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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  • CHAPTER 2 ELIGIBLE DWELLINGS


  • Section 2.1 Dwelling Types

  • Policy 2.1.1-SF Qualifying Single Family Residences (NEW)

  • Policy 2.1.2-MF Qualifying Multi-Unit Residences (P1.5)

  • Policy 2.1.3 Ineligible Residences and Exceptions (P1.6)

  • Policy 2.1.4 Shelters, Group Homes, and Transitional Facilities (P1.7)

  • Policy 2.1.5 Subsidized Housing Weatherization (P1.8)

  • Policy 2.1.6 Preserving Historic Properties (P1.9)

  • Policy 2.1.7 Reweatherizing (partial P1.6)

  • Section 2.2 Documenting Eligible Dwellings

  • Policy 2.2.1 Documenting Residence (P3.1)



    1. Effective Date: July 2016 Page 1 of 1

    2. Weatherization Policy

    3. See also:

    4. Policy 1.2.1, Prioritizing Eligible Weatherization Clients

    5. Replaces: NA Policy 1.3.3, Using Property Owner/Agency Agreements

    6. POLICY 2.1.1 Qualifying Single Family Residences

    1. Local agencies may weatherize single family residences owned by low-income persons to increase the energy efficiency, reduce their total residential expenditures, and improve their health and safety. See Policy 1.2.1, Prioritizing Eligible Weatherization Clients.

    2. Local agencies may weatherize single family residences which are rental dwelling units occupied by eligible tenant households when:

      1. The owner has signed a property owner/agency agreement authorizing the weatherization work, accepting conditions protecting the interests of tenants, and other provisions required by Commerce and the local agency. See Policy 1.3.3, Using Property Owner/Agency Agreements.



    1. Effective Date: July 2017 Page 1 of 2

    2. Weatherization Policy

    3. See also:

    4. Policy 1.1.1, Applying Income Eligibility Standards

    5. Policy 1.3.1, Documenting Income Eligibility

    6. Policy 1.3.3, Using Property Owner/Agency Agreements

    7. Replaces: Policy 2.1.2 – July 2016 Policy 2.1.5, Subsidized Housing Weatherization

    8. POLICY 2.1.2-MF Qualifying MultiFamily Residences

    1. Local agencies may weatherize multifamily properties when:

      1. Property Owner/Agency Agreement: The owner has signed a rental property owner/agency agreement. See Policy 1.3.3, Using Property Owner/Agency Agreements.

      2. Income Eligibility: Multifamily building tenant incomes meet LIHEAP Income Eligibility Guidelines. See Policy 1.1.1 Applying Income Eligibility Standards.

        1. Qualifying 66% or More: Not less than 66 percent (50 percent for duplexes and four-plexes) of the resident households of the building are:

          1. Currently eligible, or

          2. Will become eligible within 180 days.

        2. Qualifying 50% to 66%: Low-income occupancy falls between 50 and 66 percent and the weatherization work will create significant energy savings or additional funds are leveraged from property owners, utilities, or other sources.

        3. Qualifying Less than 50%: Multi-family dwellings with less than 50 percent low-income eligibility that also have leveraged funds must obtain prior written approval from Commerce.

        4. Qualifying Property Lists: Local agencies may use HUD Multifamily Property Listing Eligible for Weatherization Assistance to qualify a building listed without qualifying individual tenants.

        5. Using Centralized Records and Rent Rolls: Local agencies may use their own certification form to verify income eligibility of residents in public/subsidized multi-family buildings (e.g. Housing Trust Fund subsidized housing portfolio). When centralized records are available, they may substitute for individual Household Information Forms (HIF).

    1. Wx Policy 2.1.2-MF Qualifying Multifamily Residences Page 2 of 2

    1. Demographic and Citizenship Information: Local agencies must collect demographic and citizenship information either from public/subsidized multi-family housing provider in aggregate or from individual tenants. See Policy 1.3.1, Documenting Income Eligibility.

    2. DOE Fund Restrictions:

    1. The maximum amount of DOE funds that can be used will be the lesser of either one of the following:

      1. The percentage of low-income eligible units multiplied by the total allowable weatherization costs (estimated in the initial audit).

      2. The number of eligible units multiplied by the maximum average allowable cost per unit.

    1. Effective Date: July 2016 Page 1 of 2

    2. Weatherization Policy

    3. See also:

    4. Replaces: Policy 1.6 – July 2013 Policy 2.1.4, Shelters, Group Homes, and Transitional Facilities

    5. POLICY 2.1.3 Ineligible Residences and Exceptions

    1. No owner-occupied residence shall be weatherized if it is for sale.

    2. No renter-occupied residence shall be weatherized if it is for sale, unless both of the following apply:

      1. It can be demonstrated that the residence will continue to be occupied by eligible tenants.

      2. Weatherization work performed is not incorporated into the sale price.

    3. No institutional buildings (university, nursing home, hospital, motel, etc.) are to be weatherized, except as noted in Policy 2.1.4, Shelters, Group Homes, and Transitional Facilities.

    1. If a local agency wishes to weatherize an institutional building due to unusual circumstances (excluding exceptions described in Policy 2.1.4), the local agency must have prior written approval from Commerce.

    1. Re-weatherization is the lowest priority. Local agencies are expected to weatherize new projects and not revisit homes previously weatherized. Justification for re-weatherization must be documented in the client files and WIDS notes.

    2. Fund Restrictions and Exceptions

      1. DOE Restrictions

        1. No funds shall be used to install or provide materials for a dwelling unit previously weatherized (re-weatherization) unless:

          1. The dwelling unit has been damaged by fire, flood, or act of nature and repair of the damage to the weatherization materials is not paid for by insurance.

          2. The dwelling unit was weatherized prior to September 30, 1994. Each dwelling unit weatherized prior to September 30, 1994 must receive a new energy audit, which takes into account any previous energy conservation improvements to the dwelling.

    1. Wx Policy 2.1.3 Ineligible Residences and Exceptions Page 2 of 2

          1. The service is to provide eligible low-cost/no-cost weatherization materials.

        1. No funds will be used to improve the value of units designated for acquisition or clearance by a federal, state, or local program within 12 months from the date weatherization of the dwelling unit would be scheduled for completion.

      1. Other Fund Sources

    1. Taking into account any previous energy conservation improvements, regardless of when a home was weatherized or other fund sources used:

        1. BPA funds may be used to provide additional cost effective weatherization on electrically heated homes.

        2. LIHEAP and Matchmaker may be used to provide additional cost effective weatherization.



    1. Effective Date: July 2016 Page 1 of 1

    2. Weatherization Policy

    3. See also:

    4. Replaces: Policy 1.7 – April 2009 Exhibit 2.1.4A, WAP Application for Shelters, Group Homes, & Transitional Facilities

    5. Policy 2.1.4 SHELTERS, GROUP HOMES, AND TRANSITIONAL FACILITIES

    1. A local agency may weatherize an emergency shelter, group home, or similar facility for long- or short-term residents, provided the owner or organization and residents of the dwelling units meet prescribed building and income eligibility requirements.

      1. Local agencies will document individual resident income verification unless there is such a high rate of turnover among residents that documentation of individual resident eligibility is impractical (see below, policy 1.b.).

      2. When documentation of individual resident income eligibility is impractical, operators of eligible facilities must complete Exhibit 2.1.4A, WAP Application for Shelters, Group Homes, & Transitional Facilities, with the following supporting documentation:

        1. A signed statement from the facility operator attesting that the individuals/households residing in the facility are income eligible.

        2. A copy of the organization's income guidelines or a copy of the organization's mission statement in lieu of individual resident income verification.

    2. DOE Fund Restrictions. For the purpose of determining how many dwelling units exist in a shelter, local agencies may count one of the following as a dwelling unit:

      1. Each 800 square feet

      2. Each floor



    1. Effective Date: July 2017 Page 1 of 2

    2. Weatherization Policy

    3. See also:

    4. Housing and Urban Development (HUD)

    5. Replaces: Policy 2.1.5 - July 2016 United States Department of Agriculture (USDA) Rural Development

    6. POLICY 2.1.5 SUBSIDIZED HOUSING WEATHERIZATION



    1. Non-subsidized housing and nonprofit subsidized housing have equal priority for weatherization.

    1. This policy applies to the following types of Subsidized Housing:

      1. All conventional public housing.

      2. Federally subsidized housing:

        1. Housing and Urban Development (HUD).

        2. United States Department of Agriculture (USDA) Rural Development.

        3. Section 8 Housing Choice Vouchers (HUD)

    1. Commerce recognizes the extensive variations in public and private subsidies that exist for rental houses and tenants, and relies on the discretion of local agencies to judge local situations.

      1. Non-subsidized housing and nonprofit subsidized housing with Housing Trust Fund investment will be given preference over public and privately owned subsidized housing for weatherization.

      2. Local agencies will apply the following guidelines for subsidized housing, in order of priority:

        1. Non-profit housing when the organization can document its commitment to:

          1. Retaining the unit as low-income housing for at least ten years.

          2. Performing necessary maintenance to maximize the health, safety, and energy efficiency of the unit.

          3. Distributing consumer conservation education information on how to sustain a healthy, safe, and energy efficient home.

    1. Wx Policy 2.1.5 Subsidized Housing Weatherization Page 2 of 2

        1. Public housing is defined as units owned by a public housing authority where tenants pay a percentage of income for rent and utilities.

        2. Private federally subsidized housing is defined as units owned by a private developer who received financial benefits from the government to develop and/or maintain the project.

        3. Other funding options for weatherization of subsidized housing:

          1. Owners/managers of public or private subsidized homes who have access to other funding sources for weatherization such as personal resources, flexible subsidy funds, or USDA Rural Development must make every effort to use those funds before local agencies can consider weatherizing their units with funds from Commerce. Applicants must document the lack of funds, which will be included in the client files.

        4. Subsidized tenants receiving rental or utility subsidies under Section 8 HUD Programs may qualify when local agencies can be assured all of the following conditions are met:

          1. The property owner does not have access to HUD or USDA Rural Development funds. Local agencies may give preference to clients without subsidy on the waiting list.



    1. Effective Date: July 2016 Page 1 of 2

    2. Weatherization Policy

    3. See also:

    4. 36 CFR 800

    5. Standards for Historic Preservation as required by law under 36 CFR 800

    6. National Historic Preservation Act (NHPA) of 1966

    7. Exhibit 2.1.6A, DOE-WA-State-Historic-Preservation-Programmatic-Agreement

    8. Exhibit 2.1.6B, Historic Preservation Checklist

    9. Department of Archaeology and Historical Preservation (DAHP)

    10. DAHP Compliance Documents - Forms

    11. National Park Service (NPS) Preservation Brief 3, Conserving Energy in Historic Buildings

    12. NPS Preservation Brief 9, The Repair of Historic Wooden Windows

    13. Replaces: Policy 1.9 – July 2013 Secretary of the Interior's Standards for Rehabilitation

    14. Policy 2.1.6 Preserving HISTORIC Properties

    1. Weatherizing Historic Properties: Local agencies that undertake weatherization work with funding from Commerce must ensure that properties listed on or eligible for the National Register of Historic Places abide by the Secretary of the Interior’s Standards for Historic Preservation as required by law under 36 CFR 800 and the National Historic Preservation Act (NHPA) of 1966.

    1. Washington State’s Department of Archaeology and Historical Preservation (DAHP), our State Historic Preservation Office (SHPO) provides guidance for these standards.

    1. Using Federal Funds Requires Environmental Review: The application for Federal funds necessitates an environmental review for Historic and Cultural Resources. This applies to all weatherization programs, including DOE, HHS, BPA, and the MM Program.

    1. Noncompliance: Failure to comply with this law will result in disallowed costs.

    2. Documenting Historic Weatherization Properties: Local agencies must record in WIDS one of the following:

      1. Use the Programmatic Agreement for exempt Wx projects. See Exhibit 2.1.6A, DOE-WA State Historic Preservation Programmatic Agreement,

      1. Submit to SHPO and the property is determined Not Historic Site, or

      2. Submit to SHPO and the property is determined Historic Site.

    1. Wx Policy 2.1.6 Preserving Historic Properties Page 2 of 2

    1. Using Programmatic Agreement to Exempt Wx Project from Section 106 Review: Local agencies are not required to submit to SHPO Wx projects that meet the Programmatic Agreement (Appendix A and Appendix B) listed exemptions, as they do not have the potential to cause effects on historic properties even when historic properties may be present. See Exhibit 2.1.6A, DOE-WA State Historic Preservation Programmatic Agreement.

    2. Submitting Historic Weatherization Properties to SHPO: Local agencies must include a copy of Exhibit 2.1.6B, Historic Preservation Checklist and the following DAHP Compliance Documents in the client file, if applicable.

      1. DAHP EZ-1, Project Review Sheet for Historic and Cultural Resources Review, including DAHP’s response.

      2. DAHP EZ-2 Determination of Eligibility on-line Historic Property Inventory process, including DAHP’s response.

      3. DAHP EZ-3 Building Rehabilitation Worksheet for buildings listed or eligible to the National Register of Historic Places, including DAHP’s response.

    1. Additional Information:

      1. See National Park Service (NPS) Preservation Brief 3, Conserving Energy in Historic Buildings. The brief contains information on energy conservation for historic buildings with specific recommendations for positive results in the weatherization of structures. Please share this material with staff, crew, and subcontractors. To access the brief, open the above link.

      2. See NPS Preservation Brief 9, The Repair of Historic Wooden Windows. The brief contains information on weatherization and window replacement. Please share this material with staff, crew, and subcontractors. To access the brief, open the above link.

      3. See Secretary of the Interior's Standards for Rehabilitation. These are the guidelines DAHP will follow for window treatments. Please share this material with staff, crew, and subcontractors. To access the standards, open the above link.



    1. Effective Date: July 2016 Page 1 of 2

    2. Weatherization Policy

    3. See also:

    4. Replaces: Policy 1.10 – February 8, 2016 10 CFR 440.19 (f)(2)

    5. Policy 2.1.7 Reweatherizing

    1. Reweatherizing is the Lowest Priority:

    1. Local agencies are expected to weatherize new projects and not revisit homes previously weatherized. Justification for reweatherization must be documented in the client files and WIDS notes.

    1. Determining Previously Weatherized Units

    1. Local agencies must determine if a dwelling unit was previously weatherized through the Commerce’s Low-Income Weatherization Program.

    2. If the Local Agency cannot verify previously weatherized units through their internal records or WIDS (i.e. when serving a new territory), the Local Agency must complete all the following:

      1. Look for evidence of previous weatherization as part of the Energy Audit Pre-Assessment (See Policy 5.2.2), such as Insulation Certificate, Furnace Replacement, Wall Insulation, Attic Insulation, or Major Air Sealing, and

      2. Obtain a written confirmation from the client stating to the best of their knowledge the home has not received weatherization through the Commerce’s Low-Income Weatherization Program.

    1. Restricting Fund Sources

      1. DOE Restrictions

        1. No DOE funds must be used to install or provide materials for a dwelling unit previously weatherized (reweatherization) unless:

          1. The dwelling unit has been damaged by fire, flood, or act of nature and repair of the damage to the weatherization materials is not paid for by insurance.

          2. The dwelling unit was weatherized prior to September 30, 1994. Each dwelling unit weatherized prior to September 30, 1994 must receive a new energy audit, which takes into account any previous energy conservation improvements to the dwelling.

    1. Wx Policy 2.1.7 Reweatherizing Page 2 of 2

          1. The service is to provide eligible low-cost/no-cost weatherization materials.

      1. Other Fund Sources

    1. Taking into account any previous energy conservation improvements, regardless of when a home was weatherized or other fund sources used:

        1. BPA funds may be used to provide additional cost effective weatherization on electrically heated homes.

        2. LIHEAP and Matchmaker may be used to provide additional cost effective weatherization.



    1. Effective Date: July 2016 Page 1 of 1

    2. Weatherization Policy

    3. See also:

    4. LIHEAP Intake

    5. Replaces: Section 3.1 – April 2009 Exhibit 1.3.1A, Income and Residence Verification Checklist

    6. Policy 2.2.1 Documenting Residence

    1. Using LIHEAP Residence Verification Guidelines: The Weatherization Program follows Washington State’s Energy Assistance Program/Low-Income Home Energy Assistance Program (LIHEAP) guidelines for verification of residence. See LIHEAP Intake link (above) for LIHEAP Policy 1.1.0, Compiling an Applicant File.

    2. Showing Evidence to Verify Residence: Applicant must show evidence that the reported address is correct. Client residence is verified based on seeing any of the following documents:

      1. Deed/title

      2. Lease/rental agreement or statement from landlord

      3. Subsidized housing lease

      4. Tax statement

      5. Other, such as the following:

        1. Driver's license

        2. Fuel or other utility bill in the applicant's name

        3. Mortgage payment receipt

        4. Home repair bill

        5. Room and board receipts

        6. Letters addressed to the applicant with canceled postage

        7. Bank statement

    1. Documenting Residence Verification: Client file must include a copy of Exhibit 1.3.1A, Income and Residence Verification Checklist, or an equivalent form that collects required residence documentation.


    1. TOC

    2. CHAPTER 3 Policies moved.

    3. The following are References to the new locations:

    4. SECTION 3.1 Residence Verification is now in Policy 2.2.1

    5. SECTION 3.2 Household Verification is now in Policy 1.3.1 #4

    6. SECTION 3.3 Multi-family Income Eligibility Verification is now in Policy 1.3.1 #1a(4)



    7. TOC

    8. CHAPTER 4 COMPLAINTS AND DISPUTE RESOLUTION


    9. Policy 4.1 Resolving Complaints and Disputes





    10. Effective Date: July 2017 Page 1 of 2

    11. Weatherization Policy

    12. See also:

    13. Exhibit 4A, Sample Dispute Resolution Flow Chart

    14. Exhibit 4B, Client Complaint Form

    15. Exhibit 4C, Service Review Request

    16. Exhibit 4D, Dispute Resolution Fact Sheet

    17. Replaces: Chapter 4 – April 2009 Exhibit 4E, Dispute Resolution Resources

    18. Policy 4.1 Resolving Complaints and Disputes

    1. Resolving Client Complaints: Local agencies have the responsibility to resolve all client complaints, including applicant denials, project deferrals, and work quality issues.

    2. Establishing Dispute Resolution Process: Local agencies shall establish a clear, objective, and prompt dispute resolution process. It must include mediation and arbitration should internal procedures fail to remedy a complaint. See Exhibit 4A, Sample Dispute Resolution Flow Chart. This model is an example of a process that meets Commerce’s requirements. The model can be modified to meet an agency’s structure and approach. Remember to carefully consider on a case-by-case basis client grievances that cannot be easily or quickly resolved.

      1. A grievance must be filed in writing for a local agency to take action, except when a client complaint can be resolved quickly. See Exhibit 4B, Client Complaint Form and Exhibit 4C, Service Review Request. These exhibits are examples of a process that meets Commerce’s requirements.

      2. Local agencies’ process must include the following client rights:

        1. Have a representative speak on behalf of the client – including an interpreter if needed.

        2. Review and obtain copies of the client’s file.

        3. Present oral and written statements.

        4. Call witnesses and to question or cross-examine witnesses.

      1. The client will be informed of a decision to the resolution process within 10 working days of complaint receipt.

    1. Informing Clients: Local agencies will inform all clients at time of application of their right to file a grievance. Local agencies will also be responsive to requests for information regarding the dispute resolution process.

    1. Wx Policy 4.1 Resolving Complaints and Disputes Page 2 of 2

    1. Withdrawing Grievance: Clients may withdraw a grievance at any time with the understanding that they may re-enter the process at the point they withdrew if a complaint is not resolved.

    2. Local agencies must:

      1. Document each step of a grievance proceeding, including communication with the client.

      2. Inform Commerce if a grievance is slated for mediation or arbitration.

      3. Inform Commerce of final resolution due to mediation or arbitration.

      4. Make all compliant and grievance documentation, including all resolutions, formal and informal, available to Commerce for review upon request.

    1. Commerce role and responsibilities:

      1. Review local agency’s dispute resolution process.

      2. Monitor local agency’s use of approved process.

      3. Be available for technical assistance and consultation.

      4. Redirect local agency to approved dispute resolution process if necessary.

      5. Subject to need, assist the Building Performance Center (BPC), as the State’s designated Peer Circuit Rider, in assigning a local agency representative with appropriate technical expertise to aid local agencies with outside review.

      6. Review complaints that Commerce receives and determine if client has gone through all steps of approved dispute resolution process. In not, refer client back to local agency to complete approved process.

    2. Submitting Dispute Resolution Process: Local agencies must submit annually their Dispute Resolution Process to handle complaints for Commerce review during the monitoring process.

    3. Recommending Dispute Resolution Centers and Professional Arbitration Services: Commerce recommends coordinating with the local dispute resolution center and professional arbitration services when crafting a dispute resolution process. See Exhibit 4D, Dispute Resolution Fact Sheet and Exhibit 4E, Dispute Resolution Resources.


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