offers training throughout the year
on a variety of topics. When topics involve a change in WAP policies and procedures
(e.g. new database, change to TIPS, etc.) subgrantee attendance is mandatory. The
T&TA unit may also approve training programs offered by other organizations.

When the training is regional in nature, or is otherwise limited to a certain group of
subgrantees, DHCR will inform subgrantees if their attendance is required. If a
subgrantee has any doubt regarding attendance, the DHCR Field Representative
should be consulted.

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Weatherization Program Year 2004                                               Updated September 2004
Policies and Procedures Manual
                                           Ch. 1 Pg. 11
                          TRAINING AND TECHNICAL ASSISTANCE

Subgrantees may use up to 10% of any Program Income for Training and Technical
Assistance (T&TA) needs. Subgrantees may use these T&TA funds for allowable T&TA
activities as indicated on the following table. The Training and Technical Assistance
Detail Sheet (DHCRESB #36) must be completed for T & TA activities using program
income and approved by the DHCR Regional Supervisor at the same time the Program
Income Expenditure Form (DHCRESB#1) is presented for approval. Once approved,
the original signed forms must be kept on file with the subgrantee.

In addition to Program Income, approved activities can be considered eligible
administrative costs under the contract and in some cases allowable as program
support costs. Subgrantees should consult with their DHCR Regional Supervisor for
approval to use program support for these types of T&TA activities.

Conferences                                   Registration, travel and lodging costs for
                                              conferences, seminars, workshops and
                                              on-site training.
Staff Training                                Costs incurred to provide training and
                                              professional certification to subgrantee
                                              staff.
Weatherization Equipment                      Purchase of weatherization equipment.
Membership and Subscriptions                  Membership fees for weatherization-
                                              related organizations and subscriptions to
                                              trade papers and magazines.
Computer / Electronic Media                   Purchase of computer / electronic media
                                              equipment, cost of training subgrantee
                                              staff to operate this equipment.
Data Gathering                                Costs directly related to gathering,
                                              compiling or copying information to be
                                              used in providing fuel usage and savings
                                              analysis data, the cost of devices used to
                                              calculate fuel usage, and the cost of
                                              inputting data for a historical database to
                                              track previously weatherized units.
Client Education                              Development and distribution of client
                                              education materials or other forms of client
                                              education such as meetings, workshops,
                                              presentations, video tapes, etc.


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Weatherization Program Year 2004                                             Updated September 2004
Policies and Procedures Manual
                                       Ch. 1 Pg. 12
                                       TRAVEL

Travel directly related to the weatherization of dwelling units may be charged to the
Program Support line of the Weatherization contract. Other Travel, e.g., training, is to
be budgeted/charged under the T & TA or Administrative category

Out-of-state travel for subgrantee personnel requires prior written approval by the
DHCR Regional Supervisor.

Travel costs for PAC Members to attend PAC Meetings and Weatherization Directors to
attend Subgrantee Task Force Meetings will be reimbursed directly by DHCR upon
submission of a State Travel Voucher in accordance with State travel procedures.
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Weatherization Program Year 2004                                             Updated September 2004
Policies and Procedures Manual
                                       Ch. 1 Pg. 13
                                  PRIOR APPROVALS FOR
                              CERTAIN EXPENDITURES OR WORK

Prior written approval from DHCRthe ERSB Director or the Director’s designee is
required for the activities listed below. Those approvals should be recorded for Prior
Approval (Form DHCRESB#20A, DHCRESB#20B, DHCRESB#20C).

Weatherization Program Director:
   Request toThe purchase or lease of a vehicle. (See Chapter 8)
   Weatherization of a structure owned or managed by a subgrantee, employee or
     relative.by an employee, board member, or relative of a subgrantee employee.

DHCR Regional Supervisor:
   Weatherization of a group home.
   Out-of-state travel by subgrantee.
   Weatherization of a building outside of a subgrantee’s specified service area in a
    joint venture to complete a building with another subgrantee.
   Waiver of Procurement Process when units are to be transferred from one
    program year to another.
   T&TA Plan.
   Expenditure of Program Income.
   Alternative versions of the Client Questionnaire.
   Purchase of capital equipment.
   Fuel switching for a heating appliance replacement.
   Participation in any coordinated program initiative; supplemental work, etc.
   Participation in any NYSERDA initiatives; fee-for-service or coordinated.
   Participation in fee-for-service/WAP related initiatives.

DHCR Field Representative:
   Replacement of a heating appliance or mobile home furnace or boiler where
    such replacement is not justified in the applicable energy audit.
   Change in priority order of work.
   Change in multifamily audit priorities.
   Use of TIPS for multifamily buildings.
   Completion of measures with a SIR of less than one prior to completion of all
    higher SIR measures.
   Expenditures exceeding $2,000 for vehicle maintenance costs, per vehicle, per
    repair, per contract.
   Reweatherization of a building weatherized after September 30, 1993 where
    additional WAP contract funds are proposed to be used.
   Work that is outside weatherization workscope completed by owner to meet
    owner investment.
   A variation of more than 20% from the recommended sizing of a heating system.
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Weatherization Program Year 2004                                            Updated September 2004
Policies and Procedures Manual
                                        Ch. 1 Pg. 14
Weatherization Program Year 2004                  Updated September 2004
Policies and Procedures Manual
                                   Ch. 1 Pg. 15
                             DHCRPROGRAM FIELD REVIEW/VISIT

The field visit is an integral part of monitoring the WAP. Field visits to subgrantees are
conducted by DHCR Field Representatives to ensure the ongoing certification of
buildings, and include both file and site review.

DHCR Field Representatives conduct at least one field visit every six weeks to each
subgrantee. While some field visits may be completed in one day, the average field visit
takes three days. The DHCR Regional Supervisor will accompany DHCR field staff and
visit each subgrantee at least once every program year and more frequently if problems
have been noted. Where subgrantee problems are consistently noted, the DHCR Field
Representative may increase the frequency of field visits.

Information from a field visit is recorded on a Field Visit Report in the Weatherization
Data Collection and Reporting Database, which is required to be completed for every
field visit, and is the basis for statistical data used in WAP program management. The
Field Report may include a review of the following subgrantee actions:

         development of appropriate work scopes through conduct of the energy audit
         compliance with current policies and procedures for the energy audit
         compliance with current policies and procedures for leveraging activity
         quality of materials and workmanship
         production status
         expenditure patterns
         priority target group status
         materials and installation
         problem areas

Signatures of the DHCR Field Representative and a subgrantee representative are
required on each Field Report at the conclusion of the field visit. A copy of the signed
Field Report is left with the subgrantee and the original is submitted to the DHCR
Regional Supervisor. Upon review of the Field Report, the DHCR Field Representative
in consultation with their DHCR Regional Supervisor may determine that additional
training or technical assistance is needed by the subgrantee. The DHCR Regional
Supervisor will request this training through the Supervisor of the Training and
Technical Assistance Unit.

DHCR Field staff are required to conduct on-site inspections on a minimum of 20% of
the dwelling units that are presented for certification during the program year in order to
develop a statistically-valid profile of subgrantee work. Where a subgrantee has a poor
score on either the FieldProgram or Fiscal Annual Evaluation Report, this percentage of
inspections may be increased. The DHCR field staff will verify the installation of
materials that are charged to the job and look for areas that have been omitted in the
pre-inspection. Where discrepancies are found, a higher percentage of on-site
inspections may be conducted to assure compliance with the WAP contract.
Weatherization Program Year 2004                                               Updated September 2004
Policies and Procedures Manual
                                        Ch. 1 Pg. 16
During a field visit the DHCR Field Representatives may be performing the following
specific functions:

A.        Provide one-on-one technical assistance covering:

         determination of unit or income eligibility
         reporting procedures
         weatherization techniques
         energy auditing
         pre-inspection
         instrumented audit technology
         post inspection
         subcontractor selection and management
         regulations, polices, and procedures
         contract familiarization and compliance
         safety standards
         production control
         furnace efficiency testing
         outreach and referral procedures
         leveraging activities and procedures
         inventory system
         bid packages
         contract and production status
         client intake and outreach procedures

B.        Assist with the leveraging of non-WAP funds to:

         negotiate agreements
         schedule and coordinate meetings
         serve as liaison
         assure quality control
         assure additional units completed
         inspect work with leveraged funds
         prepare reports on leveraging activity

C.        Inspect completed dwelling units to include the following as applicable for each
          unit:

          1. Inspect the perimeter of the building to:

                   check the general condition of the foundation and building exterior
                   inspect the condition of windows and doors
                   check for air sealing
Weatherization Program Year 2004                                                  Updated September 2004
Policies and Procedures Manual
                                             Ch. 1 Pg. 17
              check for adequate ventilation
             check sidewall insulation
                                                                                                          Formatted: Bulleted + Level: 1 + Aligned at:
                                                                                                           0.75" + Tab after: 1" + Indent at: 1", Tab
           2. Enter the dwelling unit; interview the client and discuss the quality of the                 stops: 0.5", Left + 0.81", Left + 1.13", Left +
              work, courtesy of the subgrantee’s crew, and whether the client has                           2.5", Left + 3", Left + 3.5", Left + 4", Left +
                                                                                                            4.5", Left + 5", Left + 5.5", Left + 6", Left +
              experienced a difference in comfort, etc. The interior examination may                        6.5", Left + 7", Left + 7.5", Left + 8", Left +
              include inspection of the following:                                                          8.5", Left + 9", Left + 9.5", Left + 10", Left
                                                                                                           + 10.5", Left + 11", Left + 11.5", Left + 12",
                                                                                                           Left + 12.5", Left + 13", Left + Not at 0.94"
                the living space for health and safety concerns
                the heating appliance to ensure it was tested and all work scope items are
                 completed
                installation of infiltration measures, domestic water heater wraps, and low-
                 flow showerheads
                the attic for proper installation of insulation, for dams around chimneys
                 and recessed lighting fixtures, and for vents not visible from the outside of
                 the building
                the basement or crawl space for perimeter insulation; glass repair, repairs
                 to the cellar door and for such items as duct insulation, water heater
                 wraps, pipe wraps and repairs to the heating system or appliance
                the living space for tightness of windows and the presence and quality of
                 weatherstrips and door sweeps on all exterior doors. Replacement
                 windows and/or storm windows will be opened and closed to check for
                 proper installation.
                common areas in multifamily buildings to assure compliance with priorities
                compliance with instrumented audit protocols
                health and safety-related repairs

          3.    Check for inclusion of repairs accomplished to protect or supplement
                weatherization measures including:

                   Ventilation
                   Heating distribution/fuel system repair or replacement
                   Chimney repair/replacement
                   DHW repair/replacement
                   Electrical upgrades including lighting fixture replacement and GFCI
                    installations, and electrical system upgrades
                   Refrigerator replacements
                   Roof repair/replacement

D.        Examination of Client Files

          1.    Review client files prior to certification of the dwelling unit to verify the
                expenditures for materials and labor indicated in the database. The
                minimum sample is 20 percent of these files to assure the completeness and
                accuracy of the contents, including: Table of Contents
Weatherization Program Year 2004                                                  Updated September 2004
Policies and Procedures Manual
                                             Ch. 1 Pg. 18
                   application
                   income eligibility documentation
                   homeowner certification
                   weatherization agreement
                   fuel release form
                   letter of eligibility
                   audit and all associated forms
                   copies of invoices for materials and/or subcontract agreements
                   documentation of infiltration reduction as a result of a blower door assisted
                    infiltration reduction protocols
                   documentation of lead-safe work practices

          2.    After review of these files, check for the recording of certain information in
                the weatherization database which includes:

                   address of unit
                   job number
                   date started and date completed
                   owner or renter occupied
                   cost of materials installed and subcontracted labor
                   repair costs
                   target population served
                   comments or any other relevant information
                   performance data relating to the reduction of air changes

E.        Verify subgrantee contract compliance with respect to lead

For each of those visits, the subgrantee must have its blower door, steady-state
efficiency kit, health and safety equipment, and a staff person knowledgeable about
instrumented audits available. The use of the blower door for monitoring will provide the
DHCR Field Representative with consistent data for the evaluation of air sealing work.
The subgrantee should have more than one staff person knowledgeable about the
location of dwelling units, files, invoices, and contracts. Table of Contents

Within 60 days after the end of each Program Year the DHCR Field Representative may
perform all or a portion of the following procedures:

           Update and export, from the subgrantee database, any buildings that need to                      Formatted: Bulleted + Level: 1 + Aligned at:
                                                                                                             0.5" + Tab after: 0.7" + Indent at: 0.7"
            be moved from or into the program year being closed out.
                                                                                                             Formatted: Bullets and Numbering
           Enter in the subgrantee database and export any on site inspection and
            certification dates not previously recorded.
           Run the In Progress Report from the subgrantee database to verify that all
            buildings charged to the program year being closed out have been completed,
            attached to a CFR, and exported. The subgrantee should export any “in

Weatherization Program Year 2004                                                    Updated September 2004
Policies and Procedures Manual
                                              Ch. 1 Pg. 19
            progress” buildings that have been completed. Any uncompleted “in progress”
            buildings must be moved to the next program year.
           After all buildings or changes to buildings being charged to the program year
            being closed out have been exported, run the Building Certification and
            Inspection Report from the subgrantee database to verify that these buildings
            have been certified.
           From the subgrantee system, run a final Building Certification and Inspection
            Report and a Data Confirmation Report for the program year being closed out.
           After all building data has been imported into the central database, run the
            Building Certification and Inspection Report (MOR-1) and the Agency Building
            Cost by Source (BLR-8) reports from the central database and verify that the
            data on these reports match the data on the Building Certification and
            Inspection Report and the Data Confirmation Report run from the subgrantee
            database. Any discrepancies will need to be found and updates may need to
            be made in the subgrantee database, the central database, or both, and the
            reports ran again to verify that the data in both systems match.

Prior to the DHCR Field Representative's arrival, the subgrantee must complete the
Building Cost/Performance Report (Form DHCRESB#17) for each 1-4 unit building
presented for certification, and have it ready for the DHCR Field Representative's
review.

Following each field visit, a brief exit interview may be scheduled with the Executive
Director or designee. The WAP field visit report and the Consolidated Weatherization
Status Report (CWSR) must be signed by the subgrantee’s authorized staff. These
reports serve as official notification to the subgrantee regarding the status of the
program.
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Weatherization Program Year 2004                                            Updated September 2004
Policies and Procedures Manual
                                         Ch. 1 Pg. 20
Weatherization Program Year 2004                  Updated September 2004
Policies and Procedures Manual
                                   Ch. 1 Pg. 21
                                   FISCAL FIELD REVIEW/VISIT

DHCR Fiscal Representatives make scheduled, on-site visits to each subgrantee to
review the accounting system and source documentation, and to verify costs claimed on
the CFR. The subgrantee must make its WAP books and records readily available to
the DHCR Fiscal Representative. If, as a result of a field visit, it is determined that any
claimed costs are not allowable, the subgrantee will be afforded the opportunity to
correct the matter. If the correction is not made, or if reimbursement has already been
made for the cost in question, subsequent payments will be reduced accordingly.

DHCR Fiscal Representatives review subgrantee’s books, records, and relevant source
documents to ensure compliance with State and Federal guidelines and with generally
accepted accounting principles. These reviews are conducted on WAP funds as well as
leveraged funds and program income.

Additionally, DHCR Fiscal Representatives provide training and technical assistance
with a view toward improving subgrantee fiscal responsibility and accountability and
contributing to the ongoing review of a subgrantee’s internal control procedures.
Subsequent visits by the DHCR Fiscal Representative will verify that the problem has
been corrected or that additional actions are necessary. If the problem is significant, a
written report will be submitted advising the subgrantee of action which will be taken by
DHCR.

The books and records for any other funds allocated to an account with WAP funds are
subject to review by DHCR Fiscal Representatives. If a material problem is noted, the
findings are reported to the Supervisor of Fiscal Field Operations. Thereafter, a written
recommendation is made to the subgrantee advising what action should be taken. If
training and technical assistance is warranted, it will be provided to the subgrantee.
Subsequent visits by DHCR Fiscal Representatives will verify that the problem has been
corrected or that additional actions are necessary.

During each fiscal field visit, the DHCR Fiscal Representative examines each of the
subgrantee’s payment requests to ensure consistency and proper vouchering. At the
conclusion of each Fiscal field visit, the DHCR Fiscal Representative discusses the
results of the review with the subgrantee's executive director or duly approved
representative and prepares a written summary of the review outlining the scope of the
review, any findings, corrective actions, recommendations, and subgrantee responses
or comments. A copy of the summary signed by the subgrantee representative is left
with the subgrantee; the original is submitted with the relevant work papers to the
Supervisor of Fiscal Field Operations.                           Table of Contents

DHCR Fiscal Representatives schedule several visits to each subgrantee during the
program year and report their findings to the Supervisor of Fiscal Field Operations who
in turn


Weatherization Program Year 2004                                             Updated September 2004
Policies and Procedures Manual
                                           Ch. 1 Pg. 22
reports in turn reports to the ERSB Director. The fiscal field visit includes but is not
limited to such activities as:

         Verifying reported expenditures by comparing periodic expenditure reports to
          subgrantee books and records.
         Reviewing the reporting and documentation of program income and leveraged
          funds.
         Reviewing source documentation for purchases of any items charged against the
          WAP.
         Reviewing distribution of costs charged to more than one program.
         Matching payroll costs for consistency with the latest approved budgets.
         Reviewing records to trace material purchases from invoices to inventory, or to
          specified jobs and to programmatic reports.
         Reviewing bid procedures and records.
         Reviewing subcontract agreements, analyzing payment schedules to
          subcontractors and verifying payments made to subcontractors.
         Reviewing cash balances.
         Reviewing the subgrantee’s internal control structure.
         Reviewing the subgrantee's compliance with insurance requirements.
         Reviewing and testing the subgrantees' safeguarding of fixed assets.

Each subgrantee should have certain documents available for the DHCR Fiscal
Representative to review. These include the following:

         The current contract with the latest approved budget and approved budget
          amendments.
         Subcontracts.
         Lease agreements.
         Bids, solicitations for bid, notifications of bid awards, vendors' lists.
         Copies of required reports.
         Books of account, including:
         Cash disbursement
         Cash receipts
         Payroll sheets or ledgers
         General ledger
         General journal
         Monthly general ledger trial balances
         Monthly reconciliation to budget
         Checking account reconciliations
         Bank account authorization signature cards
         A list of all unpaid bills tied to the appropriate budget line item for which the cost
          was incurred
         Invoices for purchases made with grant funds, program income and leveraged
          funds, if applicable.                                    Table of Contents

Weatherization Program Year 2004                                                    Updated September 2004
Policies and Procedures Manual
                                            Ch. 1 Pg. 23
                                   REQUIRED FILE DOCUMENTATION

All files presented to the DHCR Field Representative for review must include the
following documentation. Forms are listed in Appendix C :

         Weatherization Application (Form DHCRESB#4) completed and signed by the
          applicant or designee. Copies of documentation for income or categorical
          eligibility.
         Documentation of client eligibility must be conducted by the subgrantee prior to
          an energy audit and the weatherization of any dwelling unit, including those in
          large apartment buildings. Multifamily units may not be weatherized until
          documentation is obtained for all eligible tenants.
         Common areas may not be weatherized unless fifty percent of the units have
          been documented as eligible in all buildings.
         Proof of ownership; copy of most current property tax bill and section, block, and
          lot information.(Tax Bill)
         Appropriate owner agreement completed and signed, Owner Agreement 1-4
          Units (Form DHCRESB#8) or Owner Agreement Multifamily (Form
          DHCRESB#10), or the homeowner certification on the back of the application
          signed where the client is also the owner (single-family only).
         Permission to Enter Building (Form DHCRESB# 6) and Tenant Synopsis of the
          Owner Agreement (Form DHCRESB#9) for all rental units files.
         Energy Information (Form DHCRESB#5A and 5B) completed and signed by the
          individual whose name appears on the fuel bills.
         Copy of the current utility bill for the unit(s) or the building.
         Copy of a notice of eligibility on subgrantee’s letterhead that was sent to the
          client(s)
         In multifamily buildings where tenants pass through a common entrance, the
          Notice of Eligibility need not be sent to each applicant, it may be posted in a
          conspicuous place in the building, with a copy placed in the appropriate file.
         Completed Building Work Summary 1-4 Units (Form DHCRESB#18) or
          Apartment Building Work Summary (Form DHCRESB#19) signed and dated by
          the client, the client's designee, or the owner/agent, as well as by the
          subgrantee’s post inspector.
         Furnace Tag must be attached to the appropriate form.
         Invoices for weatherization work completed (e.g., materials purchased,
          subcontracted material, and labor).
         Prior Approval form (Form DHCRESB#20) as required.
         Reports that document the TIPS analysis:

          -   Audit Package
          -   Client Questionnaire (Form DHCRESB#11)
          -   Indoor Air Quality Tests (Form DJCRESB#12)
          -   Multifamily Indoor Air Quality Tests if applicable (Form DHCRESB#14)
          -   Blower door documentation (pre, interim, and post)
Weatherization Program Year 2004                                                Updated September 2004
Policies and Procedures Manual
                                             Ch. 1 Pg. 24
          - Furnace Tags
               - Notice of Health and Safety NotificationWarning (Form DHCRESB#15), if
                   appropriate
               - Heating appliance sizing documentation
         EA-QUIP Building Analysis for five or more units, or a statement that due to the
          building configuration a TIPS Analysis can be conducted.
         Justification for Heating Appliance Replacement (Form DHCRESB#16) is
          required when replacing a heating appliance and/or system, for multifamily
          buildings, such justification may be a part of the audit development package.
         Copies of Bids and Bid Summaries for subcontracted work.
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Weatherization Program Year 2004                                               Updated September 2004
Policies and Procedures Manual
                                          Ch. 1 Pg. 25
          COMPREHENSIVE ANNUAL SUBGRANTEE EVALUATIONS

As required by USDOE, an annual evaluation of each subgrantee must be conducted.
This evaluation will consist of two areas - program and fiscal. The combined results of
the evaluations may affect future funding of subgrantees. Work plans to strengthen
subgrantees with deficiencies will be formulated.

Evaluations will be the culmination of subgrantee reviews conducted during the course
of the contract year. Any material deficiencies of a program and/or fiscal nature will be
handled immediately with an appropriate course of action. Any non-material findings
will be handled through the work plan.

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Weatherization Program Year 2004                                             Updated September 2004
Policies and Procedures Manual
                                       Ch. 1 Pg. 26
                                   CONFLICT OF INTEREST

Subgrantee staff acting either as individuals or within an outside contracting firm may
not solicit or provide contractor services to low-income clients who have received or
been deemed eligible for weatherization services. Low-income clients seeking work
from private contractors should be referred to the subgrantee’s fee-for-service
component, or to contractors on the subgrantee bidders list, or advised to consult with
other sources. Also, subgrantee staff who offer non-Weatherization services for a fee to
the general public, may not also perform these same services for the subgrantee.

Subgrantee staff who originally establish a relationship with the client as a
representative of the WAP must not transition that relationship to one where they
subsequently become a private contractor for the client. Subgrantee staff engaged in
private contractor work are also prohibited from using subgrantee tools, vehicles, and
equipment to perform this work, and must have their own privately owned tools, vehicles
and any other equipment when doing any contractor work not otherwise prohibited.

Subgrantees set up to perform services through a fee-for-service arrangement are not
prohibited from providing such services as long as the subgrantee and not an
employee, acting alone, is paid for the service in accordance with all appropriate
requirements related to this type of arrangement.

The following examples illustrate prohibited work by subgrantee staff:

     Example A

     The auditor from Subgrantee A goes to the home of a client to perform an inspection
     before the weatherization work is begun. While explaining to the client about what
     the WAP will provide, the auditor indicates that new prime windows will not be
     included in the scope of work in response to questions by the client. The auditor
     remarks that he could install new windows but the cost would have to be paid by the
     client.

     The client states they would be willing to pay for new windows. The auditor
     responds that he could do this work for the client. The client agrees, and the auditor
     returns at a later date and completes this installation as a private contractor.

     If Subgrantee A had operated a fee-for-service component to their program they
     could have installed the new windows, however, the auditor operating his own
     business can not.

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Weatherization Program Year 2004                                              Updated September 2004
Policies and Procedures Manual
                                         Ch. 1 Pg. 27
     Example B

     An ad is placed in a newspaper advertising contractor services. The person
     providing these services is the director of the local WAP who performs contractor
     services part-time and serves all income groups. The ad does not mention the local
     WAP program.

     A homeowner seeing the ad is interested in having their roof replaced and calls the
     contractor. A price is agreed, and while replacing the roof the contractor mentions
     that he is also the director of the local WAP

     The homeowner has never heard of the program but applies and is deemed eligible
     and is placed on the waiting list. Now that this homeowner has become a WAP
     client, the WAP director can no longer engage in any private contractor work for the
     homeowner.

     The initial agreement to install the roof was not a conflict of interest. However,
     subsequent to the homeowner becoming a WAP client they should be referred either
     to the Subgrantee fee-for-service component or to other contractors.

     Example C

     An employee of the subgrantee also has an automotive repair business. This
     employee can not perform automotive repair work for the subgrantee on
     weatherization vehicles.

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Weatherization Program Year 2004                                             Updated September 2004
Policies and Procedures Manual
                                        Ch. 1 Pg. 28
                                   DISPUTE RESOLUTION

When a subgrantee disputes a decision of or has exhausted efforts to resolve an
outstanding issue with WAP program staff and management, the subgrantee may
request an administrative review. The opportunity for such administrative review is
offered at the sole discretion of DHCR, and is not available as a matter of right or as
substitute for the customary program decision-making process.

The purposes of the administrative review process are to: (a) assist the parties involved
in a dispute in presentation of their respective positions, (b) ensure that all disputed
decisions are impartially examined; and, (c) provide the basis for an administrative
determination and resulting actions by DHCR.

To request an administrative review, a subgrantee must submit a written application for
an administrative review to: Office of Legal Affairs, NYS Division of Housing and
Community Renewal, 38-40 State Street, Albany, 12207. The application for an
administrative review must include:

         a brief statement of the matters asserted;
         a brief description of each subject dispute;
         a reference to any particular statues, law, or rules involved; and,
         a brief description of the remedy sought.

Upon receipt of the application, the Office of Legal Affairs will assign a staff counsel as
review administrator who may request additional information to complete the review.
The review administrator will then conduct an impartial examination of the record and
will issue a report on the findings of the record. This report will be non-binding,
however, it will contain a recommended decision and will be forwarded to the DHCR
Deputy Commissioner, Office of Community Development. On consideration of the
report, the Deputy Commissioner, Office of Community Development will issue a final
decision within a maximum of 20 days from the date the review administrator’s report is
received.

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Weatherization Program Year 2004                                                Updated September 2004
Policies and Procedures Manual
                                           Ch. 1 Pg. 29
                                   SUBGRANTEE TERMINATION

DHCR may terminate a subgrantee for failure to comply with the terms and conditions of
their WAP contract if DHCR determines that the termination would be in the best
interest of the State. Reasons for termination include, but are not limited to, the
following: work performance fails to substantially conform to the requirements of the
contract documents; refusal to proceed with the work; disregard for laws, rules,
ordinances, or regulations of the public authority having jurisdiction; misuse of dedicated
account funds; failure to pay vendors; failure to notify DHCR of fraud or the allegation of
fraud, embezzlement, misappropriation, or abuse of funds; disregard for competitive
bidding; and conflict of interest.

Whenever a DHCR representative uncovers significant problem areas with the work or
actions of a subgrantee, the DHCR representative must document such problem areas
and provide a report to the DHCR Regional Supervisor, the Supervisor of Fiscal Field
Operations, and the ERSB Director. If the problems are of such a nature that they can
be resolved immediately at the local level, the ERSB Director will transmit a copy of the
report to the Subgrantee Weatherization Director and Executive Director, and there will
be no further action if the problems are corrected within 30 calendar days or an
acceptable corrective plan is submitted.

When the problems are of such a nature that they cannot be resolved immediately at
the local level or they are not resolved within 30 calendar days, the DHCR
Representative will prepare a position paper with the following minimum information:

         A presentation of all relevant facts including any history relevant to the problem.
         A succinct presentation of the issue.
         A list of possible positions that DHCR may take on the issue.
         The implications of the various above-mentioned positions.
         A recommendation from the DHCR Representative.
         A conclusion and explanation of why the recommendations should be
          implemented.

Copies of all correspondence and relevant documentation must be attached to this
position paper and submitted to the DHCR Regional Supervisor, the Supervisor of
Fiscal Field Operations, and the ERSB Director. The ERSB Director will review the
position paper with DHCR Executive and Legal Staff, and will transmit a “Subgrantee
Warning Notice” to the Subgrantee Board Chairperson, Weatherization Director, and
Executive Director. The Subgrantee Warning Notice will cite specific section(s) of the
WAP contract where compliance is in question with a requirement that the subgrantee
provide a written plan within 15 calendar days for curing the alleged non-compliance.

In the event that no response is received within 15 calendar days, the plan for resolving
the alleged non-compliance is unacceptable to DHCR, or if subsequently the plan is not
followed, a “Notice of Default and Intention to Terminate” the contract will be transmitted
Weatherization Program Year 2004                                                 Updated September 2004
Policies and Procedures Manual
                                           Ch. 1 Pg. 30
to the Subgrantee Board Chairperson, Weatherization Director, and Executive Director.
Failure by the subgrantee to respond to the Notice of Default and Intention to Terminate
within 15 calendar days will result in the issuance of a “Notice of Termination” of the
WAP contract. With the Notice of Termination, a Public Review will be scheduled to
inform the public of the termination of the subgrantee and to identify a new subgrantee
to provide local service.


Notwithstanding any of the above, DHCR may suspend or terminate a contract without
prior written notice upon a finding of substantial noncompliance or substantial breach of
contract.

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Weatherization Program Year 2004                                            Updated September 2004
Policies and Procedures Manual
                                       Ch. 1 Pg. 31
Not withstanding any of the above, DHCR may suspend or terminate a contract without
prior written notice upon a finding of substantial noncompliance or substantial breach of
contract.




Weatherization Program Year 2004                                            Updated September 2004
Policies and Procedures Manual
                                       Ch. 1 Pg. 32
                                        CHAPTER 3                                                     Formatted: Centered, Tab stops: 0", Left +
                                                                                                      0.5", Left + 1", Left + 1.5", Left + 2", Left +
                                                                                                      2.5", Left + 3", Left + 3.5", Left + 4", Left +
                                                                                                      4.5", Left + 5", Left + 5.5", Left + 6", Left +
                                                                                                      Not at 3.25"
The purpose of this chapter is to outline the client application process. This process includes
community outreach, client intake, income eligibility determination, and completion of
required forms. This Chapter is presented to assist subgrantees in locating households
eligible for assistance and to guide eligible clients through the processes necessary to
receive weatherization services.

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Weatherization Program Year 2004                                             Updated September 2004
Policies and Procedures Manual
                                       Ch. 1 Pg. 33
                                   OUTREACH - PROMOTION

When promoting WAP, subgrantee publications and advertisements must include statements
and/or information that the NYS Division of Housing and Community Renewal is the funding
agency.

It is essential that subgrantees serve all eligible households in their service area including
minority groups and neighborhoods/areas other than the one in which the subgrantee is
located. The subgrantee outreach function should ensure that pamphlets describing WAP
are readily available at all local human services and governmental agencies serving low-
income persons, and that the staff of those agencies are familiar with the Program.

Subgrantees need to have an adequate number of clients available in order to provide
weatherization services to the number of dwelling units projected for any given year. In some
areas of the state subgrantees have had a difficult time obtaining enough clients to fulfill their
contractual commitment to DHCR. In these cases outreach for clients will play an essential
role in the continuation of a separate weatherization contract for that service area. In cases
where outreach fails to produce an adequate number of clients, DHCR is committed to
working with the subgrantee and adjoining subgrantees to consider the consolidation of
service areas.

All subgrantees must conduct outreach during the contract year. Outreach efforts must be
made to provide information regarding the nature and existence of the program, eligibility
requirements, making application and accessing the program.

Outreach efforts should be aimed at other public and private organizations providing similar
services as well as directly to the public through various types of public service
announcements.

Subgrantees must have written protocols describing their outreach efforts and client selection
process that addresses the demographics of their service area with specific reference to how
they identify and serve owners and renters and other populations with special needs.

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Weatherization Program Year 2004                                               Updated September 2004
Policies and Procedures Manual
                                         Ch. 1 Pg. 34
                                   WEATHERIZATION PRIORITIES

Service to eligible clients must be provided on a first-come, first-serve basis in most cases.
However, priority service may be provided to the following clients:

         Emergency: When a genuine emergency exists which poses an imminent threat to
          the life, health or property of the client, and when that emergency situation can be
          corrected by weatherization services, and when other options to correct or alleviate
          the threat are unavailable or impractical.
         Elderly, Chronically Ill, Children: A priority exists when the household includes
          members who are elderly, chronically ill, or children under 18.

Prior to the commencement of the program year, subgrantees should meet with
representatives of their local department of social services and area aging agency to
establish the number of referrals that will be given priority on the Weatherization waiting list.
Referring agencies should be encouraged to target the neediest households.

Subgrantees may give priority to clients who will receive third-party co-funding or service
assistance where such clients will receive added benefits or additional clients will receive
weatherization services due to a subgrantees’ ability to leverage funds or generate program
income.

OTDA is the State agency responsible for administering the emergency furnace repair and
replacement program through their “HEAP Crisis Component” and their LDSS network. All
inoperable or unsafe heating emergencies which occur during the heating season must be
referred to the appropriate LDSS. Weatherization subgrantees are not authorized or funded
through WAP contracts to provide “no-heat” emergency services.

In any situation where the subgrantee is aware of an emergency of an unusual nature not
covered above, the subgrantee should call the DHCR Field Representative for a case-by-
case status determination.

Subgrantees must have written policies outlining how they prioritize and select clients to be
weatherized. DHCR may request to review such policies at any time during the annual
budget period.

Subgrantees should be aware that service to board members, employees and relatives of
employees may appear as a conflict of interest. As such, subgrantees must obtain prior
approval from DHCR. Subgrantees should have written policies outlining how they prioritize
and select board members, employees and relatives of employees for service. Board
members and senior agency staff may not receive weatherization assistance.

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Weatherization Program Year 2004                                                Updated September 2004
Policies and Procedures Manual
                                            Ch. 1 Pg. 35
                                   INTERAGENCY REFERRALS
The Interagency Referral facilitates provision of weatherization services to elderly, public
assistance households, and housing services recipients referred to subgrantees by a local
area aging agency, local Departments of Social Services (LDSS), Neighborhood
Preservation Companies (NPC), Rural Preservation Companies (RPC) and other housing or
community service agencies. All referrals will be completed using the WAP Interagency
Referral (DHCR 806). This form provides four copies: white for referring agency; yellow for
subgrantee; pink for subgrantee and NPC/RPC response; and, goldenrod for work complete.

Clients referred to subgrantees on the interagency referral form have been deemed income
eligible by the referring agency and the subgrantee is not required to perform additional
eligibility verification and may proceed with providing services.

Referring agencies should prioritize all weatherization requests and refer the neediest
households to the subgrantee using the WAP Interagency Referral.

Instructions:

The subgrantee will initially receive the yellow, pink, and goldenrod copies of the referral
form. The referring agency will have retained the original (white copy) for its records. The
subgrantee has thirty working days to complete the form and return the pink copy to the
referring agency.

         All information regarding the client and household eligibility must be completed and
          certified by a representative from the referring agency. The reference number will be
          assigned by the referring agency.
         If the form has blank sections or if it is incomplete, the referring agency should be
          contacted immediately.
         The subgrantee must review client’s past WAP files to determine whether the unit was
          weatherized previously. If it was weatherized, this information should be entered on
          the form and the pink copy returned to the referring agency.
         If the unit requires reweatherization or heating-system work, the work should be
          funded through other sources when possible, e.g., LDSS emergency funds.
         Complete the customary subgrantee client intake.
         If the application process cannot be completed, the appropriate box in the lower half of
          the form should be checked, and the form returned to the referring agency.
         Upon completing the application process and scheduling the energy audit, the
          expected date when the audit will be conducted should be recorded on the form, and
          the pink copy returned to the referring agency.
         When the work has been completed, the completion date and the total dollar amount
          for all materials and subcontracted labor should be recorded in the Comments portion
          of the form and the goldenrod copy returned to the referring agency.
          Table of Contents
                                       CLIENT INTAKE

Weatherization Program Year 2004                                                Updated September 2004
Policies and Procedures Manual
                                          Ch. 1 Pg. 36
To weatherize a building containing rental units, applications must be completed for all units
in the building to be weatherized (except vacancies). A rental building may be weatherized if:

         50 percent or more of the rental units are occupied by eligible tenants (see Chapter 4,
          Owner Investment Procedures for additional information); or,
         all designated-eligible vacant apartments will be occupied within 180 days from the
          completion of the work.

If the above conditions are met, the entire building, including common areas, may be
weatherized. All units in a building are considered to be weatherization eligible once the
building has been deemed income eligible for WAP services. The conditions for weatherizing
a rental unit are described in Chapter 3, Owner Agreements.

With respect to the amount of Weatherization funds that can be spent on rental buildings, any
measures that would improve the energy efficiency of the entire building may be installed in
ineligible units. However, the total value of the measures installed in the entire building may
not exceed the average per-unit investment multiplied times the number of eligible units.

A homebound applicant may also use an Authorized Representative to complete and sign
the application and other WAP documents. The applicant is required to name his/her
Authorized Representative and give the Authorized Representative written permission to
apply on his/her behalf. Identification must be obtained from the Authorized Representative.
The Authorized Representative must sign all forms using his/her own name and the
applicant's name (e.g., Mary Brady for Jane Doe).

Proof of eligibility provided by the owner of a rental building or owner’s agent does not
constitute acceptable documentation. The subgrantee must verify this documentation
independently. See below for income verification procedures for clients in publicly-assisted
buildings.

Clients in a rental building who request services due to a no-heat or unsafe heating situation
must be refused and told to apply to the LDSS for assistance. When the heating problem
has been corrected, the client may then be considered eligible for services under the WAP.

In HUD or DHCR managed buildings where tenants are required to complete HUD Form
50059 or Form 50059e, building eligibility documentation can be accomplished using a copy
of this form. The information on the form must be current for the tenant in residence at the
time of weatherization and “Part VIII-Certification” is signed and dated by the head of the
household. The building management agent must provide public notification to the tenants
that WAP services are proposed and provide tenants with an




Weatherization Program Year 2004                                               Updated September 2004
Policies and Procedures Manual
                                          Ch. 1 Pg. 37
opportunity to indicate that they do not want their form 50059e information provided to the
WAP subgrantee. If there is no opposition, the subgrantee may complete the WAP
application, have the building management agent sign the application as the tenant
representative with an original signature, and place a copy of the form in the tenant
information package.

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Weatherization Program Year 2004                                            Updated September 2004
Policies and Procedures Manual
                                       Ch. 1 Pg. 38
                                   ELIGIBILITY - GENERAL

WAP is designed to benefit low-income persons, particularly the elderly, disabled, and
families with young children. In general, eligibility of a person or household for
weatherization services falls into one of two categories: categorical eligibility or income
eligibility.

         Categorical eligibility is proof that the client is a member of a group (category), all of
          whose members are eligible.
         Income eligibility is proof that the household income is at or below the level set for
          Program eligibility.

A vacant unit may also be considered for weatherization service if the owner of the building
agrees to rent the unit to a categorical or income eligible client within 180 days of the
certification of the completion of work.

A determination of client eligibility will remain in effect and no new documentation will be
required for one year from the initial date of determination, unless the subgrantee receives
information that the client is no longer eligible. If it is established that the client intentionally
provided false information regarding eligibility, all WAP work must be stopped and closed out
at the cost incurred.

A determination of eligibility for a multifamily building will remain in effect for one year from
the date the first application was determined income eligible. If weatherization work is not
started within one year from that date, the application will need to be updated.

This application will need to be updated if it is required to maintain the income eligibility of the
building.

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Weatherization Program Year 2004                                                    Updated September 2004
Policies and Procedures Manual
                                            Ch. 1 Pg. 39
                                   ELIGIBILITY - CATEGORICAL

SUPPLEMENTAL SECURITY INCOME

A household is categorically eligible for weatherization assistance if, at the time of the
application, any member of that household receives Supplemental Security Income (SSI).

Acceptable Documentation: Award letters; copy of SSI check; Report of Confidential Social
Security Benefits Information form (SSA#2458).

PUBLIC ASSISTANCE

A household is categorically eligible for weatherization assistance if, at the time of
application, any member of that household receives Safety Net or Family Assistance
benefits. Applicants who pay their own heat or are on voucher fuel payment and have high
fuel bills will have priority over applicants who have heat included in their rent.

Acceptable Documentation: Interagency Referral form completed by an LDSS; LDSS
computerized printout received by recipient when re-certified; LDSS monthly budget
worksheet with date, signature, and job title of LDSS personnel; LDSS Letter of Eligibility; in
New York City multiple-dwelling units, building printout by address from the New York City
Housing Resources Administration, Copy of Electronic Benefit Transfer (EBT) card with a
current debit purchase receipt.

FOOD STAMPS

A household is categorically eligible for weatherization assistance if, at the time of
application, at least one member of that household is receiving recurring Non-Public
Assistance (NPA) Food Stamps.

Acceptable Documentation: Letter or notice from LDSS stating that the household has been
determined eligible. A food stamp identification card alone is not sufficient documentation.
Categorical eligibility does not apply to NPA food stamp recipients in the following living
situations: individuals temporarily housed in a hotel or motel; residents of congregate care
facilities such as nursing homes and intermediate care facilities; and, residents of shelters.

HEAP - REGULAR BENEFITS

A household is categorically eligible for weatherization assistance if, at the time of
application, the household has received or been notified that they are eligible to receive the
regular HEAP benefit for the current HEAP Annual Heating Season which runs from mid
November through March of the following year. Receipt of Emergency HEAP benefits and
any associated change in eligibility for those benefits do not qualify for categorical eligibility
for Weatherization services.


Weatherization Program Year 2004                                                 Updated September 2004
Policies and Procedures Manual
                                           Ch. 1 Pg. 40
Acceptable Documentation: Letter or notice from LDSS stating that the household has been
determined eligible for HEAP regular benefits. To be categorically eligible, an applicant or
household must have already applied for and been determined eligible for HEAP regular
benefits. Persons who have not yet applied for HEAP benefits must either be income
eligible, or apply for weatherization after their HEAP regular benefits eligibility status has
been established.

Acceptable Documentation: Interagency Referral form completed by a local Office for Aging.

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Weatherization Program Year 2004                                             Updated September 2004
Policies and Procedures Manual
                                       Ch. 1 Pg. 41
                                   ELIGIBILITY- INCOME

When an applicant is not automatically categorically eligible, eligibility for weatherization
assistance may be determined on the basis of household income. Household income is
defined as total cash receipts before taxes from all sources, including but not limited to:

      Money wages, commissions, or salaries before any deductions (e.g., taxes and
       garnishees).
      Income from self-employment or from self-owned farm or business after allowable
       deductions for farm or business expenses. In the case of dairy farmers, gross income
       credited from milk companies, not income received, must be considered the base from
       which allowable business expenses may be deducted to determine eligibility for
       weatherization.
      Regular payments from Social Security including Social Security payments for minors;
       Unemployment Insurance Benefits; Veteran's Benefits; Veteran's Survivors Benefits;
       pensions; regular insurance or annuity payments; or strike benefits from union funds.
       Current award letters or other documentation must be provided upon request. The net
       Social Security income after deductions is considered for weatherization eligibility.
       This means that the Part B Medicare amount is not included as income which is
       consistent with the methodology used by LDSS.
      Social Security or Veteran's Survivor's Benefits received by students. Retroactive
       lump sum payments for Social Security or Railroad Retirement Benefits should be pro-
       rated within the specified time frame.
      Alimony, child support, and military family allotments or other regular support from an
       absent family member or someone not living in the household. Child support should
       be counted as income both for the person paying the support and for the person
       receiving the support on behalf of the child. Alimony paid as in-kind income (e.g.,
       rent) must be counted as income to the recipient. Life use of a dwelling provided
       through an estate should not be calculated as income.
      Dividends, interest, rents, royalties, or income from estates or trusts which are
       received during the month of application. If the income covers a time period longer
       than the current month, pro-rate the interest income by dividing the number of months
       covered by the check (e.g., quarterly dividend check - divide by 3).
      Housing allowances paid to military personnel.
      The interest-only portion of a mortgage payment or land contract payment made to an
       applicant, and payments on the principal of a mortgage held by an applicant are not
       considered income.
      Reverse-annuity mortgage and home-equity conversion payments from a bank based
       on home ownership equity.
      Income from Individual Retirement Accounts (IRAs) for the month of application,
       whether a monthly payment or a lump-sum withdrawal. Lump-sum IRA withdrawals
       should be pro-rated on a 12 month basis.             Table of Contents




Weatherization Program Year 2004                                               Updated September 2004
Policies and Procedures Manual
                                         Ch. 1 Pg. 42
The income eligibility guidelines are based on both income at 60% of median and family size.
For 20053-20064 through September 30 the income eligibility is:

Size of Household                  Monthly Income           Annual Income

      1                                $ 11,803729                        $ 21,6360,748
      2                                  2,3582,261                 28,296 27,132
      3                                  2,793913                    343,95516
      4                                  3,346825                   41,616 39,900
      5                                  4,0223,857                 48 46,2684
      6                                  44,389577                   542,924668
      7                                  4,64819                     563,172868
      8                                  4,785885                   57 55,420056
      9                                  4,889688                    586,668256
     10                                  4,993788                   59,916 57,456
     11                                  5,273049                   63 60,276588


     Each additional                     $ 408393                   $ 4,896716

                         levels effective October 1, 2004 through Sept 30, 2005 will be made
Table of ContentsEligibility
available as soon as they are issued by the NYS Office of Temporary and Disability
Assistance.




Weatherization Program Year 2004                                              Updated September 2004
Policies and Procedures Manual
                                             Ch. 1 Pg. 43
                          ELIGIBILITY - COMPUTATION OF INCOME

Subgrantees may only weatherize units occupied by eligible clients, and must ensure that
income verification procedures are followed.

Subgrantees must obtain income documentation from applicants as follows: for salaried
applicants, use the most recent four weeks prior to the date of the application; for applicants
who are self-employed, use business records for three months prior to the date of the
application.

Documentation may consist of a combination of information sources, (e.g., pay stubs,
statement from employer). To arrive at a monthly-income figure, the following conversion
factors must be used: multiply a weekly income by 4.3; multiply a bi-weekly income by 2.15;
and for applicants paid twice a month, multiply an income by 2.0. If the
applicant's/household’s gross weekly income varies, average the applicant's household's
weekly income for the previous four weeks, and multiply the average wage by 4.3 to arrive at
a monthly figure.

When an applicant cannot document income sources (e.g., applicant claims to meet living
expenses by taking odd jobs or selling personal items or handicrafts), the subgrantee should
make a written record of the verbal information provided by the applicant regarding amount of
income, source, frequency or dates paid, and type of goods or services for which income
is/was received, and have the applicant sign and date the statement before a notary public.

A notarized statement to document WAP income eligibility should be used only in exceptional
situations, i.e., no formal, or other documentation exists. When zero, or unusually low
income is claimed, the HEAP Zero Income or Unusually Low Income Worksheet must be
completed.

In no instance should weatherization personnel act as the notary when documenting income
eligibility for a potential client.
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Weatherization Program Year 2004                                              Updated September 2004
Policies and Procedures Manual
                                        Ch. 1 Pg. 44
                          ELIGIBILITY - INCOME DOCUMENTATION




Weatherization Program Year 2004                               Updated September 2004
Policies and Procedures Manual
                                       Ch. 1 Pg. 45
Weatherization Program Year 2004                 Updated September 2004
Policies and Procedures Manual
                                   Ch. 1 Pg. 1
         INCOME SOURCES                        ACCEPTABLE DOCUMENTATION

Alimony                              Court order; pertinent pages of separation agreement
                                     or divorce decree that identify client and amount of
                                     alimony. (If court ordered payments are not being
                                     received by the client, a notarized statement to this
                                     effect will be accepted.)
Annuities                            Statement from issuing organization
Child Support                        Court order; pertinent pages of agreement that identify
                                     the client and amount of support. (If court ordered
                                     payments are not being received by the client, a
                                     notarized statement to this effect from the Court, the
                                     Child Support Collection Unit, or the spouse required
                                     to pay will be accepted.)
Direct Deposits                      Copy of two or more bank statements listing the date
                                     and amount of deposit; letter from local bank stating
                                     source and amount of direct deposit income;
                                     verification of income from benefit source.
Dividends and Interest, as Regular   Statement from bank or brokerage firm.
Source of Income
Estates and Trusts, as Regular       Fiduciary statement or current statement from bank or
Source of Income                     brokerage firm.
Insurance Proceeds or Dividends,     Statement from insurance company.
as Regular Source of Income
HUD FORM 50059                       Copy of the current form for the tenant.
Pensions, Government or Private      Award letter; copy of checks; a letter from
                                     administrative agency.
Rents                                Income tax form; rent receipts; notarized statement
                                     from applicant listing each apartment and the rent
                                     received per month, as well as the description and
                                     amount of deductible expenses. When the tenant is a
                                     family member and is paying no rent to the owner, a
                                     notarized statement should be received from the
                                     tenant and signed by the owner stating that no rents
                                     are being collected.


Table of Contents




            INCOME SOURCES                          Acceptable Documentation
Weatherization Program Year 2004                                          Updated September 2004
Policies and Procedures Manual
                                      Ch. 1 Pg. 2
  Royalties                        Income tax return; current statement from company
                                   issuing checks.
  Self Employment Income           Business records for three months prior to the date of
                                   application; IRS form for income from previous year
                                   (for gross income only; see Chapter 2, “Eligibility”);
                                   notarized statement of gross adjusted income,
                                   including list of deductions and amounts, for previous
                                   three months.
  Social Security Benefits         Award letter; checks; statement from bank or
                                   brokerage firm (if direct deposit); SSA form 2458
                                   (Report of Confidential Social Security Benefit
                                   Information).

  Strike Benefits                  Award letter; copy of checks; letter from union.
  Training                         Award letter, copy of checks; letter from appropriate
                                   administrative agency.
  Unemployment                     Notice of Benefit Rate letter (Form Benefits L0403x)
  Veterans Benefits                Award letter from Veterans Administration or
                                   Department of Defense; copy of check.
  Wages and Salaries Before        Letter from employer on company's stationary; wage,
  Deduction                        earnings, or pay stubs; any combination of the above
                                   to document total earnings for the 4 weeks prior to
                                   date of application.
  Workers Compensation             Award letter from Workers Compensation Board;
                                   current check.
Table of Contents




Weatherization Program Year 2004                                         Updated September 2004
Policies and Procedures Manual
                                    Ch. 1 Pg. 3
                                   ELIGIBILITY - INCOME EXCLUSIONS
The following income sources should not be included in total monthly income for purposes of
determining eligibility:

Cash Over Which the Household Has No Control

Cash including, but not limited to, reimbursement for expenses incurred in connection with
employment (e.g., gas mileage provided), and reimbursement for medical expenses (e.g.,
Medicare payment for doctor bills).

Loans

All except reverse-annuity mortgage and home-equity conversion payments.

Dependent Student Income

Earnings of full-time high school students aged 18 or younger should not be included in the
household's income, however, the income of dependent students over the age of 18 and
enrolled for at least 12 credit hours in an institution of higher education should be treated in
the following manner:

         Income received by students from State and/or Federal grants and/or loans is
          excluded as income (e.g., TAP, Pell, NYSHEA).
         Earnings of a student living at home are excluded as income in determining a
          household's eligibility, however, students living at home are included in the household
          count.
         Earnings of a student enrolled at an institution of higher education and living away
          from home during normal periods of class attendance and recess are excluded as
          income in determining a household's eligibility. Such students are, however, included
          in the household count. A student’s status may be further tested by whether the
          student lives at home during normal vacations periods, or is claimed as a deduction on
          the household's income tax. Students 18 and over must submit documentation of
          student status and it must be placed in the client file.

Farm and Business Expenses

Allowable deductions for farms and businesses include only the cost of doing business. If
the enterprise is a partnership, the percentage owned by the applicant should be established
by documentation. The adjusted gross income figure listed on an applicant's income tax
return should not be used in determining income from small businesses/farms since the IRS
allows deductions for depreciation, personal business and entertainment expenses, income
tax, personal transportation, purchase of capital equipment, and payments on the principal
loans. Business records required by law should be used to document gross income and
business costs for the three calendar months prior to the month of application, and pro-rated
for an average gross monthly income.
Weatherization Program Year 2004                                               Updated September 2004
Policies and Procedures Manual
                                             Ch. 1 Pg. 4
Rental Property Costs                                              Table of Contents

The following costs for rental property maybe deducted from the owner's income, if
documented:

      interest paid to purchase income-producing property,
      insurance premiums,
      taxes paid on income-producing property
      heating and/or utility costs paid for income-producing property where rent includes heat
       and/or utilities
      improvements and/or repairs necessary to maintain the property as income producing.

       Note: To determine the allowable deduction for an improvement, use the life
             expectancy of the improvement and pro-rate the cost (e.g., a new roof costs
             $5,000 and has a life expectancy of 15 years). The $5,000 roof would be pro-
             rated at $333 per year or $27.75 per month. To determine the allowable
             deduction for a repair, divide the cost of the necessary repair by 12 months, e.g.,
             a $500 repair to a roof would be $41.67 per month.

If the owner/applicant also resides in the income-producing property, the applicant's
allowable costs should, also, be prorated. For example, an applicant with a three-unit
dwelling who resides in one of the units would receive two-thirds of the allowable costs
deducted from his/her gross rental income. Applicants who do not reside in the income-
producing property would have 100 percent of their documented allowable costs deducted
from their gross rental income.

Depreciation, payments on the principal of income-producing property, and net loses are not
allowable deductions in determining income for eligibility

Lump Sum Payments

Non-recurring lump-sum payments which are to be excluded from income in determining
eligibility include, but are not limited to: income tax refunds, rebates, or credits; retroactive
lump-sum insurance settlements; and, lump-sum income from the sale of property.

Special Energy Assistance Payments

Home energy assistance, either in cash or in-kind, provided by a private non-profit
organization or by an entity whose revenues are primarily derived on a rate of return basis
and regulated by a State or Federal government body, is not to be considered as income.

Payment for Foster Children and Foster Care Adults

Payments provided for care and maintenance of foster children or adults are not considered
income. Foster children and foster-care adults (e.g, individuals 18 years of age or older, who
Weatherization Program Year 2004                                                 Updated September 2004
Policies and Procedures Manual
                                          Ch. 1 Pg. 5
are socially, physically, or mentally handicapped and placed in a community-based care
setting approved by appropriate State agencies or local social services agencies) are not
counted as members of an applicant’s household.

Roomer and/or Boarder Payments

Roomers and Boarders are not counted as household members, and their gross income is
excluded from the household's income. However, payments made by the Roomer/Boarder
to the household are included in the household income.

Holocaust Survivors Payments

Restitution payments from foreign governments to survivors of the Holocaust are excluded as
income.

Income Committed to Health Care/Homemaker Services

The amount which an applicant pays an employee for household work or health care is not
an allowable deduction from gross income except in the following cases:

       Health Care Services:

       Income used to pay for in-patient hospital care, in-patient care in a skilled nursing
       facility, or home health care, which is also counted toward Medicaid eligibility, is
       exempted as income. For income exclusion purposes, home health care means
       payments made for home nursing services rendered by a person (other than a family
       member) who is qualified to provide services such as assistance with personal hygiene,
       dressing, feeding or household tasks, and who has been appropriately trained and is
       supervised by a registered professional nurse.

       Housekeeper/Homemaker Services:

       Reimbursements for housekeepers or homemakers under Title XX of the Social
       Security Act are not considered as income for eligibility purposes. Those services
       include assessing the need for, arranging for, providing and evaluating the provision of
       personal care, home management and incidental household tasks by a professionally
       trained homemaker.

       In-Kind Services:

       When an applicant has an employee residing in the household to assist in household
       work and health care, the employee’s income should not be considered in determining
       the household's eligibility nor is the employee included in the household count. No
       monetary value may be attached to any in-kind contribution which the employee
       provides to the household.                           Table of Contents


Weatherization Program Year 2004                                              Updated September 2004
Policies and Procedures Manual
                                          Ch. 1 Pg. 6
                                   ELIGIBILITY - SPECIAL GROUPS
Roomers/Boarders

The eligibility of Roomers or Boarders is dependent upon whether the building in which they
live is commercial enterprise, or a non-commercial enterprise, however, in no case is the
spouse of an applicant or a dependent child under the age of 18 to be considered a
lodger/boarder.

Individuals residing in a commercial enterprise (SRO, hotel, motel, licensed rooming/
boarding house) as roomers, boarders, or room-and-boarders are to be considered individual
households (renters), and may apply for weatherization through the normal application
process.

Individuals residing in a non-commercial enterprise (private home) are not eligible to apply for
weatherization as individuals apart from the host household. This applies to relatives and
children over the age of 18, as well as to non-related individuals who pay for room only,
board only, or room-and-board in private homes. If the host household applies for
weatherization, the roomer/boarder's weekly or monthly payments to the household must be
included in the household's income, however, the roomer/boarder is not included in the
household count, and the roomer/ boarder's income is not included in the household's
income.

Student Head of Household

For the purpose of receiving weatherization in his/her own right, a "student" shall mean a
person who has completed his/her K-12 education, and who is now enrolled for at least 12
credit hours in an institution of higher education, and is living separate and apart from his/her
family, and is not claimed by his/her family as a dependent. In the case of students age 21
and under, documentation (such as the income tax form of the applicant’s parents) must be
obtained to establish financial independence. No student living in a dormitory is eligible for
weatherization. Gifts, scholarships, grants and loans which are used specifically for tuition
and other educational expenses are excluded from income in determining eligibility for
weatherization. Income from any source which is used for living expenses must be included
in the household's income. Documentation of student status must be collected and kept in
the client file.

Dependent Students

Full-time college students who remain dependents are counted as members of their family's
household, regardless of their temporary absence during school terms. Their income (except
Social Security Income or Veteran's Survivor's Benefits) is exempted from consideration in
determining the family's total income. Full time high school students age 18 or younger and
who are temporarily living away from their principal residence in order to attend school
should be included in their family's household count. Documentation of student status must
be collected and kept in the client file.                      Table of Contents

Weatherization Program Year 2004                                               Updated September 2004
Policies and Procedures Manual
                                            Ch. 1 Pg. 7
Group Homes and Shelters

Prior, written approval by the DHCR Regional Supervisor is required for the weatherization of
any shelter or group home. Weatherization dollars should be leveraged with any other
funding that may be available. Documentation of ownership by a non-governmental, not-for-
profit agency and of the type of population living in the group home or shelter, (e.g.,
homeless, domestic violence victims, developmentally disabled, etc.) must be submitted prior
to receiving approval. A copy of this documentation must be maintained in the job file(s).

A shelter is a dwelling unit or units whose principal purpose is to house on a temporary basis
individuals who may or may not be related to one another and who are not living in nursing
homes, prisons, or similar institutional care facilities.

A group home is a single unit not owned by a government agency in which three or more
people, not related by blood or marriage, reside and share eating facilities. In addition, a
group home must have a clearly definable identity which distinguishes it from more informal,
family-type settings. A group home may be either a temporary or a permanent residence.

A shelter is a dwelling unit or units whose principal purpose is to house on a temporary basis
individuals who may or may not be related to one another and who are not living in nursing
homes, prisons, or similar institutional care facilities.

Prior, written approval by the DHCR Regional Supervisor is required for the weatherization of
any shelter or group home. Weatherization dollars should be leveraged with any other
funding that may be available. Documentation of ownership by a non-governmental, not-for-
profit agency and of the type of population living in the group home or shelter, (e.g.,
homeless, domestic violence victims, developmentally disabled, etc.) must be submitted prior
to receiving approval. A copy of this documentation must be maintained in the job file(s).

If a building is a group home or shelter, a subgrantee may classify the building as more than
one dwelling unit. A dwelling unit within a group home or shelter can be classified either by
counting each single floor of the building, or by counting each 800 square feet of living space.
For example, a group home that houses 12 adults in a three story structure of 4,000 square
feet could be counted as either three units since it has three floors, or five units by square
footage (4,000 sq. ft. divided by 800 sq. ft. per unit = 5 units).

Since shelters and temporary group homes are eligible dwelling units under Federal
regulations, it is not necessary to collect income documentation for individual residents, a
substantial statement from the shelter or group home operator is sufficient.

Documentation of income or categorical eligibility is required for permanent group homes,
such as those for developmentally disabled individuals. This can be accomplished by
obtaining a written statement from the operator of the home which lists the residents and the
nature and amount of their income, if any.

Temporary Resident Aliens

Weatherization Program Year 2004                                              Updated September 2004
Policies and Procedures Manual
                                        Ch. 1 Pg. 8
The weatherization application includes a statement signed by the applicant that no member
of the household is barred from receiving weatherization services because of Temporary
Resident Alien status. Unless an applicant states that he or she is covered by this regulation,
no further action is required by the subgrantee. If an applicant indicates that he or she is a
temporary resident alien, the DHCR Regional Supervisor should be contacted for further
guidance.

Table of Contents




Weatherization Program Year 2004                                            Updated September 2004
Policies and Procedures Manual
                                        Ch. 1 Pg. 9
Unemployed, Strikers, Seasonal Workers

For applicants whose regular, recurring income would render them ineligible for
weatherization, but who are laid off or unemployed for three months or less during the year,
eligibility for weatherization services would be based upon this average monthly income
amount. The applicant's total annual income should be divided by 12 to yield an average
monthly income figure. Examples of this type of worker are those workers who have a
reasonable expectation of returning to work within a three-month period and include but are
not limited to, seasonal construction employees, teachers and other contract employees, and
strikers. This provision does not apply to individuals who have been fired from their jobs, or
whose jobs have been abolished, or who are in a permanent lay-off status.

Self-Employed

In determining income eligibility for self-employed applicants, "earned income" means the net
profit from a business enterprise, a business operated from out of the home, or farming. Net
profit is the gross income received, less the business expenses (e.g., total cost of the
production of the income). To compute income eligibility, this net profit should be averaged
for the three calendar months prior to the month of application. Subgrantees may use the
LDSS Self Employment Worksheet to document income.

Such income includes earnings over a period of time for which settlement is made at one
given time, as in sales of farm crops, livestock or poultry, or lump sum payments for services
rendered over a period of more than one month. Such income should be pro-rated over the
period covered by the income, (e.g., sale of an annual farm crop should be divided by 12 to
yield an average monthly figure, and this amount added in to each of the three months used
to determine average monthly income).

Those expenses directly related to producing the goods or services and without which the
goods or services could not be produced, must be deducted from the total income. However,
depreciation, personal business, entertainment expenses, income tax, personal
transportation, purchase of capital equipment and payments on the principal of loans must
not be deducted.


Table of Contents




Weatherization Program Year 2004                                            Updated September 2004
Policies and Procedures Manual
                                       Ch. 1 Pg. 10
                                     NOTICE OF ELIGIBILITY


Applicants must receive written notification of their eligibility status within thirty days of
completed application submission to the weatherization subgrantee. A copy of the
applicant’s Notice of Eligibility must be placed in the subgrantee’s files. In multifamily
buildings where a notification is posted, one copy should be in the building file.

                                   SAMPLE NOTICE OF ELIGIBILITY

This notice must be sent on subgrantee official letterhead



Date



Name and Address of Applicant

Dear _________:

Your application for weatherization services has been reviewed, and we are pleased to
inform you that you are eligible for the Weatherization Assistance Program. Your application
will remain valid and in our active files for 12 months from the date of this letter. Please
notify us of any changes in the information supplied in your application as it could alter your
eligibility status.

Our staff will be in contact with you to arrange a date and time to conduct an energy
inspection of your home. Due to the volume of requests for weatherization services, we
anticipate your home will be scheduled for inspection on approximately __________.

Please contact us at _____________ if you have any questions. Thank you.

Sincerely,



Director
Subgrantee Firm Name



Table of Contents

Weatherization Program Year 2004                                                  Updated September 2004
Policies and Procedures Manual
                                          Ch. 1 Pg. 11
Weatherization Program Year 2004                  Updated September 2004
Policies and Procedures Manual
                                   Ch. 1 Pg. 12
                                    NOTICE OF INELIGIBILITY


Applicants must receive written notification of their eligibility status within thirty days of
completed application submission to the weatherization subgrantee. A notice of Ineligibility
must include the reason(s) for denial of weatherization services. A copy of the applicant’s
Notice of Ineligibility must be placed in the subgrantee’s files. In multifamily buildings where
a notification is posted, one copy should be in the building

                                   SAMPLE NOTICE OF INELIGIBILITY

This notice must be sent on subgrantee official letterhead.


Date


Name and Address of Applicant

Dear ______________:

Your application for weatherization services has been reviewed, and we regret to inform you
that your application has been denied for the following reason(s):

EXAMPLES
   income exceeds guidelines
   income not documented
   need additional information
   need signatures

If this can be corrected or changed in the near future, please contact us and we will reassess
your application.

If you wish to appeal this denial of your application for weatherization services, please notify
us, in writing, at the above address stating the reason(s) for your appeal. Upon receipt of this
notification, your letter and application will be reviewed, and you will be notified of the final
decision on your eligibility status.

Thank you for your interest in the Weatherization Assistance Program.

Sincerely,


Director
Subgrantee Firm Name                                                  Table of Contents
Weatherization Program Year 2004                                               Updated September 2004
Policies and Procedures Manual
                                           Ch. 1 Pg. 13
                                   APPEALS OF INELIGIBILITY


The appeals process for ineligibility determination is as follows:

      1. Applicant will notify the subgrantee, in writing, of intent and reason for appeal.
      2. Subgrantee will submit applicant’s file and appeal letter to the DHCR Regional
         Supervisor.
      3. The DHCR Regional Supervisor will review the file and give a copy of the file with a
         recommendation to the Director.
      4. The Director will make a final decision on the eligibility status and notify the client and      Formatted: Centered, Indent: Left: 0.31",
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Policies and Procedures Manual
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Weatherization Program Year 2004                  Updated September 2004
Policies and Procedures Manual
                                   Ch. 1 Pg. 15
Weatherization Program Year 2004                 Updated September 2004
Policies and Procedures Manual
                                   Ch. 1 Pg. 1
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This chapter provides comprehensive information on the policies and procedures for handling
all aspects of client / owner involvement, including investment in rental properties.

Table of Contents




Weatherization Program Year 2004                                         Updated September 2004
Policies and Procedures Manual
                                      Ch. 1 Pg. 2
                                   WEATHERIZATION APPLICATION

The Weatherization Application (Form DHCRESB#4) is the primary document in every WAP
file and must be completed for every household or family requesting weatherization services.
Applications should be noted eligible, ineligible, or vacant and there must be an application
for every unit.

Completed Application Package must include:
   Weatherization Application (Form DHCRESB#4)
   Income or Categorical Documentation
   Energy Information (Form DHCRESB#5A and if applicable Form DHCRESB#5B)
   Copy of recipient’s utility bills
   Copy of latest property tax bill
   Proof of Ownership including section, block, and lot information
   Owner Agreement 1-4 Units (Form DHCRESB#8, if applicable)
   Owner Agreement Multifamily (Form DHCRESB#10, if applicable)
   Notice of Eligibility

Energy Information #5 A and B

Energy Information #5 Part A must be completed by the owner of each building to be
weatherized. Part A collects information regarding the servicing of the building/unit’s heating
plant (whether there is an alternate or adjunct heating system and the type of fuel used). It
also identifies the utility that supplies electric services.

If the building has more than one occupied unit, Energy Information #5 Part B must be
completed by the head of household or designee for each occupied unit to be weatherized.

Each of these forms must be signed by the person named on the fuel/electric service bill for
that building/dwelling unit. This allows the fuel/electric service provider to release information
on the recipient’s bills, past and future, to the subgrantee. This information is necessary for
the subgrantee and DHCR to assess the amount of reduction in fuel/electric service
expenditures resulting from weatherization. This information is also required for any post
fuel/electric service consumption analysis required by DHCR and any coordinated projects
that may be developed.

Privacy Protection Law Provisions

Every applicant for weatherization service must be provided with a copy of the Personal
Privacy Protection Law Provisions (Form DHCRESB#3). State Law requires that individuals
providing confidential information affecting their eligibility be advised of their rights under the
Personal Privacy Protection Law Provisions.

Applicants should be asked if they understand the Personal Privacy Protection Law
Provisions before they sign the application.                         Table of Contents
Weatherization Program Year 2004                                                 Updated September 2004
Policies and Procedures Manual
                                           Ch. 1 Pg. 3
                                   CLIENT QUESTIONNAIRE


The Client Questionnaire (Form DHCRESB#11) provides information on client energy
behavior, building performance, and possible health and safety problems. This document is
to be completed by the Energy Auditor. Under no circumstance should this form be given to
the client for completion. The Client Questionnaire is required to be completed for all units
that use the TIPS analysis. Some subgrantees may choose to utilize a different version of
the Client Questionnaire, however, all questions on the Client Questionnaire must be
included in the substituted version and that version must be submitted to the DHCR Regional
Supervisor for approval.

When the regular priority cooling measure is being installed in a multi-family building, a client
questionnaire must be used to document the health and safety condition that allows this
installation.

Table of Contents




Weatherization Program Year 2004                                               Updated September 2004
Policies and Procedures Manual
                                         Ch. 1 Pg. 4
                                   OWNER AGREEMENTS - GENERAL


Whenever a building is to be weatherized and the applicant for weatherization services is not
the owner, an agreement between the subgrantee and the building owner must be signed
before work can begin. Whenever the owner of record on the deed (or chattel mortgage) is
not the client being weatherized, the client should be considered a renter and the owner of
record must enter into an owner agreement. Subsequently, the owner of record is subject to
all policies and procedures that apply to rental units.

For income-eligible single-family, owner-occupied buildings, the homeowner certification on
the Weatherization Application (Form DHCRESB#4), should be used.

For buildings with two or more dwelling units, there are two owner agreement forms which
may be used depending on the number of dwelling units contained in the building. These
owner agreement forms provide certain protections for the tenants, the subgrantee, and the
owner. They detail the subgrantee and owner work scope, eligible units with rents, and
vacant units. The agreement forms must contain an owner's work scope that delineates the
work to be completed on the owner's building for his/her investment. The Executive Director
or his/her designee (designated in writing) must sign this agreement on behalf of the WAP
subgrantee Agency.

Owner Agreement 1-4 Units (Form DHCRESB#8)

The Owner Agreement 1-4 Units is to be used for buildings containing from one to four
dwelling units. It is not to be signed until the building analysis and eligibility documentation
have been completed and the owner’s investment and work scope have been negotiated.

Owner Agreement Multifamily (Form DHCRESB#10)

The owner agreement Multifamily is to be used for buildings containing five or more dwelling
units. This form is not to be signed until the building analysis and eligibility documentation
have been completed and the Owner Investment (Form DHCRESB#7) and the Estimated
Weatherization Workscope (Owner Agreement Multifamily Form DHCRESB#10, Exhibit B)
have been negotiated.

The Owner Agreement Multifamily may be used for a building containing one to four dwelling
units, but the Owner Agreement One to Four Units (Form ESB#8) cannot be used for
buildings containing five or more dwelling units.

Weatherizing Vacant Dwelling Units

Vacant dwelling units in a building containing rental units may be weatherized when the
building owner certifies that the unit will be occupied by an income-eligible household within
180 days of the certification of the completion of the work.                  Table of Contents
Weatherization Program Year 2004                                                Updated September 2004
Policies and Procedures Manual
                                           Ch. 1 Pg. 5
Rental Units

Owner Agreements place restrictions on the owner of the building in which a weatherized
rental unit is located because of the increased value of the weatherized units. These
restrictions include:

         not raising the tenant's rent due to the weatherization for a negotiable period of not
          less than two years where the cost of heat is paid by the client and not less than five
          years where the cost of heat is included in the rent; and,
         not evicting or involuntarily removing a tenant in a weatherized unit for the same
          period, if the tenant complies with all on-going obligations and responsibilities to the
          owner.

If the owner violates the Owner Agreement, then he/she may be billed for the pro-rated cost
of the weatherization work. The Owner Agreement also contains provisions governing owner
investment in the weatherization services to be provided where required.

In all rental buildings, provision of a heating system in good working order is the responsibility
of the building owner.

Proof of Ownership

Verification of ownership must be obtained for all buildings, regardless of whether they are
owner-occupied or rental properties. The following documents are acceptable proofs of
ownership:

         Copy of deed.
         Copy of mortgage or mortgage payment book.
         Real estate tax bill/receipt for address being weatherized.
         Chattel mortgage (trailer mortgage).
         School tax bill/receipt for address being weatherized.
         Statement (preferably written) from local tax assessor's office, county or tribal clerk, or
          deeds commissioner.
         Mobile home bill of sale (If the bill of sale is not available, a notarized statement from
          the client may be acceptable.
         Documentation of Land Grants, Life Tenancy, or Life Lease.

The address on the proof of ownership must be the same as the address at which the unit to
be weatherized is located.

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Weatherization Program Year 2004                                                  Updated September 2004
Policies and Procedures Manual
                                            Ch. 1 Pg. 6
         LAND CONTRACTS, LIFE TENANCY, LIFE LEASE AGREEMENTS


Occasionally, the applicant for weatherization services will present a Land Contract, Life
Tenancy, or Life Lease Agreement as proof that they own the property that is being
considered for weatherization. A copy of the Agreement(s) must be presented to confirm
proof of ownership and meet the following conditions.

Income eligible applicants presenting documents meeting all the terms and conditions listed
below may be considered “property owners” with all the rights, privileges and responsibilities
thereof, and will not be required to provide a contribution for weatherization services.

The Agreement must contain the following provisions:

      The entire agreement must be in writing.
      It must identify the parties to the agreement (e.g., seller/purchaser; grantor/grantee).
      It must describe the property sufficiently to be able to identify it.
      It must state consideration (e.g. purchase price, “one dollar”).
      It must contain all of the terms of the parties’ agreement, including who is responsible
       for maintaining and repairing the property.
      It must be signed by the parties, their signatures notarized and filed with the county
       clerk’s office in the county where the property is located.
      It must provide that the purchaser or life tenant is responsible for payment of all taxes
       on the property.

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Weatherization Program Year 2004                                               Updated September 2004
Policies and Procedures Manual
                                          Ch. 1 Pg. 7
                                   OWNER AGREEMENT
                                       1-4 UNITS


The Owner Agreement 1-4 Units (Form DHCRESB#8) is used by the subgrantee to identify
the work scope to be completed on a 1-4 dwelling unit building that has rental units
(alternatively DHCRESB#10 may be used). The Owner Agreement also defines the
conditions under which both the subgrantee and the owner are bound.

The Owner Agreement must be signed by the building owner if the applicant is a renter.
When the applicant is the owner of a single-family building, the homeowner certification on
the Weatherization Application (Form DHCRESB#4) must be signed.

Exhibits

All relevant exhibits to the Owner Agreement become a part of the contract agreement upon
execution (signature of the subgrantee and owner).

        Exhibit A - Eligible Dwelling Units and Rents
        Exhibit B - Estimated Weatherization Work scope
        Exhibit C - Weatherization Workscope


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Weatherization Program Year 2004                                            Updated September 2004
Policies and Procedures Manual
                                        Ch. 1 Pg. 8
                                   OWNER AGREEMENT
                                     MULTIFAMILY


The Owner Agreement Multifamily (Form DHCRESB#10) must be used whenever the
weatherization project includes five or more dwelling units. It is an agreement between the
owner of the building to be weatherized and the subgrantee, with the eligible tenants named
as third-party beneficiaries. The terms and conditions of the Owner Agreement should be
thoroughly reviewed by the building owner prior to signing.

The Owner Agreement provides flexibility to the subgrantee in negotiating final terms and
conditions with the owner, however, certain provisions are non-negotiable and are mandatory
program requirements. All terms and conditions not specifically named as being negotiable
are to be considered non-negotiable.

Time Period

The Owner Agreement is to be written for a minimum of two years when the cost of heat is
paid by the client and not less than five years where the cost of heat is included in the rent.
The duration of the Owner Agreement should also increase in direct proportion to the amount
of weatherization funds applied to the building (see Owner Investment Procedures).

Exhibits

All relevant exhibits to the Owner Agreement become a part of the contract agreement upon
execution (signature of the subgrantee and owner).

        Exhibit A - Eligible Dwelling Units and Rents
        Exhibit B - Estimated Weatherization Work scope
        Exhibit C - Weatherization Work scope

Tenant’s Synopsis

All tenants in a rental building that is being weatherized should be given a copy of the Tenant
Synopsis of the Owner Agreement (Form DHCRESB#9). This is a plain-language
explanation of the Owner Agreement, and notifies the tenants of their rights under the Owner
Agreement. The Tenant Synopsis should be completely filled-in before the tenant is given a
copy of this document.
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Weatherization Program Year 2004                                             Updated September 2004
Policies and Procedures Manual
                                        Ch. 1 Pg. 9
                                   CLIENT INVESTMENT AFFIDAVIT


Under no circumstances should an income-eligible homeowner be solicited for a contribution
to complete any weatherization measures. However, when an income-eligible homeowner
volunteers additional funds, the following criteria must be met:

         The additional funds voluntarily provided by the client must be for work that the
          subgrantee could reasonably be expected to accomplish.
         The client must have the funds readily available without incurring additional debt.
         All possible leveraging resources have been exhausted. Documentation regarding
          attempts to leverage funds for this additional work must be placed in the client’s file.
         The client must sign the Client Investment Affidavit (Form DHCRESB#35) stating that
          he/she has not been solicited for these funds and that he/she is volunteering funds of
          his/her own free will. This signed Client Investment Affidavit is placed in the client’s
          file.

If all of the above conditions are met, the funds volunteered by the homeowner may be
incorporated into the overall weatherization measures for his dwelling unit.
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Weatherization Program Year 2004                                                Updated September 2004
Policies and Procedures Manual
                                           Ch. 1 Pg. 10
                                   OWNER INVESTMENT PROCEDURES


Owner investment is the participation in the weatherization project by the owner of a building
containing rental units through the provision of funds or work completed by the owner
through either in-kind services or indirect investment completed by the owner prior to
weatherization. A building analysis must be completed prior to negotiation with the owner.

Subgrantees are obligated to seek to maximize the leveraging of owner’s investment funds to
complete a comprehensive weatherization scope of work that leaves minimum lost
opportunities for installation of those measures that meet the USDOE’s weatherization cost
effectiveness tests.

For all buildings where the owner is not income-eligible and/or not an occupant, owner
investment requirements fall into two categories for one-to-four dwelling unit buildings and
multifamily buildings.

One-to-Four Dwelling Unit Buildings

           In buildings containing from one to four dwelling units, the subgrantee is required to
           document the eligibility of at least 50 percent of the dwelling units and must obtain an
           investment from the non income-eligible building owner of no less than 25 percent of
           the estimated weatherization work scope (including materials, crew, and
           subcontracted labor) that will be expended on the building.

Multifamily Buildings

           Five to forty-nine units:

           In buildings containing between five and forty-nine units, the subgrantee is required to
           document the eligibility of at least 50 percent of the dwelling units and must obtain an
           investment from the non income-eligible owner of no less than 25 percent of the
           estimated weatherization work scope (including materials, crew, and subcontracted
           labor) that will be expended on the building.

           Fifty or more units:

           In buildings containing fifty or more units, the subgrantee is required to document the
           eligibility of at least 50 percent of the dwelling units and must obtain an investment
           from the non income-eligible owner of no less than 35 percent of the estimated
           weatherization work scope (including materials, crew, and subcontracted labor) that
           will be expended on the building.
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Weatherization Program Year 2004                                                 Updated September 2004
Policies and Procedures Manual
                                            Ch. 1 Pg. 11
Owner Investment Requirements

The owner investment must be documented on the Owner Investment Form DHCRESB#7.
At least 75 percent of this owner investment must be for direct investment in the current,
designated weatherization work scope. The remaining 25 percent may be attributed to work
completed prior to the commencement of work by the subgrantee. Lead abatement and
related work to assure that weatherization work can be conducted in a lead safe manner may
be considered when negotiating the owner’s contribution.

An owner's refusal to invest in the weatherization project may not be used as a reason for
denying weatherization service to an individual income-eligible client, however, owner non-
investment may be used as a reason to assign a low priority to that client’s dwelling unit over
dwelling units in other buildings where the owner has made an investment commitment.
While an individual unit in a building in which the owner is not willing to invest may be
weatherized, common areas and equipment as well as other units in such building can not be
weatherized.

If a client applies for weatherization services and the owner does not agree to the work in
his/her building, weatherization services cannot be provided. If a non-income eligible owner
has approached the subgrantee but no application has been received from an income-
eligible client, weatherization services can not be provided.

The subgrantee, after a review of the building analysis, the cost-per-unit, and overall contract
obligations, must negotiate with the owner to secure a commitment for the maximum possible
investment.

When an owner contends that he/she is unable to invest at the minimum level including the
possibility of loans and asserts a claim of financial hardship, the subgrantee must verify any
such claims through a financial analysis. The financial analysis will take into account the
reduced operating costs and the increased value of the building after weatherization and can
be used to determine the maximum amount of investment the owner can afford.

If this analysis shows an inability of the building owner to invest, the building may be
assigned a normal priority in the subgrantee’s work schedule subject to prior approval by the
DHCR Field Representative based on documentation provided by the subgrantee. If the
analysis shows an ability to invest and an investment is not obtained, the subgrantee must
provide documentation to the DHCR Field Representative describing the steps undertaken to
attempt to secure investment, and the reason why it was not obtained. The subgrantee may
then give the application a low priority behind work for which an owner is providing an
investment.

Types of Owner Investment                                           Table of Contents

The following are the two types of building owner investment for weatherization services to
be provided and the acceptable procedures for the administration of this owner investment:
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Policies and Procedures Manual
                                        Ch. 1 Pg. 12
Cash Investment by Owner:

When the owner's work is to be completed by the subgrantee, either by crew or
subcontractor, the owner must provide funds for this work prior to the start of weatherization
services. Owner investment may be charged in accordance with the actual weatherization
work scope.

      Costs incurred in the performance of the owner’s portion of the work are not to be
       charged to contract funds in the first instance. If costs are charged to contract funds,
       adjustments must be made to the appropriate cost center(s) prior to submission of the
       payment request for that period.
      The owner investment must be directly related to the value of the work (materials
       and/or labor installed in owner's building). All funds placed in the custody of the
       subgrantee by the owner to pay for weatherization services to his/her building shall be
       placed in a bank account established by the subgrantee solely for this purpose (Owner
       Investment Account). No funds other than owner investment monies are to be placed
       in this account.
      The principal deposited in the Owner Investment Account may not be removed unless
       the subgrantee has received written authorization from the involved owner which sets
       forth the name and address of the payee, the exact amount, and the purpose of the
       disbursement.\
      A construction management fee equal to not more than ten percent of the owner
       investment may be charged by the subgrantee. The construction management fee
       represents compensation for costs associated with the conduct of the work including
       administration, liability, or any other eligible weatherization costs.
      Interest earned on the principal shall remain in the Owner Investment Account until the
       close of the current program year. This total interest amount must be retained by the
       subgrantee and used no later than the end of the subsequent program year, to
       increase the scope of weatherization services or, it must be deducted from the total
       allowable expenses under the current contract.
      Owner's funds must be released promptly in accordance with a schedule developed in
       the subgrantee's negotiations with the owner.
      This procedure also applies to building analysis fees collected in advance from owners
       of multifamily buildings, except that no construction management fee may be charged
       until and unless the funds become owner investment.
      At the request of DHCR, a subgrantee may be required to establish a bank-issued,
       escrow account for all owner investment funds.

Work Completed By Owner:                                            Table of Contents

In-Kind Investment

When the owner agrees to provide work to be done by his/her own crews as part or all of the
investment, the work must be documented by the subgrantee using wages and hours or
Weatherization Program Year 2004                                             Updated September 2004
Policies and Procedures Manual
                                        Ch. 1 Pg. 13
other acceptable means. The Estimated Weatherization Work scope (Owner Agreement
Multifamily Form DHCRESB#8 or 10, Exhibit B) and the Weatherization Work scope (Owner
Agreement Multifamily Form DHCRESB#8 or 10, Exhibit C) must be completed by the owner
or his/her agents.

The subgrantee must document the value of the owner's work and assure that the
workmanship and materials met WAP standards, but should not become directly involved in
carrying out the owner's work.

Indirect Investment

When the owner's work was completed prior to the submission of the application for
weatherization services, the subgrantee must document the value of this work. Receipts
should be attached to the Actual Weatherization Work scope. Work quality and materials
must meet WAP standards. Indirect investment occurring more than nine months prior to
application must be approved by the DHCR Regional Supervisor on a case-by-case basis.

Where the owner's work represents weatherization measures having a lower priority of cost
effectiveness than those performed by the subgrantee, all the owner's work must be
completed prior to DHCR certification except where a performance bond exists for such
work. Where a performance bond exists, all work must be completed within the contract
period unless approved by the DHCR Regional Supervisor. The owner's work is to be
subject to the same material and work quality standards required for the subgrantee's work.

The following types of work are acceptable as owner, in-kind and/or indirect investment to
meet the required owner’s investment:

      Eligible energy improvements identified in the building analysis
      incidental repairs necessary for the effective performance or preservation of
       weatherization materials
      Any weatherization-related work which should be done as part of the program, (e.g.,
       trash removal, preparation and painting of boiler rooms, electrical work needed to
       complete weatherization work, smoke alarms, CO detectors, lighting, etc.) as
       approved by the DHCR Field Representative.

Additional measures such as improvements that add to the health, safety, security and/or
well being of the eligible client and which are not normally considered part of the
weatherization process may be considered, on a case-by-case basis, but must be approved
by the DHCR Field Representative.

Table of Contents




Weatherization Program Year 2004                                           Updated September 2004
Policies and Procedures Manual
                                       Ch. 1 Pg. 14
                                   PERMISSION TO ENTER BUILDING


Federal regulations require that written permission be received from the owner or the owner’s
agent to provide weatherization services in a building containing rental dwelling units. Both
the subgrantee and owner must sign the Permission to Enter Building (Form DHCRESB#6)
which not only provides protection for the subgrantee, it also explains pertinent Federal and
State requirements to the owner. This form is to be signed at the initial owner contact, and
during this initial meeting the subgrantee should provide the owner with a copy of the
Weatherization Program Information (Form DHCRESB#29) and, if appropriate, the
appropriate Owner Agreement (Form DHCRESB#10 or # 8). In no case should the
subgrantee enter the building to conduct the building analysis or to collect documentation
before the permission to enter building form is signed.

Table of Contents




Weatherization Program Year 2004                                           Updated September 2004
Policies and Procedures Manual
                                            Ch. 1 Pg. 15
                                        AUDIT FEES


Each subgrantee should charge a non-income-eligible owner of a rental building an audit fee
of $100 for single dwelling unit buildings, $200 for two to four dwelling unit buildings, and
$1000 for any building with five or more units. The fee should be used to cover the expenses
the subgrantee has incurred in connection with this building.

The procedure for the treatment of this fee is the same regardless of the number of dwelling
units in a building. Any fees collected should be recorded on the Owner Investment Form
(Form DHCRESB#7).

Any fund balance as a result of retained audit fees remaining at the end of a contract period
in that account would represent the funds in excess of cost and, therefore, must be
considered program income for the next contract period and is subject to the procedures for
program income.

When a subgrantee has collected an audit fee from a building owner and the audit is
conducted but the building is subsequently not weatherized, the fee may be retained by the
subgrantee and the owner must be provided with a copy of the audit. If the building is
weatherized, this audit fee becomes part of the owner’s investment that is applied to the
building.

If 18 months have passed without the building being weatherized, the subgrantee must
obtain a letter from the owner stating whether or not the owner is still interested in receiving
weatherization services. If the owner is no longer interested in weatherization services, the
owner must be provided with a copy of the audit and the subgrantee should retain the audit
fees.

Written notice must be provided to the DHCR Regional Supervisor within 30 days from any
determination not to weatherize the building, giving the reason why the building was not
weatherized.

Table of Contents




Weatherization Program Year 2004                                               Updated September 2004
Policies and Procedures Manual
                                         Ch. 1 Pg. 16
                                   CONSTRUCTION MANAGEMENT FEES


A construction management fee of ten percent to compensate and reimburse the subgrantee
for administrative expenses associated with additional work required to monitor owner
investments may be charged on all owner investments except indirect investments. This
includes investments where the owner contracts for measures independent of the subgrantee
and such work is of higher priority than the subgrantee’s work. All work must meet Program
standards for the building to be certified, therefore, the subgrantee should monitor and
inspect such work.

The ten percent management fee is above and beyond other funds received for weatherizing
the building and must be specified in the Owner’s Agreement at the time the agreement is
signed. All owner investments, except for the management fee, must be used for work on
the owner’s building and must not be in excess of the amount of the work to be performed.
In cases where the cost of the owner’s work is actually less than expected and it is necessary
to refund the difference to the owner, the subgrantee must also refund a prorated portion of
the construction management fee.

Under no circumstances, may a subgrantee retain any unexpended monies related to the
owner investment other than the 10 percent construction management fee. Monies received
as construction management fees may be used for any eligible weatherization administration
costs or additional program support costs, if applicable. Those funds are subject to Program
reporting and audit procedures and must be charged to the management fee ledger account
during the course of a contract. Contract Management fees cannot be expended until they
are received and must be expended within one year of earning them. Any balance remaining
at the end of a contract year for work completed in the prior contract year will be recognized
as program income for the subsequent contract year. Any balance remaining twelve months
after receipt of these funds will be identified as program income and must be used in the
subsequent annual budget period.

USDOE maintains a reversionary right to all tools and equipment purchased from
construction management fees.
                                            Table of Contents                                        Formatted: Centered




Weatherization Program Year 2004                                            Updated September 2004
Policies and Procedures Manual
                                            Ch. 1 Pg. 17
Weatherization Program Year 2004                  Updated September 2004
Policies and Procedures Manual
                                   Ch. 1 Pg. 18
                                       CHAPTER 5


The purpose of this Chapter is to detail the requirements and procedures for analyzing
buildings to be weatherized.

Table of Contents




Weatherization Program Year 2004                                           Updated September 2004
Policies and Procedures Manual
                                      Ch. 1 Pg. 19
                            BUILDING ANALYSIS OF UNIT/STRUCTURE


It is the responsibility of the subgrantee’s energy auditor to assess the existing conditions of
the dwelling unit/structure and record the information through use of a comprehensive audit
package. An audit package must be completed before the commencement of any work.
Areas to be examined and tested include:

          Air Infiltration/Exfiltration
          Baseload Usage
          Conductive Heat Loss (square footage and U-values of windows, doors, ceilings,
             sidewalls, floors)
          Heating Distribution System
          Heating Appliance(s) efficiency
          Moisture Problems
          Client Questionnaire (Form DHCRESB#11), if applicable
          Condition and Effectiveness of Previous Weatherization Measures, if any
          Health and Safety Issues
          Indoor Air Quality Tests
          Structure/Overall Condition, including the proper identification of the heated envelope
          Client Use Problems
          Ventilation/Venting Systems

The Energy Auditor must also complete a DHCR approved audit using this information with
the applicable audit package. Agencies that would like to use the newly approved TREAT
Software must contact their DHCR Regional Supervisor for approval before doing so.

Program Measures

DHCR will continue to allow additional flexibility for a more comprehensive approach to
serving low-income clients. Certain repairs may be accomplished in the course of providing
weatherization assistance. However, subgrantees are reminded that the overall goals of the
WAP are to reduce heating costs by improving energy efficiency and ensuring health and
safety. All repairs provided under the program must be consistent with these goals.

Energy related repair, where applicable, as follows:

         Ventilation - Ventilation may be installed in situations where it is necessary to mitigate
          health and safety or moisture problems encountered in a dwelling unit being
          weatherized. Includes proper ventilation of combustion appliances.

     Heating distribution/fuel system repair or replacement in excess of an estimated cost of
        $500 per unit must increase efficiency or useful life of the system or provide for the
        proper distribution of heat to occupied areas.                  Table of Contents

Weatherization Program Year 2004                                                  Updated September 2004
Policies and Procedures Manual
                                           Ch. 1 Pg. 20
         Chimney repairs or liners - Chimneys may be relined or repaired when the existing
          chimney condition creates an unsafe or inefficient condition during the operation of the
          primary heating appliance. In situations where an existing chimney is inadequate for
          the proper venting of combustion appliances other than the primary heating appliance,
          alternative cost effective methods of venting those appliances should be explored and
          the most cost effective measure should be utilized.

         Hardwired lighting fixture replacement - Lighting fixtures may be replaced when that
          replacement is done to accommodate more energy-efficient lighting or existing fixtures
          are unsafe.

         Installation of GFCIs - GFCIs may be installed in areas where an existing GFCI is not
          functioning properly or where one is required as part of a weatherization measure
          being installed.

         Roof repair or replacement - A roof may be replaced or repaired only when this work is
          necessary to protect insulation that has previously been installed or is proposed as
          part of the work scope for the unit. When extensive roof repair or a replacement is
          required, other funding must be solicited to offset the cost. When other funds are not
          available to complete extensive roof work, a prior approval by the DHCR Field
          Representative is required.

         Electrical Circuit Upgrades - Electrical circuits may be upgraded only when it is
          necessary in conjunction with the installation of other weatherization or repair
          measures. For example; the installation of a new heating appliance or ventilation
          appliance requires a circuit that is not currently present or adequate.

Table of Contents




Weatherization Program Year 2004                                                Updated September 2004
Policies and Procedures Manual
                                           Ch. 1 Pg. 2
                                       MOBILE HOMES


This priority list of mobile home energy-conservation measures (ECMs) will be used to
develop weatherization work scope for mobile homes, and will be used in place of a TIPS-
generated work scope. A mobile home means a single-wide structure that is transportable
as a single unit, is built on a permanent chassis, and is designed to be used as a dwelling
without a permanent foundation. The mobile home may or may not be placed on a
permanent foundation. The priority list is not to be used to develop a work scope for post-
1976 modular or manufactured houses that are transported in multiple sections and designed
to be set on permanent foundations.

Where a mobile home has a site-built addition and the heated floor area of the addition is
less than the floor area of the original mobile home, the work scope may call for adding
insulation to the floor, walls, and ceiling of the addition at the discretion of the subgrantee’s
energy auditor. However, if the heated floor area of site-built addition is larger than the floor
area of the original mobile home, a TIPS work scope should be developed for the entire
dwelling.

This priority list of mobile home energy-conservation measures (ECMs) will be used to
develop weatherization work scope for mobile homes, and will be used in place of a TIPS-
generated work scope.

The ECMs are listed in order of the priority in which they are to be implemented. To use the
list, the auditor will perform a walk-through inspection of the mobile home along with the
following information and testing:

        Air Infiltration/Exfiltration
        Heating Appliance(s) efficiency
        Moisture Problems
        Client Questionnaire (Form DHCRESB#11), if applicable
        Health and Safety Issues
        Indoor air quality tests and installation of smoke and CO detectors where applicable.
        Structure
        Client Use Problems
        Ventilation/Venting Systems

Upon completion of the inspection and tests, the auditor will develop a work scope by calling
for the ECMs, as needed, beginning with Number 1 on the priority list and working down the
list. If it is determined as a result of the audit that measures should be completed in an order
other than those listed in the PPM for health and safety or other reasons, it must be
documented in the client file.



Weatherization Program Year 2004                                               Updated September 2004
Policies and Procedures Manual
                                          Ch. 1 Pg. 3
Weatherization should not be applied to mobile homes where extensive repairs are
necessary. After the work is completed and before the unit is presented for certification, a
post inspection must be performed.                             Table of Contents

Mobile home work scope should consider the subgrantee worker’s health and safety,
especially when the work scope requires the worker to be under the mobile home. Any
dangerous or unhealthy conditions under the mobile home (miscellaneous trash, broken
glass, animal feces, sewage, etc.) should be addressed before work in that area begins. If
working conditions in a specific area cannot be made acceptable, no work in that area should
be done.


                                   MOBILE HOME PRIORITY LIST

1.    Service the furnace or boiler as necessary for optimum efficiency. Agency must drill and
      test unless the manufacturer’s instructions say not to do so. Agency must provide
      manufacturer’s instructions that state drilling is not recommended; otherwise testing is
      required.

      If the agency decides not to drill and test, they are to enter “Appliance cannot be tested”
      in the TIPS furnace code, document the reason that it was not tested in the client file
      folder, and require the agency to call for a clean and tune. If it is an oil-fired atmospheric
      gas fired (not fan assisted), the contractor will have to test the appliance or provide the
      manufacturer’s instructions that state that drilling is not recommended.

         Where SSE is 75% or higher, smoke number is less than 2, and CO in undiluted flue
          gas is less than 100 ppm, a clean and tune is not required.
         Where SSE is less than 75%, or smoke number is 2 or higher, or CO in undiluted flue
          gas is greater than 100 ppm, perform a clean and tune to attain optimum SSE.
         Where the SSE cannot be raised to 70%, or smoke number cannot be reduced to less
          than 2, or the CO in undiluted flue gas cannot be reduced to less than 100 ppm,
          consideration should be given to replacement of the furnace or boiler.

2.    Repair components of the furnace or boiler as necessary to attain optimum efficiency
      and ensure reliable furnace operation. Apply the following as needed:

      Where the repair costs will exceed 2/3 of the replacement costs of a new furnace or
       boiler, consideration should be given to replacement of the furnace or boiler.

3.    Seal and repair forced air ducts as necessary.

4.    Eliminate floor joist return air system if one is present.

5.    Repair mobile home roof as necessary to stop water leaks and preserve existing ceiling
      insulation.
Weatherization Program Year 2004                                                 Updated September 2004
Policies and Procedures Manual
                                            Ch. 1 Pg. 4
      Partial or whole roof replacements may be completed only with prior approval from the
       DHCR Field Representative.                             Table of Contents

6.    Air seal the mobile home shell per air flow standards.

7.    Install domestic hot water heater tank and pipe wrap, faucet and shower head flow
      restrictors, and compact fluorescent lamps.

8.    Replace inefficient refrigerator with Energy Star rated energy-efficient refrigerators of the
      same style and capacity.

9.    Install ventilation in situations where it is necessary to mitigate health and safety or
      moisture problems encountered in a mobile home being weatherized. Includes proper
      ventilation of combustion appliances.

10. Repair or replacement of hydronic heating distribution and/or fuel systems must increase
    efficiency or useful life of the system or provide for the proper distribution of heat to
    occupied areas.

11. Repair or replace roof jacks if the existing condition creates an unsafe or inefficient
    condition during the operation of the primary heating appliance.

12. Repair or replace unsafe or leaking water heater with a like-for-like replacement where
    that repair or replacement will mitigate a health or safety concern or save significant
    energy cost.

13. Replace lighting fixtures when that replacement is done to accommodate more energy-
    efficient lighting or existing fixtures are unsafe.

14. Install GFCIs in areas where an existing GFCI is not functioning properly or where one
    is required as part of a weatherization measure being installed.

15. Upgrade electrical circuits when necessary in conjunction with installation of other
    weatherization or repair measures.

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Weatherization Program Year 2004                                                Updated September 2004
Policies and Procedures Manual
                                          Ch. 1 Pg. 5
                                   MULTIFAMILY BUILDING ANALYSIS

The subgrantee must meet with the owner and provide the owner with a packet containing
the following:

      Weatherization Program Information (Form DHCRESB#29)
      Fact sheet on the building analysis service
      Owner Agreement Multifamily (Form DHCRESB#10)

The subgrantee must document the eligibility of the units in the building and collect the
building information for the preliminary building analysis including the following:

        Audit Services Referral (Form DHCRESB#30)
        Multifamily pre-audit information
        Energy Information (Form DHCRESB#5A and 5B)
        Permission to Enter Building (Form DHCRESB#6)
        Two-years fuel data

The subgrantee is required to:
    Qualify all buildings.
    Develop all pre-audit information necessary for the building analysis.
    Develop a work scope based on audit priorities. When audit priorities are not followed,
     approval by the DHCR Field Representative is required.
   Negotiate investment and work scope with the owner. Lead abatement and related
     work to assure that weatherization work can be conducted in a lead safe manner may
     be considered when negotiating the owner’s contribution. See chapter 6.
    Complete work scope in a timely manner.
    Provide documentation to the DHCR Field Representative if any analyzed building is
     not weatherized.

A DHCR approved audit shall be performed by subgrantees authorized by DHCR to perform
audits. Other subgrantees shall have a DHCR approved audit performed by a technical
support subgrantee. Agencies that would like to use the newly approved TREAT Audit
Software must contact their DHCR Regional Supervisor for approval before doing so.

Technical support subgrantees provide:
    Required professional products in a timely manner.
    Documentation and specifications when heating-system replacement is indicated.
    Post-weatherization energy-use analysis on buildings selected by DHCR.
    Construction management of heating appliance upon request.
    Attendance at Pre Bid Meeting with Multi-Family Heating Contractors.

Payment for EAQUIP audits is made directly by the subgrantee to the technical support
subgrantee in accordance with a fee schedule negotiated between DHCR and the technical

Weatherization Program Year 2004                                             Updated September 2004
Policies and Procedures Manual
                                            Ch. 1 Pg. 6
support subgrantee. The technical support subgrantee is to invoice for services completed at
a minimum on a quarterly basis for timely submission from subgrantees.

The justification of heating appliance replacement must be completed and kept on file for
review by the DHCR Field Representative.


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Weatherization Program Year 2004                                           Updated September 2004
Policies and Procedures Manual
                                       Ch. 1 Pg. 7
                CRITERIA FOR SELF-AUDITING AGENCY DESIGNATION


Subgrantee must notify the DHCR Regional Supervisor, in writing, six months prior to start of
new program year of its intention to become a self-auditing agency.

Subgrantees wanting to receive approval to do multi-family audits must request approval in
writing from the DHCR Regional Supervisor.

Subgrantee personnel to be designated and tested should have experience in the following
areas
:
    Building Science
    Heating Appliance Diagnostics, Sizing and Troubleshooting;
    Competency in using the DHCR Approved Audit Software
    Residential /Commercial Construction/Rehabilitation Experience

After the approval request is received, appropriate State T&TA and/or field staff will be
assigned to review the written submission and schedule a field review with the requesting
subgrantee.

A complete field review (including onsite audit procedures and work scope preparation) is
required and a minimum of two audits must be reviewed before temporary approval is
considered.

The temporary approval will be valid for two years provided there are no major problems
resulting from audits provided by the designee. If two years is completed successfully, a
permanent approval may be granted to the designee. Individuals who do not test
successfully will be informed in writing and counseled as to additional training and
experience that may assist them toward meeting all requirements at a later date.

Approval of a designee will allow the employing subgrantee to complete their own multi-
family energy audits. If the approved designee leaves the subgrantee, the subgrantee losses
its ability to do multi-family audits until they employ another approved designee.

Subgrantee personnel to be designated must have documented experience in the following:

      Building Science
      Heating Appliance Diagnostics, Sizing and Troubleshooting
      Competency in using the DHCR Approved Audit Software

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Weatherization Program Year 2004                                            Updated September 2004
Policies and Procedures Manual
                                       Ch. 1 Pg. 8
                                   BUILDING WORK SUMMARY


The Building Work Summary (BWS) 1-4 Units (Form DHCRESB#18) must be completed for
all 1-4 dwelling unit buildings. If a subgrantee has a computer-generated inventory-tracking
system, it may be utilized and attached to the BWS. However, this inventory-tracking system
must be approved in advance by the DHCR Fiscal and Program Field Representatives.
When an alternative method is utilized, the subgrantee must still briefly summarize the work
so the client will have some detail when they sign off. The following items must still be
documented:

         Sub-contracted material and labor.
         Leveraged materials and/or labor from other funding sources.

Client/Owner Certification

All completed dwelling units must have a signature from the owner/client or authorized agent
and from the subgrantee’s post inspector upon completion of the post-inspection. All rental
units must be signed off by the owner or building agent.

When no client signature has been obtained, an explanation must be documented to the
satisfaction of the DHCR Field Representative. This explanation must, also, be on the BWS
form.

All subgrantees arewill be required to record the Section, Block and Lot Number in the data
base for each building weatherized. The Parcel ID fields in the data base must be completed
to indicate a unique identification of each building.

Any building presented but not post-inspected constitutes contract breach and non-
compliance by the subgrantee.

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Weatherization Program Year 2004                                           Updated September 2004
Policies and Procedures Manual
                                         Ch. 1 Pg. 9
                             APARTMENT BUILDING WORK SUMMARY


The Apartment Building Work Summary (ABWS) (Form DHCRESB#19) must be completed
for all multifamily buildings. This form may also be used for 1-4 dwelling unit buildings in
place of the Building Work Summary (BWS) 1-4 Units.

Apartment Building Work Summary - List all materials and labor costs associated with the
work scope in the appropriate spaces. Each measure category must show a subtotal.
Indicate number of items, U-values, and square feet where required.

Total Building Cost - Add all subtotals for totals in each category. Do not add crew labor
costs to the Total Building Cost column.

When no client signature has been obtained, an explanation must be documented to the
satisfaction of the DHCR Field Representative. This explanation must, also, be on the
ABWS.

The subgrantee must also present to the DHCR Field Representative, documentation to
summarize materials installed and the results of required Health and Safety Tests performed.

All subgrantees will be required to record the Section, Block and Lot Number for each
building weatherized in the data base. The Parcel ID fields in the data base must be
completed to indicate a unique identification of each building.

Any building presented but not post-inspected constitutes contract breach and non-
compliance by the subgrantee.

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Weatherization Program Year 2004                                             Updated September 2004
Policies and Procedures Manual
                                       Ch. 1 Pg. 10
                             BUILDING COST/PERFORMANCE REPORT


The Building Cost/Performance Report (Form DHCRESB#17) summarizes and organizes
certain costs and technical information from a number of jobs as they are presented for
certification for 1-4 dwelling units. While this document is not required to be in a job folder, it
must be presented to the DHCR Field Representative before a scheduled visit or upon
request. This form contains the following information:

          Building Number          Weatherization Data Collection and Reporting Database
                                   building number.

          Building Type            Type of building (i.e., mobile home, single family, multifamily).

          Heated Sq. Ft. (pre) Total heated square footage of building as determined at the
                               audit.

          Heated Sq. Ft. (post) Total heated square footage of building after weatherization.

          Btu/Sq. Ft./HDD          Generated from the building model-load analysis. This appears
            (Model Load)           in the upper right hand Building Model screen as “Model EF”.

          Material/Labor           Generated on the TIPS software. Represents the total
                                   estimated material and labor costs.

          Contract Materials       Dollars expended for materials.

          Sub-Contract Labor Dollars expended for sub-contracted labor.

          Subgrantee Labor         Dollars expended for subgrantee labor directly related to the
                                   work scope.

          Owner Investment         Owner investments directly related to the work scope.

          Total Building Cost      Sum total of contract materials, sub-labor, subgrantee labor
                                   costs, program support, and owner investments.

          CFM at 50 pa (pre)       Air infiltration analysis generated from the pre-weatherization
                                   blower door testing.                      Table of Contents




Weatherization Program Year 2004                                                    Updated September 2004
Policies and Procedures Manual
                                             Ch. 1 Pg. 11
          AIRG                     Air Infiltration Reduction Goal (AIRG), recommended post-
                                   weatherization air infiltration, generated by the TIPS software.

          MAP                      Maximum allowable post-weatherization (MAP), generated by the
                                   TIPS software.

          CFM 50 pa (post) Air infiltration rate measured during the post-weatherization blower-
                           door test.

          SSE Percent              Steady state efficiency test result at the time of energy audit.
            (pre)

          Furnace Code             The proper code for measures performed.

          SSE Percent              Steady state efficiency test results at time of post-inspection
             (post)                of completed work.

          Other Leveraged All other leveraged costs above and beyond the work scope (e.g.,
                          housing rehabilitation, last resort, owner investments above the
                          work scope).

          Notes                    Information specific to a building. (e.g., why MAP was not reached).

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Weatherization Program Year 2004                                                       Updated September 2004
Policies and Procedures Manual
                                                Ch. 1 Pg. 12
                                   HEALTH AND SAFETY ISSUES


The health and safety of the building occupants and the weatherization staff must not be
compromised by any weatherization technique or practice.

The subgrantee is advised to proceed cautiously when preparing to weatherize a dwelling
unit where lead, mold, asbestos or other toxic conditions may be present. Subgrantees are
advised to provide information and education to building occupants regarding the presence of
toxic or potentially toxic materials and or conditions, and to modify weatherization
workscopes to insure that weatherization will not exacerbate existing conditions resulting in
harm to building occupants.

During the energy audit process subgrantees should take all reasonable precautions by
visually documenting (pictures) the presence of mold, lead, asbestos or any toxic or
potentially toxic conditions. Traditional weatherization approaches may need to be modified
or eliminated to insure that unintended consequences are prevented. The client should be
informed throughout this entire process and provided the Health and Safety Notification Form
for documenting the issues or concerns discovered during the audit along with an
explanation that weatherization would be inappropriate or that the weatherization workscope
must be modified or changed. The subgrantee must document its concerns in writing along
with pictures and other relevant information and secure them in the client file.

WAP funds cannot be used to purchase or install any type of unvented or ventless
combustion appliance including but not limited to unvented kerosene space heaters,
unvented natural gas space heaters, unvented propane space heaters, unvented gas
fireplaces and unvented gas fireplace logs.

During the building analysis, health and safety hazards often become apparent. Hazards
that are related to the energy conservation work being done can be corrected during the
course of weatherization through the use of weatherization funds, owner investments, or
other leveraged funds.

Whenever health and safety hazards have been identified and/or have not been corrected
during the course of weatherization work, a Health and Safety NotificationWarning (Form
DHCRESB#15) must be completed. The owner must sign the form, and the owner and all
relevant apartment occupants must be provided with a copy; the original signed form must be
placed in the building file.

In cases where an unsafe heating appliance in a single-family, owner-occupied dwelling is
encountered during the heating season, the following steps must be followed:

         Complete a Health and Safety NotificationWarning (Form DHCRESB#15) describing
          the situation.
         Obtain the owner’s signature on the completed Health and Safety NotificationWarning.
Weatherization Program Year 2004                                            Updated September 2004
Policies and Procedures Manual
                                          Ch. 1 Pg. 13
         Advise the owner to contact the LDSS for emergency furnace funding.
         Advise the county HEAP liaison of the situation.
         Transmit a copy of the completed and signed Health and Safety NotificationWarning to
          the county LDSS and, if applicable, the local Area Aging Agency.
         Halt all weatherization services to the unit until notification is received that the heating
          appliance work has been completed.

Where an unsafe heating appliance is detected in a rental dwelling unit, the owner is required
to rectify the problem unless the owner can be documented as eligible for weatherization. In
such cases do not proceed with weatherization services until the heating appliance problem
has been corrected.

At the end of each working day, the subgrantee is responsible for ensuring that no threat to
the building occupants’ health and safety exists as a result of the weatherization work that




Weatherization Program Year 2004                                                   Updated September 2004
Policies and Procedures Manual
                                            Ch. 1 Pg. 14
was performed. All work and testing must be clearly documented in the client file on the
appropriate forms. The following measures must be in place and/or installed.

         Carbon Monoxide Alarms must be installed in any dwelling unit containing a
          combustion appliance were one does not presently exist. (Refer to manufacturer for
          proper installation and educate client about CO.)
         Smoke detectors must be present and operational in all weatherized units.
         Clothes dryers must be vented to outdoors.
         Combustion water heaters must be vented to outdoors per NFPA 211.
         CAZ tests should be conducted.
         All vented combustion appliances must be checked for proper draft.
         Carbon Monoxide ambient air testing must be done when combustion appliances are
          present.


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Weatherization Program Year 2004                                            Updated September 2004
Policies and Procedures Manual
                                         Ch. 1 Pg. 15
                        INDOOR AIR QUALITY/HEALTH/SAFETY TESTS


Indoor air quality (IAQ) tests are required to be completed for all buildings regardless of size
or number of units, and should contain analytical and quantifiable data when possible. The
following IAQ tests must be conducted in all units and documented during the initial building
audit:

1. Test for CO in the Ambient Air: Measure carbon monoxide (CO) in the ambient air of
   buildings where combustion appliances are used for heating and /or DHW. Eliminate
   sources of CO that contaminate the indoor air. Test at audit and at post inspection.

2. Combustion Gas Leak Test: Test all accessible gas lines and piping for gas leaks. Repair
   significant leaks. Test at audit, after any work on the gas piping is complete, and at post
   inspection.

3. Test for CO in Gas Oven Vent: Measure CO in undiluted gas oven exhaust and in the
   ambient air near the oven. Adjust oven burner to reduce CO if necessary. Test at audit
   and post-inspection.

4. CAZ Pressure Test or Backdraft Test: Measure the worst-case negative pressure in all
   vented combustion appliance zones. Eliminate conditions that my cause backdrafting.
   Test at audit, after any air-sealing work is done, and at post inspection.

5. Chimney Draft Test: Measure and assess the draft in combustion appliance vents.
   Repair vents with inadequate draft. Test at audit, after any air sealing work is done, and
   at post inspection.

6. Inspect the Building for mold and moisture damage: Locate and eliminate sources of
   excessive moisture if possible. Install ventilation if necessary and feasible.

7. Identify potential Fire Hazards: Educate the client about potential fire hazards that are
   observed in the building. Ensure that adequate smoke alarms and CO detectors are
   installed and working properly.

8. Unvented space heaters: Educate the client about the potential danger of CO and fire
   from unvented space heaters. Explain that significant amounts of combustion products,
   including water vapor and CO2, are produced.

9. Assess the building for faulty/inadequate and dangerous wiring.

10. Verify pressure relief valves on DHW tanks and boilers

11. Record and properly document all test results and observations
Table of Contents
Weatherization Program Year 2004                                               Updated September 2004
Policies and Procedures Manual
                                        Ch. 1 Pg. 16
The subgrantee should contact the local gas company to establish criteria for notifying the
company regarding necessary gas leaks or high carbon monoxide.

Whenever there is evidence of a leaking heat exchanger in a furnace or space heater the
subgrantee is required to inspect the heat exchanger for leaks using standard, acceptable
diagnostic methods. The result of the inspection must be documented and placed in the
client file. Whenever a hole is found in a heat exchanger you should consider the heating
appliance to be unsafe and follow the steps outlined in the PPM.

Information on indoor air quality must be recorded on the Indoor Air Quality Tests (Form
DHCRESB#12) for the building and on the Multifamily Indoor Air Quality Tests (Form
DHCRESB#14) for each unit in a building with more than one unit.

Carbon Monoxide Testing

The ambient air in the living space must be tested after all combustion appliances have been
operated at steady state for a period of ten minutes with the building under heating season
conditions (windows and doors closed).

When combustion appliances are present, ambient air must be tested for carbon monoxide at
the initial building audit and immediately after the implementation of weatherization
measures. Test results must be documented.

         If ambient readings are no greater than 10 parts per million (ppm) above recorded
          outdoor levels, testing of CAZs should proceed.
         If ambient levels are 10-35 ppm greater than the recorded outdoor level, re-measure
          ambient level after a 5-minute interval. If the ambient reading is no greater than 10
          ppm above the recorded outdoor level, testing of other CAZs should proceed.If the
          time-weighted ambient measurement exceeds 10 ppm, or the original ambient
          measurement exceeds 35 ppm, or the appliance produces CO in excess of 200 ppm
          at steady state, then the following procedures are recommended:

          1.   Turn off appliance
          2.   Ventilate Building
          3.   Complete Health & Safety NotificationWarning Fform and have client sign
          4.   Identify problems
          5.   Prepare and initiate workscope immediately

Appliance Carbon Monoxide Testing

Gas ovens are to be tested for carbon monoxide. All vented combustion appliances must be
tested for carbon monoxide in undiluted flue gas, and the results documented. Exceptions to

Weatherization Program Year 2004                                               Updated September 2004
Policies and Procedures Manual
                                          Ch. 1 Pg. 17
this include wood or coal stoves and any gas-fireds appliances that are designed to operate
with a positive pressure in the vent pipe (AGA category III or IV gas appliances),

Combustible Gas Testing

Gas Leak Detection tests must be conducted along accessible gas lines throughout the
interior and exterior of the building, and the findings recorded on the Indoor Air Quality Tests
(Form DHCRESB#12 and Formorm DHCRESB#14).

For significant leaks, ventilate area, disable combustion appliances, and notify fuel supplier
for shut off until repairs are completed. Minor leaks may be addressed at the time of
inspection or specified for repair.

CAZ Pressure Testing

Any zone or area of the building that contains a vented combustion appliance, including
space heaters, water heaters, gas clothes dryers, is considered a combustion appliance
zone. This definition may incorporate the main body of the house or rooms/areas of the main
living space. All CAZs shall be tested for worst case depressurization. Negative pressures
within the CAZs of up to -4 Pa. may be acceptable if all venting appliance drafts
simultaneously meet draft standards. Negative pressures of -5 Pa or greater must be
corrected. Chimney draft is measured just above the draft diverter or barometric draft
control.

Draft Testing

Draft tests on all vented combustion appliances must be conducted and the results recorded
on the appropriate Indoor Air Quality Tests forms. (DHCRESB#12 or #14). Exceptions
include inoperable, unsafe, or sealed combustion appliances, wood or coal stoves, and
category III and IV gas appliances. Outdoor air temperature and results of draft testing must
be documented on the Indoor Air Quality Tests.

When the outdoor temperature is above 80 F measured draft should exceed 1 Pa. or .005"
W.C.

When the outdoor air temperature is between 30-80 F measured draft must exceed 2.50 Pa.
or .01" W.C.

When the outdoor air temperature is below 30 F, measured draft must exceed 5.00
Pa./.02"W.C.

If tested drafts do not meet these standards, examine the venting system for proper design
including; size, materials, pitch, positioning of diverters, height above roof line, etc. and
inspect venting system for holes. Check chimney interior for obstructions or blockage.
Mitigate any venting problems.                           Table of Contents
Weatherization Program Year 2004                                              Updated September 2004
Policies and Procedures Manual
                                        Ch. 1 Pg. 18
                                   BUILDING ENERGY MODEL


Subgrantees are required to model buildngs before developing a final workscope. They may
use a TIPS Audit, TREAT Audit (with prior approval) or an EA-QUIP Audit.

Energy models characterizing the historical, theoretical, and anticipated energy use of a
building are to be conducted prior to the implementation of an energy work scope. Through
modeling, a building’s current energy efficiency or inefficiency can be interpreted, as well as
the potential savings from each proposed measure and collective work scope. Also, a
reasonable investment guide and ultimately, the effectiveness of a work scope can be judged
by comparing energy consumption before and after an applied work scope.

Table of Contents




Weatherization Program Year 2004                                             Updated September 2004
Policies and Procedures Manual
                                        Ch. 1 Pg. 19
                                   SAVINGS TO INVESTMENT RATIO


In the audit process, the work scope is based in part, on completing those energy-related
measures that have reached a Savings to Investment Ratio (SIR) that is greater than or
equal to one.

Deciding which energy-related measures to complete must be based first on those measures
that have a SIR of one or greater. The higher the SIR, the higher the priority. Any energy-
related measures that are skipped in order to complete measures of lesser SIR value (but
still greater than one) must be documented and approved by the DHCR Field
Representative.

When a SIR of 1 cannot be reached, the measure may be completed, however, the use of
WAP funds may be prorated based on a percentage that matches the SIR. For example, if
an energy-related measure only achieves an SIR of .6, WAP funds will only pay for 60
percent of the total cost of that measure. An energy-related measure with a SIR of less than
one cannot be completed until all higher SIR measures have been completed unless
substantial documentation outlining the reasons for the exception has been submitted and
approved by a DHCR Field Representative.

In income-eligible, owner-occupied units, energy-related measures that have a SIR of less
than one cannot be completed unless a subgrantee has received non-WAP dollars to pay the
difference. No dollars may be solicited from an income-eligible owner and, if offered, the
subgrantee must have an owner-signed Client Investment Affidavit (Form DHCRESB#35 ) on
file stating that the owner was not solicited by the subgrantee.

Table of Contents




Weatherization Program Year 2004                                           Updated September 2004
Policies and Procedures Manual
                                           Ch. 1 Pg. 20
                                   TIPS BUILDING ANALYSIS


TIPS uses building audit data, local 30-year average heating degree days, and unit-fuel costs
to model buildings, estimate annual energy consumption (HNAC), provide a recommended
investment level, and prioritize energy-conservation measures through calculated savings to
investment ratios (SIR). The following documentation is required on buildings that use the
TIPS analysis for building and data collection.

Agency Audit Document - Provides a complete assessment of the existing conditions of the
building.

Client Questionnaire (Form DHCRESB#11) - Provides information on client energy behavior
and possible health and safety problems.

Building Energy Profile and Work Scope - The Building Energy Profile provides pre-
weatherization and post-weatherization building energy load calculations from the proposed
work scope and recommended furnace and hot water boiler sizes based on the estimated
post-weatherization heat load of the building. The Building Work Scope provides a means to
describe the energy-conservation measures, health and safety measures, and building
repairs that are proposed.

Blower Door Test Results - Documents building air leakage test results.

Heating Appliance Steady State Efficiency Documentation - This must be completed at the
time of the building analysis and a copy must be attached to the BWS or ABWS after the
post-inspection.

A Justification for Heating Appliance Replacement (Form DHCRESB#16) must be provided
to the DHCR Field Representative. Any fuel switching must be approved in advance, in
writing by the DHCR Regional Supervisor

Heating Appliance Sizing

When sizing a replacement appliance for a warm-air or hydronic system, a subgrantee must
refer to the recommended appliance size in the Building Energy Profile or use an alternative
sizing calculation. An equivalent direct radiation (EDR) survey is required for steam boiler
replacements. If an alternative calculation is used for a warm air or hydronic system sizing,
or an EDR survey is used, it must be attached to the Justification for Heating Appliance
Replacement (DHCRESB #16). If the replacement appliance is more than 20% oversized,
an acceptable explanation must be provided.

Subgrantees must attempt to install Energy Star rated appliances whenever replacing a
heating unit.
Table of Contents
Weatherization Program Year 2004                                            Updated September 2004
Policies and Procedures Manual
                                        Ch. 1 Pg. 21
Wall Insulation :

All blown-in insulation must be installed in a high density manner to assure that all potential
voids in the wall cavity have been filled and to restrict/eliminate air flow and settling in the
wall cavities.

Attic Insulation:

All attics must be accessed for inspection and evaluation. All floored attics should receive
high density insulation whenever practical. All areas should be accessed to ensure complete
coverage of insulation. Open joist attics must be comprehensively air sealed prior to the
installation of insulation. Flat roofs, attic areas, and cathedral ceilings not readily accessible
that are part of the thermal boundary must be treated with insulation. Knee walled attics
must be treated to ensure a complete and continuous thermal barrier.

Attic Ventilation:

Attic ventilation through intentional openings is designed to reduce potential or existing
moisture problems in the attic. If an attic does not have an existing moisture problem before
weatherization, there is little chance that energy conservation measures will cause one, and
no added ventilation may be required. However, every structure is unique and the life style
and living habits of the occupants in conjunction with the conservation measures being
proposed must be considered when attempting to determine if ventilation, or additional
ventilation is required.

Basements:

Basement/crawl space areas should be classified as either cold, tempered, or heated.
Appropriate insulation treatment depends upon the final classification of the specific area
following retrofit work Cold basements and crawl spaces are defined as areas where heating
is not required. The thermal boundary is at the basement ceiling level. Tempered basements
and crawl spaces are unintentionally heated spaces. Typical heat sources include heating
plants, distribution systems and DHW tanks.

Distribution System Efficiency :

An accurate TIPS analysis requires a reasonable estimate of distribution efficiency. It should
be estimated using several subjective considerations such as: the amount of heat lost from
the building by the distribution system; the condition of the distribution system based on a
complete visual inspection; information obtained from building occupants relative to
thermostat settings; and, areas that appear to be over/under-heated.


Table of Contents

Weatherization Program Year 2004                                                Updated September 2004
Policies and Procedures Manual
                                         Ch. 1 Pg. 22
Knob and Tube Wiring:

Subgrantees should avoid insulating any areas of a building where live knob-and-tube wiring
is known to exist. Knob and tube wiring can be replaced if the cost of the rewiring and the
cost of the insulation added together results in a SIR of greater than one. Table of Contents




Weatherization Program Year 2004                                            Updated September 2004
Policies and Procedures Manual
                                       Ch. 1 Pg. 23
                          BLOWER DOOR AND AIR FLOW STANDARDS


Controlling air flow for energy conservation requires establishing a strategy that reduces
excessive air flow yet ensures a safe, healthful environment inside the building. An air goal
(AIRG) must be calculated for each building containing 1-4 units, and the building air leakage
must be measured in cubic feet per minute at 50 pascals pressure difference between
indoors and outdoors (CFM50).

The AIRG is the site specific minimum airflow rate established by blower door testing. It is
determined by the size and number of rooms in the unit, the number of occupants, the
number of smokers occupying the unit, with a minimum airflow rate of 1500cfm @50pa.

         1500 cfm @50pa is the baseline airflow standard
         Multiply the number of rooms by 170cfm@pa. This is the rooms air flow standard
         Add the number of bedrooms plus one (1) to determine an occupancy number. If the
          number of occupants is actually greater, use the actual occupancy rather than the
          calculated potential occupancy number. Add one additional person for each smoker
          living in the unit to determine the final occupancy number. Multiply the final
          occupancy number by 340cfm @50. This becomes the number of occupants airflow
          standard.
         Compare the three airflow standards. The larger of the three standards becomes the
          final air flow standard for the building.

Successful air sealing should reduce air flow to the Maximum Allowable at Post (MAP).
Failure to achieve the MAP must be documented and placed in the building file along with the
pre and post blower door results. Air sealing should not reduce that air flow below the AIRG.

The MAP is determined by using the formula:

         [(Pre CFM50-AIRG)x 20%] + AIRG= MAP

If a vented space heater which take combustion air from the living space (wood, coal or pellet
stove, vented gas or oil space heater, etc) is present then the AIRG may be increased by
1000 CFM50 for every 100,000 BTU/hr (input rating) to allow make up air for combustion.

Where the air flow of a building is below 1500 cfm50 an evaluation of existing conditions that
may affect the indoor air quality (carbon monoxide sources, moisture sources, CAZ pressure,
chimney draft, etc.) is required.

Blower door testing should be suspended if it is determined that harmful pollutants will be
introduced into the living space by the operation of the blower door.
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Weatherization Program Year 2004                                             Updated September 2004
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                                         Ch. 1 Pg. 24
A blower door test must be conducted on all 1-4 unit buildings and mobile homes during both
the original inspection and the post inspection. Both single point and multi-point testing are
acceptable methods for measuring air leakage rates.
If a single point test is used, the test should be conducted three times to ensure reasonable
accuracy.

If a multi-point test is used, the test should include readings as close to 50 pascals as
possible (e.g. 60-55-50-45-40) to provide the most accurate measurement of CFM 50. The
correlation coefficient for a multi-point test must be at least .9900. Single point tests are
recommended when windy conditions may result in a correlation coefficient less than .9900

For buildings with multiple units: One blower door test of the whole building is preferred. If
that is not possible, tests should be performed on each isolated portion of the building and
the results should be added together for the total building air leakage measurement.

Air sealing work must be blower door assisted. Documentation of interim blower door testing
is required. All interim tests are required to be recorded and included in the job folder.

A comprehensive health and safety evaluation of all CAZ’s must be completed each day
following air sealing work.

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Weatherization Program Year 2004                                               Updated September 2004
Policies and Procedures Manual
                                        Ch. 1 Pg. 25
                            STEADY STATE EFFICIENCY TESTING AND
                               CLEAN AND TUNE REQUIREMENTS


A steady state efficiency (SSE) test is required on all oil-fired and gas-fired furnaces, boilers,
and vented space heaters, to determine the SSE at which they are operating. No more than
90 days should elapse between the date of the SSE test and the completion of the work.
The SSE test must be conducted with the building configured in the winter mode, e.g.,
windows are closed. Documentation of the SSE must be left at the furnace and included in
the job folder If no SSE test is conducted, an acceptable reason must be documented in the
building file.

An SSE test is not required for the following types of appliances, however, indoor air-quality
tests for carbon monoxide, draft, and negative pressure must be conducted:

         Gas-fired appliances with fan assisted combustion labeled as Category I and/or
          Category III appliances
         Oil-fired and gas-fired recuperative (condensing) appliances
         Solid-fueled central and space heaters
         Unvented space heaters

A clean and tune must be performed if:

         SSE is less than 75 percent
         The smoke number on an oil-fired unit is greater than 2
         The undiluted CO in the vent of any unit is greater than 100 PPM
         The burner(s) is/are dirty or the appliance has not been serviced within one year

A clean and tune should be done on an appliance with a SSE over 75% if:

         There is reason to believe that the heat exchanger is dirty
         The owner has not provided reasonable maintenance and service
         There is reason to believe that a clean and tune will improve the steady state
          efficiency

If after a clean and tune the SSE is below 75%, no further work on the appliance is required
provided that the clean and tune was done properly, there are no health and safety hazards,
no repairs are required; and, replacement of the appliance does not drive a reasonable SIR.

Upon completion of a clean and tune or other heating appliance work (including appliance
replacement, burner replacement, or other work which affects performance) a SSE test must
be performed, recorded and placed in the job folder.

If an unsafe or inoperable heating appliance is encountered in the course of testing, it must
be corrected before weatherization work can proceed (refer to the procedures listed under
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Policies and Procedures Manual
                                          Ch. 1 Pg. 26
Health and Safety in this Chapter and under Referrals in Chapter 2). When it is determined
that a heating appliance is in need of replacement due to these conditions prior approval by
the DHCR Field Representative is required before each replacement can proceed. The
Justification for Heating Appliance Replacement (Form DHCRESB#16) must be filled out and
included in every building file when a heating appliance has been replaced.

At the time of post-inspection, the subgrantee’s inspector must verify, by way of a SSE test,
that the heating system is running safely and efficiently. The post-inspector will then record
results and place it in the client file. There must also be a record of the pre and post test left
with the heating appliance. This is required whether or not any heating work was done.
Units will not be certified unless proper documentation of the SSE tests is contained in the
client file and attached to the appliance.

Fuel Oil Storage Problems:

Fuel oil supplied to a combustion appliance should be free of water and other contaminates.
In cold climates, steps should be taken to ensure continuous flow and to avoid freeze-ups.

Chimneys:

Any combustion appliance chimney/ventilation system that is in use must be visually
inspected and evaluated for defects. A deteriorated chimney should be repaired and the
cause corrected before reusing.

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Weatherization Program Year 2004                                                Updated September 2004
Policies and Procedures Manual
                                         Ch. 1 Pg. 27
                               POST INSPECTION AND CERTIFICATION


The subgrantee must conduct a post-inspection of completed buildings before presentation
of the work to DHCR. The following tests and inspections must be performed on post
inspection:

         Review of the audit and workscope to determine that the work authorized was
          completed;
         Quality and quantity of materials installed;                                               Formatted: Bullets and Numbering
         Installation standards/work quality;
         Multi-point blower door test to verify final air flow numbers;.
         Health and safety tests;
         SSE test when necessary for compliance; and,
         Client signature verifying completion of work

Only when the work is fully acceptable should the post inspector and the client sign the BWS
or the ABWS. Any building presented, but not post-inspected constitutes contract breach
and non-compliance by the subgrantee.

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Weatherization Program Year 2004                                            Updated September 2004
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                                          Ch. 1 Pg. 28
                               REFRIGERATOR REPLACEMENT CRITERIA

All refrigerators are to be evaluated for replacement by determining the efficiency of the unit
from either the AHAM or by metering.

Subgrantees may replace an inefficient refrigerator as a repair measure provided that such
replacement is cost effective. The following criteria will provide the basis for such a
replacement:

1. The refrigerator to be replaced must be the primary refrigerator used by the household. In
    cases where more than one refrigerator is being used, the subgrantee should encourage
    the client to dispose of the secondary refrigerator(s). The disposal of secondary
    refrigerator(s) will be considered an eligible activity, however, the client must provide the
    subgrantee with written permission for this disposal. If the client does not wish to dispose
    of secondary refrigerator(s), the subgrantee should provide client education regarding the
    energy cost involved with the operation of this additional refrigerator.

2. All refrigerators that are replaced must be removed from the clients’ premises upon
   delivery of the replacement and properly disposed of in accordance with The Clean Air
   Act, USC Title 42, Section 7671g. This Act makes it unlawful for any person to dispose of
   refrigerants in a manner in which they will be allowed to enter the atmosphere.

3. The replacement refrigerator must be an Energy Star-rated2 energy-efficient refrigerator
    with an estimated annual consumption of 600 kWh/yr. or less. It must be a similar style
    and capacity as the one being replaced, where practical. Refrigerators with options such
    as an ice maker will not be considered allowable replacements. If there is an additional
    cost for a custom color, the additional cost is not an allowable weatherization cost but
    may be payed for by the client.

4. Subgrantees must determine that a replacement will be cost effective before considering a
   refrigerator replacement as an eligible repair option. To accurately determine the cost
   effectiveness of replacing a refrigerator, first determine the annual energy consumption of
   the existing refrigerator and compare this to the estimated consumption of the
   replacement. The following methodology will provide the basis for this determination:

Determining the annual consumption of the existing refrigerator:

           It is not required to meter every existing refrigerator that is replaced. DOE requires
            states to meter at least 10% of the units replaced. Units that can not be located in



      2
           The U. S. Department of Energy can provide the most recent Energy Star refrigerator model listing including it’s cooling capacity and annual
               kWh consumption. Phone: (202) 429-0063 or access the web site at http://www.energystar.gov
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                                                               Ch. 1 Pg. 29
           the AHAM or other refrigerator databases may make up all or most of the 10%
           requirement.

           The Association of Home Appliance Manufacturers’ database, or booklet, may be
           used to estimate the annual energy use of existing refrigerator. Subgrantees are also
           allowed to use the Home Energy on-line database located at:
           <www.homeenergy.org/consumerinfo/refrigeration/index.php> .

When a subgrantee does metering, the following procedures apply:

A) Use a cumulative watt hour meter to determine the present usage of the refrigerator.
   Plug the meter into a wall outlet and plug the refrigerator into the meter. You must
   document the date, exact time, and the initial reading, when removing the meter you
   must also record the date, time and reading. The difference in the two readings will be
   the number of watt hours or kilowatt hours used for the time the refrigerator was
   metered. If Watt hours are shown they must be converted to kilowatt hours by dividing
   the number of watt hours by 1000.

B) The refrigerator must be metered for a minimum of two hours and, wherever possible
    longer. This should be accomplished during the course of performing the energy audit
    on the building.

C)     If the automatic defrost cycle is activated during testing, you will not get a true reading
       of usage. In cases where you have a unit with an automatic defrost cycle, try to return
       to the refrigerator every 15-20 minutes to determine if it has gone into the defrost mode.
       A significant increase in watts over a short period of time is a good indicator of defrost
       mode. If the refrigerator has gone into the defrost mode, the reading cannot be used
       and the refrigerator must be retested.

D) The metered usage, in kilowatt hours, must then be converted to an hourly usage by
   dividing the reading by the number of minutes the refrigerator was plugged in to the
   meter and then multiplying by 60. This number must then be multiplied by 8766 (the
   average number of hours in a year) to determine the annual usage.

Determining the cost effectiveness of the replacement:

A) If the annual usage of the existing refrigerator is 900 KWh or more, the refrigerator may
   be replaced.

B) If the annual usage is less than 900 KWh, use the following method to determine if the
   replacement will be cost effective:

      Subtract the annual usage of the proposed replacement from the annual usage
      determined above. This will provide the estimated annual energy savings. Multiply this
      estimated annual energy savings by the client’s cost for a kWh of electricity, as
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                                          Ch. 1 Pg. 30
      determined by the client’s electric bill. This represents the estimated annual dollar
      savings to the client.

      Divide the total cost for the replacement refrigerator by the estimated annual dollar
      savings to the client to arrive at the payback period. (This replacement cost must include
      materials, labor, program support, and disposal costs). If the payback period is less than
      15 years, (average refrigerator life) the refrigerator may be replaced.

      Following is a sample calculation:

      1. A refrigerator is metered for two and a half hours (150 minutes) and the meter shows
         usage of 0.250 kilowatts.

      2. Convert to hourly usage = 0.250 kW ) 150 minutes = 0.00167 kW/min. X 60 min/hr =
         0.1002 kWh / hr.

      3. Annual usage = 0.1002 kWh X 8766 hr/yr = 878 kWh / yr.

      4. The annual usage of an equivalent Energy Star rated replacement is 576 kWh / yr.

      5. 878 - 576 = 302 estimated annual savings in kWh.

      6. 302 kWh X $0.14 per kWh = $42.28 estimated annual dollar savings to client.

      7. The total replacement cost for the Energy Star replacement is $600. Divided by
         $42.28 this equals a payback period of 14.19 years. Therefore it is cost effective to
         replace this refrigerator since the payback period is less than 15 years.

NOTE: The above calculation is based on 14 cents per kilowatt hour. The same scenario at                Formatted: Line spacing: Exactly 14.4 pt, Tab
                                                                                                        stops: -0.56", Left + -0.5", Left + 0.19", Left
13 cents per kilowatt hour or less would not be cost effective.                                         + 0.31", Left + 0.44", Left + 0.56", Left +
                                                                                                        0.69", Left + 0.81", Left + 2.4", Left + 3.4",
                                                                                                        Left + 4.4", Left
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Weatherization Program Year 2004                  Updated September 2004
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                                       CHAPTER 6                                                         Formatted: Centered, Line spacing: Exactly
                                                                                                         14.4 pt, Tab stops: -0.56", Left + -0.5", Left +
                                                                                                         0.19", Left + 0.31", Left + 0.44", Left + 0.56",
                                                                                                         Left + 0.69", Left + 0.81", Left + 2.4", Left +
                                                                                                         3.4", Left + 4.4", Left
The purpose of this chapter is to outline special considerations for weatherization, including
when not to weatherize. Also outlined are the USDOE requirements for weatherizing homes
where lead based paint is present. Also included are re-weatherization review, guidelines for
providing emergency cooling service, and no-heat emergency issues.


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Weatherization Program Year 20042006                                Updated September 2004January 2006
Policies and Procedures Manual
                                       Ch. 1 Pg. 2
                                       WHEN NOT TO WEATHERIZE


There are some situations when a subgrantee should not, or may choose not to weatherize
an otherwise eligible unit. Some of theose more common situations include:

      Structure for sale - building or dwelling unit that is for sale, or subject to bankruptcy or
       foreclosure.
     Legal dispute - building or dwelling unit that is in a legal dispute due to a divorce or
       legal separation. Clear title must be determined before services can be provided.
     Demolition - building or dwelling unit scheduled for demolition.
     Structural Problems - building or dwelling unit is found to have serious structural
       problems which make weatherization impractical or impossible. The energy auditor
       should report these findings to his/her supervisor. If corrective action cannot be
       arranged, the subgrantee should consult with the DHCR Field Representative before
       either proceeding with or denying weatherization.
     Infestation - if a building is infested with rats, roaches, or other vermin, the subgrantee
       should refuse to weatherize until the condition is corrected.
     Health or Safety Hazard - when, in the judgment of the energy auditor, any condition
       exists which may endanger the health and/or safety of the work crew or subcontractor,
       the work should not proceed until the condition is corrected.
     Unsafe or Inoperable Heating appliance - when the energy auditor or any other
       weatherization employee encounters an unsafe or inoperable heating appliance during
       the heating season, weatherization work cannot proceed until the condition is
       corrected.
     Uninhabitable - when a dwelling unit is uninhabitable (such as a burned out apartment
       within a building) it should not be weatherized, except in conjunction with rehabilitation
       which will result in the unit being occupied by an eligible tenant within 180 days.
     Commercial Operation - when the unit is being used as a commercial enterprise.
     Uncooperative Client - when an eligible client is uncooperative with the subgrantee,                  Formatted: Tab stops: 0.31", Right + 0.5",
                                                                                                            Right + 0.56", Right
       either in demanding that certain work be done and refusing higher priority work which
       is needed (e.g., demanding only windows), by being abusive to the work crew or
       subcontractor, or by being unreasonable in allowing access to the unit, every attempt
       should be made to explain the program and the benefits of the work. If this fails, work
       must be suspended and the DHCR Field Representative consulted.
    Conflict of Interest or Appearance of Conflict - when the structure is owned, managed or
       occupied by an employee, board member, officer or relative of a subgrantee
       employee, prior approval must be obtained from the ERSB Director before any work is
       started.
    
     The building is in need of extensive rehabilitation, and no such rehabilitation has been              Formatted: Bullets and Numbering
       provided for.
     Client is a board member or senior staff member of the subgrantee.
     Client is technically income eligible, but is currently seasonably unemployed from a
       construction industry type job and is expected to return to full-time work. The agency
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                                             Ch. 1 Pg. 3
       has a considerable waiting lists of individuals who are elderly, living on fixed incomes,
       under-employed, and others who are more in need of weatherization and are a higher
       priority for service. In such cases, the subgrantee has the option of deferring
       weatherization to the laid-off unemployed construction worker so that others with more
       pressing needs may be served.
     The building identified for weatherization is not a priority for service; the non-income
       eligible building owner refuses to make the minimum financial contribution and or
       refuses to abide by the Owner Agreement.
     Concern that weatherization services would disturb loose, peeling, flaking, and
       chipping paint, could spread paint dust and related debris and possibly cause harm to
       occupants. In such cases, a notice must be provided to occupants of the agency’s
       reason for deferring assistance.
    Concern that mold and existing moisture conditions would be made worse as a result of
       providing weatherization services. In such cases, a notice must be provided to
       occupants of the agency’s reason for deferring assistance.The building is in need of
       extensive rehabilitation, and no such rehabilitation has been provided for.
    

In unusual situations not covered above or where other problems of a unique nature exist,
the DHCR Field Representative should be consulted.

If obvious discrepancies are found between the information supplied by the client on the
application and observed conditions at the time of weatherization, the subgrantee must
resolve these questions prior to weatherization. Some examples of discrepancies are an
obvious change in the client's income, e.g., an unemployed client who is now back to work, a
difference in the number of persons living in the dwelling unit, (fewer persons than listed, a
person or persons not accounted for who may have income), evidence of business being
conducted in the unit, etc.

If at any time prior to the beginning of the actual weatherization work, the subgrantee
determines that the client is no longer eligible, the unit cannot be weatherized. When a
subgrantee has first-hand knowledge, or reason to believe that circumstances may have
changed, the subgrantee should request an updated application from the client.

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Weatherization Program Year 20042006                                 Updated September 2004January 2006
Policies and Procedures Manual
                                        Ch. 1 Pg. 4
                                       LEAD CONSIDERATIONS


A May 10, 2001 USDOE Program Notice advises that in some situations, weatherization
work should be postponed until the subgrantee is prepared to work with lead-based paint or
until another agency has corrected the problem such that weatherization can be safely
performed.

Weatherization work should not be deferred solely because there is lead based paint in the
home. The Weatherization Program should be concerned about the presence of lead
hazards that exist in a unit that are often identified by the presence of chipping and peeling
paint where the work under such conditions would pose a threat to the residents and the
workers. In determining whether or not to defer weatherization work, the subgrantee should
consider the following:

      1) Is the subgrantee prepared to work with lead-based paint? (i.e., have workers
         received training in lead safe work practices; does the subgrantee have the
         necessary personal protective equipment such as HEPA vacuum cleaners,
         protective suits, and respirators; does the subgrantee have the necessary equipment
         and materials to follow lead safe work practices such as a HEPA vacuum and plastic
         and, does the subgrantee and its subcontractor’s liability insurance policy allow work
         with lead-based paint through a pollution occurrence rider or similar coverage);
      2) What is the condition of the painted surfaces on the inside and the outside of the
         house? (i.e., are they so seriously deteriorated that a workman’s presence just
         walking around the house, drilling holes in sidewalls, installing weatherstripping, etc
         could be enough to stir up lead-based paint laden dust residues and thus pose a
         threat to the clients and to the workers themselves;
      3) What is the extent to which the specific energy-efficiency measures determined by
         the energy audit will disturb painted surfaces? (i.e., will the disturbance generate
         dust in excess of the OSHA minimums); and,
      4) Will the cost of doing lead-safe weatherization represent a disproportionately large
         portion of the total unit cost?


Based on these factors, the subgrantee should determine whether to

      1) Proceed with lead-safe weatherization work,
      2) Do some weatherization measures and defer others, or
      3) Defer all of the weatherization work until work can be performed by trained
         personnel who can follow lead safe work practices.

            Deferral would mean postponing the work either until the subgrantee is prepared to
            work with lead-based paint or until another agency has corrected the problem such
            that weatherization can be safely performed. Starting with the 2004 program year,
            all subgrantees and their subcontractors that use “lead safe work practices” are
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Policies and Procedures Manual
                                            Ch. 1 Pg. 5
            required to carry pollution occurrence insurance (POI) coverage. See Chapter 2 of
            the PPM for specific details.

Lead Paint Hazard Control Procedures

Over the past three years the DHCR and the USDOE have issued requirements addressing
the issues of lead based paint and how it should be handled in the Weatherization
Assistance Program. The following is clarification of those previous requirements with some
changes and also some additional requirements for working in New York City as a result of
Local Law 1 of 2004:

        The DHCR requirement that each subgrantee employ at least one EPA Certified Lead
         Abatement Supervisor has been changed. Effective immediately, if a subgrantee
         does not have a certified person on staff or if they lose their certified person, they must
         stop work on all units and/or buildings and immediately contact their DHCR Regional
         Supervisor in writing to request a written waiver to resume working while
         arrangements are made to replace the EPA Certified Lead Abatement Supervisor (see
         Lead Waiver to Continue Working form). DHCR suggests that an agency employ
         more than one certified supervisor to avoid this problem. Subgrantees are reminded
         that certification is good for three years and that proof of certification renewal must be
         kept on file at the subgrantee agency (see chapter 2, page 2).

        USDOE requires that all work performed on homes built before 1978 be completed
         using Lead Safe Work Practices (LSW) unless the building surfaces have been
         certified as lead free.

        USDOE requires that all subgrantees and their subcontractors carry Pollution
         Occurrence Insurance (POI)(see chapter 2, page 4). If the subgrantee or
         subcontractor does not have POI, they must defer all work that may bring them in
         contact with lead paint or dust until they have secured the proper insurance.
         Certificates of insurance shall be submitted for DHCR approval prior to commencing
         any work that may bring subgrantees or subcontractors in contact with lead paint or
         dust. The Certificates shall identify DHCR as certificate holder and additional insured,
         and must contain a provision that the insurer shall give notice that coverage afforded
         under the policies will not be cancelled or that DHCR’s interest will not be otherwise
         affected until at least thirty days prior notice has been given to DHCR.

        USDOE requires that all subgrantee/subcontractor personnel who will come in contact
         with lead paint attend a USDOE approved One Day lead Safe Work Practices training
         session.

        DHCR strongly recommends biological monitoring of employees who come in contact
         with lead painted surfaces (or presumed lead painted surfaces) on an annual basis.
         Biological monitoring consists of an employee’s blood lead level (BLL) test and a zinc

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Policies and Procedures Manual
                                           Ch. 1 Pg. 6
         protoporphyris (ZPP) test. Both must be performed by a licensed physician without
         cost to the employee.

        DHCR policy requires owners to address lead hazards that exist in a unit that are not
         related to the weatherization work to be done. The policy advises that in some
         situations, such as when there are lead paint hazards in the premises and the
         weatherization work under such conditions would pose a threat to the residents and
         the workers, the subgrantee must defer the weatherization work until the problem has
         been corrected such that the weatherization work can be safety performed or until the
         subgrantee is otherwise able to perform the work using lead safe work practices. The
         Weatherization Agreement between the owner and the subgrantee must contain an
         agreement by the owner to remediate any lead-based paint hazard in the premises.
         The subgrantee shall not commence the weatherization work until the owner has
         completed his/her portion of the work, or escrowed sufficient funds with the
         subgrantees to complete the work. The subgrantee shall require owners of buildings
         with more than four units to provide the security required under the Multifamily
         Agreement, in the form of a bond or escrow, to secure completion of the work. In the
         case of buildings with 1-4 units, the subgrantee may cause the work to be completed
         and charged to the owner as provided in paragraph 6 of the Owner’s Agreement.

Lead Clearance Testing

Lead clearance tests where required by DHCR policy must be performed and the results of
the tests maintained by the subgrantee for inspection by DHCR.

       ISubgrantees working in New York City in accordance with Local Law 1 of 2004, if are
        subject to new requirements. They must inform owners of rental housing that, in
        accordance with Local Law I of 2004, if weatherization measures are installed in a
        multiple dwelling containing three or more apartments built before 1960 in which a
        child under age 7 resides and which has not been certified as lead-free, then it is
        presumed that the paint in the unit is lead-based paint, and the owner must obtain a
        clearance test upon completion of work to demonstrate that the work area is lead safe.
        Owners must also obtain clearance tests when work is done in vacant apartments in
        buildings containing less than three dwelling units where the dwelling unit is to be
        occupied by persons other than the owner or the owner’s family. Clearance test
        results must be retained by the subgrantee on file for inspection by DHCR.submitted
        to DHCR for all buildings tested before final payment is made. The cost The cost of
        the lead paint testing and clearance testing may be considered as part of the required
        owner match.
     of any additional work needed to obtain a clearance test is the owner’s responsibility.              Formatted: Indent: Left: 0.25"
    The cost of the lead paint testing and clearance testing may be considered as part of the
    required owner match. Also, all subgrantees working in New York City are required to
    have key personnel attend training on Local Law I that is being sponsored by the NYC
    Department of Housing Preservation and Development.

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Policies and Procedures Manual
                                         Ch. 1 Pg. 7
        Subgrantees working outside of New York City must inform owners of rental housing                  Formatted: Bullets and Numbering
         that if weatherization measures are installed in a multiple dwelling unit containing
         three or more apartments built before 1960 in which a child under age seven resides
         and which has not been certified as lead-free, then it is presumed that the paint in the
         unit is lead based paint, and the owner must obtain a lead clearance test upon
         completion of the weatherization that the work area is lead safe. Owners must also
         obtain clearance tests when the work is done in vacant apartments in buildings
         containing less than three dwelling units where the dwelling unit is to be occupied by
         persons other than the owner or the owner’s family. The cost of any additional work
         needed to obtain a clearance test is the owner’s responsibility. The cost of the lead
         paint testing and clearance testing may be considered as part of the required owner’s
         match. Clearance test results must be retained by the subgrantee on file for
         inspection by DHCR.
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                                          Ch. 1 Pg. 8
                                       MOLD AND MILDEW


Over the past few years health professionals and building scientists have become                            Formatted: No bullets or numbering
increasingly concerned with the presence of mold and mold like conditions in and around the
home and the health effects on building occupants.

The Weatherization Assistance Program has been concerned with indoor air quality issues
for many years and has paid close attention to the role of moisture and ventilation as
variables effecting the qualify of the living environment. Although weatherization funds
cannot be spent to mitigate mold, subgrantees must be aware of the conditions in and
around the dwelling unit that can cause or worsen mold and mold like conditions.

In the course of performing the initial walk through and energy audit of the dwelling unit, and
in the course of providing the client questionnaire, it is very important that the energy auditor
and or inspector assess the property and speak with the client to determine the presence of
mold or building and environmental conditions that can produce mold or exacerbate existing
mold conditions.

Although mold can appear in any part of the house it is most often associated with
bathrooms, basements and crawlspaces. Mold producing conditions can be initiated from
any type of water leak, water damage, flooding, or if the basement or any other area in the
home gets damp and wet. Water collecting around the perimeter of the dwelling from
improper drainage, underground water supplies, lack of proper gutters, roof leaks, excessive
condensation and numerous other conditions can also result in the presence of mold.

Subgrantees must incorporate a mold inspection protocol as part of their routine
preweatherization assessment of the dwelling. The presence of mold should be documented
in writing on the client questionnaire (DHCR Form #11) and on the Health and Safety
Notification (DHCR Form #15). All visible signs of mold should be cleaned by the client or
the client’s representative before any work is begun. Weatherization funds cannot be used
for this activity. The presence of more than two square feet or more of visible mold that
cannot be cleaned may warrant a referral to the county health department. Likewise, if
during the client interview, the client indicates that a household member has experienced
unusual itchy eyes, sneezing, coughing, rash, flu-like symptoms, itchy skin, etc. and the
visible signs of mold are present, a referral to the local health department may be warranted.
In such cases, weatherization should be deferred pending a determination regarding how to
proceed.

Subgrantees are encouraged to proceed with caution when considering dwelling units for
weatherization where the presence of mold has been discovered. In the vast majority of
cases, the cleaning and removal of the presence of the mold coupled with activities designed
to alleviate the original causes of the mold, i.e., improved ventilation, addition of a bathroom
or kitchen fan, a change in client behavior, etc. may be all that is necessary to effectively
address the situation.
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However, occasionally the subgrantee may encounter a situation where the presence of mold
is more extensive and where the conditions that produced the original mold are not easily
corrected or are beyond the scope of what weatherization can handle, i.e., the dwelling unit is
constructed over or near a stream that permeates through the dirt floor crawl space or cellar,
or the dwelling unit has been constructed in an area with a high water table and poor
drainage, making the presence of ground water a consistent variable that must be taken into
account. In such cases, weatherization may not have to be deferred, as much as
fundamentally reconsidered.

Instead of tightening the building, performing air sealing, installing insulation and doing other
conventional measures, the energy auditor and weatherization director may have to consider
work that will address the presence of the ground water and its ramifications for the structure
as a whole such as preventing and or reducing moisture penetration into the basement and
crawlspace, dehumidification, adding mechanical ventilation, removing standing water from
the perimeter of the dwelling, as well as spending as much time as possible with the client to
explain to them the dynamics underlying the energy performance of their home, it’s location
in relation to the continuous water source from the stream, and how this effects the structure
and its energy system. The proposed workscope may appear to be radically different from
what the client may have expected, and will require that the subgrantee document the
existing conditions that have led to the proposed measures. In some cases, it may be best to
advise the client that energy savings from weatherization will be relatively modest because
the work is aimed at measures to prevent further moisture penetration and damage to
fundamental structural systems of the building. Energy savings may be more attributable to
various baseload measures related to lighting, refrigeration and other related control devices.

As with other potential problems, the presence of mold is best handled through a “whole
house approach.” As such, it is best to approach the presence of the mold as a condition
that requires extensive detective work to determine the cause or causes of the mold and the
likely ramifications, if any, as a result of performing traditional “whole house” weatherization
protocols.

Before making a final workscope decision the subgrantee must consider whether performing
air sealing, insulating, adding mechanical ventilation/dehumidification, performing heating
system work, and the other weatherization protocols will make the mold conditions worse,
about the same, or promote an improvement.

Subgrantees are encouraged to thoroughly document the visible conditions of the dwelling
unit and the surrounding areas around the dwelling unit with pictures and relevant data and
to consult with the DHCR Field Representative and DHCR Regional Supervisor before
making a final decision to proceed.

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                                       EXTENSIVE REHABILITATION


Where the persistence of a weatherization benefit cannot be sustained because of the need
for extensive rehabilitation of the building or dwelling unit, the energy auditor should report
this finding to his/her subgrantee supervisor. If the building or dwelling unit is to be
rehabilitated under another program, the weatherization work may be coordinated with the
overall rehabilitation project. Upon presentation for certification, all work must be complete
and of acceptable quality.

Documentation that supports a public procurement process for the selection of a general
contractor, if applicable, must be available for review upon request. Documentation of a
production schedule must also be available for review upon request. Documentation must be
with the building files.

If a vacant building or dwelling unit is being rehabilitated using a combination of WAP and
other funds, a production schedule should be part of the building file along with any other
information that may impact the filling of vacant, eligible units within 180 days.

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                                       REWEATHERIZATION


Reweatherization should not occur as a routine practice since many households have never
received service. However, there may be a need for reweatherization under certain special
circumstances. Reweatherization must be processed as a new application, including all
documentation requirements (e.g., income/categorical eligibility, energy audit, energy
information, Owner's Agreement, etc.). In all cases, reweatherization is subject to prior
approval by the DHCR Field Representative.

When previously weatherized units are referred to subgrantees through an interagency
referral, the subgrantee should schedule a walk-through inspection of the unit to determine
whether a complete audit and/or additional work is needed. This work must be funded by
other sources, e.g., LDSS emergency funds.

Units that were originally weatherized prior to September 30, 1993 or units damaged by fire,
flood, or an act of God and that require additional weatherization services may be re-
weatherized at the discretion of the subgrantee. In very rare cases, and with prior approval
from the DHCR Field Representative, a unit weatherized after September 30, 1993 and
having a documented need for additional work may be re-weatherized.

When a previously weatherized unit is damaged by fire, flood or an act of God, (e.g.,
tornado, earthquake, lightning, or other natural disaster), the unit may be re weatherized if
the owner has no insurance to cover the damage. An Affidavit of Damage (Form
DHCRESB#2) must be completed, listing the date and type of occurrence that caused the
damage, including the owner’s signature attesting to the lack of insurance. This form must
be included in the job file for the unit. Only those materials and labor costs considered
allowable under WAP guidelines will be allowed.

Previously weatherized units may receive additional services subsequent to completion of
the weatherization if those other services are considered part of a project that is considered a
coordinated activity and there is no additional cost to the WAP contract.

When a subgrantee intends to engage in initiatives with an outside funding source to install
baseload measures through NYSERDA, WNI, LEAP, etc., refer to Chapter 2 of the PPM for
procedures to obtain prior approval allowing these projects to go forward as coordinated or
fee-for-service.
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                    GUIDELINES FOR HEAP SUPPLEMENTAL FUNDING
                                 COOLING SERVICE


Cooling service was a special activity during the 1999 program year resulting from additional
HEAP funds released due to the extreme heat experienced in seventeen northeastern states.
These funds were targeted to provide cooling relief to Weatherization clients and to help
mitigate their high summer electric costs.

If Supplemental HEAP funds are provided in the future for cooling service, the following
guidelines will be followed:

Eligibility:

      1.    All clients receiving cooling service must be eligible for Weatherization under current
            income guidelines.

      2.    Clients who have previously received Weatherization services are eligible for cooling
            service if they meet current income guidelines.

      3.    New clients may be referrals or “walk-ins”. For new clients, subgrantees are
            encouraged to provide complete weatherization wherever possible.

            a) Clients may be referred to the Weatherization subgrantee for cooling service by
               an area aging agency or LDSS. In these cases of client referral, all
               documentation of eligibility for cooling service will be the responsibility of the
               referring agency and the completed Weatherization “Interagency Referral Form”
               indicating a cooling emergency will serve as sufficient documentation of eligibility.
               Unsuccessful attempts to contact a referred household should be reported
               immediately to the referring agency who may be able to assist in establishing
               contact with the household.

            b) An eligible client who walks into a Weatherization subgrantee and requests
               cooling service should be treated as a new Weatherization applicant using
               DHCRESB # 4 “Weatherization Application”, and the subgrantee should process
               an application and secure all required documentation

      4.    Only those households with no functional, targeted cooling equipment are eligible to
            receive cooling service.

      5.    Some client tenants who live in subsidized, assisted, or controlled housing may be
            eligible to receive cooling service so long as such service is not inconsistent with any
            State or city laws or regulations. Such client tenants may be liable for an increase in
            rent due to the installation of an air conditioner in accordance with State or city laws
            and regulations.
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      6.    Clients in rental units are eligible for cooling service, however, service can only be
            provided on a unit- by-unit basis to individual clients requesting the service and
            meeting the eligibility requirements. The provision of this cooling service only will be
            exempt from owner investment requirements. In no case can cooling service be
            provided without the execution of a Permission to Enter Building (Form
            DHCRESB#6) indicating the owner’s permission to provide emergency cooling
            assistance in place of the current purpose on that form, and must be signed by the
            building owner.

Basic Emergency Cooling Service:

      Eligible clients should be provided with a portable electric fan. The following electrical
      measures should also be implemented to assist the client in reducing electrical
      consumption wherever practicable:

          Each dwelling unit will receive up to four screw-in compact flourescent lamps.

          The refrigerator coil is to be cleaned in order to remove any dust or debris that may
           reduce the efficiency of that appliance.

          In dwelling units that have electric domestic hot water (DHW) heaters, the heater
           should be insulated and DHW pipes wrapped where possible. In addition, hot water
           temperature at the faucet closest to the water heater should be measured with a
           thermometer and the water heater temperature should be adjusted so that hot water
           temperature is not greater than 120E

Priority Emergency Cooling Service:                                      Table of Contents

      In addition to the Basic Cooling Service, some clients are also eligible for Priority Cooling
      Service. In order to be eligible for Priority Cooling Service, at least one member of the
      household must have an acute medical condition that is exacerbated by extreme heat
      and documented by a physician.

      Such medical documentation may be in the form of written correspondence within the
      previous six months or in a prescription format clearly indicating the need for air
      conditioning from a physician. In any circumstances where a client is deemed to be a
      medical emergency and an air conditioner cannot be installed for whatever reason,
      subgrantees should provide a fan and notify either the local Area Aging Agency or the
      LDSS of the emergency condition so that appropriate measures may be taken by them.

      Priority Cooling Service includes the creation of a “cool space” by providing and installing
      an air conditioner where such installation is technically feasible.


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      Clients deemed eligible for Priority Cooling Service will be provided service on an
      emergency basis. The subgrantee must visit the dwelling unit within 18 business hours
      to determine the household’s needs. This home visit will verify the potential to create a
      “cool space,” which ideally should be a bedroom located on the north side of the building.
      This home visit will also include an assessment of the electrical and structural integrity of
      the space to be treated. The subgrantee will then install or arrange for the installation of
      an air conditioner within 72 hours. However, in no case shall an air conditioner be
      installed without meeting the technical requirements listed below.

      Clients receiving an air conditioner must be provided with verbal and written instructions
      regarding the safe and efficient operation of the air conditioner, including all
      manufacturer’s safety and operating instructions as well as cautions against reinstalling
      the air conditioner in another location.

Eligibility:

      1.    All clients receiving regular cooling service must be eligible for full weatherization
            services including the creation of a “cool space,” which ideally should be a bedroom
            on the north side of the building, pending an assessment of the electrical and
            structural integrity of the space to be treated; in no case shall an air conditioner be
            installed without meeting the technical requirements listed below.

Technical Requirements for Air Conditioner Installation: (Only new air conditioners that meet
the following specifications may be installed.)

          Cooling capacity of 5,000-6,000 Btu/hr or 6,000-7,000 Btu/hr with an EER of 10.7 or
           higher;

          Air conditioner with Energy Star rating;

          Testing the integrity of the electrical circuitry must be performed before an air
           conditioner is installed. An ammeter must be used to test the existing load on the
           circuit which is to be used for the air conditioner. Presume no more than a 15-amp
           circuit unless a higher amperage can be verified, then subtract the existing load as
           recorded by the amperage test. A minimum of 10 amps must be available for the air
           conditioner specified. The specific electric outlet at which the air conditioner is to be
           connected must be marked;

          Where the identified electric outlet does not provide for electrical ground, a properly
           grounded “three-prong” adapter must be installed. Heavy-duty “Air Conditioner/Major
           Appliance Cords” (AWG 14/3, SPT-3, 15 amp/125v) may be considered an eligible
           cost if the outlet is located within a reasonable distance of the air conditioner and the
           extension cord does not create a potential tripping hazard.

          Window sleeves must be weatherized to reduce infiltration.                   Table of Contents
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                                            Ch. 1 Pg. 15
      2.    Only those households with no functional cooling equipment are eligible to receive
            cooling service as part of the full weatherization services.

      3.    Some clients who live in subsidized, assisted or controlled housing may be eligible
            to receive cooling service so long as such service is not inconsistent with any State
            or City laws or regulations. Such client tenants may be liable for an increase in the
            rent due to the installation of an air conditioner in accordance with State or city laws
            and regulations.

      4.    Clients in rental units are eligible for cooling service, however, service can only be
            provided on a unit-by-unit basis to individual clients meeting the eligibility
            requirements for full weatherization. In no case can cooling service be provided
            without the execution of a permission to Enter Building (Form DHCRESB#6).

      5.    In order to be eligible for the regular cooling service, at least one member of the
            household must have an acute medical condition that is exacerbated by extreme
            heat and said condition must be documented by a physical. Medical documentation
            may be in the form of written correspondence or prescription format clearly indicating
            the need for air conditioning from a physician. In any circumstances where a client
            is deemed to be in a medical emergency and an air conditioner cannot be installed
            for whatever reason, the subgrantee should provide a fan.

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                                            Ch. 1 Pg. 16
                  GUIDELINES FOR COOLING SERVICES PROVIDED AS
                          HEALTH AND SAFETY MEASURE


Beginning with the 2003 contract, DHCR instituted a health and safety cooling component to
regular full weatherization services.

If, through the use of the Client Questionnaire (and corroborated by a doctor’s written
statement), a client is determined to be at risk of illness due to possible high heat conditions,
an air conditioner may be provided to the client as a regular weatherization measure. Health
and Safety funds will be used to complete this measure.

Eligibility:

      1.    All clients receiving regular cooling service must be eligible for full weatherization
            services including the creation of a “cool space,” which ideally should be a bedroom
            on the north side of the building, pending an assessment of the electrical and
            structural integrity of the space to be treated; in no case shall an air conditioner be
            installed without meeting the technical requirements listed below.

Technical Requirements for Air Conditioner Installation: (Only new air conditioners that meet
the following specifications may be installed.)

          Cooling capacity of 5,000-6,000 Btu/hr or 6,000-7,000 Btu/hr with an EER of 10.7 or
           higher;

          Air conditioner with Energy Star rating;

          Testing the integrity of the electrical circuitry must be performed before an air
           conditioner is installed. An ammeter must be used to test the existing load on the
           circuit which is to be used for the air conditioner. Presume no more than a 15-amp
           circuit unless a higher amperage can be verified, then subtract the existing load as
           recorded by the amperage test. A minimum of 10 amps must be available for the air
           conditioner specified. The specific electric outlet at which the air conditioner is to be
           connected must be marked;

          Where the identified electric outlet does not provide for electrical ground, a properly
           grounded “three-prong” adapter must be installed. Heavy-duty “Air Conditioner/Major
           Appliance Cords” (AWG 14/3, SPT-3, 15 amp/125v) may be considered an eligible
           cost if the outlet is located within a reasonable distance of the air conditioner and the
           extension cord does not create a potential tripping hazard.

          Window sleeves must be weatherized to reduce infiltration.                   Table of Contents



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                                            Ch. 1 Pg. 17
      2.    Only those households with no functional cooling equipment are eligible to receive
            cooling service as part of the full weatherization services.

      3.    Some clients who live in subsidized, assisted or controlled housing may be eligible
            to receive cooling service so long as such service is not inconsistent with any State
            or City laws or regulations. Such client tenants may be liable for an increase in the
            rent due to the installation of an air conditioner in accordance with State or City laws
            and regulations.

      4.    Clients in rental units are eligible for cooling service, however, service can only be
            provided on a unit-by-unit basis to individual clients meeting the eligibility
            requirements for full weatherization. In no case can cooling service be provided
            without the execution of a permission to Enter Building (Form DHCRESB#6).

      5.    In order to be eligible for the regular cooling service, at least one member of the
            household must have an acute medical condition that is exacerbated by extreme
            heat and said condition must be documented by a physician. Medical
            documentation may be in the form of written correspondence or prescription format
            clearly indicating the need for air conditioning from a physician. In circumstances
            where a client is deemed to be in a medical emergency and an air conditioner
            cannot be installed, the subgrantee should provide a fan.

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                                           Ch. 1 Pg. 18
                                       NO-HEAT EMERGENCY


Local Departments of Social Services are responsible for the administration of the “HEAP
Crisis Component”, the name OTDA uses for unsafe or inoperable heating emergencies. All
inoperable or unsafe heating emergencies which occur during the heating season must be
referred to the appropriate LDSS.

Eligible replacement/repair work must be completed within 72 hours by the LDSS or their
agent; applicant households may also be eligible for temporary relocation while the heating is
being restored or the heating appliance repaired/replaced.

Any client who attempts to apply to the weatherization assistance program due to a no-heat
emergency situation must be refused and told to apply to the LDSS for assistance. Once the
no-heat emergency situation is corrected, the client may then be considered eligible for
weatherization services.

During the heating season, when a weatherization subgrantee encounters an owner’s unsafe
or inoperable heating appliance in the course of performing an energy audit or at any time
during the weatherization process, the weatherization work must stop until the heating
appliance problem is rectified by the LDSS.

Agencies are encouraged to develop relationships with their local LDSS and to consider
bidding for LDSS no heat emergency heating appliance repair/replacement work performed
during the heating season. Administering this no heat emergency component on behalf of
the LDSS could facilitate completion of no-heat emergency work for weatherization clients.
Quality control of this work could be better managed if handled and coordinated properly with
the LDSS.

The following procedures must be followed if an unsafe heating appliance is encountered
during the heating season:

        The subgrantee must use the Health and Safety NotificationWarning (Form
         DHCRESB#15) by completing section 1 or 2 with as much information as possible.
         Once the form is completed, it must be signed by an authorized subgrantee
         representative and the building owner and a copy left with that owner. The
         subgrantee must advise the owner that they must apply in person to LDSS for this
         service.
        The subgrantee must then contact the LDSS HEAP liaison by phone to advise them
         that the owner has a crisis situation, they have been referred for the HEAP Crisis
         Component, and that a copy of the Health and Safety NotificationWarning will be
         faxed to the LDSS.
        A copy of the Health and Safety NotificationWarning must then be faxed to the LDSS
         along with a phone number where the owner can be contacted. If the owner is elderly,
         the Area Aging Agency should also be contacted and sent a copy of the form.
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        When an unsafe heating appliance is found during the course of subgrantee work in a
         rental building, the building owner must sign the form and be advised that
         weatherization work will be stopped until the situation is rectified by the owner. If a
         weatherization subgrantee makes arrangements for the heating work, that work must
         be fully covered by the owner’s investment and the owner’s work scope.
        Once the subgrantee receives notification that the heating work is completed,
         weatherization work can resume.

During portions of the year other than the heating season, when a weatherization subgrantee
encounters an unsafe or inoperable heating appliance in the course of performing an energy
audit or at any time during the weatherization process, the heating appliance may be
replaced.

Under no circumstances should a subgrantee weatherize a dwelling unit that has an unsafe
heating appliance since tightening the structure could exacerbate the unsafe condition. The
heating appliance must be dealt with prior to installing weatherization measures.

In all rental buildings, provision of a heating system in good working order is the responsibility
of the building owner pursuant to the following New York State Laws and Regulations:

      Real Property Law, § 235-b
      Multiple Residence Law, § 173
      Multiple Dwelling Law, § 79
      Uniform Fire Prevention and Building Code, (9 NYCRR 1245.1)
      State Sanitary Code, (10 NYCRR 21.20)

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                                            CHAPTER 7


The purpose of this chapter is to outline the processes involved in reporting units for
certification and for receiving payments, including a review of the reports and forms
necessary to complete this process.
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                                       ALLOWABLE EXPENDITURES


Allowable Expenditures

“Allowable expenditures” shall mean the total of all expenditures qualifying as “allowable
expenditures” in accordance with the terms and conditions of 10 CFR 440, 10 CFR 600, as
amended, the USDOE Final Rule, as amended, and the applicable subpart of the USDOE
Financial Assistance Rule and this Manual, and as properly documented as costs incurred on
eligible dwelling units in the subgrantee’s books and records.

Administrative Costs

“Administrative costs” shall mean those costs which a subgrantee incurs that are not in direct
support of the Weatherization Assistance Program but are necessary for the organization to
operate. Typical expenditures found in this category are wages and fringe benefits for
executive, accounting, and administrative personnel working on the program. Other typical
administration cost category expenditures are the payroll processing costs, costs to
administer health insurance programs, data processing costs, indirect costs as allowable
under this agreement and bank service fees. As with the other weatherization cost
categories, those costs applied to administration must be actual and allowable under the
applicable federal regulation.

Indirect Costs

Indirect cost will be an allowable expenditure only when written approval of the indirect cost
rate has been obtained by subgrantee from the subgrantee’s cognizant agency.

Leave Time

Allowable expenditures may include leave time and benefits earned only during the program
year provided that the subgrantee records its liability for leave time and benefits earned
during this program year and payable thereafter in accordance with the subgrantee’s board-
approved employee benefits/personnel written policies.

Program Support

Allowable program support expenditures may include items such as space, utilities,
telephone and similar costs that are directly attributable to program support personnel.

Transportation Costs

Transportation allowances shall be reimbursed in accordance with the subgrantee’s
established written policy, as approved by DHCR.
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Maintenance of Vehicles

Maintenance (including repairs) of weatherization vehicles shall be limited to $1,200 per
vehicle unless prior written approval of a higher amount is granted by DHCR.

Liability Insurance

Allowable liability insurance expenditures shall be the documented and allowable portion of
the total cost to acquire the liability insurance in accordance with the limits set forth
elsewhere in the PPM.

Financial Audit

Allowable financial audit expenditures shall be the documented and allowable portion of the
total cost of producing the audit required pursuant to this Manual.

Training and Technical Assistance

Allowable training and technical assistance expenditures shall include expenditures made in
accordance with the prior written approval by an authorized DHCR Regional Supervisor.

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                                       Ch. 1 Pg. 24
                               WEATHERIZATION DATA COLLECTION
                                  AND REPORTING DATABASE


The Weatherization Data Collection and Reporting Database is the subgrantee’s reporting
vehicle and payment mechanism. It is, therefore, incumbent upon the subgrantee to
maintain the accuracy and integrity of the database and to perform regular backups in case
of a system crash.

Complete and accurate data for all weatherized buildings and dwelling units
must be entered into the subgrantee's Weatherization Data Collection and Reporting
Database. Before a building or dwelling unit can be presented to DHCR for payment, the
subgrantee must:

        Qualify the building or dwelling unit.
        Designate the applicable Program year and contract number.
        Complete all work on the building or dwelling unit.
        Conduct a post inspection of the work performed.

For specific instructions in using the Weatherization Data Collection and Reporting Database,
refer to the Database User’s Guide.

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                                         Ch. 1 Pg. 25
                  CONSOLIDATED WEATHERIZATION STATUS REPORT


The Consolidated Weatherization Status Report (CWSR) is the subgrantee’s activity and
expenditure report to DHCR and is the basis for determining the amount of reimbursement
paid to the subgrantee.

The CWSR consists of three parts:

      Part I - Lists the buildings and units being presented
      Part II - Cumulative Financial Report (CFR)
      Part III - Cumulative program activity

The Database User’s Guide describes the process that must be followed to enter a CFR and
assign the CFR# and period end date to the buildings being presented for certification.

All subgrantees must submit, on a monthly basis, a payment request consisting of a CWSR
and a standard voucher. A payment request must be submitted even when there are no
buildings being presented. The CFR should report cumulative expenditures, plus accounts
payable and accruals for the program year, as of the last business day of the month.

The amounts reported on the CFR should be readily apparent in the subgrantee’s books and
records when the DHCR Field and Fiscal Representatives review these documents.

Within 30 days after the last day of each program year, a final payment request must be
submitted. This CWSR must include final expenditures identified and documented at this
time as well as any completed buildings not previously presented. The final payment request
should be submitted prior to completing the unaudited Financial Statements (UFS). A final                Formatted: Underline
CWFR should not be entered nor submitted after the UFS are due, nor should a final CWSR
be entered nor submitted that agrees with the Preliminary Closeout documents as issued by
DHCR. The only exception to this would be to send to DHCR any additional buildings to be
charged to the program year being closed out that have not been previously “presented.”

Lead clearance tests where required by DHCR must be placed in the building folder and
maintained by the subgrantee for inspection by DHCR. Also, NYC subgrantees must submit
written lead clearance test results to DHCR for all buildings tested before DHCR will issue
the final payment.


The amounts reported on the CFR should be readily apparent in the subgrantee’s books and
records when the Program and Fiscal Field Representatives review these documents.

Please refer to the payment request section of this chapter for instructions onfor submission
of the payment request.

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                                       PAYMENT REQUESTS


Electronic Payments

The NYS Office of the State Comptroller has issued guidelines for electronic payments. As
part of the guidelines, only one bank account may be designated for receipt of funds.
Contractors on special conditions, who want to enroll, must first discuss this option
 with their assigned DHCR Fiscal Representative. Copies of the guidelines may be obtained
from the assigned DHCR Fiscal Representative or from the Comptroller’s web site:
www.osc.state.ny.us/epayoved.

Standard Voucher

All payment requests must include a properly completed standard voucher. These are
available on the DHCR website at http://www.dhcr.state.ny.us by clicking on Community
Development then selecting Forms and choosing AC-92 Standard Voucher (Omnivore &
PDF) under the heading of Community Services Bureau Forms. The voucher is no longer
required in triplicate. This one page will suffice.

Monthly Payment Requests

A payment request consisting of a Consolidated Weatherization Status Report (CWSR) and
a standard voucher must be submitted on a monthly basis:

      1.    Follow the instructions for the submission of the monthly CWSR Report section of
            the new Database User’s Guide:

            a.       At the beginning of each month, insert a new CFR record in the database for
                     each Contract/Program Year. Enter the CFR period end date which should
                     normally be the last day of the previous month, enter the cumulative
                     expenditures as of the last day of the previous month by each budget category
                     chargeable to this Contract/Program Year, and enter other data as required.

            b.       Assign the CFR # and date to each building number that is to be presented on
                     this CWSR. Skip this step if there are no buildings being presented on this
                     CWSR.

            c.       Review Parts I, II, and III of this CWSR and make changes as necessary.

            d.       Export the CWSR to disk and label the disk with your Agency Code,
                     Contract/Program Year number, and CFR #. If you will be submitting the files
                     by e-mail make sure the subject line of the e-mail contains the information that
                     would normally be on the disk label. Files being submitted by e-mail must be
                     sent to wxdata@dhcr.state.ny.us
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            e.       Print Parts I, II, and III of the CWSR.
                     Note: The printing of these reports must be done after the files are exported
                     to ensure that what is on the printed copy is what is contained in the files. The
                     printed copy of the CWSR will then include the date the export was done.
                     CWSR’s received without a “Sent to DHCRESB” date will not be accepted.

                     Part I of any CWSR that has no buildings being presented will be blank and
                     the “Sent to DHCRESB” date will not be printed (on this Part of the CWSR
                     only). This is acceptable.

                     Until at least one building has been presented, the bottom portion of Part III of
                     the CWSR will be blank. This also is acceptable.

      2.    Parts II of the CWSR must be signed by your Fiscal Director. Part III of the CWSR
            must be signed by your Weatherization Director or Executive Director.

      3.    A Standard Voucher should be completed. In the body of the voucher enter the
            following: “Payment Requested in accordance with attached CWSR and
            CFR#____.” Use the actual CFR number being submitted. Do not enter any
            amounts on the voucher. The Standard Voucher should be signed by the proper
            authorized agency representative.

      4.    Submit the original of the signed Standard Voucher, the signed CWSR and the disk
            containing the export files or a copy of the e-mail to: DHCR Weatherization
            Reporting Unit, 38-40 State Street, Albany, NY 12207.

      5.    Send a copy of the CWSR to your DHCR r weatherization program field
            representative and keep a copy on file as part of your records.

Final Payment Request

The final payment request for a program year consisting of the CWSR and the standard
voucher should be submitted within 30 days after the program year end date. This payment
request should be completed and submitted in the same manner as the monthly payment
request with the following exceptions:

      1.    The CFR period end date should be the program year end date; and,

      2.    All three parts of the CWSR should be marked “final.”

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                                        ADVANCE


An advance payment not to exceed 15% of each program year allocation may be paid
following the approval on the initial Appendix B for each program year. No additional
advance will be provided if a program year allocation is increased during a program year.

A standard voucher is required in order to process this payment. Instructions for completing
and submitting the voucher will be included with the instructions for completing the contract
or budget package for each program year.

Please refer to the payment request section of this chapter for information on how to obtain
the standard voucher.

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                                       REIMBURSEMENTS


The reimbursement process is based on allowable expenditures made by the subgrantee
and the rate of production. Please refer to the allowable expenditures section of this chapter
for a description of expenditures chargeable to this contract.

General Information

When the request for payment is received by DHCR, it will be reviewed for completeness,
accuracy, desk audited against the terms of the contract, and adjusted, if necessary, based
on the program field visit findings of the DHCR Field Representative and/or Fiscal
Representative. In addition, the subgrantee’s production will be evaluated against its
production schedule, and the level of payment may be adjusted accordingly.

The CWSR compares actual production claimed by the subgrantee with the latest approved
production schedule in the relevant program year. As a result of that comparison, DHCR will
recommend a payment level based on the percentage of completion as compared to the
goals set forth by the subgrantee.

CWSR Error Report

Any payment request received by DHCR that is not completed and submitted in accordance
with the instructions in the payment request section of this chapter will result in notification to
the subgrantee in the form of a CWSR Error Report which will be sent by e-mail to the
subgrantee. Depending on the error(s), this could cause a HOLD on the payment.

Corrections are to be sent to the same address as the original submission. If the corrections
are not received within ten working days a “zero payment” will be processed.

Budget Adjustments to Cumulative Expenditures

The cumulative expenditures reported on the Cumulative Financial Report (CFR) are subject
to the following adjustments:

1.    Adjustments will be made for any training and technical assistance, administration, and
      capital purchases expenditures that exceed the last approved budget for that program
      year; and,

2.    Adjustments will be made as necessary so that the adjusted cumulative expenditures do
      not exceed the last approved program year allocation.
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Production Adjustments to Cumulative Expenditures

The cumulative expenditures reported on the CFR are subject to the following adjustments:

1.    In cases where the subgrantee’s production is 80 percent or more of the production
      schedule, no production adjustment will be applied to the cumulative expenditures.

2.    If the production is less than 80 percent of the projection schedule, the cumulative
      expenditures may be reduced by the same percentage that the subgrantee’s production
      falls below 80 percent. For example, if the production is 75 percent of production
      schedule (5 percent less than minimum) the cumulative expenditures may be reduced by
      the same percentage.

3.    In the event that production is below 80 percent and there are extenuating circumstances
      beyond the subgrantee’s control which can be documented, and where such
      circumstances reasonably appear to be affecting production, the DHCR Regional
      Supervisor will recommend the level of cumulative expenditures to be allowed in
      calculation of this payment. The DHCR Field Representative may provide comments
      and a recommendation for payment based on the CWSR and other relevant information.
      The following criteria should be used in making the recommendation:

      a.    Units in Progress

            These are units that have been substantially completed or an individual
            subcontractor’s portion of the work has been completed but units are not certifiable
            because of demonstrable delays caused by owners, vendors or other
            subcontractors. Note: Subgrantees are to enter the building data in the database
            including a cost measures record for each building that has materials installed, so
            that this information is listed on Part III of the CWSR as in progress buildings, units
            and costs; and,

      b.    Delays

            Delays in the work that are deemed by DHCR to be excusable under the
            weatherization contract. Relevant documentation must be provided by the
            subgrantee at the time a payment claim is made.

Payment Amount

The payment amount shall be the adjusted cumulative expenditures plus the maximum
allowable advance, less total payments to date. However, in no event shall the total of all
payments, including this payment amount, exceed the program year allocation.

1.    The maximum allowable advance shall be calculated as follows: (a) if the CWSR is for a
      period that ends two months or more prior to the last day of the program year, the
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      maximum allowable advance shall be the actual advance paid; (b) if the CWSR is for the
      period that ends in the month preceding the month the program year ends, the maximum
      allowable advance shall be 50% of the actual advance; and, (c) if the CWSR is for the
      period that coincides with the last month of the program year, no advance is allowed.

2.    Total payments to date shall include all reimbursements, the advance, and any set-offs.
2.                                                                                                         Formatted: Indent: Left: 0", First line: 0"
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3.    No payment will be issued if a final CWSR for any program year has a “Sent to ERSB”
      date printed on the CWSR that is not prior to the due date for the Unaudited Financial               Formatted: Bullets and Numbering

      Statements for that program year.

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Payment Adjustments

DHCR reserves the right to make payment adjustments in accordance with Appendix C of
the weatherization contract.

Withholding Payment

DHCR reserves the right to withhold payments in accordance with Appendix C of the
weatherization contract and the PPM chapters 6 and 7.

Cash Balance Review

DHCR reserves the right to periodically review contractor’s actual cash balance of funds
received pursuant to this Manual, to evaluate such cash balances in accordance with 10 CFR
600, Subpart B, section 600.122, and to take such remedial action as reasonably necessary,
which may include reducing payments due under this Manual.

Disallowed Program Income Expenditures

Program Income expended in any manner which is inconsistent with the policies and
procedures shall be disallowed. DHCR reserves the right to deduct any disallowed program
income expended from any payments due and owing from this agreement.

Non-Reimbursement                                                Table of Contents                         Formatted: No underline


1.    DHCR shall not reimburse for any claimed expenditures for third party claims against the
      contractor and/or any of its subcontractors, suppliers or their agents or employees or for
      any claims by subcontractors or suppliers against DHCR for labor, materials, or
      equipment furnished to the contractor.


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2.    DHCR shall not reimburse for any claimed expenditures which it finds to be based on a
      misrepresentation of material fact including, without limitation, work not in fact performed
      or materials not in fact supplied or incorporated in the work. Such misrepresentation
      shall also constitute an Event of Default.

3.    DHCR shall not reimburse for any claimed expenditures, notwithstanding such
      expenditures that may be otherwise allowable and expended on an eligible dwelling unit,
      for work performed in less than a workmanlike manner or defective and not remedied, for
      materials installed which are not in conformity with the materials specifications set forth
      in 10 CFR 440, or otherwise defective or substandard and not replaced or repaired within
      a reasonable period of time after receiving a written notice from DHCR.

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                                         CLOSEOUT


Financial Reporting

Unaudited financial statements and audit reports must be submitted to DHCR in accordance
with Appendix C of the weatherization contract.

The following reports for the program year covered by the unaudited financial statements
must be run from the Weatherization Data Collection and Reporting Database and submitted
with the unaudited financial statements:

       In-Progress Report                                                                                Formatted: Bulleted + Level: 1 + Aligned at:
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       Building Certification and Inspection Report
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       Data Confirmation Report

NYS subgrantees must submit written lead clearance test results with the unaudited financial
statements.

Financial audits shall be submitted within thirty calendar days following the completion of the
financial audit, but no later than nine months after the end of the fiscal year being audited.

The unaudited financial statements and audit reports will be used as the basis for the
contract closeout.

Audit Conferences

Subgrantees shall schedule audit entrance and exit conferences with its auditors and shall
provide DHCR with written notice of such conferences at least fifteen business days prior to
each conference.

Preliminary Closeout

Upon receipt of the unaudited fnancial statements for a program year, DHCR shall review the
statements and all relevant records in accordance with all terms and conditions of this
Manual.

DHCR will review and may disallow expenditures claimed for administration for any program
year, to the extent such expenditures represent a higher percentage of allowable
expenditures than that represented by the last approved budget amount for administration
appearing in the Appendix B for that program year.

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Based upon this review:

        DHCR shall make a preliminary determination as to additional payments due, or
         monies owed DHCR as a result of unexpended cash receipts, disallowed costs,
         adjustments for units completed, and materials inventory.

        The subgrantee shall be notified in writing as to the result of this review and the
         preliminary determination.

        If as the result of such review there is an additional amount payable, DHCR will initiate
         payments concurrent with the issuance of the written notice.

        If monies are owed to DHCR, this amount will be set off by deducting any monies
         owed to DHCR from any payments due pursuant to other program years or any other
         agreements between the subgrantee and DHCR.


        In the event that no current agreement is in effect between the subgrantee and DHCR,
         the monies will be due and payable to DHCR upon receipt of a written demand by
         DHCR for return of the monies owed DHCR.

        Failure of the subgrantee to submit the unaudited financial statements for any program
         year, in accordance with the terms of the weatherization contract, will result in a
         determination of allowable costs based upon the most current information and records
         on file with DHCR.

        A fiscal review will be conducted to reconcile any unaudited financial statements to the
         contractor’s books and records. Any adjustments to the preliminary determination of
         allowable costs will result in an additional payment or set-off which shall be processed
         in the same manner as described above.

Audit Resolution Process

Upon receipt of an audit report covering any program years of the weatherization contract, a
final determination of allowable expenditures for each program year will be made in
accordance with all other terms and conditions of this Manual, the weatherization contract,
and the following:

        DHCR shall issue an Audit Review Report which contains such final determination of
         allowable expenditures for each program year covered by the audit within a
         reasonable time subsequent to submission of the audit report.

        The subgrantee shall have 30 calendar days after receipt of the Audit Review Report
         to object in writing to such report. DHCR shall respond in writing to such objection.

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        The subgrantee will be allowed 30 calendar days after receipt of the DHCR written
         response to request an audit resolution conference.

        Where an audit resolution conference is requested, DHCR will issue a final resolution
         within 30 calendar days after an audit resolution conference is completed. The
         subgrantee will have 30 calendar days after receipt of this final resolution to request a
         hearing.

        Upon completion of the audit resolution process, additional reimbursement or set-off,
         as described elsewhere in this section, or demand for return of monies owed DHCR,
         shall be executed in the same manner as set forth above.


Delinquent Audits

In the event that the audit is not submitted within the required nine month period, a final
determination of allowable expenditures shall be made upon receipt of the delinquent audit.
Based upon this determination, set-off, or demand for return of monies owed DHCR shall be
executed in the same manner as set forth above. However, except for instances of
excusable delay and as approved by DHCR, claims for additional reimbursement shall not be
honored.

Final Closeout

Receipt of the audit review report and/or completion of the process shall constitute final
closeout of the contract. However, this does not prohibit or restrict DHCR, the State of New
York or the USDOE from further action.

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                                       BUILDING CERTIFICATION


After the Consolidated Weatherization Status Report has been processed, a copy will be sent
to the DHCR Regional Supervisor who will then assign a DHCR Field Representative to visit
the subgrantee to obtain a copy of the subgrantee’s latest CWSR. In order to verify that the
buildings presented are complete, the DHCR Field Representative may use the subgrantee’s
copy but only after it has been verified by DHCR.

At each certification visit, a subgrantee staff member familiar with the computer system must
be available to provide access to the weatherization data files. The DHCR Field
Representative will review a representative sampling of client file folders, and conduct on-site
inspections. The subgrantee must maintain a post-inspection log which must be presented
upon request by the DHCR Field Representative. The DHCR Field Representative will also
review a selected number of computer files, including those for buildings which were on-site
inspected, to ensure that the data is consistent with the file folders for those units.

If the DHCR Field Representative finds a unit to be seriously deficient in any way, the unit will
be disallowed until the deficiency is corrected, and the costs associated with such unit(s) will
be deducted from the subgrantee's total contract amount. The total allowable expenditures
under the contract will be reduced until the DHCR Field Representative is satisfied that the
unit has been properly completed.

Using the WAP Database User’s Manual, the DHCR Field Representative will update the
subgrantee system by entering the certification and inspection dates and exporting the files
to a blank disk to be supplied by the subgrantee. The disk is to be labeled with the agency
code, contract number, program year, and certification date. The Field Representative will
then print the Building Certification and Inspection Report, Part I of the CWSR, and the In-
Progress Report to verify the system was updated correctly and to provide other relevant
information. Copies of these reports will be provided to the subgrantee.

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                    CHANGES TO BUILDING DATA SENT TO ESBDHCR


For any changes to the first four tab pages of the building window for buildings that have
been “Sent to DHCRESB” the subgrantee is to print the screen. This print screen document
should have the changes identified by use of a colored marker or pen. These changes are to
be kept by the subgrantee.

A process is being developed for changing the data in both the subgrantee and central
database which will require a revision to the subgrantee database system. Once this is
completed, a WAP Program Memorandum will be issued with further instructions.

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                                       SOURCE DOCUMENTATION


When it becomes necessary to change source documentation in the program and fiscal files,
after the building or unit has been certified, the following steps are required to ensure the
appropriateness of this transaction.

        All documents originally presented for certification and the updated information must
         be kept on file. Documents that have been replaced should never be destroyed. The
         replaced documents should be marked “VOID” and maintained in the file.
        The subgrantee must identify the changes required to the building data sent to
         DHCRESB in accordance with the previous section of this chapter. All other records
         affected by this document change must also be updated, including but not limited to:
         owner investment, program income and fiscal records.
        The complete file and the changes must be presented to the DHCR Field Program
         Representative and Fiscal Representative for review and approval.

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                           WEATHERIZATION MATERIALS WRITE-OFF


Materials purchased using Weatherization funds that are later determined to be damaged
and/or obsolete must be recorded on the Materials Write-Off (Form DHCRESB#32). The
steps to be followed include, but are not limited to:

        The subgrantee should present the materials in question to the DHCR Field
         Representative to determine whether the materials are damaged and/or obsolete, or
         can be utilized by the subgrantee or other subgrantees for weatherization purposes. If
         the DHCR Field Representative determines the materials to be damaged and/or
         obsolete, the Weatherization Materials Write-Off should be completed. If the materials
         can be utilized by the subgrantee, the materials must be used by the end of the next
         program year. If the materials can be utilized by other subgrantees, arrangements for
         the transfer must be made.
        A description of the materials as well as the quantity and cost should be indicated on
         the Weatherization Materials Write-off. A DHCR Fiscal Representative will verify the
         cost of such materials based upon the purchase price. Signatures and the date of
         confirmation should be obtained from the DHCR FieldProgram and Fiscal
         Representative.
        The final disposition of materials must be witnessed by either the DHCR Field or
         Fiscal Representative. At that time, the date of disposition should be attested to in
         writing by both the Subgrantee’s Weatherization Director and either the DHCR Field or
         Fiscal Representative.

All information requested on the Weatherization Materials Write-Off must be completed in full
before the actual disposition of the materials. Any action taken outside of the steps listed
above will constitute an act of contract noncompliance.



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                                       CONFIRMATION REPORTS

A confirmation Report may be generated periodically by the DHCR field representative and
discussed with the subgrantee. Discrepancies should be discussed and resolved.


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    A Confirmation Report may be generated periodically by DHCR and discussed with the                 Formatted: Centered
    subgrantee. During the closeout period, Confirmation Reports may be generated more
      frequently. Subgrantees may request a confirmation report by contacting their Field
     Representative. The DHCR Field Representative should compare their records to the
             Confirmation Report and advise the subgrantee of any discrepancies.




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how they are implemented in New York State are also covered in this Chapter. The objective of   Left + 12", Left + 12.5", Left + 13", Left
the procurement process is to obtain needed services, goods and materials at the lowest
possible price, consistent with quality and delivery requirements.


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                            PROCUREMENT PROCEDURES


All subgrantees must establish written procurement procedures that implement the requirements
of this chapter and all applicable State and Federal requirements and result in procurement
transactions that provide, to the maximum extent practical, open and free competition.

With the exception of the specific requirements and limitations set forth in this chapter, not-for-
profit entities must follow the procedures in 10 CFR Part 600 Subpart B, Section 600.140
through 600.149 and governmental entities must follow the procedures in 10 CFR Part 600
Subpart C, Section 600.236 and applicable sections of the New York State General Municipal
Law. In some circumstances, competitive negotiation may be the more appropriate
procurement process. The DHCR Fiscal Representative will provide information on this
process.

Procurement of professional services must also follow specific procedures. Professional
services include those services rendered by a person(s) who possess specialized skills and are
not officers or employees of the organization. These services include, but are not limited to
consulting for: accounting, auditing, computer, and legal. Appropriate documentation must be
maintained for review by a DHCR Field Representative. If the estimate for total professional
services for the WAP contract year exceeds $5,000, a full competitive bid process must be
undertaken.

In the event that DHCR determines that a subgrantee’s procurement procedures are not in
compliance with this chapter the subgrantee may be required to implement additional, specific
procedures deemed reasonable and necessary for compliance.


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                    CONTRACTUAL BIDDING REQUIREMENTS


In order to obtain the highest quality products at the lowest possible price, Federal and State
regulations set forth bidding requirements for the acquisition of the following products for each
annual budget period:

      Weatherization Materials: Includes all materials identified each Program year in the bid
       specifications.
      Weatherization Equipment: Includes all equipment specified in the Statewide bid process
       for weatherization equipment.
      Energy Efficient Lighting Materials: Includes all screw-in and hard-wired lighting
       materials included in the Statewide bid process for these types of materials.

The competitive bid process requires the following components:

      Development of specifications;
      Advertisement of bid offering;
      Solicitation of bid submission;
      Compilation of bids;
      Analysis of responsible bidder and bids; and,
      Award to successful responsible lowest bidder.

In addition, DHCR has established a Statewide bid process for certain materials and equipment
that are commonly used in the Program. Use of this process will produce consistently lower
prices on higher quality materials and equipment. The Statewide bid process also provides the
subgrantee with a bid process that fully satisfies the first four components of the competitive bid
process requirements, and the technical analysis is considered complete for items awarded
from the Statewide bid process. The subgrantee maintains the right and responsibility to review
and analyze the bids and, then, make the award. This may save the subgrantee the time and
funds necessary to bid for these items individually. In addition, the subgrantee can be assured
that materials purchased under this process meet all Federal and State technical and quality
assurance requirements.

A subgrantee is required to notify DHCR during each annual budget period on the Bid
Notification (Form DHCRESB#22) within 30 days of the effective date of bids as to whether or
not it is going to adopt the statewide bids. In cases where the Statewide bids are not going to
be used, the subgrantee is required to provide an acceptable explanation and written
justification. Bid awards for materials, equipment and lighting materials that are otherwise
included in the Statewide bid process must also be compared to the Statewide bid list. If the
subgrantee fax machine is being used as part of the bid solicitation process, the fax transcript
must be part of the documentation files for the solicitation period.

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Use of Statewide Process:

A subgrantee may purchase products from the low bidder on the Statewide list for its region
without further justification. In order to exercise the right to purchase in accordance with this
approved process a subgrantee must complete the Bid Notification (Form DHCRESB#22). This
will enable the authorized agent to notify the appropriate vendor or vendors of the award action
and the subgrantee’s intent to purchase at the regional bid price.

The DHCR Fiscal Representative and DHCR Field Representative will accept a copy of the Bid
Notification as documentation of the bid process.

If other than the low bidder on the Statewide list is used, the subgrantee must have an
acceptable justification on file for not choosing the low bidder for their region and indicate those
reasons on the Bid Notification. Upon request of this form, the authorized agent must notify
those vendors not selected giving the reason(s) for selection of other than the low bidder.

Local Formal Bid Solicitation:

A subgrantee that does not use the Statewide process must complete the entire bid process and
cannot solicit vendors on the Statewide list for those items since their bids are already on
record. The subgrantee is specifically precluded, under penalty of breach of contract, from
advising vendors who have not submitted bids in the Statewide bid process of the regional bid
prices attendant to that process.

When compiling and analyzing the bids received, the subgrantee must include in the analysis,
the Statewide bids for the appropriate region and product. When other than the low bidder on
all bids received including the Statewide list is chosen; acceptable, written justification must be
on file for not buying from each lower bidder.

The following are the requirements, as indicated in the current weatherization contract, for local,
formal bid solicitation. When the Statewide bid process is used, local, formal bids are not
required for items included in that process. Bids must be obtained prior to the commencement
of the work for each annual budget period:

      Materials or labor purchases that are $5,000 or more in the aggregate over the duration
       of each annual budget periodthe contract.
      Materials otherwise included in and available through the Statewide bid process.
      Subcontracting of labor and/or materials regardless of the total aggregate amount over
       the duration of each annual budget periodthis agreement.
      Cleaning and tuning of heating plants.
      Replacement of furnace or boiler.
      Incidental repairs and minor repairs to furnaces and/or boilers in the amount of $5,000 or
       more in the aggregate over the duration of each annual budget period..
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All purchase procedures are subject to review by DHCR and must be in compliance with the
requirements listed in this chapter and procedural memos issued by DHCR. DHCR reserves
the right to require a copy of the bid packages for its review and approval.
Acceptable Justification For Selection of Other Than Low Bidder:

The subgrantee must be familiar with 10 CFR Part 600 Financial Assistance Rules, which fully
describe the procurement process that must be adhered to under DHCR contracts. In these
regulations, the subgrantee is required to maintain records sufficient to detail the significant
history of procurement. Therefore, failure to use a low bidder must be based on documentation
that the bidder is not responsible or has not been responsive, thereby creating a financial or
operational hardship.

For example, a record showing that a particular bidder could not deliver in a timely manner and,
therefore, delayed production on the contract could be considered an acceptable justification.
On the other hand, Part 600 specifically prohibits subgrantees from making a bidder selection
based on certain criteria, e.g., selecting a bidder because that bidder is local.


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                            BID SPECIFICATIONS CONTENT


The bid specifications must state everything that the subgrantee will require of the bidders.
Ambiguity or failure to list details in the specification may make the subgrantee's task of
awarding bids more difficult and time consuming, may give a rejected bidder grounds to appeal
the subgrantee's decision, and may result in a disallowed cost finding by DHCR.

Following are some common items which should be included in the specifications:

Time Frame:

       Submission of bids
       Starting and completing work
       Delivery of materials
       Bid prices to remain in effect
       Level of progress, or completion date for work in-progress by a contractor as a condition
        of eligibility to bid on new contracts
       Trial or probationary period for new contractors (to enable subgrantee to evaluate quality
        of work)
       Correction of deficiencies in labor or materials
       Continuation of bid process should materials price fluctuate significantly

Materials:

       Quantity
       Minimum quality standards
       Special delivery requirements (e.g., if a bulk purchase is to be delivered in two or three
        installments at specified intervals, or delivered to job site instead of warehouse)
       Special requirements regarding color, design, removable parts, etc.
       Applicable warranty information, if any
                                                                                    Table of Contents   Formatted: Right
Other

       Minimum and/or maximum number of units or packages of units that are to be bid in the
        solicitation and whether all units will be awarded to the low bidder, or the units or
        packages of units will be awarded to several bidders.
       Cost breakouts should be stated in the specifications (e.g., labor/materials, unit/package,
        single item/bulk, etc.).

When preparing bid specifications, preference cannot be given to local vendors. Local vendors
must be competitive regarding delivery specifications, materials availability and similar criteria to
be awarded a bid. Bid specifications must not be written in such a way as to intentionally
exclude qualified bidders, e.g.,subgrantees may not specify a delivery time for commonly used
items that is so short that all but local vendors are excluded.

Bid specifications must not be written in such a manner as to reduce supply to a de facto sole
source, (e.g., specifications for a replacement heating appliance so specific that only one brand
qualifies, or by specifying one brand only). Bid packages must contain a Non-Collusive Bidding
(Form DHCRESB#24) to be signed and returned by each bidder.


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                             SOLICITATION - NEWSPAPER


Solicitation of bidders through newspaper advertisement is not required, however, it is a
recommended method for providing free and open competition. The following are suggested
guidelines for newspaper advertising in conjunction with solicitation procedures:

      Solicitation should be advertised in a newspaper(s) of general circulation at least once
       during each annual budget period for no less than three consecutive days with the bid
       opening held no less than five days after the first publication date.
      Advertisements for materials must contain a list of the requested materials, or indicate
       where and when a bidding form which lists the materials specifications may be obtained.
       The advertisement must have a closing date for the bid, and must state the date, time
       and location of the bid opening.
      Advertisements for unit quantities must contain a list of units that are available for bid and
       must indicate where and when specifications may be picked up. The advertisement must
       have a closing date for the bid, and must state the date, time and location of the bid
       opening.
      Advertisements for services must contain a specific description of the services, or
       indicate where and when such a description can be picked up. The advertisement must
       have a closing date for bid, and must state the date, time and location of the bid opening.
      Advertisements that seek subcontractors or vendors who wish to have their names
       appear on a list of qualified bidders must state whether an application is required, and
       state where and when it may be obtained.


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                        SOLICITATION - INVITATION TO BID


When the subgrantee uses a newspaper advertisement to develop a list of approved bidders
(subcontractors, vendors, materials suppliers, etc.), the subgrantee must send all bidders on
said list an Invitation to Bid letter and document that those were received. Documentation that
said letters were mailed must be in the file. Documentation may include Postal or other delivery
receipts or signatures by potential bidders picking up bid packages. The Invitation to Bid letter
must either contain the full specifications for the item being bid or indicate where and when the
specifications may be obtained. It must also include the date, time and place of the bid opening.

The subgrantee's bidder list must include the names of at least five bidders for each category
(materials, services, subcontracting, etc.) to be bid. If fewer than five bidders responded to the
newspaper solicitation, the subgrantee must obtain names from another source. Examples
include: other subgrantees (especially those in the same geographic area), energy publications,
telephone directory listings. National suppliers must be considered as well as local suppliers.

When any bidder on the list is not solicited, the subgrantee must submit written justification for
the elimination of that bidder. For example, contractor not available during the time frame
needed to complete the work or prior experience with contractor proved work to be inferior.

The bidder’s list must be established for each annual budget period. If the bidder’s list is being
updated, there should be an active list established at the start of each budget period this is
being updated.


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                                BIDDING PROCEDURES


Opening

When bids are received by the subgrantee, they must be date stamped, and placed unopened
in a secure place. Bid openings must be made public and bids opened at the time and place
specified in the solicitation for the bid opening, and bids should then be recorded on the
appropriate Bidding Summary (Form DHCRESB#25, DHCRESB#26, or DHCRESB#27). If the
subgrantee requires time for review, and the award is not made immediately, bidders should be
informed of the date when the award will be made. Bidders must be given written notification of
award, or rejection.

Bids must be awarded or rejected in the form in which they are opened unless, the subgrantee
has properly informed each bidder, in advance of bid submission, that specified items may be
deleted if the cost is too high. All bids to be awarded must contain a signed Non-Collusive
Bidding (Form DHCRESB#24).

The subgrantee must not modify a bid in any manner without properly notifying all actual and
potential bidders of any such special conditions. The subgrantee may reject all bids and re-bid
a modified package.

Evaluation

Bids received must be evaluated to determine the lowest responsible bidder. (The term
"responsible bidder" is defined as a bidder likely to do a faithful, conscientious job, and to
promptly and accurately fulfill the contract.) A determination must be made as to whether or not
the bids are responsible. In particular, qualifications affecting the general provisions,
specifications, price, delivery schedule, and other essential requirements of the bid invitation
should be examined. The low bidder's responsibility should be determined using all available
sources of information.

Bids should be examined and evaluated in the following manner:

         Note all errors/mistakes in the bids.
          a) When the error/mistake is minor (informality or irregularity), waive it or allow the
             bidder to either verify or correct his/her bid.
          b) When the error/mistake is obvious or apparent, have the bidder verify the bid and
             correct the bid.
          c) When the error/mistake is other than obvious or apparent, request evidence from
             the bidder, and refer the bid to the appropriate subgrantee authority for a decision.
         When a bidder involved fails to furnish evidence of an error/mistake and verifies his or
          her bid as submitted, consider the bid as submitted. Table of Contents
         When additional time is needed to resolve an error/mistake, request all bidders to
          extend their bid acceptance period.
         Note any qualifications affecting the general provisions, specifications, price, delivery
          schedules and other essential requirements.
Determine low bid(s) in the following manner:

      Consider price and other applicable cost factors such as, capacity of the bidder to deliver
       the goods and/or services and time constraints.
      Resolve equally low bids by applying small business and labor surplus area priorities, or
       use lot drawing.

Cancel the invitation to bid and reject all bids if cancellation and rejection are in the best
interests of the Program. If the procurement is to be re-advertised, make sure that the reason(s)
for canceling the Invitation to Bid are compelling. Evidence of collusion or bidding that is not in
good faith must be reported to the DHCR Field Representative.

Review

The subgrantee must keep all bidding records on file for review by the DHCR Field
Representative and the DHCR Fiscal Representative. DHCR reserves the right to request
copies of bid packages.

       Materials:
       The subgrantee must maintain a copy of the solicitation, copies of all bids received and a
       Material Bidding Summary (Form DHCRESB#27), indicating bidder acceptance, and the
       Subcontractor Agreement (Form DHCRESB#33).

       Unit:
       The subgrantee must maintain a copy of the solicitation, bidders package, Unit Bidding
       Summary (Form DHCRESB#25) and the Subcontractor Agreement. If the subgrantee
       has used a Bidders List, a copy of that list must, also, be available.

       Services:
       The subgrantee must maintain a copy of the solicitation, copies of all bids, Services
       Bidding Summary (Form DHCRESB#26), and the Subcontractor Agreement.

Awards

Bids must be awarded to the lowest responsible bidder. When a selected bidder is not the
lowest bidder, a written justification detailing why the bids of lesser amounts were rejected must
be part of the bidding records maintained by the subgrantee.

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Following bidder selection the subgrantee should follow the procedure listed below:

      Issue and furnish the successful bidder with a Notice of Award.
      Execute Notice of Award.
      Advise unsuccessful bidders, and include the name of the successful bidder. If
       requested, provide the following:
              a) the name and address of the successful bidder and the contract price.
             b) additional information explaining the award to any unsuccessful bidder whose
                 price was lower than the award.
             c) award information on procurement, but only to unsuccessful bidders, or to their
                 properly cleared representative.
      Avoid disclosure of any information that is proprietary or would provide competitive
       advantage.


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                                 PROTEST RESOLUTION


When a protest is made against a bid award, the subgrantee is responsible for receiving and
resolving protests using the following guidelines:

      Resolve all protests verbally or, if not possible, have the protesting party put their protest
       in writing.
      Withhold the award until the protest is resolved, unless prompt award is in the Program's
       interests.
      Send notice of the filing of the protest to those bidders whose bids might be eligible for
       award and obtain extension of acceptance time if necessary.
      Notify the protesting party promptly, in writing, of the final decision on his/her protest.


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                         SUBCONTRACTOR AGREEMENTS


If a subgrantee is not using the Subcontractor Agreement (Form DHCRESB#33), the
subgrantee's subcontractor agreement must have prior written approval from the DHCR DHCR
Regional Supervisor and must contain, at minimum, the following:

      Beginning date of each annual budget period.
      Ending date of each annual budget period.
      Total amount and method of compensation and compensation method.
      List of materials, number of items/units, and/or description of services.
      Cost of each material, item/unit, and/or service being suppled.
      Terms and conditions as required by State and Federal laws.

All subcontractor agreements must be signed by an authorized subgrantee representative on
behalf of the agency.


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                         STATE CONTRACT PURCHASING


In accordance with the New York State Office of General Services Purchasing Memorandum
CL-310, “any charitable organization maintaining its office and performing all or the predominant
part of its charitable services in a county of the State may make purchases from most
commodity contracts awarded by the New York State Office of General Services.”

A subgrantee who chooses to make purchases through a State contract is required to
demonstrate that the purchase price is competitive with the current price for the commodity
purchased. Documentation that proves a purchase price is competitive with the current market
price may include, but not be limited to, sale advertising flyers, newspaper advertising, and
written and verbal quotes from other vendors. This documentation must be kept on file with
other State contract documentation for all purchases made through State contracts.

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                                                                                                    Formatted: Centered
     A subgrantee who chooses to make purchases through a State contract is required to
  demonstrate that the purchase price is competitive with the current price for the commodity
purchased. Documentation that proves a purchase price is competitive with the current market
price may include, but not limited to, sale advertising flyers, newspaper advertising, and written
and verbal quotes from other vendors. This documentation must be kept on file with other State
            contract documentation for all purchases made through State contracts.
                                VEHICLE PURCHASE, USE

All subgrantee vehicle purchases , including lease purchases, are subject to competitive bidding
and require prior approval by both DHCR and USDOE regardless if purchased with federal
funds or program income.

Requests for vehicle purchase submitted to DHCR must include:

      Vehicle Purchases (Form DHCRESB#23);
      Copies of bid solicitation notices; and,
      Copies of all bids received, including a Non-Collusive Bidding (Form DHCRESB#24)
       completed by each bidder.

Note: All vehicle specifications must be generic enough to encourage competitive participation.
They cannot be manufacturer or brand name specific nor can they include only options or
combinations of options available from only one manufacturer or dealer.

The subgrantee will be notified of the vehicle purchase allocation upon approval by USDOE.

One Mileage Log per vehicle (Form DHCR ESB#34, or comparable) must be maintained by the
subgrantee on all vehicles purchased or leased with WAP related funds.

Vehicle Replacement Rotation:

Vehicles are an important part of the Weatherization Assistance Program whether for
transporting staff and materials, or conducting energy audits and pre/post inspections. A safe,
reliable vehicle is a necessity. However, as a result of maintaining a fleet, each subgrantee is
eventually faced with repair or replacement decisions. There comes a point when the cost to
repair may be prohibitive and replacement is warranted.

It is recommended that each subgrantee determine the planned obsolescence for each vehicle
in their fleet and establish a replacement rotation so as not to burden any one budget period,
especially with an unusually large number of vehicles to replace. For example, if you determine
a six year life for each vehicle in a fleet of three vehicles, you may purchase one vehicle every
two budget periods. Also, the cost of the vehicle may come out of two budget periods, one half
of the cost from each annual budget period. Leasing is another option to consider in lieu of
buying and may be the more cost effective alternative especially for the minimally funded
subgrantees.


When purchasing a vehicle, budget for it at the beginning of the annual budget period if at all
possible and take possession of it as soon as practicable. Present the justification for approval
as early in the annual budget period as possible. Avoid purchasing vehicles at the end of the
annual budget period. Delivery and possession of the vehicle after the end date of the annual
budget period may result in disallowed costs without approval for a budget extension and
needlessly complicates matters.
In keeping with the Weatherization Program mission of conserving energy, subgrantees are
strongly encouraged to purchase /lease alternative fueled vehicleshybrid vehicles if at all
possible.      Table of Contents
                             CLEAN BOILERS CONTRACTOR                                               Formatted: Centered, Tab stops: -0.75", Left
                                                                                                    + -0.5", Left + 0", Left + 0.5", Left + 0.75",
                                                                                                    Left + 1", Left + 2", Left + 2.5", Left + 3",
                                                                                                    Left + 3.5", Left + 4", Left + 4.5", Left + 5",
                                                                                                    Left + 5.5", Left + 6", Left + 6.5", Left + 7",
Clean Boilers Contractor Orientation for multifamily (five units and over) buildings is held each   Left + 7.5", Left + 8", Left + 8.5", Left + 9",
year in August. This orientation is for any heating contractor interested in bidding on major       Left + 9.5", Left + 10", Left + 10.5", Left +
                                                                                                    11", Left + 11.5", Left + 12", Left + 12.5",
heating work to be completed for the period that begins October 1 of the current year and ends      Left + 13", Left + Not at 3.44"
September 30 of the following year.

Contractors may contact DHCR to be placed on the waiting list for the next orientation.
Attendance at one of the sessions pre-qualifies a contractor to be eligible to receive a
Subgrantee Qualification Package which must be completed in order to be qualified to be on the
DHCR Master Bidders List.

The Master Bidders List will be sent to all weatherization subgrantees in the targeted areas with
the notation whether the subcontractor has submitted the Contractor Qualification (Form
DHCRESB#28). Only contractors who have submitted the Contractor Qualification will be sent
a list of all weatherization subgrantees requiring heating-system upgrade and/or replacement
work in multifamily buildings.

The heating contractor must notify the subgrantee and request that he/she be placed on the
subgrantee's Qualified Bidders List. Subgrantees are required to evaluate each contractor
during the annual budget period. If a contractor is in default, supporting documentation must be
provided to DHCR so that appropriate action can be taken to remove that contractor from the
Master Bidder's List. A subgrantee may choose to impose additional requirements on the
contractor.

Bid Solicitation

A letter of bid solicitation to contractors must include, but not be limited to, the following:

      Date and time period to pick up the bid specifications and conditions from the subgrantee
       location. Packages not picked up, must be mailed certified, with return receipt. Pickup
       sheet or proof of mailing is required.
      Date, place and time of pre-bid conference. Indicate the start and ending times, if
       applicable, cut-off arrival time.
      Statement that attendance at the pre-bid conference is a prerequisite to submitting a bid.

The subgrantee must identify contractors for placement on their Bidders List and develop
comprehensive bid specifications for work to be done.

Pre-bid conferences must be held on-site at the relevant buildings. Attendance at a pre-bid
conference is mandatory for any contractor who wishes to bid on work at that specific site. The
subgrantee may encourage building owners to attend these pre-bid conferences.
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Pre-Bid Conferences

Pre-bid conferences must start on time, and a Subgrantee may indicate cut-off arrival time after
which contractors will not be permitted to participate. A Sign-In sheet for attendees is required.

When the specifications are changed as a result of this conference, all attending contractors
must be apprized in writing of these changes and all changes must be attached and/or amended
to the specifications as part of the building file. Sufficient time should be allocated for
contractors to respond to any changes that may occur as a result of the pre-bid conference.
Attendees must be informed of date bids are due, including place and time of bid opening.

Bid Award

Bids must be awarded to the lowest, responsible bidder who meets the qualifications
for the work to be completed.

Review and Evaluation

Every contractor must have a representative (ideally the person who attended the Clean Boilers
Orientation) of his/her firm, in attendance during the review and evaluation of the first two boiler
jobs completed for any subgrantee. DHCR or its designated representative will also attend this
review. In addition, the designated heating specialist responsible for all inspections of this work
will attend.

When a contractor does not meet the quality control standards or fails to make no-cost
corrections as required after being properly notified in writing of deficiencies, said contractor will
be subject to removal from the subgrantee's list. Depending on the extent of the deficiency, the
contractor may be subject to removal from the Master Bidders List.

If a contractor is removed from the Master Bidders List, said contractor will also be removed
from all subgrantees’ qualified bidders lists and must be pre-qualified again. DHCR reserves
the right to remove a contractor for cause if it can be demonstrated that the contractor has not
acted in good faith as it relates to the expenditure of public funds.

If a contractor does not respond to at least three bid solicitations of a subgrantee during the
Program year, the contractor may be removed from the subgrantee's Qualified Bidders List.

At least two installations of each prospective heating contractor will be evaluated with the
designated heating specialist to determine work quality of the contractor and post
inspection/quality control techniques for the subgrantee’s personnel.

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                             COMPETITIVE NEGOTIATION


In competitive negotiation, proposals are requested from a number of sources and a Request for
Proposal (RFP) is publicized. Negotiations are usually conducted with more than one of the
sources submitting offers, and either a fixed-price or cost-reimbursable type contract is
awarded, as appropriate. Competitive negotiation may be used if conditions are not appropriate
for the use of formal solicitation of bidders. If competitive negotiation is used for a procurement,
the following requirements apply:

      Proposals must be solicited from an adequate number of qualified sources to permit
       reasonable competition consistent with the nature and requirements of the procurement.
       The RFP must be publicized and reasonable requests by other sources to compete must
       be honored to the maximum extent practicable.
      RFP must identify all significant evaluation factors, including price or cost where required
       and the relative importance of each.
      Mechanisms must be set up by the subgrantee for technical evaluation of the proposals
       received, determination of responsible bidders for the purpose of written or verbal
       discussions, and selection of contract award.

An award may be made to the responsible bidder whose proposal will be most advantageous,
with price and other factors considered. Unsuccessful bidders should be notified promptly.

A subgrantee may also use competitive negotiation procedures for procurement of architectural/
engineering professional services, whereby competitors' qualifications are evaluated and the
most qualified competitors are selected, subject to negotiation of fair and reasonable
compensation.

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                         CAPITAL EQUIPMENT PURCHASE


All equipment purchases exceeding $2,500 per item will be considered capital equipment
purchases and must be approved by the DHCR Regional Supervisor. These purchases will be
reviewed either as a part of the annual budget approval process at the start of a program year,
or during the course of the annual budget period.

Authorization for equipment purchases qualifies those items for reimbursement from Budget
Line H (Capital Equipment) of the WAP Contract Appendix B, which precludes the total costs of
these purchases from being included in the contractual cost per unit.

When reviewing a capital equipment request, DHCR will consider the necessity of the
equipment, the ability of subgrantee’s personnel to use the equipment properly, and the
reasonableness of the request.

Those capital equipment purchase requests submitted during the last two months of the annual
budget period utilizing unexpended program funds will be reviewed in accordance with the
above criteria and the following conditions apply:

      Unexpended balances cannot be due to under investment in weatherization services
       across a number of units.
      Expected costs for the equipment purchase must be absorbed within contract, cost-per-
       unit constraints.
      Signed Prior Approval (Form DHCRESB#20) must be on file and all relevant procurement
       standards met.
      Budget amendment is required if costs must be shifted to the Capital Equipment Budget
       Line H and a signed Prior Approval (Form DHCRESB#20) must be submitted.


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                       NON-COMPETITIVE PROCUREMENT


When procurement is based on non-competitive methods, the following guidelines apply:

      Purchaser is required to use good judgement for all procurement of five hundred dollars
       ($500) or less.
      Minimum of three quotations must be obtained for purchases of more than $500 but less
       than $2,000 in aggregate, quotations may be verbal or written).
      Minimum of three written quotations must be obtained for purchases of $2,000 or more in
       aggregate, or up to $5,000 over the duration of each annual budget periodlife of the
       contract.
      Subgrantee, in consultation with the DHCR Field Representative, may issue a Request
       for Proposals for any procurement that is not required to be competitively bid.

These procurement procedures for non-competitive purchases are for use only when
competitive bidding is not required, and cannot be used in place of competitive bidding.


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                         PROCUREMENT DOCUMENTATION


Adequate documentation of actions taken in connection with each method of procurement is
required as follows:

      For purchases of $500 or less, no procurement documentation is required.
      For written quotations (fax quotations must be followed up with a signed original), the
       vendor must provide at least the following information: name and address of the vendor,
       date of the quotation, description of the item or details of the service to be provided, price
       quoted, and name of contact. (Written quotations must be placed in the subgrantee’s
       files.)

When a Request for Proposals is used, the minimum acceptable documentation must include:

      Copy of RFP issued
      Statement of how firms to be solicited were identified
      List of firms solicited
      Copy of the newspaper ad (where applicable)
      Proposals received
      Criteria for evaluation of the proposals
      Evaluations of the proposals


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                          FAIR-MARKET VALUE PRICE LIST


Subgrantees purchasing their own materials must develop a list of all commonly used
weatherization materials. This list must conform with the approved specifications for each
material.

        Subgrantees must then establish a fair-market value price for each of these materials in
         the subgrantee's area of the State. These prices must be obtained by surveying a
         minimum of three vendors to obtain an average price for these materials in the
         quantities usually purchased. Subgrantees are required to document this survey by
         keeping a list of vendors contacted, the date of each bid and the quoted prices
         received. This list must be updated at least once during the annual budget period.

        This fair-market value price list and documentation must be kept on file by the
         subgrantee and used when material bids are solicited. Bids must be awarded to the
         lowest, responsible bidder as long as the material prices do not exceed the fair market
         value price.

Subgrantees subcontracting material and labor must also establish a fair market value price list
in the same manner as described above. The fair market value price list and documentation
must be kept on file by the subgrantee and used for the following purposes:

        Soliciting bids for work on units. The contractor’s material and labor prices must be in
         line with the subgrantee’s fair market value price list. Bids containing excessive
         materials and labor costs must be rejected.

        Awarding of bids. Bids must be awarded to the lowest responsible bidder.

        Checking subcontractors' invoices to ensure that the total of actual materials installed
         for any particular unit or package of units does not exceed the fair-market.

DHCR will monitor subgrantees for compliance with the fair-market value evaluation and provide
any assistance necessary.

The fair market value price list must be established for each annual budget period and updated
as necessary, based on applicable information received during the prior program or budget
period.

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                               TOOLS AND EQUIPMENT


When purchasing or disposing of tools or equipment (including office equipment and computers)
with a value of $1,000 or more per item, the subgrantee must submit an Acquisition/Disposal
Report (Form DHCRESB#31) to DHCR within thirty days of receipt or disposition of the item.

In accordance with 10 CFR Part 600, Financial Assistance Rules, Subpart B, Section 600.137,
“property or equipment acquired or improved with Federal funds must be held in trust by the
recipient as trustee for the beneficiaries of the project or program under which the property was
acquired or improved. Recipients must record liens or other appropriate notices of record to
indicate that personal or real property has been acquired or improved with Federal funds and
that use and disposition conditions apply to the property.”

Subgrantees must maintain an updated tools and equipment inventory which is consistent with
the information submitted with a contract budget on the WAP data base.

Theft of WAP purchased tools and equipment along with any accidents with WAP purchased
vehicles must be reported to the proper authorities. A copy of the applicable report must be
given to the DHCR Fiscal Representative along with all necessary insurance information.

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                                        FORMS LIST
                                 Click on # to jump to that form                   Formatted: Font: 11 pt
DHCR #1 – Program Income Expenditure Plan
DHCR #2 – Affidavit of Damage
DHCR #3 – Personal Privacy Protection Law Provisions
DHCR #4 – Weatherization Application
DHCR #5A – Energy Information – A
DHCR #5B – Multi-Family Building Energy Information – B
DHCR #6 – Permission to Enter Building
DHCR #7 – Owner Investment
DHCR #8 – Owner Agreement 1-4 Units
DHCR #9 – Tenant Synopsis of the Owner Agreement
DHCR #10 – Owner Agreement Multi-Family
DHCR #11 – Client Questionnaire
DHCR #12 – Indoor Air Quality Tests
DHCR #13 – Fee for Service Worksheet
DHCR #14 – Multi-Family Indoor Air Quality Tests
DHCR #15 – Health and Safety Notification
DHCR #16 – Justification for Heating Appliance Replacement
DHCR #17 – Building Cost/Performance Report
DHCR #18 – Building Work Summary (BWS) 1-4 Units
DHCR #19 – Apartment Building Work Summary (Excel Document, cannot open in Word)   Formatted: Font color: Blue
DHCR #20A – Prior Approval by Weatherization Program Director                      Field Code Changed
DHCR #20B – Prior Approval by DHCR Regional Supervisor                             Formatted: Hyperlink
DHCR #20C – Prior Approval by DHCR Field Representative
DHCR #21 – Construction Management Fee Tracking Form
DHCR #22 – Bid Notification
DHCR #23 – Vehicle Purchases
DHCR #24 – Non-Collusive Bidding
DHCR #25 – Unit Bidding Summary
DHCR #26 – Services Bidding Summary
DHCR #27 – Material Bidding Summary
DHCR #28 – Contractor Qualification
DHCR #29 – Weatherization Program Information
DHCR #30 – Audit Services Referral
DHCR #31 – Acquisition/Disposal Report
DHCR #32 – Materials Write-Off
DHCR #33 – Subcontractor Agreement
DHCR #34 – Mileage Log
DHCR #35 – Client Investment Affidavit
DHCR #36 – Training and Technical Assistance Detail Sheet
DHCR #37 – Interagency Referral Form
DHCR #38 – Life Rights Affidavit
DHCR #39 – Furnace Tag (Print Using Avery 6464 Labels)
DHCR #40 – Program Income Quarterly Report
DHCR #41 – WAP Commitment Letter
DHCR #42 – Lead Waiver to Continue Working

Table of Contents

                                                                                   Formatted: Centered
                            NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                                      WEATHERIZATION ASSISTANCE PROGRAM
                                                                DHCR #1


                                      PROGRAM INCOME EXPENDITURE PLAN



Funds for ______ Program Year/Grant Period                                                                         Subgra ntee
Code:


Activities Funded with Program Income (Describe expenses: persons, conference titles, publications, courses, equipment, etc. on
subgrantee letterhead and attach to this form:


           a.        Additional Weatherization Work
                      Materials


                      Labor; Subgrantee + Sub                            +                         =
                      Program Support
                                                                                               Total Additional Work:


           b.        Technical and Training Assistance Activities (maximum 10 percent)
                                                                                                                                  c.   Other Eligible Activities
           d.        Administrative Costs (maximum 10 percent)




Total for all Activities Detailed Above:
$


    Production for Additional Work:              Total Added:



           Apr                May                 Jun               Jul                Aug               Sep




           Oct                Nov                 Dec               Jan                Feb               Mar
Subgrantee Representative                                                          DATE




DHCR Regional Supervisor
DATE




DHCR Fiscal Representative
DATE




I certify that we do not currently have program income during this program year.




Subgrantee Representative
DATE
                         NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                                   WEATHERIZATION ASSISTANCE PROGRAM
                                                      DHCR #2


                                             AFFIDAVIT OF DAMAGE



I,                                                             , residing at




      , have received weatherization assistance since September 30, 1993, and have had damage to my residence
resulting from:




           Fire                /      /


           Flood               /      /


           Act of God            /     /


              Specify:


           Date of Damage:




I am hereby applying for additional weatherization assistance. I further attest to the fact that I do not have insurance
to cover the damage including:


Specify:
 Signature of Applicant
Date




 Signature of Subgrantee
Date
                            NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                                      WEATHERIZATION ASSISTANCE PROGRAM
                                                          DHCR #3


                               PERSONAL PRIVACY PROTECTION LAW PROVISIONS


The New York State Personal Privacy Protection Law (Public Officers Law, Article 6-A) requires in '94(1) (d) that each
subgrantee that maintains a system of records provide each subject from whom it requests information with certain
notifications as provided below:


Name of the agency requesting the information:
NYS Division of Housing and Community Renewal, Energy Services Bureau


Name of the system of records:
Weatherization Database


Agency official responsible for the records:
Energy Services Bureau Director
Division of Housing and Community Renewal
38-40 State Street
Albany, New York 12207
518-474-5700


Authority for collection for information:
The Energy Conservation and Production Act (P.L. 94-385) '416 and '417. These sections require the state to keep
records for the purposes of monitoring and evaluation and for the preparation of reports. Program regulations contained in 10
CFR 440.22 require that eligibility for the program be established, which requires the collection of personal information.


Effects of not providing the requested information:
If information requested on the Application for Weatherization Assistance is not provided, the applicant's dwelling cannot be
weatherized.


Principal purpose for which the information is being collected:
Implementation of the Weatherization Assistance Program.


Routine uses for the collected information:
Use by Division of Housing and Community Renewal and local subgrantee employees for administration of the Weatherization
Assistance Program including the preparation of reports to the United States Department of Energy.


Subgrantee Information:



Subgrantee Name/Contact                          Number and Street


City                                Zip Code                    Telephone Number (with area code)
                       NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                                   WEATHERIZATION ASSISTANCE PROGRAM
                                                              DHCR #4


                                             WEATHERIZATION APPLICATION


APPLICANT NAME                                                                      JOB #           TELEPHONE NUMBER
                                                                                                    (        )
APPLICANT                           Street                                   City                          County                Zip
Code              Apt # or Floor
ADDRESS
DIRECTIONS TO THE HOME


TYPE OF                   G Owner Occupied                    G Mobile Home                              G Single Family Home
G Room
RESIDENCE                G Rental Unit                         G Multiple Dwelling Unit                 G Group Home/Shelter
                              If Rental Unit, Heat Paid By:    G Owner     G Tenant
LANDLORD=S NAME
Landlord=s Address
OWNER'S NAME
Owner's Address


Total Number of              TOTAL INCOME: Complete the following table, listing income received by each household member 16 or
Household Members:           older who is not a full-time student; and the names, and ages for all members of the household.
Name                          SEX        AGE       SOURCE(S) OF INCOME                    AMOUNT IN DOLLARS
                                                                                          WEEKLY        MONTHLY         YEARLY




                                                   TOTALS
Indicate number in household who
  Are 60 years of age of older_____________________________   Are Asian or Pacific Islanders______________________________
  Have handicapping condition(s)__________________________    Are Female Head of Household____________________________
  Are Black ___________________________________________       Are unemployed _______________________________________
  Are Hispanic ________________________________________       Are children 17 or younger________________________________
  Are Native American __________________________________      Are full-time students____________________________________



Subgrantee Name, Address and Telephone Number:
APPLICANT AFFIRMATION


I subscribe and affirm, under the penalties of law, that the statements made in this application for weatherization assistance
(including statements made in any accompanying papers) have been examined by me and to the best of my knowledge and
belief are true and correct. I also state that no person named in this application is subject to disqualification for
weatherization services under the Immigration Reform and Control Act of 1986 (Public Law 99-603). I understand that by
signing this application, I consent to any other inquiry to verify or confirm the information I have given.


I realize that there is to be no lien or mortgage held on the property involved and that this has no affect upon my social
security, public assistance, or any other income I may have. Also, the weatherization work done will not obligate me
financially, and I will not be held liable for any injuries or damages occurring on my property which are not a result of my
negligence or malfeasance.


I understand that this application for weatherization assistance does not guarantee that assistance will be granted but will be
used in determining eligibility for the program. Whether or not an eligible applicant will be provided assistance will depend in
part upon the number of applications received, the remaining funds available and the priorities to be met by the program.


I have read and understand the provisions of the Personal Privacy Protection Law.


Applicant's Signature                                                                      Date


Applicant's Representative                                                              Date


Relationship




IF APPLICANT IS THE HOMEOWNER, PLEASE COMPLETE THE FOLLOWING HOMEOWNER CERTIFICATION:


I,                                                                                                                , certify that I
am the owner of the property at


                                                                                                                 , (type in
address).
I further certify that I have given my permission to allow work on the property listed above. I understand that no payment will
be required for this service and that I will not be held liable for any injuries or damage.


Owner's Signature
Date



OFFICE USE ONLY


OWNER VERIFIED THROUGH:                   EXAMINATION OF DEED
                                                      CONFIRMATION BY COMMISSIONER OF DEEDS
                                                      CONFIRMATION BY TAX ASSESSOR'S OFFICE


INCOME GUIDELINES FOR A HOUSEHOLD OF                MEMBERS                           $                  G DOCUMENTATION ATTACHED
CATEGORICAL ELIGIBILITY:     G SSI Recipient   G HEAP Recipient    G Public Assistance Recipient   G NPA Food Stamp Recipient
ON THE BASIS OF THE ABOVE INFORMATION, HOUSEHOLD         G IS     G IS NOT ELIGIBLE


Intake Worker's Signature:
Date:
                        NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                                    WEATHERIZATION ASSISTANCE PROGRAM
                                                         DHCR # 5A


                                           ENERGY INFORMATION - A
          For 1 to 4 Family House ?  Yes  No                                For a Multifamily Building?  Yes  No
                   Number of units in building ______ Complete AEnergy Information - B@ for each occupied unit



Heating fuel:
    Natural Gas        Electric     Propane    Oil      Wood  Other
   Secondary Heating fuel (if any) that you sometimes use:
Name and address of Heating fuel supplier:




Account Number (if gas):


 Electric Utility: (check the one that provides your electric service)
    Niagara Mohawk (NMPC)                        Orange & Rockland (O&R)
    Long Island Power Auth. (LIPA)               Rochester Gas & Electric (RGE)
    Consolidated Edision (Con Ed)  NYS Electric & Gas (NYSEG)
      Central Hudson Gas & Electric (CH)  Other
Electric Account Number:




Customer Authorization for Release of Fuel/Energy Bills (past 2 yrs. and next 2 yrs.)


To: Fuel and Electric Suppliers listed above:
I hereby authorize you to release information on my fuel bills, both past and future, to the following subgrantee or its desi gnee.




Name of Weatherization Subgrantee                Number and Street                City               Zip Code


I understand that this information is being made available to help to evaluate my energy use patterns in order to identify potential and
actual energy savings resulting from work performed or services offered through the weatherization assistance program.




Customer Name                                            Customer Signature                               Date
                           Number and Street                    City                        Zip Code



Note: If there are account numbers in addition to those identified above, please attach a list of the numbers.


Service Agreement for Heating System:
Do you currently have a service maintenance agreement for your heating system? Yes No
If yes, please supply name, address and phone number of the service maintenance provider.




Name of Service Provider                                                Number and Street




City                                                       Zip Code                                    Telephone



                           NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                                     WEATHERIZATION ASSISTANCE PROGRAM
                                                           DHCR # 5B


                                                MULTI-FAMILY BUILDING
                                               ENERGY INFORMATION – B


                                (Must be Completed for Each Occupied Unit to be Weatherized)


Heating fuel:
        Natural Gas    Electric       Propane    Oil      Wood  Other


       Secondary Heating fuel (if any) that you sometimes use:
Name and address of Heating fuel supplier:




Account number, if applicable (not required if heat is supplied by a central system):
 Electric Utility: (check the one that provides your electric service)
    Niagara Mohawk (NMPC)                       Orange & Rockland (O&R)
    Long Island Power Auth. (LIPA)              Rochester Gas & Electric (RGE)
    Consolidated Edision (Con Ed)  NYS Electric & Gas (NYSEG)
      Central Hudson Gas & Electric (CH)  Other


Electric Account number:




Customer Authorization for Release of Fuel/Energy Bills (past 2 yrs. and next 2 yrs.)


To: Fuel and Electric Suppliers listed above:
I hereby authorize you to release information on my fuel bills, both past and future, to the following subgrantee or its designe e.




Name of Weatherization Subgrantee              Number and Street             City                Zip Code


I understand that this information is being made available to help to evaluate my energy use patterns in order to identify potential and
actual energy savings resulting from work performed or services offered through the weatherization assistance program.




Customer Name                                          Customer Signature                              Date




                        Number and Street                    City                           Zip Code



Note: If there are account numbers in addition to those identified above, please attach a list of the numbers.



                                                                                                                                Formatted: Tab stops: Not at 3.45"
                      NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                               WEATHERIZATION ASSISTANCE PROGRAM
                                                    DHCR # 6


                                     PERMISSION TO ENTER BUILDING


                                              TO THE BUILDING OWNER:


Your building is being considered for weatherization services under the Weatherization Assistance Program (WAP).
WAP is funded by the United States Department of Energy (DOE) and administered in New York State by the New
York State Division of Housing and Community Renewal (DHCR).


WAP operates under the rules and regulations of both DOE and DHCR which have certain requirements, of which
you, as a building owner, should be aware. At the bottom of this page is a form granting your permission for the
local subgrantee to enter your building to perform an energy audit and collect eligibility documentation from your
tenants.


Before the work begins on your building, you will receive a copy of the Weatherization Assistance Program
Information Sheet and will be required to sign a Building Owner's Agreement, a copy of which is attached so that
you may review it before the final signing.


A financial commitment from the building owner is required to weatherize each building containing rental units,
except where the owner is an eligible applicant. This commitment can take several forms and is dependent on the
results of the energy audit. When the audit is complete, the local weatherization subgrantee will meet with you
again to discuss this commitment and sign the Agreement with you.


Before your building is audited, a good faith commitment of $                           to cover the cost of the audit
is required. When your building is weatherized, the audit fee will be credited to your financial commitment. If for
any reason your building is not weatherized, a copy of the energy audit and the proposed workscope will be given
to you.


                                          PERMISSION TO ENTER Building


I, as owner/authorized agent for the building located at                                                              ,
have read and understand the above and hereby grant permission for representatives of
                                                                 to enter this building for the purposes of conducting
an energy audit and collecting eligibility documentation from the residents. I also include the required audit fee,
under the conditions above.


Name:                                                                                                            Date:




Title:


Subgrantee Representative:                                                                             Date:




Title:



PLEASE COMPLETE:


This Building is owned or managed on behalf of US HUD or NYS DHCR.   YES    NO
If yes, Please indicate the following:


Project Manager:                                                                  Telephone
Number:
                        NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                               WEATHERIZATION ASSISTANCE PROGRAM
                                                     DHCR #7


                                             OWNER INVESTMENT


On                 representatives of
                                                                                                      ,
a weaterization subgrantee, met with the undersigned owner  agent (check one) of a building located at
                                                                                        currently under consideration
for energy services through the Division of Housing and Community Renewal's Weatherization Assistance Program.
The building contains           dwelling units.


During the course of this meeting it was explained that the Weatherization Assistance Program requires the
subgrantee to obtain investment by the owner that will supplement the funds to be provided by the subgrantee to
perform energy services in the building. Above and beyond the initial owner investment, a construction
management fee equal to not more than ten percent of the owner investment may be charged. Both the owner
investment and the management fee must be provided to the subgrantee prior to commencement of the energy
services work.


The owner/agent for this building has indicated that he/she fully understands this and has decided to take the
following course of action, and has signed the appropriate line next to the course of action:




                                    Will invest $              in the cost of the weatherization work as
                                    documented on the Weatherization Workscope (ESB #8 or 10, Exhibit C).




                                    Contends not to be in a financial position to make any investment.




                                    Refuses to make an investment.




                                    Will make an in-kind investment of labor
              valued at $                 .


              Has documented an indirect investment comprised of the following activities
              which were carried out during the last              months.




Owner/Agent                                            Date


Owner/Agent                                            Date
                      NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                               WEATHERIZATION ASSISTANCE PROGRAM
                                                     DHCR # 8


                                      OWNER AGREEMENT 1-4 UNITS


It is agreed by and between
                         and
Owner/Authorized Agent of the building located at
                                                                                                                  , as
follows:


1. The Owner agrees to assist the Subgrantee in gathering all records and documents necessary for the
    Subgrantee to determine if the tenants residing at the building are eligible for weatherization services. The
    Subgrantee shall gather and keep confidential the names and incomes of tenants living at the building.


2. If the Subgrantee, in its sole discretion, determines that the building is eligible for weatherization services, the
    Subgrantee agrees to weatherize the building in accordance with applicable codes, laws, and regulations. A
    general description of the full range of services that may be rendered is attached. The Subgrantee agrees to
    forward a summary of the workscope to the Owner after the building analysis is completed. In exchange for
    these services, the Owner agrees to be bound for a period of             years by the terms and conditions of this
    Agreement commencing on the date signed.


3. The Owner agrees not to evict the tenant(s) during the period of this Agreement, except for cause. The Owner
    agrees not to increase the tenant(s) rents during the period of this Agreement except to recover actual
    increases in property taxes (which may include an approved utility surcharge) or the costs of improving the
    building not resulting from this Agreement (where this is the case, the Owner agrees to recover only a pro rata
    share of the cost from each tenant.) This provision replaces existing rights to raise the rent except lease
    renewal and vacancy increases authorized by the New York City Rent Guidelines Board or other rent control
    entity under the aegis of the New York State Division of Housing and Community Renewal. A list of units and
    rents must be attached to this Agreement.


4. The Owner agrees to rent vacant, eligible dwelling units identified in the Attachment to this Agreement to
    households eligible to receive weatherization services. These dwelling units must be rented to eligible
    households within 180 days of Division of Housing and Community Renewal Certification that the project has
    been satisfactorily completed. Apartments that become vacant during the term of this Agreement must be rented
    to income eligible households within 90 days. Owner should submit supporting documentation.


5. The Owner hereby swears or affirms that the building is not presently being offered for sale and further agrees
    to give the Subgrantee thirty days notification of the sale or conversion of the building. At least ten days prior
    to the sale or conversion the Owner agrees to obtain, in writing, the purchaser's consent to assume the Owner's
    obligations under this Agreement or, if this consent is not obtained, to pay the Subgrantee the full cost of
    weatherization pro-rated by the number of months left under this Agreement.


6. The Owner agrees to make the improvements (if any) specified in the Owner's Investment Form attached to this
    Agreement. Such Owner investment in the weatherization shall be handled in the manner prescribed in the
    Policy and Procedures Manual. The Subgrantee need not commence its work until this work is done to the
    Subgrantee's satisfaction. If the Owner fails to complete, or cause to be completed, the work to the
    Subgrantee's satisfaction, the Subgrantee may complete the work or cause it to be completed and charge the
    Owner accordingly including charges for support services and reasonable attorney fees.


7. The Owner agrees to maintain the weatherization materials installed under this Agreement in accordance with all
    relevant codes.


8. The Owner agrees to provide the Subgrantee with all documentation relative to the clearance testing when
    completing work applicable to New York City Local Law #1 (New York City Childhood Lead Poisoning
    Prevention Act of 2003).


9. The Subgrantee agrees to begin weatherization work on or about                                . From this date
    through the completion of the weatherization work, the Owner agrees to give the Subgrantee access during
    normal business hours to all dwelling units and common areas to be weatherized.


10. The Subgrantee and Owner agree that the tenants, present and future, are meant as the persons to benefit
    from the weatherization program and may enforce this Agreement. The Subgrantee shall provide a synopsis of
    this Agreement to each tenant. The Subgrantee agrees to provide a copy of this Agreement to each tenant
    upon request. The Owner agrees to provide a copy of this Agreement to all future tenants while this Agreement
    is in effect.


11. The Subgrantee agrees to give the Owner written notice of non-compliance with this Agreement and the
    grounds for the notice. If within seven days of receipt of the notice, the Owner fails to take responsible steps to
    come into compliance, the Owner will be considered in default of the Agreement.
12. Upon default of this Agreement, the Owner agrees to pay to the Subgrantee the full cost incurred by the                        Formatted: Bullets and Numbering

    Subgrantee relating to this Agreement, including materials, labor, support and administrative costs. In the event
    that the Subgrantee has not begun to weatherize the building at the time of default, the Owner will be required
    to pay the Subgrantee for any custom ordered materials and an amount equal to ten percent 10% of the
    projected weatherization costs.


13. The Owner agrees to provide the Subgrantee fuel consumption data for this building for two years of total energy               Formatted: Bullets and Numbering
    consumption data (electrical and home heating fuel) immediately following the completion of the work in this
    Agreement. This data shall be supplied to the Subgrantee as soon as practicable after it is received by the Owner. In
    situations where the tenant is responsible for paying the fuel, the Subgrantee should request an Energy Information
    Form from the tenant to collect post consumption fuel data.


14. The owner shall be notified in writing of the units that may be eligible for the installation of cooling measures              Formatted: Bullets and Numbering

    and will require additional approval for this work.

I certify that I have given my permission to allow work on the property listed above, and that I will not be held liable for any
injuries or damage.




Owner/Agent                                                                 Date


Subgrantee                                                                 Date
                      NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                               WEATHERIZATION ASSISTANCE PROGRAM
                                                    DHCR # 8


                                     OWNER AGREEMENT 1-4 UNITS
                               EXHIBIT A ELIGIBLE DWELLING UNITS AND RENTS


The documented eligible dwelling units (including eligible vacant units) that are to be weatherized or caused to be
weatherized by the Subgrantee under the attached Agreement and each unit's rent as of the effective date of the
attached Agreement are as follows:


Address:




Unit Number or Description:               Children under 7 Yes No            Rent as of                       :
Units designated as vacant-eligible to meet or exceed the building eligibility will be filled within 180 days of this
date:      /       /         (This must be sent to the Owner after certification.) New York City Local Law #1 (New
York City Childhood Lead Poisoning Prevention Act of 2003) applies to vacant units in New York City.
                    NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                             WEATHERIZATION ASSISTANCE PROGRAM
                                                 DHCR # 8


                                   OWNER AGREEMENT 1-4 UNITS
                          EXHIBIT B ESTIMATED WEATHERIZATION WORKSCOPE




 Subgrantee:                                                           Material            Labor Costs




 Total:



 Owner:                                                                Material            Labor Costs




 Total:

NOTE: A copy of Workscope may be attached as long as the Subgrantee/owner work is clearly identified.
                               Subgrantee                          Owner


TOTAL ESTIMATED COST:          Materials:                          Materials:


                                    Labor:                             Labor:




                      Owner/Agent
Date




Subgrantee
Date




                    NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                            WEATHERIZATION ASSISTANCE PROGRAM
                                                 DHCR #8


                                  OWNER AGREEMENT 1-4 UNITS
                                EXHIBIT C - WEATHERIZATION WORKSCOPE


Attach a copy of the Building Work Summary (DHCR#18) with original signatures from the Subgrantee and Owner.
TOTAL COST:   Materials:


                  Labor:




Owner/Agent                 Date




Subgrantee                 Date
                        NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                                  WEATHERIZATION ASSISTANCE PROGRAM
                                                          DHCR # 9


                             TENANT SYNOPSIS OF THE OWNER AGREEMENT


The New York State Weatherization Assistance Program (WAP) is administered by the New York State Division of
Housing and Community Renewal (DHCR), Energy and Rehabilitation Services Bureau (ERSB) specifically to
weatherize the homes of income eligible households.


The owner of your building has entered into an Agreement with                                                              , a
subgrantee of DHCR, to have your building weatherized on your behalf. The majority of materials and labor to
weatherize the building are being supplied free of charge to the owner because your building was deemed eligible to
receive the benefits of the WAP. In return for this weatherization, the owner has agreed to several provisions that
benefit you and give you specific rights. (You are called a third party beneficiary of the Agreement.) These
provisions and rights are summarized for you below:


1. The owner cannot raise your rent until                      (except as in 5 below) even if you have previously agreed
   that your present rent could be increased before that date or enrolled in a State-sponsored rent-regulated
   program.


2. If you happen to move out of your apartment before the above date, the owner must charge the new tenant the
   same rent as you are charged.


3. The owner agreed to fill vacant-eligible units within 180 calendar days of the completion of the weatherization
   work with persons who are income eligible to receive WAP benefits.


4. If the owner sells your building before the above date, the new owner must also comply with all of the provisions
   on this Agreement protecting you until then.


5. If the Owner tries to raise your rent before the above date for any reason other than to recover actual increases
   in property taxes, an authorized utility surcharge, the cost of improving the building (not resulting from this
   Agreement), or State approved increases, you have the right to assert a claim against him/her in Court. If this
   happens and you need assistance in asserting your claim, call your local legal services office.


6. If your apartment is eligible for the installation of an air conditioner as a result of the weatherization services received,   Formatted: Bullets and Numbering
   please be advised that your rent may be increased in accordance with State or City laws and regulations.
7. You have the right to see the Agreement signed by the owner and the Subgrantee who weatherized your building. You   Formatted: Bullets and Numbering
   may use the Agreement document as evidence in Court to prove your claim. To arrange to see the Agreement, you may
   call or write to the Subgrantee as follows:



Subgrantee Name                                Number and Street


City                                Zip Code                       Telephone Number (with area code)
                      NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                               WEATHERIZATION ASSISTANCE PROGRAM
                                                      DHCR # 10


                                    OWNER AGREEMENT MULTIFAMILY

This Agreement applies to buildings containing rental dwellings units, located in New York State.


This Agreement is made and entered into by and between




                                                               the Subgrantee and




                                                                    the Owner of




                                                           building to be Weatherized


This Agreement shall commence on the                  day of                  ,                (the commencement
date) and shall terminate on the             day of                   ,                 (the termination date).


    WHEREAS, the Energy Conservation in Existing Buildings Act of 1976 (Weatherization Act) authorizes grants to
    the states to provide weatherization assistance to eligible households and New York State has received a grant
    fund for such purpose; and


    WHEREAS, the Low-income Home Energy Assistance Act of 1981 (HEAP Act) authorizes grants to the states
    to provide assistance to eligible households to meet the costs of home energy and New York State has
    received a grant of funds for such purpose; and


    WHEREAS, the Division of Housing and Community Renewal has received an allocation of funds granted to
    New York State under the Weatherization Act and a sub-allocation of funds awarded under the HEAP Act; and


    WHEREAS, said funds are to be used to weatherize the dwelling units of eligible households who are the
    intended beneficiaries of the assistance available under the Weatherization and HEAP Acts; and


    WHEREAS, DHCR has contracted with the Subgrantee to use said funds to provide weatherization services; and
     WHEREAS, many eligible households reside in rental dwelling units in buildings that may be weatherized if not
     less than 50 percent of the dwelling units in the building are occupied by eligible households;


     WHEREAS, the Subgrantee has demonstrated a readiness to provide weatherization services for the benefit of
     eligible households who reside in rental housing;


     WHEREAS, the eligible households residing in the dwelling units in buildings receiving weatherization assistance
     are the intended third party beneficiaries of this Agreement;


     WHEREAS, the U. S. Department of Energy has issued a policy guidance which specifies a procedure for the
     States to prioritize buildings containing rental units by financial participation of the owners to avoid undue
     enhancement of properties as prohibited by law and by regulation;


NOW THEREFORE, in consideration of the foregoing building the parties agree as follows:


I.   DEFINITIONS As used in this Agreement:                                                                             Formatted: Bullets and Numbering

A. SUBGRANTEE shall mean an organization that contracts with and receives funds from DHCR to provide
   weatherization services to eligible households.
B.   OWNER shall mean and include the owners of the freehold of the building or lesser estate therein, mortgagee
     or vendee in possession, assignee of rents, receiver, executor, trustee, lessee, agent or any other person, firm
     or corporation, directly or indirectly in control of the building located at
     (herein after the building) which contains a total of                  dwelling units.


C. DWELLING UNIT shall mean a house, apartment, a group of rooms or a single room occupied as separate
     living quarters.


D. HOUSEHOLD shall mean any individual or group of individuals who are living together as one economic unit in
     a dwelling unit and who make undesignated payments for their primary heating source in the form of rent
     and/or maintenance charges or pay for their heat directly.


E.   ELIGIBLE HOUSEHOLD shall mean a household whose income is less than or equal to maximum limit
     established by DHCR each program year in accordance with the requirements of the Weatherization Act and the
     HEAP Act, or a household eligible by law or regulation.


F.   ELIGIBLE DWELLING UNIT shall mean:


     1. A dwelling unit occupied as of the effective date of this Agreement by an eligible household. The
        Subgrantee shall not consider any dwelling unit to be an eligible dwelling unit unless it has received sufficient
        written documentation indicating that the dwelling unit is occupied by an eligible household in the form
        required by the Subgrantee. The name and income of the eligible household must remain confidential in
        accordance with state or federal law. A schedule of the documented eligible dwelling units and the rents
        charged therefore is Exhibit A.


     2. A dwelling unit that is vacant as of the effective date of this Agreement designated by the Owner as a
        dwelling unit that will be rented to or occupied by an eligible household within 180 days of the certification
        date of the completion of the work. The Owner shall include in Exhibit A dwelling units which have been so
        designated, noting them as vacant-eligible.


G. WEATHERIZATION QUALIFIED shall mean that all units in a multi-family building are eligible to receive WAP
   services once the building has been deemed income eligible.

H. COMMON AREA shall include, but not be limited to, stairwells, hallways, basements, roofs, and boiler rooms.

I.   WEATHERIZATION MATERIALS shall mean any and all materials that meet or exceed 1) the standards prescribed
     by the 10 CFR section 440 (as amended) or 2) higher standards as established by DHCR.

J.   WEATHERIZATION LABOR shall mean the costs incurred by the Subgrantee to employ labor or to engage a
     subcontractor to install the Weatherization Materials set forth in subparagraph (H) of this Section.
K. PROGRAM SUPPORT shall mean the costs incurred by the Subgrantee, including audit and in-house costs, in
   weatherizing the unit other than those outlined in paragraphs H and I of this Section.

L.   WORKSCOPE shall mean the entire scope of the actual work projects as set forth in Exhibit B, including materials and
     labor, to be performed pursuant to this Agreement.

M. CERTIFICATION shall mean the written and signed attestation by a DHCR representative that the Workscope for a
   particular eligible dwelling unit has been satisfactorily performed.

N. PRO RATA SHARE shall mean the contract cost charged to any weatherization eligible dwelling unit for the
   weatherization materials, labor and program support supplied by the Subgrantee to a weatherization-eligible dwelling.
II. LIQUIDATED DAMAGES

The parties agree that for the purpose of this Agreement, in the event of a Breach by the Owner, liquidated damages shall be
the pro rata share               (enter the contract per unit cost) multiplied by the number of units effected by the breach.


III. OWNER'S OBLIGATIONS                                                                                                         Formatted: Bullets and Numbering

A. For eligible dwelling units which are not subject to statutorily authorized rent control and rent stabilization, the Owner
   agrees that the rents for eligible dwelling units as set forth in Exhibit A shall not be increased as a result of this
   weatherization project, for the term of this Agreement.

B. For eligible dwelling units which are subject to statutorily authorized rent control and rent stabilization, the Owner
   remains able to receive approval for normal incremental rent increases granted by the New York State Division of
   Housing and Community Renewal (DHCR).

C. The Owner agrees that the rents for eligible dwelling units, as set forth in Exhibit A, shall not be increased, solely due
   to the weatherization improvements paid for by owner investment funds and Weatherization Assistance Program Funds.
   Federal regulations (10 CFR Sec. 440.22) specifically prohibit the Owner's application for, and receipt of, a Major
   Capitol Improvement rent increase for the total weatherization work completed under this Agreement as outlined in
   Exhibit B.

D. The Owner agrees that the terms, promises and obligations of this Agreement shall supersede and be superior to any
   inconsistent provision of any oral or written lease or other agreement affecting the rents collected for the eligible
   dwelling units listed in Exhibit A.

E.   The Owner agrees that dwelling units identified in Exhibit A which are designated as vacant-eligible as of the effective
     date of this Agreement, shall be rented to or occupied by an income eligible household within 180 days of the
     certification date. The Owner further agrees to submit, or cause to have submitted to the Subgrantee, written proof of
     that household's eligibility, prior to lease or occupancy of such vacant-eligible dwelling unit. The City of New York
     Local Law 1 of 2004 (New York City Childhood Lead Poisoning Prevention Act of 2003) applies to all vacant units.

F.   The Owner hereby swears or affirms that the building is not presently being offered for sale and further agrees to notify
     the Subgrantee 30 calendar days prior to the sale or purchase or conversion of building. At least 10 business days prior
     to the closing, the Owner agrees to obtain, in writing, the purchaser's consent to assume the Owner's obligations under
     this Agreement or, if this consent is not obtained, to pay the Subgrantee the full cost of the weatherization workscope
     pro rated by the number of months left under this Agreement.

G. The Owner agrees to complete or cause to be completed to the satisfaction of the Subgrantee, the work as specified in
   Exhibit C, if applicable.

H. The Owner agrees to maintain all the weatherization materials, including new heating systems, installed or necessary
   under this Agreement in a manner consistent with optimum performance, save for normal wear and tear, and in
   conformance with all relevant codes regarding maintenance. The owner agrees to enroll appropriate building personnel
   in a Subgrantee recognized building maintenance course as part of the owner investment requirement listed in Exhibit B
   of this agreement.

I.   The Owner agrees to be responsible for the removal and reinstallation (or installation where none exist and are required
     by code) of all child guards, security gates, or other items so that the installation of prime windows may proceed in an
     unimpeded manner. Such work must be in accordance with all applicable codes.

J.   The Owner hereby swears or affirms that the building has not previously received weatherization assistance under any
     program administered by the NYS Weatherization Assistance Program after September 30, 1993. Failure to disclose
     such previous weatherization shall be a breach of this Agreement. In the event of such breach the Owner shall pay the
     Subgrantee the full cost of weatherization work under this Agreement. On a case by case basis, reweatherization can be
     subject to review by the WAP administering agency.
K. The Owner agrees to provide the Subgrantee fuel consumption data for this building for two years of total energy
   consumption data (electrical and heating fuel) immediately following the completion of the work in this Agreement.
   This data shall be supplied to the Subgrantee as soon as practicable after it is received by the Owner. In situations
   where the tenant is responsible for paying the fuel, the Subgrantee should request an Energy Information Form from the
   tenant to collect post-consumption fuel data.

L.   When the Owner’s work is subject to the City of New York Local Law 1 of 2004 (New York City Childhood Lead
     Poisoning Prevention Act of 2003) copies of clearance test results shall be provided to the Subgrantee.

M. The Owner agrees to disclose in Exhibit A units in which one or more children under the age of seven resides and to
   update the subgrantee of these changes prior to the commencement of the work.


N. The Owner agrees to file a notice of commencement with the Department of Health and Mental Hygiene according to
   27-2056.11(2)(ll) of Local Law 1 of 2004.

IV. SUBGRANTEE'S OBLIGATIONS


A.   The Subgrantee agrees to install, or cause to have installed, Weatherization Materials together with the Labor
     attendant thereto in the Building, as itemized in the Subgrantee's Estimated Workscope in Exhibit B.


B.   The Subgrantee agrees to commence, or cause to commence, the installation of weatherization materials on or
     about                             (date); provided that the Owner insures that the Subgrantee will have access to
     all dwelling units and common areas to be weatherized upon seven days notice of a date certain by the
     Subgrantee.


C. The Subgrantee agrees to accept and retain the documentation required from the Owner pursuant to paragraphs
     III(C), III(F), and V (if applicable) of this Agreement.


D. The Subgrantee agrees to duly establish an interest bearing Owner Investment Account and to deposit the
     moneys rendered to the Subgrantee by the Owner pursuant to paragraph V (if applicable) of the Agreement in
     said account. The Subgrantee further agrees to promptly release from this account such sums at such time as
     are required in Exhibit C (if applicable) of this Agreement to such parties as are specified. Upon completion
     and certification of the work agreed upon in paragraph V (if applicable) of this Agreement, the interest earned
     on the Owner Investment Account shall be deposited by the Subgrantee into the Subgrantee's New York State
     Weatherization Assistance Program bank account and shall be expended no later than the next succeeding
     program year.


E.   The subgrantee agrees to notify the owner in writing of the units that may be eligible for the installation of cooling    Formatted: Bullets and Numbering
     measures and will require additional approval for this work.

V. OWNER'S WORK                                                                                                                Formatted: Bullets and Numbering

A. The parties agree that the Subgrantee shall not commence, or cause to be commenced, weatherization work unless the
   Owner completes, or agrees to complete to the satisfaction of the Subgrantee, the repairs or other requirements specified
   in the Owner's Work Agreement, if any, annexed hereto as Exhibit B, and submits written documentation of same to the
   Subgrantee.
B. In the event that the Subgrantee agrees to commence the installation of Weatherization Materials prior to the Owner's
   completion of the work required in Exhibit B, the Owner shall:

     1. Post a performance bond in an amount equivalent to the cost of securing the completion of the required work with
        the Subgrantee named as insured; or

     2. Render to the Subgrantee $            , said sum being the cost of securing the completion of the required work.
        Said sum shall be deposited by the Subgrantee in a duly established Owner Investment Account to be released to the
        Owner or the Subcontractor, responsible for completion of the Owner's Work to the satisfaction of the Subgrantee.
        The amount includes the construction management fees due to the Subgrantee.

VI. BREACH: THE FOLLOWING SHALL CONSTITUTE EVENTS OF BREACH                                                                  Formatted: Bullets and Numbering


A. The Subgrantee's failure complete the weatherization work in a timely manner and / or a quality manner; provided the
     Subgrantee gained access to the eligible dwelling units upon seven days notice by the Subgrantee to the
     Owner.


B.   The Owner's failure in a timely manner to submit to the Subgrantee the documentation required in paragraphs
     III(C), III(F), and V (if applicable) to this Agreement.


C. The Owner's failure to rent or place in occupancy an income eligible household in a vacant-eligible dwelling unit
     specified in Exhibit A within 180 calendar days of the certification date. The Owner's failure to meet this
     deadline and to fail to provide supporting documentation within ten business days of this deadline to the
     Subgrantee shall constitute prima facie proof of breach.


D. The Owner's attempt to increase the rent charged an eligible household occupying an eligible dwelling unit,
     except as noted in paragraph III (A2).


VII. REMEDIES                                                                                                                Formatted: Bullets and Numbering

A. In the event that the Subgrantee does not complete the weatherization work a timely workmanlike manner, the owner
   shall notify the subgrantee in writing of the nature of the breach in accordance with paragraph VI A and the Owner's
   intention to terminate or suspend this Agreement for breach. If the Subgrantee does not , within seven business days
   from receipt of notification, commence to, and diligently pursue cure of such breach, or if the Subgrantee fails to
   provide to the Owner reasonable notice that such breach does not, in fact exist, the Subgrantee shall reimburse to the
   Owner the amount of moneys remaining in the Owner Investment Account, with interest, or release the Owner from all
   obligations under the performance bond.


B.   In event that the Owner fails to rent or place in occupancy an income eligible household in a vacant "Eligible
     Dwelling Unit" specified in Exhibit A within 180 calendar days of the certification date, the Subgrantee shall
     notify the Owner in writing by registered mail of the nature of the breach. If the Owner does not, within seven
     business days from receipt of notification, commence to pursue diligent cure of such breach or provide the
     Subgrantee with reasonable notice that such breach does not, in fact, exist, the Owner shall pay the Subgrantee
     the per dwelling unit liquidated damages; provided, however, that if said eligible dwelling unit was counted for
    determining whether common space shall be deemed to be eligible for weatherization, the Owner shall in
    addition pay the Subgrantee the common area liquidated damages.


C. In the event that the Owner fails to submit in a timely manner to the Subgrantee the documentation required in
    paragraphs III(C), III(F) and V (if applicable) of this Agreement, the Subgrantee shall notify the Owner in
    writing by registered mail of the nature of the breach. If the Owner does not, within seven business days from
    receipt of notification, commence to pursue diligent cure of such breach or provide the Subgrantee with
    reasonable notice that such default does not, in fact, exist, the Owner shall pay the Subgrantee an amount
    equal to ten percent of the per unit liquidated damages multiplied by the total number of dwelling units eligible
    for weatherization.


D. In the event that the Owner is in breach in accordance with paragraph VI D (increases the rent charged to an
    eligible household occupying an Eligible Dwelling Unit), the occupant(s) of the Agreement can assert any direct
    claim against the Owner in any action or special proceeding in any Court of appropriate jurisdiction.


VIII.   INDEMNIFICATION                                                                                                           Formatted: Bullets and Numbering

The Subgrantee shall not be held responsible or liable in any way for the failure to provide work, labor, service, or materials
provided for by the terms of this Agreement by reason of federal, state or municipal requirements or regulations prohibiting
the provision of such work, labor, service, or materials.

The Subgrantee shall indemnify NYS DHCR as a certificate holder and as an additional insured, and must contain a
provision that the insured shall give notice that the coverage afforded under the policies will not be cancelled or that
DHCR’s interest will not be otherwise affected until at least thirty days prior notice has been given to DHCR.

                                                                                                                                  Formatted: Bullets and Numbering
IX. SYNOPSIS OF TERMS

The Subgrantee shall provide a synopsis of the terms of this Agreement to the households occupying each eligible dwelling
unit within thirty days of the weatherization work.

X. ACCESS TO DOCUMENTS                                                                                                          Formatted: Bullets and Numbering

The Subgrantee shall provide any occupant of an eligible dwelling unit access to this document in accordance with federal
and state laws regarding confidentiality and privacy.

XI. EXHIBITS                                                                                                                    Formatted: Bullets and Numbering

All Exhibits relevant to this Agreement shall be signed by both parties and become a part of this Agreement upon signing of
both parties. In the event an Exhibit or Exhibits cannot be completed at signing, provisions relating to those exhibits shall
not be considered binding until such time as they are completed, signed by both parties, and attached to this Agreement.


XII. SEVERABILITY                                                                                                               Formatted: Bullets and Numbering

The provisions of this Agreement are severable. If any provision of this Agreement is found invalid, such finding shall not
affect the validity of this Agreement as a whole or any part or provision hereof other than the provision so found to be
invalid.

The parties acknowledge that this Agreement is under seal.




Owner/Agent                                                                Date


Subgrantee                                                                Date
                     NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                               WEATHERIZATION ASSISTANCE PROGRAM
                                                   DHCR # 10


                                   OWNER AGREEMENT MULTIFAMILY
                              EXHIBIT A ELIGIBLE DWELLING UNITS AND RENTS




The documented eligible dwelling units including designated eligible vacant units which are to be weatherized or
caused to be weatherized by the Subgrantee under the attached Agreement and each unit's rent as of the effective
date of the attached Agreement are as follows:




Address:




Unit Number or Description:                  Children under 7 Yes No                           Rent as of
                                                                        :
Units designated as vacant-eligible to meet or exceed the building eligibility will be filled within180 days of this date:
/       /        (This must be sent to the Owner after certification.)
                    NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                             WEATHERIZATION ASSISTANCE PROGRAM
                                                DHCR # 10


                                 OWNER AGREEMENT MULTIFAMILY
                          EXHIBIT B ESTIMATED WEATHERIZATION WORKSCOPE




 Subgrantee:                                                           Material            Labor Costs




 Total:



 Owner:                                                                Material            Labor Costs




 Total:

NOTE: A copy of Workscope may be attached as long as the Subgrantee/owner work is clearly identified.



 Owner:                                                                Bldg. Maintenance Trng. Course
 Total:




                        Subgrantee         Owner


TOTAL ESTIMATED COST:   Materials: $       Materials:                          $




                        Labor:         $   Labor:                                  $




                                                Bldg. Mtnce. Trng. Course: $




Owner/Agent                                             Date




Subgrantee
Date
                    NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                            WEATHERIZATION ASSISTANCE PROGRAM
                                               DHCR # 10


                                 OWNER AGREEMENT MULTIFAMILY
                                EXHIBIT C WEATHERIZATION WORKSCOPE


Attach a copy of the Apartment Building Work Summary (DHCR#19) with original signatures from the Subgrantee and Owner.
TOTAL COST:   Materials:


                  Labor:




Owner/Agent                 Date




Subgrantee                 Date
                                                         NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                                                                     WEATHERIZATION ASSISTANCE PROGRAM
                                                                                                 DHCR # 11


                                                                                     CLIENT QUESTIONNAIRE


Unit #                                         Building Address:




HEATING, HOT WATER:


   How long have you lived here? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                               Formatted: Bullets and Numbering


   Was the heating system operating last winter? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  Yes  No

   Has any work been done to your heating system in the past 2-3 years? . . . . . . . . . . . . . . . .  Yes  No

   Do you use a separate space heater during the winter months? . . . . . . . . . . . . . . . . . . . . . . . Yes  No

            What fuel? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Electric  Kerosene  Other

   Do you have a working fireplace? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  Yes  No         Formatted: Bullets and Numbering


            How often is it used? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

            When was the last time the chimney was cleaned? . . . . . . . . . . . . . . . . . . . . . .
   Do you use a wood stove? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  Yes  No         Formatted: Bullets and Numbering


             How much wood did you use during the last heating season? . . . . . . . . . . .. . .

   Did you use your cookstove for heat during the past winter? . . . . . . . . . . . . . . . . . . . . . . . . .  Yes  No                          Formatted: Bullets and Numbering


             What type of fuel is your cookstove? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

   Does your home or certain rooms ever get too warm? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  Yes  No                         Formatted: Bullets and Numbering


              If yes, explain where . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

   Does your home or certain rooms ever get too cold? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  Yes  No                       Formatted: Bullets and Numbering


              If yes, explain where . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

   Do you have any noticeably drafty areas? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes  No                Formatted: Bullets and Numbering


              If yes, explain where . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

   When was the last time your heating system was cleaned and tuned? . . . . . . . . .                                                               Formatted: Bullets and Numbering


   Do you change your furnace filter regularly? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  Yes  No

     If yes, when was it done last? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

   Do you have a setback thermostat? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  Yes  No              Formatted: Bullets and Numbering


              What is the highest setting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                        °F

              What is the lowest setting. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                        °F

   Where is the thermostat located? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                                    Formatted: Bullets and Numbering


   Do you close off any rooms? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  Yes  No

               If yes, which rooms? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

   Do you have an air conditioner? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  Yes  No          Formatted: Bullets and Numbering


               If yes, what type? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
HEALTH & SAFETY


   Do you or any member of your household suffer from frequent headaches, flu, colds or nausea during the heating season? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .   Formatted: Bullets and Numbering


    . . . . . . . . . . . . . . . . . . . . . . .  Yes  No

   Do you or any member of your household have medical problems that are irritated by high heat?

              . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  Yes  No

              If yes, is the affected person presently receiving doctor’s care for the problem?. . . . . . . Yes No

   Is there any condensation build-up in your home? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                Yes  No                                                  Formatted: Bullets and Numbering


              If yes, where? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

   Is there mold or mildew in your home? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  Yes  No                                                       Formatted: Bullets and Numbering


   Does your basement get wet during certain times of the year? . . . . . . . . . . . . . . . . . . . . . . .  Yes  No

              If yes, when and where? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

   Does ice form in your attic during the winter? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  Yes  No                                                        Formatted: Bullets and Numbering


   Is there ice build-up on your roof during the winter? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  Yes  No

   Does your roof leak? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  Yes  No

   Has your home been certified as free from lead-based paint? . . . . . . . . . . . . . . . . . . . . . . . .  Yes  No

   Has any member of your household been tested for lead exposure? . . . . . . . . . . . . . . . . . . .  Yes  No

              If yes, what were the results? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
   Did you receive the lead booklet entitled “   “? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  Yes  No   Formatted: Bullets and Numbering



VISUAL INSPECTION COMMENTS OR CONCERNS NOTED BY AUDITOR
        NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
              WEATHERIZATION ASSISTANCE PROGRAM
                           DHCR # 12

                          INDOOR AIR QUALITY TESTS

Bldg.                       Auditor/Insp Pre-Wx                Date
                              Auditor/Insp Pre-Wx                Date


        Carbon Monoxide                               Pre-Wx            Post-Wx

            Heating appliance vent #1

            Heating appliance vent #2

            Water heater vent #1

            Water heater vent #2

            Ambient air

            Oven vent (during steady-state)

            5' from oven vent (during steady-state)

            Other




        CAZ Pressure                                  Pre-Wx            Post-Wx
                          Zone #1



                          Zone #2



                          Zone #3




                     Chimney Draft                                                     Pre-Wx   Post-Wx

                          Heating appliance vent #1

                          Heating appliance vent #2

                          Water heater vent #1

                          Water heater vent #2

                          Outside Air Temperature




Fuel Gas Leaks

      Describe any combustible gas leaks identified and the work done to repair the leaks:




                     NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                             WEATHERIZATION ASSISTANCE PROGRAM
                                                            DHCR # 13
                                             FEE FOR SERVICE WORKSHEET
Building Address:




         # of Units                     Start Date                End Date                    Revenue Earned




G   Building is not eligible for weatherization.

G   Separate organization has been authorized. Board resolution or other documentation attached.

G   Separate bank account has been established: Bank ___________________Acct. No. _______________

G   Organizational business plan has been developed. Plan or organizational chart attached.

G   Workscope completed. Copy attached.

Weatherization Personnel Assigned:


                      Name                           # of Hours   Rate / Hour          Fringe                  Total
Total   $
Weatherization Tools, Equipment and Vehicles Used:

To be applied to Program Income Account

                          Description                         #of Days*             Rate/Day                       Total




 *Maximum rental period, one week                                                              Total   $

Weatherization Assistance Program Overhead Cost:

To be credited to Weatherization Grant line items

                                           Percentage of Contract            Net Revenue                   Total

 Other Program Support *                                                                   $

 Liability Insurance **

 Financial Audit **

 Administrative Expense

 Total:                                                                                    $

   * Calculation of Percentage of Contract:

          Other Program Support Budgeted                   $_____________

          Less: Tools, Equipment (From Budget)             (_____________)
     Net Other Program Support                        $_____________

     Divided by Amt. Of Contract                      $_____________

     Percentage to be Credited                                         %

**If Direct Charged to FFS - Document and Do Not Include

I ATTEST THE INFORMATION ABOVE IS TRUE AND CORRECT:

Preparer=s Signature                                                   Date
                                          WEATHERIZATION ASSISTANCE PROGRAM
                                                                 DHCR # 14
                                          MULTIFAMILY INDOOR AIR QUALITY TESTS
                                  Must be completed for each occupied unit in a building with more than one unit

BUILDING ADDRESS:                                                                                                                              BLDG. #

                                                         Page         of


                                                                                                 COMMENTS (Visual Hazards, Follow-up, Etc.):

                                                                 SMOKE         INSTALLED CO
                       GAS LEAK   CO (PPM)       CO (PPM)       ALARMS          DETECTORS
 APT #     SOURCE         Y/ N      PRE            POST         Y/ N - #          Y/ N - #

           AMBIENT

           OVEN VENT

           AMBIENT

           OVEN VENT

           AMBIENT

           OVEN VENT

           AMBIENT

           OVEN VENT

           AMBIENT

           OVEN VENT

           AMBIENT

           OVEN VENT

           AMBIENT
OVEN VENT
                             NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                                       WEATHERIZATION ASSISTANCE PROGRAM
                                                              DHCR # 15


                                              HEALTH & SAFETY NOTIFICATION


This is to provide notice to ________________________________________________ (name) that the following conditions may have

an impact on the health and safety of residents or the integrity of the building at                                         .   Correction

of these conditions is not possible within the constraints of the Weatherization Assistance Program. You should take action to correct

these conditions to assure the health and safety of the residents of this building.


1. UNSAFE HEATING SYSTEM (EXPLAIN) Include CO measurement if possible:




2. INOPERABLE HEATING SYSTEM IN PERIODS OF COLD WEATHER (EXPLAIN):




NOTE: AN UNSAFE HEATING SYSTEM MUST NOT BE STARTED PRIOR TO CORRECTION OF THE UNSAFE CONDITION.
STARTING THIS SYSTEM COULD RESULT IN SERIOUS INJURY TO HOUSEHOLD MEMBERS.

3. OTHER (List):
Subgrantee Name                                      Number and Street


City                                      Zip Code                       Telephone Number (with area code)



                                                                                                                              Authorized
Subgrantee Signature                                                                                   Date


I certify that I have been advised of the above health and safety related conditions identified in my residence and understand that they
cannot be corrected by the Weatherization Assistance Program.


                                                                                                                              Owner
Signature                                                                                                     Date


Items # 1 & 2 listed above require copies to:
         County DSS
         Local Area Aging Agency (if appropriate)

                      NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                                WEATHERIZATION ASSISTANCE PROGRAM
                                                         DHCR # 16
                      JUSTIFICATION FOR HEATING APPLIANCE REPLACEMENT

Client                                                                                                                            Address:

Building #:                                                                                                              Inspection Date:



EXISTING APPLIANCE:
 Furnace  Boiler Space Heater Other:
Fuel(s)                                             Annual Consumption                                                           MMBTU
Is this appliance the primary heating source? Yes No
Size                                                    MBTUH                                         SSE        Approx. Age
yrs.
                   (Input)              (output)
Why                                       is                                     replacement                                   necessary?




Explain how TIPS or EAQUIP audit supports replacement:



How did subgrantee staff verify the diagnosis?
Is the distribution system in need of repair? Yes No
If                                                       yes,                                           explain:




Is the chimney in need of repair? Yes No

REPLACEMENT APPLIANCE:
 Furnace  Boiler Space Heater Other:
Fuel(s)                     Size                                                MBTUH                  AFUE/CE
                %
                                           (Input)              (output)
Fuel(s)                        Size                                           MBTUH                        SSE
                  %
                                           (Input)              (output)
Justify the size of the replacement unit by attaching sizing document:
TIPS Model EDR Survey Other/Explain (Sizing documentation not required for mobile homes)




Authorized Subgrantee Signature                                                               Date




DHCR Field Representative                                                                       Date

ANY FUEL SWITCHING MUST BE APPROVED IN ADVANCE, IN WRITING, BY THE DHCR REGIONAL SUPERVISOR

                            NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                                  WEATHERIZATION ASSISTANCE PROGRAM
                                               DHCR # 17

                                      BUILDING COST/PERFORMANCE REPORT

Subgrantee:




Building Number

Building Type

Heated Square Feet (Pre)

Heated Square Feet (Post)
BTU/FT2/HDD (Pre) Model Load

Material/Labor

Contract Materials

Sub-contract Labor

Subgrantee Labor

Owner Investment

Total Building Cost

CFM @ 50 pa (Pre)

AIRG

Max. Allowable Post CFM @       50 pa
CFM @ 50 pa (Post)

SSE% (Pre)

Furnace Code

SSE% (Post)

HS Costs

Leveraged Funds


NOTES:




                                NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                                      WEATHERIZATION ASSISTANCE PROGRAM
                                                   DHCR # 18

                                    BUILDING WORK SUMMARY (BWS) 1-4 UNITS


Subgrantee:                                                     Building No.

Client:                                                         Contract No.

Q Owner              Q Renter                                   Job No.

Building Address:                                               Start Date:

                                                                Completion Date:
Municipality             Parcel Id               Parcel Id Type               Parcel Id Dup. Type             Dup #


General Building Description:

Fuel Type                            No. Units                    Htd /sqft                         Btu / sqft / hdd

Electric Utility                                                         Gas Utility

          Acct #                                                              Acct #


Bldg. Performance               Pre CFM@50                 MAP CFM@50                       Post CFM@50



Building Workscope:


               ITEM                    LOCATION             OWNER/AGENCY                  MATERIAL COST          SUBLABOR COST


INSULATION




               ITEM                    LOCATION             OWNER/AGENCY                  MATERIAL COST          SUBLABOR COST


WINDOW and DOOR
HEATING APPLIANCE




DISTRIBUTION SYSTEM
ITEM              LOCATION   OWNER/AGENCY   MATERIAL   SUBLABOR COST

                                             COST


AIR SEALING




HEALTH & SAFETY
REPAIRS




          ITEM        LOCATION   OWNER/AGENCY   MATERIAL COST   SUBLABOR COST


ADDITIONAL MEASURES
TOTAL COSTS

                                       MATERIAL COST   SUBLABOR COST      TOTAL BUILDING COST

WAP COST

OWNERS COST


COMMENTS




POST INSPECTION CERTIFICATION:


I CERTIFY, TO THE BEST OF MY KNOWLEDGE, THAT THE WORK DESCRIBED ABOVE HAS BEEN COMPLETED ON THE
BUILDING AT THE ADDRESS INDICATED ON THIS FORM.




Authorized Subgrantee Representative                                              Date




Client, Owner or Authorized Agent                                                   Date
                          NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                                WEATHERIZATION ASSISTANCE PROGRAM
                                            DHCR # 20A

                      PRIOR APPROVAL BY WEATHERIZATION PROGRAM DIRECTOR


Name of Weatherization Subgrantee                                                                                      is hereby
authorized to:

         G   Request to provide assistance to structure owned or managed by a subgrantee employee or relative (excluding
             board members and senior staff who are not eligible for services).

Please state the job title and list the specific functions and responsibilities of the employee being considered for
weatherization:




Is this person paid with weatherization funds?      Yes No




If the client is a relative, state the name and position of the employee that the client is related to:




Length of current weatherization waiting list:




Please attach a separate page describing the program marketing and outreach activities.
Description of Expenditure or Work:




IMPORTANT:        This form simply authorizes the item indicated above. It does not relieve any requirements of competitive bidding, or compliance with
all DHCR policy and contracts. Attach sheets if necessary.


A copy of this form and the proposed workscope must be sent to the DHCR Regional Supervisor.

Signature of DHCR Regional Representative:
Date:

Signature of DHCR Weatherization Program Director:                                                                                               Date:




                               NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                                     WEATHERIZATION ASSISTANCE PROGRAM
                                                 DHCR # 20B

                                  PRIOR APPROVAL BY DHCR REGIONAL SUPERVISOR

Name of Weatherization Subgrantee                                                                                                          is hereby
authorized to:

          G     Waiver of Procurement Process when units are to be transferred from one program year to another. It is the
                responsibility of the subgrantee to ensure that the income eligibility is still valid.

          G     T&TA Plan.
          G     Indirect investment by a building owner occurring more than nine months prior to the weatherization
                application.

          G     Purchase of capital equipment (may require a budget amendment).

          G     Fuel switching for a heating appliance replacement.

          G     Program Income Expenditure Plan.

          G     Alternative versions of the Client Questionnaire.

          G     Weatherization of a group home.

          G     Out-of-State travel by a subgrantee.

          G     Weatherization of a building outside of a subgrantee=s service area in a joint venture with another subgrantee.

Description or Expenditure of Work:




IMPORTANT:         This form simply authorizes the item indicated above. It does not relieve any requirements of competitive bidding, or compliance with
all ESB policy and contracts. Attach sheets if necessary.
Signature of DHCR Regional Supervisor:
Date:

                            NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                                  WEATHERIZATION ASSISTANCE PROGRAM
                                              DHCR # 20C

                               PRIOR APPROVAL BY DHCR FIELD REPRESENTATIVE

Name of Weatherization Subgrantee                                                                                 is hereby
authorized to:

        G   Replacement of a heating appliance not indicated by audit.


        G   Change in order of mobile home priority list.


        G   Change in multifamily audit priorities.


        G   Use of TIPS for multifamily buildings.


        G   Completion of measures with a SIR of less than one prior to completion of all higher SIR measures.


        G   Expenditures exceeding $2,000 for vehicle maintenance costs, per vehicle, per repair, per contract.


        G   Re-weatherization of a building weatherized after September 30, 1993.


        G   Work that is outside the weatherization workscope completed by owner to meet owner investment.


Description of Expenditure or Work:
IMPORTANT:         This form simply authorizes the item indicated above. It does not relieve any requirements of competitive bidding, or compliance with
all ESB policy and contracts. Attach sheets if necessary.




Signature of DHCR Field Representative:
Date:
                            NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                                      WEATHERIZATION ASSISTANCE PROGRAM
                                                           DHCR # 21


                              CONSTRUCTION MANAGEMENT FEE TRACKING FORM


                                                CONSTRUCTION
                                                MANAGEMENT         DATE OF FEE           DATE OF FEE            CONSTRUCTION
                                                                                                                  MGMT. FEE
   PROGRAM                 BLDG.                    FEE             AVAILABILITY          EXPIRATION
                                                                                                              EXPENDITURE DATE
      YEAR               ADDRESS                  EARNED




Program Year = The year the building was weatherized.
Building Address = Building being weatherized
Construction Management Fee Earned = The amount that the subgrantee has indicated in Exhibit B of Owner’s Agreement.
Date of Fee Availability = Date that the building is certified. For AMP projects, the date the final check is received at agency.
Date of Expiration = One year from the date of availability.
Construction Mgmt. Fee Expenditure Date = When the Construction Management Fees were expended.


NOTE: This form must be submitted to the DHCR Fiscal Representative on a quarterly basis.
                         NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                               WEATHERIZATION ASSISTANCE PROGRAM
                                            DHCR # 22

                                                 BID NOTIFICATION


Subgrantee Name:                                                                                     Date:


    We will use the statewide bids for all products included in the statewide bid process.                                  Formatted: Bullets and Numbering

    We will use the statewide bids for the following products included in the statewide bid process (please list each       Formatted: Bullets and Numbering
     product.




    In order to expand the pool of bidders, we will use a local formal bid process for the products on the statewide bid    Formatted: Bullets and Numbering
     list and include the statewide bids in our analysis and awards.

       Comments: (Please provide an explanation for not using the statewide bid for products included in the statewide bid
       process.)
Complete and return this form via telefax within 30 days to:

        New York State Division of Housing and Community Renewal
        Hampton Plaza, 38-40 State Street
        Albany, New York 12207
        Attention: Diane Benjamin
        (518) 474-5700 telephone
        (518) 474-9907 telefax




                          NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                                WEATHERIZATION ASSISTANCE PROGRAM
                                             DHCR # 23

                                                 VEHICLE PURCHASES

Please allow a minimum of 30 days for processing of this request and receipt of approval from the NYS Division of Housing
& Community Renewal (DHCR) and the United States Department of Energy (USDOE).


Property management standards contained in 10 CFR Part 600, for vehicles purchased under Weatherization Contracts. No
purchases of vehicles may be made without prior approval from USDOE. A justification for the purchase must be submitted
to DHCR and must include the following (use additional pages if necessary):


Subgrantee:

SUBGRANTEE VEHICLE: Additional Replacement
1.   Is the vehicle budgeted in the contract? Yes No
     If yes, is it budgeted under Capital Equipment? Yes No


2. How many vehicles does the program currently have?                                               Formatted: Bullets and Numbering

     Provide list of all vehicles, including new vehicles and who these vehicles are assigned to:




3. What is the need for an additional vehicle?




4. Will the vehicle replace any currently owned vehicle? Yes No
     (a) If yes, type of vehicle to be disposed of:                                                 Formatted: Bullets and Numbering

     Year              Make                      Model                   Mileage
     (b) If no, explain reason for not replacing vehicle:                                           Formatted: Bullets and Numbering




     (c) Disposition method: Private Sale Trade-in Junk                                          Formatted: Bullets and Numbering



5. Reason for disposing of vehicle:




6. If vehicle is to be sold, see Notes. List of quotes and summary:
    Dealer                                                      Amount                       Summary




    Dealer                                                      Amount                       Summary




7. How many crews does the subgrantee currently have?


8. How large an area does the subgrantee serve?                   square miles


9. How many units does the subgrantee serve per week?


10. How will the number of units served be increased by the purchase of the new vehicle if this is not a replacement
    vehicle?


11. Which is the acceptable quote?

    Why?




12. Description of vehicle to be purchased?




13. Is this a lease purchase? Yes No
    If yes, has an analysis been prepared to compare lease purchase vs. purchase? Yes No
    If yes, please attach. If no, please justify benefit of lease purchase over purchase.




14. During how many contracts will purchase be made?                     (# of contracts).
15. Total purchase price, less trade-in, insurance refund, and other adjustments. $
     Quoted price                $
     - Trade-in                  $                                and/or insurance refund $
     = Purchase Price            $


16. Total in #15 distributed over contracts affected.                    Contract                             Amount
                                                                             Contract                            Amount
                                                                             Contract                            Amount


17.  This vehicle will be purchased solely with Program Income or Construction Management fees. This approval will not
     be subject to USDOE approval but must meet the established procurement procedures.


I certify that the above information is true and correct. The vehicle requested is needed for the effective operation of the
Weatherization Assistance Program.


Subgrantee Organization:                                                                                                    Date:

Authorized Subgrantee Signature:                                                                                        Date:




DHCR USE ONLY
I hereby authorize this request.

DHCR Regional Supervisor:                                                                                      Date:




DHCR Authorized Signature:                                                                                     Date:




USDOE APPROVAL
USDOE Contracting Officer:                                                                                      Date:




USDOE WAP Representative:                                                                                       Date:




NOTES:
a. If a vehicle is to be sold or junked, quotes from three different contractors/dealers indicating the price to be paid must be submitted.
b. All purchase requests must include a copy of the bid solicitation, non-collusive bidding forms signed by the bidder and the actual bid documents. If a vehicle is
   being traded in, the trade-in value must be clearly indicated on the bid documents.
c. Once this application is approved, you must forward to ESB.
                               9999NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                                      WEATHERIZATION ASSISTANCE PROGRAM
                                                    DHCR # 24
                                                  NON-COLLUSIVE BIDDING

1. By submission of a proposal, each applicant and each person signing on behalf of any applicant certifies, and in the case of a joint
   proposal each party thereto certifies, as to its own organization, under penalty of perjury, to the best of his knowledge and belief,
   that:

 the prices in a proposal have been arrived at independently without collusion, consultation, communication or agreement, for the         Formatted: Bullets and Numbering
  purpose of restricting competition, as to any matter relating to such prices with any other applicant or with any competitor;
 unless otherwise required by law, the prices which have been quoted in this proposal have not been knowingly disclosed by the
  applicant prior to opening, directly or indirectly, to any other applicant or to any competitor; and,
 no attempt has been made or will be made by the applicant to induce any other person, partnership or corporation to submit or not
  to submit a proposal for the purpose of restricting competition.

2. A proposal shall not be considered for award nor shall any award be made where (1) (a), (b) and (c) have not been complied with
   provided, however, that if in any case the applicant cannot make the foregoing certification, the applicant shall so state and shall
   furnish with the proposal a signed statement which sets forth in detail the reason therefore. Where (1) (a), (b) and (c) above have
   not been complied with, the proposal shall not be considered for award nor shall any award be made unless the NYS Division of
   Housing and Community Renewal (DHCR) determines that such disclosure was not made for the purpose of restricting
   competition.

3. Any proposal hereafter made to DHCR by a corporate applicant for work or services performed or to be performed or for goods
   sold or to be sold, where competitive bidding is required by statute, rule or regulation, and where such proposal contains that
   certification referred to in subdivision (1) (a) of the paragraph, shall be deemed to have been authorized by the Board of Directors
   of the applicant, and such authorization shall be deemed to include the signing and submission of the proposal and the inclusion
   therein of the certificate as to non-collusion as the act and deed of the corporation.

APPLICANT:

ADDRESS:

LICENSE NO. TO BUSINESS IN NYS
AND/OR NYC, IF APPLICABLE

AUTHORIZED SIGNATURE:                                                           DATE:

NAME (Print)                                                                   DATE:

SUBGRANTEE AGENCY CODE:
                                                                                                                                           Formatted: Centered, Line spacing: Exactly
                                                                                                                                           13.85 pt, Tab stops: 5.1", Centered + 8.13",
                                                                                                                                           Left + Not at 0" + 0.38" + 0.67"
                                  NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                                        WEATHERIZATION ASSISTANCE PROGRAM
                                                     DHCR # 25

                                                  UNIT BIDDING SUMMARY


 Package or Unit (As defined in
 Solicitation)                               #1                #2        #3       #4   #5   #6   #7

           CONTRACTORS

 1.


 2.


 3.


 4.


 5.


 6.


 7.


 8.


* Denotes award winner as specified in solicitation package.


Award made based on


(As specified in solicitation package)




Number of units to be awarded


(As specified in solicitation package)
                                                          NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                                                                WEATHERIZATION ASSISTANCE PROGRAM
                                                                             DHCR # 26

                                                                      SERVICES BIDDING SUMMARY

 Services (As defined in Solicitation)                                                                 Mechanical            Aggregate
                                           Infiltration        Insulation        Carpentry   Roofing    Options     Others    Totals

           CONTRACTORS

 1.


 2.


 3.


 4.


 5.


 6.


 7.


 8.


* Denotes award winner as specified in solicitation package.

Award made based on

(As specified in solicitation package)

Number of units to be awarded

                                            (As specified in solicitation package)
                                 NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                                       WEATHERIZATION ASSISTANCE PROGRAM
                                                    DHCR # 27

                                              MATERIAL BIDDING SUMMARY




                 ITEM


              VENDORS

 1.


 2.


 3.


 4.


 5.


 6.


 7.


 8.


* Denotes award winner as specified in solicitation package.


Award made based on


(As specified in solicitation package)




Number of units to be awarded


(As specified in solicitation package)
                                                                                 Formatted: Centered
                                               NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                                                      WEATHERIZATION ASSISTANCE PROGRAM
                                                                           DHCR # 28


                                                              CONTRACTOR QUALIFICATION
                        The following information must be completed in order to be considered a qualified bidder.

                                                                                                                     I


                                                                         Bidder Information




Legal Company Name




D/B/A



Address                                                           City                                                             State                Zip Code
Telephone


                                                                                                               II


                                                                         Company Structure


 Corporation                 Partnership                 Individual               Other
If “Other,” explain:




      State of Incorporation or Registration                                              Number                                                      Number of
Years in Business


                                                                                                               III


                                                                             Principals


List the name, address, telephone number and position of each principal of the company. (Attach additional pages if necessary.) "Principal" means
each officer and director of the bidder and each shareholder, partner and co-venturer who either controls or owns, directly or indirectly, a ten percent or
greater interest in the bidder or who will actively participate in the performance by the bidder of the proposed contract.


  Name                                          Address                                                        Phone #                     Position


                                                                                                               (         )

                                                                                                               (         )

                                                                                                               (         )
                                                                                                                   (     )
Which licenses does your company hold?
 Plumbing #                                               Issued by:                                                                                    Date:




 Electrical #                                             Issued by:                                                                                    Date:




 Other #                                                   Issued by:                                                                                       Date:




If none, please explain:




                                                                                                                   IV


                                                                            Bank Reference




Bank



Address                                                            City                                                                State           Zip Code
Telephone


Account Name                                                              Account #:                                                       Contact Person:




                                                                                                                   V


                                                                Woman/Minority-Owned Business


Is this a woman or minority-owned business?                              Yes           No
If “Yes,” is it qualified as such with the State of New York?      Yes          No            Certification #:




                                                                                                                   VI


                                                                             Disqualification
Has this business, its individuals, partners, officers and/or shareholders . . .
(a) been disbarred or otherwise disqualified from participation in city, state or federally funded work projects?        Yes    No
If “Yes,” please give details:
                                                                                                               VII


                                                                             Affiliation


List all other businesses in which the majority owners, partners, officers and shareholders have held an affiliation or interest in the past five years.
 (Attach additional pages if necessary.)


  Name of Business                         Address                           Work/Service Performed                   Contact Person          Phone #

                                                                                                                                              (     )

                                                                                                                                              (     )

                                                                                                                                              (     )




                                                                                                               VIII


                                                                            WAP History


List all Weatherization Assistance Program (WAP) subgrantees for which you completed major heating system work during the past three years:              (Attach

additional pages if necessary.)


  Subgrantee Name                                                                   Subgrantee Name




IX
                                                                             Insurance




Insurance Company




Address                                                                            City                                                                 State
Zip Code


Type of Coverage:                                               $ Amount:                                  Contact Person:
Telephone:


Are there any claims pending against your auto/general contractor liability coverage?           Yes    No


If “Yes,” amount of claim(s) $                              $                              $                            $
Bonding Company



Address                                                                         City                                               State
Zip Code


Contact Person:                                                                                                       Telephone:




X
                                                                        Project History
Complete the following information for each of the last five heating replacement projects of 25+ units completed by your organization:

    Owner/Project Name


    Address


    Contact Person                                    Phone #                                             Cost of Project

    Did you subcontract any portion of the contract work?  Yes       No
    If so, approximately how much of the work did you subcontract?

    Name of Subcontractor                                                                 Description of Subcontracted Work



    Owner/Project Name


    Address


    Contact Person                                    Phone #                                             Cost of Project

    Did you subcontract any portion of the contract work?  Yes       No
    If so, approximately how much of the work did you subcontract?

    Name of Subcontractor                                                                 Description of Subcontracted Work



    Owner/Project Name


    Address


    Contact Person                                    Phone #                                             Cost of Project

    Did you subcontract any portion of the contract work?  Yes       No
    If so, approximately how much of the work did you subcontract?

    Name of Subcontractor                                                                 Description of Subcontracted Work



    Owner/Project Name


    Address


    Contact Person                                    Phone #                                             Cost of Project

    Did you subcontract any portion of the contract work?  Yes       No
    If so, approximately how much of the work did you subcontract?
 Name of Subcontractor                                                                      Description of Subcontracted Work



 Owner/Project Name


 Address


 Contact Person                                    Phone #                                                  Cost of Project

 Did you subcontract any portion of the contract work?  Yes       No
 If so, approximately how much of the work did you subcontract?

 Name of Subcontractor                                                                      Description of Subcontracted Work




XI
                                                                         Affirmation



By submission of this application, the applicant and person signing on behalf of any applicant subscribes and affirms, under penalties of
law, that the statements made in this application for inclusion to the Qualified Bidders List have been examined and to the best of his/her
knowledge and belief are true and correct. The applicant affirms that no person named in this application is subject to disqualification under
the terms and guidelines of New York City and New York State unless herein stated. The applicant understands that by signing this
application it consents to any other inquiry to verify or confirm the information given herein. The applicant understands that this application
for inclusion on the Qualified Bidders List does not guarantee that inclusion will be granted but will be used in the determination of eligibility
for inclusion.




                                                                                       (Signature)




                                                                                       (Print Name)




                                                                                       (Title)


STATE OF NEW YORK           )
COUNTY OF                        ) ss:




                                                                         , being duly sworn, deposes and says: I am the person signing on
behalf of the applicant described herein and who executed the foregoing application, and the several matters therein stated are in all
respects true.
Subscribed and sworn to before me this                 day of                           , 20   .




NOTARY PUBLIC




NOTE: ALL CLEAN BOILERS CONTRACTORS MUST SUBMIT COMPLETED FORM TO THE ATTENTION OF G. MILLER AT THE
ASSOCIATION FOR ENERGY AFFORDABILITY, 105 BRUCKNER BLVD., BRONX, NEW YORK, 10455.




                                         NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                                               WEATHERIZATION ASSISTANCE PROGRAM
                                                            DHCR # 29

                                              WEATHERIZATION PROGRAM INFORMATION

                 The Weatherization Assistance Program administered by the New York State Division of Housing and
                 Community Renewal is committed to reducing heating costs for low-income families, particularly the elderly,
                 people with disabilities, and children by improving the energy efficiency of their homes and ensuring their
                 health and safety.

                 The program is funded annually by the U.S. Department of Energy. In addition, the program also receives
                 funds from the Low Income Home Energy Assistance Program funded by the U.S. Department of Health and
                 Human Services.

                 Application for assistance under the program is made to a local service provider which is under contract to
                 the Division of Housing and Community Renewal.

                 After approval of the application the local service provider will conduct a comprehensive professional building
                 analysis of the applicant's home, and based on that analysis and the funds available, will install or cause to
                 have installed, weatherization measures in the applicant's home which have been determined to be the most
                 cost-effective in reducing the applicant's energy consumption and increasing comfort.

                 The measures which may be indicated by the building analysis fall into five major categories:

                 I.       Heating efficiency measures: These measures are designed to improve the operation of the system
                          which delivers heat to the dwelling unit and may include a cleaning and tuning of the furnace or
                          boiler, repairs, modifications and replacements, as needed. Also included in this category is work on
                          the distribution system which brings heat to the unit.
II.    Infiltration measures: These are measures designed to keep warm air in and cold air out.

III.   Conduction measures: These are insulation measures designed to reduce the conduction of heat
       from the interior to the exterior of the unit.

IV.    Repairs: This category includes any repairs that may be needed to preserve or protect the
       weatherization materials installed.

V.     Health and Safety: These are measures designed to reduce health and safety hazards or to notify   Formatted: Bullets and Numbering
       residents of their presence.
                       NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                             WEATHERIZATION ASSISTANCE PROGRAM
                                          DHCR # 30

                                        AUDIT SERVICES REFERRAL


SUBGRANTEE:                                                                                                DATE:




BUILDING                                                                                                ADDRESS:




OWNER:




OWNER’S                                                                                                 ADDRESS:




OWNER’S         PHONE:                                                                  NUMBER     OF     UNITS:




 The building has been determined to be eligible for weatherization.


    Is this an AMP building?    Yes     No


    Projected date to begin weatherization work is:


    It is being referred to:                               Association for Energy Affordability

                                                           Other




    Purpose of referral:                                   Audit

                                                           Audit Review
    This package contains:

     EA-QUIP audit                                       Fuel consumption records

     TIPS audit                                          Apartment survey sheet

     Original fuel release                               Building Data

     Permission to enter form                            Maintenance/repair records




Please write in any additional information regarding the building or owner, including the name and telephone number
of any contact person other than the owner:




Subgrantee Signature                                              Date
                                                                                                                      Formatted: Line spacing: Exactly 13.85 pt,
                                                                                                                      Tab stops: 3.75", Centered
                       NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                             WEATHERIZATION ASSISTANCE PROGRAM
                                          DHCR # 31

                               ACQUISITION / DISPOSAL REPORT
Subgrantee Name:                                                                    Date:


Address:


                                        ACQUISITION

Item Purchased:




Date Received:                         P.O.                             Quantity:




Model #:                                  Serial #:




Contract(s) Purchased Under:

Contract #:                                                                   $




Contract #:                                                                   $




Other Source:                                                             $




                                                      Total Cost:   $




                                         DISPOSAL

Item Disposed:
Date Item Received:                                               Disposal Date:




Model #:                                                                   Serial #:




Contract(s) Purchased Under:

Contract #:                                                                                $




Contract #:                                                                                $




Other Source:                                                                          $




                                                             Total Cost:     $




Reason for Disposal:




Method of Disposal:




Program Income Received from Disposition of this Item:   $




DHCR Field or Fiscal Representative                                                            Date
                                NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                                      WEATHERIZATION ASSISTANCE PROGRAM
                                                      DHCR # 32


                                                MATERIALS WRITE OFF


               Subgrantee:
Contract No.



          Description of Materials*           Explanation for Write-Off     Quantity   Unit Cost**   Total Cost




         ESB Program Field Representative
Date of Confirmation




         ESB Fiscal Field Representative
Date of Confirmation




         Subgrantee Weatherization Director
Date of Disposition
          ESB Program Field Representative
Date of Disposition




              * Use additional sheets if necessary
Copies: 2-Subgrantee
             ** Based on purchase price of materials
2-State (1 FFR, 1 PR)
                      NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                              WEATHERIZATION ASSISTANCE PROGRAM
                                                      DHCR #33


                                     SUBCONTRACTOR AGREEMENT


This Agreement, made and entered by and between:

                                                                                                    (Contractor)

                                                and



(Subcontractor)

                                                 of

                                                                                                     (address),

WITNESSETH:

WHEREAS, the Contractor has entered into a Weatherization Assistance Program (WAP) Agreement (Contract
Number                         ) whose budget period ends on                        , 20     with the New York
State Division of Housing and Community Renewal (DHCR), whereby it has agreed to perform certain weatherization
activities pursuant to the Weatherization Assistance Program in New York State and;

WHEREAS, the DHCR has, pursuant to the provisions of '138 of the New York Finance Law, consented in writing to
the Contractor's subcontracting a portion of the scope of services (the Project) of the WAP Agreement and;

WHEREAS, the Subcontractor, at the public opening of bids relating to the Project on
(date), was determined to be the lowest responsible bidder and;

WHEREAS, the Subcontractor has agreed to undertake the services set forth in Schedule B of this Agreement and to
fulfill all responsibilities of this Agreement relating to the Project, and to be bound by the terms of the WAP
Agreement between the Contractor and the DHCR for the conduct of the weatherization project, a copy of which is
available upon request from the Contractor.;

NOW, THEREFORE, in furtherance of the Weatherization Assistance Program, and in consideration of the above and
the mutual promises and obligations herein provided, the parties do mutually agree as follows:

1.   Term of Agreement
     This Agreement shall begin on                                    (Commencement Date) and shall terminate on
                                                (Termination Date).

2. Compensation
     The Contractor agrees to pay the Subcontractor the sum of $                                   as set forth in Schedule A
     attached for the satisfactory performance of the Subcontractor's services.




3.        Entire Agreement
     This Agreement, together with any attachments appended prior to the execution of the Agreement, constitutes the entire
     Agreement between the parties and shall not be changed, modified or altered in any manner except by an instrument in
     writing executed by the parties.

4.   Notices
     Any notice to be given pursuant to this Agreement shall be deemed sufficient if given in writing to the address indicated
     in this Agreement, or such other address as may be specified in writing, and if given by certified mail, return receipt
     requested, and unless date of receipt is specified herein, such notice shall be deemed given when mailed.

5.   Subcontractor's Obligations
     The Subcontractor agrees:

     A. To perform the services provided for in Schedule B (Subcontractor's Services) attached.

     B. To comply with all applicable laws, ordinances, codes and regulations of local, state and federal governments,
        including the obtaining of all required permits and licenses, at no additional cost to the Contractor.

     C. To perform the work in a workmanlike manner acceptable to the Contractor. The Subcontractor shall promptly
        correct all work rejected as defective or non-conforming by the Contractor, by                     (date), but in
        no event later than the Termination Date of this Agreement.

     D. To repair all surfaces and work damaged by the Subcontractor resulting from work under this Agreement at no
        additional cost to the Contractor. Repair of existing work means that the item shall be restored to equal condition by
        patching or replacing and finished work shall match adjacent work in design and dimension.

     E. To keep the work premises broom clean and orderly during the course of the work and remove all debris upon
        completion of the work.

     F.   To guarantee the work performed and materials supplied to be free from defects for a period of one year from the
          date of final acceptance of all the work required by this Agreement on the unit, or the building containing the unit, if
          later. The Contractor will issue, on its letterhead, the date of final acceptance to the Subcontractor. Defective work
          or materials shall be repaired or replaced, at the election of the Contractor, within thirty days of receipt by the
          Subcontractor of written notice of the defect.

     G. Acceptance of faulty work, or failure on the part of the Contractor to discover defects, will not relive the
        Subcontractor of responsibility to correct the defects as set forth herein within the guarantee period.

     H. Where applicable, to provide quality materials in accordance with Contractor's specifications and use them in
        accordance with generally accepted construction practices.

     I.   To fully cooperate with the Contractor in promptly completing all necessary forms and progress reports as may be
          required for the proper administration of the project.
          1.   All work assigned to the Subcontractor will be identified by a Job Number and the Subcontractor shall similarly
               label all invoices, work change orders, etc. with the same number for purposes of identification.

          2.   The Subcontractor shall provide all required information on forms supplied by the Contractor, or shall supply to
               the Contractor the information necessary for the completion of such forms.

     J.   To provide all labor, tools and equipment necessary to perform this Agreement in an efficient, workmanlike and
          expeditious manner.

     K. To maintain work force composition as specified in bid solicitation where minority and/or low-income hiring was
        part of the bid consideration.

     L. That where work change orders are allowed:

          1.   Any deviation from the work specified in the work order and specifications shall be authorized only by written
               work change order, signed by both parties.

          2.   No additional payment shall be made to the Subcontractor because of a work change order unless so specified
               by the order.

          3.   Work change orders will be granted only for work necessitated by conditions which could not reasonably have
               been foreseen by the Subcontractor at the time of submission of bids.

     M. That if the Contractor provides the materials necessary for the weatherization work to be performed, the
        Subcontractor shall:

          1.   Sign for all materials supplied by the Contractor and assume responsibility for all such materials.

          2.   Submit a written requisition for any additional materials needed to complete the job.

          3.   Replace any materials damaged or misused by the Subcontractor or through the Subcontractor's failure to
               provide proper control or safekeeping.

          4.   Upon completion of all work, but before final approval, return any unused materials to the Contractor.

     N. That time is of the essence in the performance of this Agreement. The services of the Subcontractor shall be
        undertaken and completed in such sequence as to assure their expeditious completion in accordance with the time
        schedule submitted by the Subcontractor as part of the bid package, and in light of the purposes of this Agreement,
        but in any event, all of the services required shall be completed no later than                        (date), and
        within      days the Subcontractor shall notify the Contractor of such completion.

6.   General Conditions

     A. Interest of the Subcontractor
        The Subcontractor represents that its officers and employees have no interest, and covenants that they will not
        acquire any interest, direct or indirect, which would conflict, or appear to conflict in any manner or degree with the
          performance of the Subcontractor's services or obligations under this Agreement. The Subcontractor further
          covenants that in the performance of this Agreement no person having any such interest shall be employed.

     B. Independent Contractor
        With respect to any activities carried out in connection with this Agreement, the Subcontractor shall not be the agent
        of the Federal Government, a Federal Subgrantee, the DHCR or the Contractor, nor shall the Subcontractor represent
        to any person, foundation, group, organization or governmental entity that it is acting as an agent for the Federal
        Government, a Federal Subgrantee, the DHCR or the Contractor, or that it is entitled in any way to act on behalf of,
        or incur obligations on behalf of the Federal Government, a Federal Subgrantee, the DHCR or the Contractor.

     C. Assignment
        This Agreement is intended to secure the services of the Subcontractor because of its ability and reputation and none
        of the Subcontractor's services or obligations under this Agreement shall be assigned, subcontracted or transferred
        without the prior written consent of the Contractor.

     D. Indemnification

          1.   The Subcontractor agrees to indemnify and hold harmless the Contractor and its employees, the unit owner and
               occupants from and against all suits, actions or claims of any character, time and description brought for or on
               account of any damages, losses or expenses including legal fees, arising out of performance of the work herein,
               caused in whole or in part by the Subcontractor's negligent act or omission, or that of anyone employed by them
               for whose acts the Subcontractor may be liable.

          2.   The Subcontractor agrees to indemnify and hold harmless any unit owner or occupant from any liability for
               non-payment to, or any disputes as to payment with, any subcontractor or vendor and to immediately bond and
               secure the release of any lien obtained against the unit or building containing the unit for work performed
               pursuant to this Agreement.

          3.   The Contractor shall have the right to withhold from any payments due, or becoming due, to the Subcontractor,
               an amount which it deems to be sufficient to cover any expenses, cost, damages or loss that may be incurred by
               it as result of such events as those referenced above.

          4.   The Subcontractor shall indemnify DHCR as a certificate holder and additional isured, and must contain a
               provision that the insured shall give notice that the coverage afforded under the policies will not be cancelled or
               that DHCR’s interest will not be otherwise affected until at least thirty days prior notice has been given to
               DHCR.

     E. Political Activity
        No funds subject to this Agreement may be used for any partisan political activity, or to further the election or defeat
        of any candidate for public office. All officials and employees of the Subcontractor shall observe any restrictions on
        political activities to which they may be subject under any statute, rule or regulation.

     F.   Records
          The Subcontractor shall retain all papers and records in connection with work performed for a minimum of three (3)
          years and access will be provided to DHCR, the US Department of Energy, Federal or State Comptroller or their
          representatives for the purpose of audit, examination, excerpts or transactions.

7.   Contractor's Obligations
     The Contractor agrees:
     A. To provide work orders in conformance with DHCR policies.

     B. To conduct a timely post-inspection to determine the acceptability of the services performed by the Subcontractor no
        later than      days after notification by the Subcontractor of completion.

     C. To pay the Subcontractor promptly as required by 10 CFR 600.421, and according to Schedule A attached.

     D. Not to condition payment under this Agreement on DHCR certification or approval.

     E. A copy of the notice of commencement shall be posted at the work site in accordance with Local Law 1 of 2004, 27-
        2056.11(2)(ii)(e).

8.   Conduct of the Agreement

     A. Delays
        When good cause is shown for delay in the work by the Subcontractor, the Contractor shall make a determination
        specifying alternative payment procedures and/or an extension of time allocated for performance of this Agreement
        based on confirmation of the delay. Such delays may include, but are not limited to, any of the following: changes
        in the work, labor disputes, fire, flood, unavoidable casualty or damage to materials, an act or neglect of the property
        owner or such cause beyond the control of the Subcontractor.

     B. Liquidated Damages
        It is understood that actual damages due to delay in the performance of the work are uncertain and difficult to
        ascertain. The reasonably foreseeable damages due to such delay are agreed to be the sum of twenty-five dollars
        ($25) per day per dwelling unit. The Contractor may withhold and retain such liquidated damages out of any
        monies due to the Subcontractor under this Agreement.

     C. Termination
        1. For Fault. If the Contractor determines that the Subcontractor has failed to perform or will fail to perform all or
            any part of the Subcontractor's services or obligations required under this Agreement, the Contractor may
            terminate or suspend this Agreement in whole or in part, adjust the size of services, or reduce the Total
            Compensation of this Agreement upon written notice by certified mail to the Subcontractor specifying the
            portions of this Agreement terminated, suspended or reduced. Such notice shall specify the violation(s) of this
            Agreement, and, in the case of termination, shall specify a reasonable period of not more than ten (10) days or
            less than five (5) days from receipt of the notice, at which time the Agreement shall be deemed terminated. In
            the event of such termination, any materials, supplies, tools or equipment provided by the Contractor shall be
            returned forthwith by the Subcontractor.

         2.   Not for Fault. Whenever the Contractor determines that termination of this Agreement in whole or in part is in
              the best interest of the Contractor or the DHCR, or in the event that termination is required by a Federal
              Subgrantee, the Contractor may terminate this Agreement by written notice to the Subcontractor specifying the
              services terminated and the effective date of the termination. Upon termination, the Subcontractor shall be
              entitled to and the Contractor shall pay, the eligible costs incurred in compliance with this Agreement until the
              date of the termination, plus any costs the Subcontractor incurs directly resulting from such termination,
              provided however, that the total amount paid to the Subcontractor shall not be more than the amount of Total
              Compensation specified in this Agreement.
3.   In the event of termination of this Agreement, the Contractor shall simultaneously forward to the DHCR a copy
     of the required notice.
                                                   SCHEDULE A


                                                Payment for Services


For the services detailed in Schedule B, the Contractor agrees to pay the Subcontractor the sum of
$                           , to be paid as follows:
                                                    SCHEDULE B


                                                  Scope of Services


The Subcontractor agrees to provide the services and/or materials described in detail below:



NOTE: When the subcontractor’s work is subject to the City of New York Local Law 1 of 2004 (New York City
Childhood Lead Poisoning Prevention Act of 2003), copies of clearance test results must be provided to the
Contractor.
                                                                 SCHEDULE C
                                              SUBCONTRACT WORK CHANGE ORDER


Building Number:                                                                                             Date Job Bid:


Applicant’s Name:                                                                                            Opening Date:


Address:                                                                                                     Date Job Completed:


                                                                                                                       Original Cost:


                                                                                                                       Advance:


                                                                                                                       New Cost:


Phone No:
Special Directions & Instructions:




Date Bid Awarded:




Contractor:                                                                 Signature:
                                                         Date:


Contractor:                                                                 Signature:
                                                         Date:




The following changes are to be included on the above-mentioned client's job. Any payment or change must be noted below and approved by
Subgrantee before work is started.



                                             Job Scope                                                            Costs

                                                                                                  Material                   Labor

   1)



   2)



   3)



   4)
      5)




Subgrantee Authorized Signature                                                                   Date




IN WITNESS THEREOF, the parties have executed this Agreement


By:                                                                          By:


                         (Signature)                                                (Signature)




               Type or Print Name and Title                    Type or Print Name and Title



For:                                                                    For:


                         (Subgrantee)                          Business Name of Organization




Address:                                                         Address:




       Date:                                                         Date:




                                                                                                         Formatted: Centered
              NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                    WEATHERIZATION ASSISTANCE PROGRAM
                                 DHCR # 34
                                                         MILEAGE LOG
Subgrantee:
Vehicle:


Model/Year:
Lic. No:


                                                         Begin     End      WAP Total   *FFS
    Date           Driver          From   Destination   Mileage   Mileage               Total   Purpose




*Fee For Service

Subgrantee Authorized Signature:
Date:
            NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                  WEATHERIZATION ASSISTANCE PROGRAM
                               DHCR # 35
                               CLIENT INVESTMENT AFFIDAVIT



I, hereby, swear and affirm that I, of my own free will, am voluntarily providing $

to                                                                                    (Subgrantee name) to

provide additional weatherization work on my home which is located at




                                           (address) and that the above-named Subgrantee did not solicit

these funds from me.




The additional work that will be accomplished with these funds consists of:
Owner Signature     Date




Witness Signature          Date
              NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                    WEATHERIZATION ASSISTANCE PROGRAM
                                 DHCR # 36
                         TRAINING AND TECHNICAL ASSISTANCE
                                    DETAIL SHEET

SUBGRANTEE NAME:



Activity/Title:                                                             Total Cost: $
(From allowable T&TA activities described in Chapter 2)




Explain your plans to utilize T&TA funds for this priority. Include a list of other local or State agencies that
you will be coordinating with. Explain how this activity will advance the accuracy of the counting of eligible
clients and the expected outcome of your planned activity:




Provide detailed description of other activities: include names of persons to be trained, titles of conferences,
courses, organizations, publications, etc., makes and models of equipment, and other relevant information
about the planned activity.




The above subgrantee is authorized to expend up to the above amount on the described activity subject to
the availability of T&TA funds and DHCR training and travel approval where applicable.

SIGNATURES:

Subgrantee:                                                                                              Date:
DHCR Field Representative:   Date:



DHCR Regional Supervisor:    Date:
         NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
               WEATHERIZATION ASSISTANCE PROGRAM
                            DHCR # 37
                        INTERAGENCY REFERRAL FORM


NOTE: This is a four part carbonless form which is obtained by calling your DHCR
Regional Office.
             NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                   WEATHERIZATION ASSISTANCE PROGRAM
                                DHCR # 38
                                        LIFE RIGHTS AFFIDAVIT


DATE:




To Whom it May Concern:


I,                                                                      , do hereby acknowledge that I have relinquished

title and assigned the house and property located at

                                                                                           ,

New York to my child or children:

                                                                            residing at




                                                                            residing at




However, I do currently reside at this residence and have Life Rights to said property until such time as I am deceased.




Signed:


                                                                                   Date:
Acknowledged by:


                   Date:




Notary:
Date:
     NYS Division of Housing and Community Renewal        NYS Division of Housing and Community Renewal
           Weatherization Assistance Program                     Weatherization Assistance Program
                DHCR #39 – Furnace Tag                                DHCR #39 – Furnace Tag
AGENCY:                                  Date        AGENCY:                                  Date

Stack Temp           C02/02              Smoke       Stack Temp           C02/02              Smoke

CO                   Draft, Breech       Over Fire   CO                   Draft, Breech       Over Fire

Auditor                                  SSE         Auditor                                  SSE

CONTRACTOR:                              Date        CONTRACTOR:                              Date

Address/Ph                                           Address/Ph

Stack Temp           C02/02              Smoke       Stack Temp           C02/02              Smoke

CO                   Draft, Breech       Over Fire   CO                   Draft, Breech       Over Fire

Signature                                SSE         Signature                                SSE




     NYS Division of Housing and Community Renewal        NYS Division of Housing and Community Renewal
            Weatherization Assistance Program                    Weatherization Assistance Program
                 DHCR #39 – Furnace Tag                               DHCR #39 – Furnace Tag
AGENCY:                                  Date        AGENCY:                                  Date

Stack Temp           C02/02              Smoke       Stack Temp           C02/02              Smoke

CO                   Draft, Breech       Over Fire   CO                   Draft, Breech       Over Fire

Auditor                                  SSE         Auditor                                  SSE

CONTRACTOR:                              Date        CONTRACTOR:                              Date

Address/Ph                                           Address/Ph

Stack Temp           C02/02              Smoke       Stack Temp           C02/02              Smoke

CO                   Draft, Breech       Over Fire   CO                   Draft, Breech       Over Fire

Signature                                SSE         Signature                                SSE
     NYS Division of Housing and Community Renewal        NYS Division of Housing and Community Renewal
            Weatherization Assistance Program                    Weatherization Assistance Program
                 DHCR #39 – Furnace Tag                               DHCR #39 – Furnace Tag
AGENCY:                                  Date        AGENCY:                                  Date

Stack Temp           C02/02              Smoke       Stack Temp           C02/02              Smoke

CO                   Draft, Breech       Over Fire   CO                   Draft, Breech       Over Fire

Auditor                                  SSE         Auditor                                  SSE

CONTRACTOR:                              Date        CONTRACTOR:                              Date

Address/Ph                                           Address/Ph

Stack Temp           C02/02              Smoke       Stack Temp           C02/02              Smoke

CO                   Draft, Breech       Over Fire   CO                   Draft, Breech       Over Fire

Signature                                SSE         Signature                                SSE
NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
      WEATHERIZATION ASSISTANCE PROGRAM
                    DHCR # 40

          PROGRAM INCOME QUARTERLY REPORT

Field Supervisor Program Income Quarterly Report
Quarter Ending:
Agency Code:


  Beginning Balance                            $
  Prior Quarter
  Reported on Contract #



  Current Quarter
  Reported on Contract #

     Equipment/Tools                           $
     Vehicle Rental                            $
     Other                                     $

  Total This Quarter                           $



  Total FFS Program Income to Date             $



  Summary by Contract Number:




                                        Total $
Submitted By:   Date:
         NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
               WEATHERIZATION ASSISTANCE PROGRAM
                             DHCR # 41

                            WAP COMMITMENT LETTER

To be Prepared on Subgrantee Letterhead


[Date]


[Name of Building Owner]
[Organization]
[Address]
[City, State, Zip]

Dear                :

RE: WEATHERIZATION ASSISTANCE PROGRAM COMMITMENT LETTER
    BUILDING ID NUMBER:

I am pleased to inform you that [name of subgrantee] has authorized the issuance of this
commitment to make the New York State Weatherization Assistance Program available to you in
the amount and under the terms and conditions set forth herein. Upon acceptance of the terms
and conditions of this commitment, this letter will be a binding agreement between you and
[name of subgrantee].

The basic terms of this commitment are as follows:

Name of Building Owner:
Address of Building(s):
Assistance Amount:
Owner Contribution:
Number of Assisted Units:
Project Completion Deadline:

This offer is conditioned upon the availability of funding for the program. In the event that funds
are not available for [subgrantee] to continue the Weatherization Assistance Program or are not
adequate to complete the project described above, this commitment shall no longer be considered
to be in effect, and [subgrantee] shall have no additional obligation to the owner.
[Subgrantee] and [owner] agree to construct and manage the project in compliance with the
policies and procedures of the New York State Division of Housing and Community Renewal, as
set forth in its manuals, statutes and regulations which are hereby expressly incorporated by this
reference into this commitment. This offer is also subject to [subgrantee’s] review and approval
of the project as required under any applicable federal or state environmental laws and
regulations and any other State or local laws, rules, regulations or ordinances that are required to
complete the work described in the Apartment Building Work Summary Form (DHCR #19)
which is attached to and which shall be considered a part of this commitment.

Satisfaction of all the conditions set forth in this letter and any accompanying exhibits is required
in order to obtain this financing. Failure to comply with any of the terms or conditions of this
commitment shall be grounds for [subgrantee] to terminate this commitment without liability to
you. This commitment will expire without any further action by [subgrantee] if you fail to
comply with these terms by the project completion date. This commitment may not be assigned
or modified without the prior written agreement of the [subgrantee] and is specifically limited to
the project and property described in your application.

Carefully review the terms of this commitment letter and the conditions set forth in each of the
attached exhibits as those conditions may represent revisions to the project proposed in your
application.

If you wish to accept this offer of commitment as described herein and as set forth in the
exhibits, please indicate your acceptance by executing this commitment below, initialing all
pages of the exhibits where indicated and returning one of the two enclosed originals to
[subgrantee] at the above address within 30 days of receipt of this letter.

Sincerely,


[Authorized Subgrantee Representative]
[Title]

All the terms and conditions set forth herein are agreed to and accepted.


Owner                                                             Date

Print Name                                                        Title
             NYS DIVISION OF HOUSING AND COMMUNITY RENEWAL
                   WEATHERIZATION ASSISTANCE PROGRAM
                                 DHCR #42

                       LEAD WAIVER TO CONTINUE WORKING

Date:

Subgrantee Requesting Waiver:____________________________________________________

1. When did you lose your Lead Abatement Supervisor?       __/__/__

2. Do you have other staff members who have gone through the Lead Abatement Supervisor
Training?     Yes____ No_____

Name(s)_____________________________Position:__________________________________
Name(s)_____________________________Position:__________________________________
Name(s)_____________________________Position:__________________________________

3. Do you have staff scheduled to attend the EPA 32 hour Lead Abatement Supervisor Training?
   Yes ____ No ____ If Yes, When __/__/__

Name(s)_____________________________Position:__________________________________
Name(s)_____________________________Position:__________________________________
Name(s)_____________________________Position:__________________________________

4. When do you expect to have an EPA Certified Lead Abatement Supervisor on staff? __/__/__

5. Have you spoken with a neighboring subgrantee in your area about allowing you access to
their EPA Certified Lead Abatement Supervisor until you have obtained your own Certified
Supervisor?       Yes____ No ____

If a neighboring Subgrantee agreed to let you have access, complete the following:
Name of Neighboring Subgrantee: _________________________________________________
Name of Lead Abatement Supervisor:_______________________________________________
The request for a waiver is approved ______ is not approved_____ for the following reasons:
Comments/Limitations___________________________________________________________
_____________________________________________________________________________
_____________________________________________________________________________
_____________________________________________________________________________
DHCR Regional Supervisor=s Signature: _______________________________ Date
__/__/__


                                                                             Formatted: Line spacing: Exactly 13.85 pt,
                                                                             Tab stops: 3.75", Centered
                                                                             Formatted: Line spacing: Exactly 13.85 pt,
                                                                             Tab stops: 5.1", Centered + 8.13", Left + Not
                                                                             at 0" + 0.38" + 0.67"

				
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