Weatherization Manual Policies and Procedures Supporting Documents for United States Department of Energy (doe) United States Department of Health and Human Services (hhs) Bonneville Power Administration

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Accrual of Benefits

    1. Potential Benefit

    1. Tenant Pays

    2. Utilities

    1. Utilities

    2. Included in Rent

    1. 1

    1. Lower energy bills when seasonal temperatures

    2. are consistent with historic temperatures

    1. Yes

    1. No

    1. 2

    1. "Lower than expected" energy bills in the event

    2. of hotter/colder weather than in previous years

    1. Yes

    1. No

    1. 3

    1. Long, or longer term preservation of the property as

    2. affordable housing

    1. Yes

    1. Yes

    1. 4

    1. Continuation of protection against rent

    2. increases beyond that required under the WAP regulations (10 CFR 440.22(b)(3)(ii))

    1. Yes

    1. Yes

    1. 5

    1. Investment of the energy savings in facilities or

    2. services that offer measurable direct benefits to tenants

    1. Maybe

    2. requires description

    1. Yes

    1. 6

    1. Investment of the energy savings from the

    2. weatherization work in specific health and safety improvements with measurable benefits to tenants

    1. Maybe

    2. requires description

    1. Yes

    1. 7

    1. Additional improvements, not related to

    2. weatherization, to heat and hot water distribution, and ventilation, to improve the comfort of residents

    1. Yes

    1. Yes

    1. 8

    1. Establishment of a shared savings program

    1. Maybe

    2. requires description

    1. Yes

  • Page 1 of 2

  • Weatherization Assistance Program

  • Application for Shelters, Group Homes, and Transitional Facilities

    Agency Use Only

    Date: ________________ Agency: ____________________ County: ________________

    Agency Use Only

    Date: Agency: County:

  • Name of Facility:

  • Applicant/Operator's Name:

  • Facility Phone Number:

  • Address of Facility:

  • City, State, Zip:

  • Owner(s) or Organization Name:

  • Organization Phone Number:

  • Owner/Organization Address:

  • (If different from above)

  • City, State, Zip:

  • Name of Designated Official:

  • Title of Official:

  • Housing Type (Check One):

  • Single Unit Multi Unit Total # Eligible Units:

  • Heating Fuel - Main Source of Heat (Check One):

  • Electric Oil Gas Wood Other

  • Page 2 of 2

  • I certify that the information I have provided on this application is accurate to the best of my knowledge. I further certify that the incomes of the persons/families residing in the facility of the organization I represent are at or below 200 percent of federal poverty guidelines or 60 percent of the state median income, whichever is greater. I have submitted a letter attesting to these facts and have included a copy of the organization's income guidelines or a copy of the organization’s mission statement in lieu of individual resident income verification. If I have knowingly provided false information which results in receiving assistance for which the organization is not eligible, I may be subject to criminal prosecution.

  • I further understand that I may file a grievance for either of the following reasons:

    1. The application was not acted upon within a reasonable time.

    2. The application was denied and I think the facility is eligible to be weatherized under this program.

    1. I also agree that in consideration of weatherization work to be performed, the rent, charges, or fees charged to the occupants of the property being weatherized will not be increased because of any increase in the value of the property due solely to weatherization assistance.

    2. (Applicant/Operator's Signature) (Date Signed)

    3. The current operation of the property as a , which serves low-income people, shall continue for a period of years. In the event that I sell the property within years after weatherization work is completed, or if the property ceases to be used as a , I will comply with one of the two following conditions:

    1. I will repay the agency at the date of sale or at the date of discontinuance an amount equal to the percentage of the year/month period remaining, times the full value of material and labor as documented by agency work records; or

    2. I will obtain in writing prior to sale the purchaser's agreement to continue operating the property as a for the remaining term.

    1. (Property Owner’s Signature) (Date Signed)


    3. BETWEEN





    8. February 5, 2010

    9. WHEREAS, the United States Department of Energy (DOE) administers the following financial assistance programs: the Energy Efficiency and Conservation Block Grant Program under the Energy Independence and Securities Act of 2007 (EECBG); the State Energy Plan under the Energy Policy and Conservation Act of 1975 and the State Energy Efficiency Programs Improvement Act of 1990 (SEP); and the Weatherization Assistance Program (WAP) for LowIncome Persons under Title IV of the Energy Conservation and Production Act, the Energy Policy Act of 2005, the Energy Independence and Security Act of 2007, and the American Recovery and Reinvestment Act of 2009 (ARRA); collectively referred to as the "Programs";

    10. WHEREAS, the unprecedented levels of funding available· to the Programs, due in large measure to ARRA, has created a large volume of projects requiring expedited historic preservation reviews to ensure the timely obligation of funds, that create new jobs, and improve local and state economies;

    11. WHEREAS, the Washington State Historic Preservation Officer (SHPO) and Director of the Washington Department of Archeology and Historic Preservation (DAHP) is experiencing unprecedented numbers of requests for historic preservation review of undertakings funded by all Federal Agencies, including undertakings funded by the Programs;

    12. WHEREAS, the Washington Department of Commerce (Recipient) is receiving financial assistance from DOE to carry out the Programs;

    13. WHEREAS, the projects funded by the Programs are undertakings subject to review under Section 106 of the National Historic Preservation Act, 16 U.S.C 470f (NHPA) and its implementing regulations at 36 CFR part 800 and include rehabilitation, energy efficiency retrofits, renewables, and weatherization (undertakings);

    14. WHEREAS, DOE has determined that these undertakings may adversely affect properties that are listed in or eligible for listing in the National Register of Historic Places (National Register) and subject to the requirements of the National Historic Preservation Act (NHPA);

    15. WHEREAS, in accordance with 36 CFR 800.14(b)(4), the Advisory Council on Historic Preservation (the ACHP) has designated this Agreement as a Prototype Programmatic Agreement (PA), which does not require the participation or signature of the ACHP;

    16. WHEREAS, DOE, the ACHP, and the National Conference of State Historic Preservation Officers (NCSHPO) have determined that the requirements of Section 106 can be more effectively and efficiently fulfilled if a programmatic approach is used to stipulate roles and responsibilities, exempt undertakings from Section 106 review, establish tribal protocols, facilitate identification and evaluation of historic properties, establish treatment and mitigation measures, and streamline the resolution of adverse effects;

    17. WHEREAS, by memorandum dated August 28, 2009 (attached as Appendix C), DOE delegated certain tasks necessary for compliance with Section 106 of the NHPA to grantees and sub-grantees of funding from the Programs (Recipients);

    18. WHEREAS, according to the August 28, 2009 memorandum, the Recipients are authorized, to initiate Section 106 compliance in accordance with 36 CFR 800.2 (c)(4);

    19. WHEREAS, the undertakings covered under this PA are not located on Tribal lands and are primarily smaller scale activities and routine projects, without the potential for adversely affecting historic properties, rather than complex undertakings with a greater potential to adversely affect historic properties, which would require completion of the typical Section 106 review process;

    20. WHEREAS, DOE and the ACHP were guided by the principles set forth in the ACHP's Affordable Housing Policy statement, adopted on November 9, 2006, in negotiating this Programmatic Agreement upon which this PA is based;

    21. NOW, THEREFORE, DOE, the Washington Depattment of Commerce and the Washington SHPO agree that the Programs shall be administered in accordance with the following stipulations to satisfy DOE's Section 106 responsibilities for all individual undertakings of the Programs:


    23. DOE, the Recipient, and the SHPO shall ensure that the following stipulations are carried out:

    24. 1. Roles and Responsibilities

    25. A. DOE shall be responsible for providing oversight of the PA, executing PAs with SHPOs, participating in the resolution of disputes between the SHPO and the Recipient, and providing technical assistance and guidance as needed. DOE shall be responsible for government-to-government consultation with Indian tribes, unless the Indian tribe agrees to the delegation of this responsibility to a Recipient.

    26. B. The Recipient shall be responsible for consulting with consulting parties and conducting Section 106 reviews in a timely manner, preparing documentation for the SHPO and DOE, and maintaining records on undertakings. Undertakings that involve properties greater than 45 years old and are not listed on either Appendices A or B shall be submitted to the SHPO for review in accordance with this agreement.

    27. C. Recipient shall ensure that the provisions of this PA apply to its sub-awards.

    28. 2

    29. D. The Recipient is encouraged to use qualified professionals in conducting their Section 106 requirements.

    30. E. The SHPO shall be responsible for reviewing project documentation and participation in consultation as set forth in this P A.

    31. F. The ACHP shall be responsible for providing technical guidance, participating in dispute resolutions if appropriate, and monitoring the effectiveness of this PA.

    32. II. Tribal Review

    33. A. Execution of this PA presumes that DOE will conduct its government-to-government responsibilities with federal recognized Indian tribes or its Section 106 consultation requirements with Native Hawaiian Organizations (NHO) consistent with Federal laws and regulations. The Recipient shall not substitute for DOE in matters related to potential effects on historic properties of cultural and religious significance to Indian tribes, except with the concurrence of the Indian tribe or NHO.

    34. B. DOE acknowledges that Indian tribes possess special expertise in assessing the National Register eligibility of properties with tribal religious and cultural significance, and requires the Recipient to consult with them, as appropriate, in identifying historic properties listed in or eligible for listing in the Area of Potential Effect (APE) of program areas.

    35. C. If the Recipient notifies DOE that an undertaking may result in an adverse effect on cultural resources with tribal religious and cultural significance, DOE shall notify Indian tribes of individual undertakings that may result in an adverse effect on cultural resources with tribal religious and cultural significance and invite them to participate in consultations. Indian tribes and the Recipient may develop a bi-party agreement that outlines their review procedures for undertakings covered in a PA. Such agreements will be submitted to DOE for review and approval, and a copy sent to the ACHP for its records.

    36. III. State Interagency Agreements

    37. The Recipient may review an undertaking in accordance with the terms of an interagency agreement, in lieu of the other terms of this PA, if:

    38. A. The interagency agreement was executed by the Recipient and the SHPO on or before February 5, 2010, and will be executed no later than February 19,2010;

    39. B. The Recipient and SHPO both agree through execution of this PA that the interagency agreement applies to the undertaking and provides a historic preservation review process that is similar to that provided by the other terms of this PA; and

    40. C. DOE does not object to the use of the interagency agreement to fulfill the requirements of Section 106 of the NHPA for the undertakings.

    41. IV. Exemptions from Section 106 review

    42. A. The Recipient shall not submit to the SHPO undertakings listed in Appendices A or B as they do not have the potential to cause effects on historic properties even when historic properties may be present. The Recipient and the SHPO may agree to modify Appendix A and/or Appendix B, with advance notification of such modifications to the ACHP and DOE. Recipient will maintain file records with verification that undertakings were determined to be exemptions for a period of three (3) years from project completion and make them available for review if requested by DOE or the ACHP.

    43. 3

    44. B. If a property has been determined to be ineligible for inclusion in the National Register within the last five (5) years from the date the Recipient made its application for DOE financial assistance, then no further review is required under this PA.

    45. C. Recipients of any of the Programs may utilize either Appendix A or Appendix B in identifying exempt undertakings, regardless of whether the Exhibit on which the undertaking relates to another federally funded program.

    46. V. Review Procedures for Non-exempt Undertakings

    47. A. For undertakings not exempted under Stipulation III or IV,if the Recipient has an executed Section 106 Agreement per 36 CFR part 800 for Community Development Block Grants (CDBG) with the SHPO that 1) is still in effect; 2) covers the same undertakings as the DOE grant programs; and 3) is up to date with reporting to the SHPO, no separate Section 106 review is needed.

    48. B. Otherwise, the Recipient shall review the undertaking in accordance with Stipulations VI through X below, or consistent with SHPO approved historic preservation protocols. The Recipient and/or sub-grantees may make use ofthe DAHP EZ I, EZ 2, and EZ 3 form series to aid in fulfilling its Identification, Evaluation, and Treatment consultation requirements as described in Stipulations VI and VII.

    49. VI. Identification and Evaluation

    50. A. The Recipient shall establish the Area of Potential Effect (APE) for all program undertakings defined in the DOE grant agreement for the State.

    51. B. The Recipient shall complete the identification and evaluation of historic properties utilizing existing information including the National Register, state surveys, and county and local surveys. In addition, the Recipient and SHPO may use or develop protocols with 36 CFR Section 800.4 for the review of consensus determinations of eligibility.

    52. C. The Recipient shall consult with Indian tribes or NHOs to determine if there are historic propeliies of religious or cultural significance that were not previously identified or considered in surveys or related Section 106 reviews, as appropriate.

    53. D. Archaeology surveys are required only for new ground disturbing project undertakings and shall be limited in scope subject to the concurrence of Indian tribes or NHOs that may attach religious or cultural significance to historic properties in the project area. Project undertakings requiring more than minimal ground disturbance shall be forwarded to the SHPO and THPOs or Indian tribes or NHOs concurrently for review.

    54. E. In order to avoid potential delays, prior to initiating undertakings the SHPO may review the Recipient's scopes ofwork for above ground surveys and archaeology surveys that are deemed necessary to administer the Recipient's Programs and to implement the terms of this PA.

    55. F. The Recipient shall refer disputes regarding determinations of eligibility to DOE for review and referral to the Keeper ofthe National Register in accordance with 800.4(c)(2).

    56. 4

    57. VII. Treatment of Historic Properties

    58. A. When the Recipient and the SHPO concur that an undertaking is designed and planned in accordance with the Secretary of the Interior's Standards for the Treatment of Historic Properties (36 CFR Part 68, July 12, 1995 Federal Register) (Standards), that undertaking will not be subject to further Section 106 review.

    59. B. The Recipient and SHPO will make best efforts to expedite reviews through a finding of "No Adverse Effect with conditions" when the Recipient and the SHPO concur that plans and specifications or scopes ofwork can be modified to ensure adherence to the Standards. If the undertaking cannot meet the Standards or would otherwise result in an adverse effect to historic properties, the Recipient will proceed in accordance with Stipulation VIII.

    60. VIII. Resolution ofAdverse Effects

    61. A. The Recipient shall consult with the SHPO, and Indian tribes or' NHOs as appropriate, to resolve adverse effects. The Recipient will notify DOE of the pending consultation, and DOE will participate through its designated representative.

    62. B. The Recipient may use standard stipulations included in Attachment A of this PA, or as negotiated as part of this PA between the SHPO and the Recipient, or if the project warrants, use of an alternate PA due to the complexity of the project activity.

    63. C. Consultation shall be coordinated to be concluded in 45-days or less to avoid the loss of funding. In the event the consultation extends beyond this period, DOE shall formally invite the ACHP to participate in consultation. The ACHP will consult with DOE regarding the issues and the opportunity to negotiate a Memorandum of Agreement (MOA). The purpose of this MOA is to avoid, minimize, or mitigate the adverse effect of the project on historic properties. Within seven (7) days after notification, the ACHP will enter consultation and provide its recommendation for either concluding the Section 106 review through an MOA or Chairman's comment from the ACHP to the Secretary of DOE within 21 days.

    64. D. In the case of an ACHP Chairman comment, DOE may proceed once DOE provides its response to the ACHP.

    65. IX. Emergency Situation Undertakings

    66. A. When an emergency undertaking is required for historic properties associated with the undertakings, the Recipient shall allow the SHPO five (5) business days to respond, if feasible. Emergencies exist when there is a need to eliminate an imminent threat to health and safety of residents as identified by local or County building inspectors, fire department officials, or other local or County officials.

    1. The Recipient shall forward documentation to the SHPO for review immediately upon notification that an emergency exists. Documentation should include a) nature of the emergency; b) the address of the historic property involved; c) photographs showing the current condition of the building; and d) the time-frame allowed by local officials to respond to, or correct, the emergency situation.

    2. The Recipient shall consider mitigation measures recommended by the SHPO and implement them, if feasible.

    1. 5

    2. X. Public and Consulting Party Involvement

    3. A. The Recipient shall maintain a list of undertakings and shall make the documentation available to the public. The Recipient shall notify the SHPO if its notified of other consulting patties or public interest in any undertakings covered under the terms of the PA.

    4. B. The Recipient, independently or at the recommendation of the SHPO, may invite interested persons to participate as consulting parties in the consultation process for adverse effects in accordance with Stipulations VI, VII, and VIII.

    5. XI. Administrative Coordination

    6. A. The Recipient, in consultation with the SHPO, may develop procedures allowing for the use of local reviews conducted by Certified Local Governments (CLG) when such procedures avoid the duplication of efforts.

    7. B. The Recipient, in consultation with the SHPO, may determine that an undertaking has already been reviewed under an existing Section 106 effect determination or agreement document, then no further Section 106 review under this PA is required.

    8. C. The SHPO shall provide comments to the Recipient within thirty (30) days, unless otherwise agreed upon by the SHPO and the Recipient, for reviews required under the terms of this PA with the exception of emergency undertakings. In the event that the SHPO fails to comment within the established period, the Recipient can assume the SHPO has concurred, and proceed.

    9. D. The Recipient shall advise sub-grantees in writing of the provisions in Section 110 (k) of the Act and will advise the sub-grantees that Section 106 reviews may be compromised when project undertakings are initiated prematurely.

    10. E. The SHPO and the Recipient shall make every effort to expedite Section 106 reviews for a period of less than the 30-day review when consistent with the terms of the DOE grant agreements and the Recipient intends to utilize the services of qualified professionals.

    11. F. For projects that will require either an Environmental Assessment or an Environmental Impact Statement under the National Environmental Policy Act (NEPA), nothing contained in this PA shall prevent or limit the Recipient and DOE from utilizing the procedures set forth in

    12. 36 CFR 800.8 to coordinate and conduct the historic preservation review in conjunction with the NEPA review.

    13. XII. Discoveries

    14. If historic properties are discovered or unanticipated effects on historic propetiies located within a project's APE after the undertaking has been initiated, the Recipient will implement the following procedures.

    15. A. The Recipient shall immediately cease all operations for the portion of the undertaking with the potential to affect historic property.

    16. B. The subgrantee shall advise the Recipient ofthe National Register eligibility of the historic property and the potential of the undertaking to impact its qualifying characteristics and an explanation of whether the SHPO or Indian tribes and NHOs concur with proposed avoidance, treatment plan or mitigation plan;

    17. C. The Recipient or DOE shall notify Indian tribes or NHOs of any discoveries that have the potential to adversely affect sites or buildings of religious or cultural significance to them. After reviewing such discoveries, the Indian tribes or NHOs can request further consultation on the project by notifying DOE, ACHP, and the SHPO in writing.

    18. 6

    19. D. The Recipient or subgrantee shall implement the avoidance, treatment or mitigation plan and advise the Recipient and DOE, if appropriate, of the satisfactory completion of the approved work. Once the approved work is complete the subgrantee may resume the activities that were halted to address the discovery situation.

    20. XII Dispute Resolution'

    21. A. Should the SHPO object within the time frames outlined in this PA to any project undertakings, the Recipient shall consult further with the SHPO to attempt to remove the basis for the SHPO's objection. In the event that the SHPO's objection is not withdrawn, then the Recipient shall refer the matter to DOE. The Recipient shall forward all documentation relevant to DOE, who will notify and consult with the ACHP.

    22. B. The ACHP will provide its recommendations, if any, within 21 days following receipt of relevant documentation. DOE will take into account the ACHP's recommendations or formal comments in reaching a final decision regarding the dispute.

    23. XIII. Reporting and Monitoring

    24. A. DOE, the ACHP, and the SHPO may monitor any undertakings carried out pursuant to this PA. The ACHP may review undertakings, if requested by DOE. DOE shall be entitled to address and make determinations on overall policy or administrative issues related to the implementation of these Programs.

    25. B. The Recipient shall adhere to DOE's established protocols for ARRA reporting program undertakings.

    26. C. DOE will submit annual reports to ACHP and NCSHPO commencing October 15, 2010 summarizing the Programs' undertakings, to include data on number of undertakings, the number of exempt undertakings, and reviews conducted under this PA.

    27. XIV. Amendments

    28. DOE, the SHPO, or the Recipient may request that this PA be amended, whereupon DOE and the SHPO, and the ACHP, if involved, will consult to consider such an amendment. Any such amendments shall be developed and executed among DOE, the Recipient, and the SHPO in the same manner as the original PA, and pertain only to this State PA.

    29. XV. Duration of Agreement

    30. This PA will be valid for three (3) years from the date of execution, as verified with DOE filing the PA with the ACHP.

    31. (Federal Register Vol. 78, No. 50 – Thursday, March 14, 2013 extends the duration of the existing 44 agreements executed under the prototype PA until December 31, 2020.)

    32. 7

    33. 8


    35. All undertakings will be done in accordance with applicable local building codes or the

    36. International Building Code, where applicable. In accordance with 36 CFR 800.3(a)(l), the

    37. following undertakings have been determinedto have no potential to cause effects on historic

    38. properties:

    39. A. Exterior Work

    40. 1) Air sealing of the building shell, including caulking, weather-stripping, and other air infiltration control measures on windows and doors, and installing thresholds in a manner that does not harm or obscure historic windows or trim.

    41. 2) Thermal insulation, such as non-toxic fiberglass and foil wrapped, in walls, floors, ceilings, attics, and foundations in a manner that does not harm or damage historic fabric.

    42. 3) Blown in wall insulation where no holes are drilled through exterior siding.

    43. 4) Removable film on windows (if the film is transparent), solar screens, or window louvers, in a manner that does not harm or obscure historic windows or trim.

    44. 5) Reflective roof coating in a manner that closely resembles the historic materials and form, or with materials that restore the original feature based on historic evidence, and in a manner that does not alter the roofline, or where not on a primary roof elevation or visible from the public right-of-way.

    45. 6) Storm windows or doors, and wood screen doors in a manner that does not harm or obscure historic windows or trim.

    46. 7) In-kind replacement or repair ofprimary windows, doors and door frames that closely resemble existing substrate and framing.

    47. 8) Repair of minor roof and wall leaks prior to insulating attics or walls, provided repairs closely resemble existing surface composite.

    48. B. Interior Work

    49. Special Note: Undertakings to interior spaces where the work will not be visible from the public right of way; no structural alterations are made; no demolition of walls, ceilings or floors occurs; no drop ceilings are added; or no walls are leveled with furring or moved, should be automatically excluded from SHPO review. This work includes:

    50. 1) Energy efficiency work within the building shell:

    51. a. Thermal insulation in walls, floors, ceilings, attics, crawl spaces, ducts and foundations.

    52. b. Blown in wall insulation where no decorative plaster is damaged.

    53. c. Plumbing work, including installation of water heaters.

    54. d. Electrical work, including improving lamp efficiency.

    55. e. Sealing air leaks using weather stripping, door sweeps, and caulk and sealing major air leaks associated with bypasses, ducts, air conditioning units, etc.

    56. 9

    57. f. Repair or replace water heaters.

    58. g. Adding adjustable speed drives such as fans on air handling units, cooling tower fans, and pumps.

    59. h. Install insulation on water heater tanks and water heating pipes.

    60. i. Install solar water heating systems, provided the structure is not visible from the public right of way.

    61. j. Install waste heat recovery devices, including desuperheater water heaters, condensing heat exchangers, heat pump and water heating heat recovery systems, and other energy recovery equipment.

    62. k. Repair or replace electric motors and motor controls like variable speed drives.

    63. l. Incorporate other lighting technologies such as dimmable ballasts, day lighting controls, and occupant controlled dimming.

    64. 2) Work on heating and cooling systems:

    65. a. Clean, tune, repair or replace heating systems, including furnaces, oilers, heat pumps, vented space heaters, and wood stoves.

    66. b. Clean, tune repair or replace cooling systems, including central air conditioners, window air conditioners, heat pumps, and evaporative coolers.

    67. c. Install insulation on ducts and heating pipes.

    68. d. Conduct other efficiency improvements on heating and cooling systems, including replacing standing pilot lights with electronic ignition devices and installing vent dampers.

    69. e. Modify duct and pipe systems so heating and cooling systems operate efficiently and effectively, including adding return ducts, replace diffusers and registers, replace air filters, install thermostatic radiator controls on steam and hot water heating systems.

    70. f. Install programmable thermostats, outdoor reset controls, UL listed energy management systems or building automation systems and other HVAC control systems.

    71. 3) Energy efficiency work affecting the electric base load ofthe property:

    72. a. Convert incandescent lighting to more energy efficient lighting, such as, fluorescent, LED, etc.

    73. b. Add reflectors, LED exit signs, efficient HID fixtures, and occupancy (motion) sensors

    74. c. Replace refrigerators and other appliances.

    75. 4) Health and safety measures:

    76. a. Installing fire, smoke or carbon dioxide detectors / alarms.

    77. b. Repair or replace vent systems on fossil-fuel-fired heating systems and water heaters to ensure that combustion gasses exhaust safely to outside.

    78. c. Install mechanical ventilation, in a manner not visible from the public right of way, to ensure adequate indoor air quality if house is air-sealed to building airflow standard.

    79. 10


    81. SECTION 106 REVIEW

    82. A. Category 1 -No Consultation Required

    83. In addition to the undertakings provided in Exhibit A (WAP Undertakings exempt from Section 106 Review), DOE and the SHPO have concluded that the following undertakings do not have the potential to cause effects on historic properties per 36 CFR § 800.3(a)(1):

    84. 1. General efficiency measures not affecting the exterior of the building:

    85. a. Energy audits and feasibility studies.

    86. b. Weatherization of mobile homes and trailers.

    87. c. Caulking and weather-stripping around doors and windows in a manner that does not harm or obscure historic windows or trim.

    88. d. Water conservation measures - like low flow faucets, toilets, shower heads, urinals - and distribution device controls.

    89. e. Repairing or replacing in kind existing driveways, parking areas, and walkways with materials ofsimilar appearance.

    90. f. Excavating to gain access to existing underground utilities to repair or replace them, provided that the work is performed consistent with previous conditions.

    91. g. Ventilating crawl spaces.

    92. h. Replacement of existing HVAC equipment including pumps, motors, boilers, chillers, cooling towers, air handling units, package units, condensers, compressors, heat exchangers that do not require a change to existing ducting, plumbing, electrical, controls or a new location, or if ducting, plumbing, electrical and controls are on the rear of the structure or not visible from any public right of way.

    93. i. Adding or replacing existing building controls systems including HVAC control systems and the replacement of building-wide pneumatic controls with digital controls, thermostats, dampers, and other individual sensors like smoke detectors and carbon monoxide detectors (wired or non-wired).

    94. j. New installation of non-hard wired devices including photo-controls, occupancy sensors, carbon dioxide, thermostats, humidity, light meters and other building control sensors, provided the work conforms with applicable state and local permitting requirements.

    95. k. Adding variable speed drive motors.

    96. l. Insulation of water heater tanks and pipes.

    97. m. Furnace or hot water tank replacement that does not require a visible new supply or venting.

    98. 11

    99. 2. Insulation measures not affecting the exterior of the building:

    100. a. Thermal insulation installation in walls, floors and ceilings (excluding spray foam insulation and insulation installed through holes drilled in siding).

    101. b. Duct sealing, insulation, repair or replacement in unoccupied areas.

    102. c. Attic insulation with proper ventilation; if under an effective R8 -add additional R-19 up to R-38 (fiberglass bat only).

    103. d. Band joist insulation -R-ll to R19 as applicable.

    104. e. Water heater tank and pipe insulation.

    105. 3. Electric base load measures not affecting the exterior of the building:

    106. a. Appliance replacement (upgrade to EnergyStar appliances).

    107. b. Compact fluorescent light bulbs.

    108. c. Energy efficient light fixtures, including ballasts (Replacement).

    109. d. LED light fixtures and exit signs (Replacement).

    110. e. Upgrade exterior lighting (replacement with metal halide bulbs, LEDs, or others) along with ballasts, sensors and energy storage devices not visible from any public right of way.

    111. B. Category 2 -No Consultation Required when SOI Standards are Adhered to and Verified by Qualified Staff, if Applicable

    112. The following undertakings may have effects on historic properties as defined in 36 CFR Part 800.5. However, if the activity or undertakings meet the Secretary of the Interior's Standards for the Treatment of Historic Properties (36 CFR Part 68, July 12, 1995 Federal Register) (Standards) specified below then, DOE and the SHPO agree that the undertakings will have no adverse effect upon historic properties and DOE/Recipients shall not be required to further consult with the SHPO if reviews are conducted by Qualified Professionals, as defined in the Secretary of Interior's Professional Qualifications Standards set forth in 36 CFR Part 61, Appendix A.

    113. Based on the above, the following work will not meet the Criteria of Adverse Effect when it adheres to the recommended approaches in the Standards and does not involve following significant spaces: entrances, entry halls, lobbies, .areas for public gathering and circulation. Alternatively, if the following undertakings occur in a significant space, work will have not adverse effect on historic properties as long as it does not damage historic materials or finishes and new wiring, piping, and ductwork are concealed. All building undertakings under this section will be done in accordance with the Standards, or conditions and modifications proposed by the SHPO.

    114. 12

    115. 1. Efficiency and repair measures:

    116. a. Painting over previously painted exterior surfaces, provided destructive surface preparation treatments are not used (such as water-blasting, sandblasting and chemical removal).

    117. b. Installation or replacement of downspout extensions, provided that the color of the extensions is historically appropriate for the period and style ofthe property.

    118. c. Repairing or upgrading electrical or plumbing systems and installing mechanical equipment, in a manner that does not permanently change the appearance of the interior or exterior of the building.

    119. d. Installation of new HVAC equipment (such as pumps, motors, boilers, chillers, cooling towers, air handling units, package units, condensers, compressors, or heat exchangers) in a manner that does not permanently change the appearance of the building.

    120. e. Integrated shingle-style or thin film solar systems on the rear roof of the structure, behind the parapet or not visible from the public right of way.

    121. f. Solar systems (including photovoltaic and solar thermal) not visible from the public right of way and if ground-mounted can be installed without ground disturbance and if roof-mounted will not require new building reinforcement.

    122. g. Wind system additions to existing wind power facilities that will not require ground disturbance and if building mounted will not require building reinforcement.

    123. h. Lead based paint abatement in accordance with the Standards and Preservation Brief #37.

    124. i. Building cleaning in accordance with the Standards and Preservation Briefs # 1, #6, and #10.

    125. j. Repairing masonry, including re-pointing and rebuilding chimneys in accordance with the Standards and Preservation Brief # 2.

    126. k. New lighting controls including photo-sensors and shading elements if not visible from the public right of way.

    127. 1. New metering devices in a manner that does not permanently change the appearance of the interior or exterior ofthe building, or if the addition is on the exterior of the structure and is not visible from the public right of way.

    128. m. New water efficient fixtures and fittings in a manner that does not permanently change the appearance of the interior or exterior of the building.

    129. 2. Installation or repair of roofing, siding, and ventilation:

    130. a. White Roofs, Cool Roofs, Green Roofs, Sod or Grass Roofs not visible from the public right-of-way.

    131. b. Rainwater catches and/or gray water systems not viewable from the public right of way.

    132. c. Repair or replacement of existing exterior siding provided that new siding matches the existing siding in dimension, profile and texture.

    133. 13

    134. d. Flat or shallow pitch roof replacement (shallow pitch is defined as a pitch with a rise-to-run ratio equal to or less than 3" to 12") with no part of the surface of the roof visible from the ground.

    135. e. Roof repair or replacement with materials that closely resemble the historic materials and form, or with replacement materials that are close to the original in color, texture, composition and form to restore the original feature based on historic evidence, and in a manner that does not alter the roofline.

    136. f. Installing vents (such as continuous ridge vents covered with ridge shingles or boards, roof vents, bath and kitchen vents, soffit and frieze board vents or combustion appliance flues) ifnot located on a primary roof elevation or not visible from the public right-of-way.

    137. g. Installing foundation vents, if painted or finished to match the existing foundation material.

    138. 3. Windows and doors:

    139. a. Installing storm windows, storm doors or wood screen doors in a manner that does not harm or obscure historic windows, doors or trim.

    140. b. Installing insulated exterior replacement doors where the door openings are not altered and are not visible from the public right-of-way.

    141. c. Window or glazing treatments that do not change the appearance of the interior or exterior of the building, or if the addition is on the exterior of the structure.

    142. 14


    144. The Recipient and the SHPO may develop and execute an Agreement that includes one or more of the following Standard Mitigation Measures, as may be modified to a patticular activity, with the concurrence of both parties, for undertakings determined to have an adverse effect on listed or eligible historic resources. The ACHP will not be a party to these Agreements. However, the Recipient must submit a copy of each signed Agreement to the SHPO, and the ACHP within 30 days after it is signed by the Recipient and the SHPO.

    145. 1. Blanket/Programmatic Mitigation

    146. The Recipient, in consultation with the SHPO and other local historic preservation agencies or nonprofit organizations, may agree to implement a blanket or programmatic mitigation measure. If all parties are amenable to this approach, other standard mitigation measures as identified below are encouraged, but not required, to be completed in fulfillment of the Agreement. Examples of blanket/programmatic measures that may undertaken include, but are not limited to: completion of a survey of historic pro'perties; preparation of a National Register of Historic Places nomination of an eligible property or district; preparation of a historic context or preservation planning document; undertaking preservation/rehabilitation of a National Register listed or eligible property; conveyance of a lump-sum donation to a qualified historic preservation agency or organization for undertaking historic preservation activities. As with all mitigation measures in this document, the activity shall be carried out by professionals meeting the National Park Service Professional Qualifications as defined in 36 CFR Part 61. Any mitigation funds will come from the grantee's funds.

    147. 2. Recordation

    148. The Recipient shall ensure that the historic property is recorded prior to its alteration in accordance with methods or standards established in consultation with the SHPO. The SHPO shall id~ntify appropriate archive locations for the deposit of recordation materials and the Recipient shall be responsible for submitting required documentation to identified archive locations. The Recipient and the SHPO may mutually agree to waive the recordation requirement in situations where the integrity of the building has been compromised or other representative samples of similar historic resources have been previously recorded.

    149. 3. Architectural Salvage

    150. The Recipient, in consultation with the SHPO, shall identify significant architectural features that can be salvaged and appropriate parties to receive the salvaged features. The Recipient shall ensure that any architectural features identified for salvage are salvaged prior to initiation of undertakings and properly stored and curated. When feasible, and determined appropriate in consultation with SHPO, salvaged architectural features shall be reused in other preservation projects.

    151. 4. Rehabilitation

    152. The Recipient shall ensure that the treatment of historic properties which the SHPO has determined do not meet the Standard, or SHPO approved design guidelines, are carried out in accordance with treatments agreed upon by the Recipient and the SHPO and are incorporated in the final plans and specifications. The final plans and specifications shall be approved by the SHPO prior to initiating the undertaking.

    153. 5. New Construction

    154. The Recipient shall ensure that the design of new buildings, or additions, which the SHPO has determined do not meet the Standards, or SHPO approved design guidelines, are carried out in accordance plans and specifications reviewed and approved by the SHPO prior to finalization and initiation of the undertaking.

    155. 15

    156. Exhibit C---August 28, 2009 Delegation Memorandum

    157. 16

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