1. The State of Ohio is an Equal Opportunity Employer and Provider of ADA Services. Office of Community Assistance, Home Weatherization Assistance Program Overview of Client File Structure of the Home Weatherization Assistance Program

2. Standardized File Structure and Required Documentation

3. How did we develop the standardized system? State Administrative Monitors gathered file checklists and sample file structures from grantees for one year. Most were similar, agencies had shared amongst themselves organically Best practices were identified, agencies offered input through the Policy Advisory Council State staff developed a monitoring tool that doubles as a file checklist for local agencies and disseminated with a date for implementation

4. And everybody loved it. Just kidding.

5. Ohio Development Services Agency Quality Assurance Form Grantee and Grant No. _________________________________________ Job # _____________________ No. Units _________ Client Name _____________________________________ Primary Fuel Type Nat Gas Propane/Oil Elec Other Date of Completion ___________ Year Built __________ Circle if replaced: FURNACE or HWT Housing Type SF Mobile 2-4 Unit 5+ Units OWN or RENT Initial Inspector ___________________________________ Final Inspector ____________________________________ Pre Blower Door _____________ Post Blower Door _______________ Date Initial _____________ Date Final ______________

6. DOE Investment $ ___________ TOTAL Job Investment $ ___________ Other Funding Source(s)Amount $ $ $

7. ____ Photographs or Disc ____ Checklist/Quality Assurance Form ____ BWR/BWR Revisions ____ Final Certification ____ Contractor/Vendor POs and Invoices ____ Daily Logs (document crew hours) ____ Job Cost Report/Materials List ____ Data Collection Form ____ Worst Case Draft for each day on job ____ Manual J ____ Energy Audit (NEAT, MHEA, EAQUIP) ____ Priority LIST ____ Work Order /Proceed Order ____ Change Orders/Additional Work ____ Mold Notification Form ____ Lead Paint Notification (if before 1979) ____ Certified Renovator Documentation ____ Lead Certification Checklist ____ CO Notice or Other Hazardous Notice ____ State Historic Preservation Form ____ Certificate of Insulation ____ Permits ____ Client Application (Circle: OCEAN ) ____ Eligibility Documentation ____ Reverification (> 12 months) ____ Proof of Ownership ____ Priority POINTS ____ EIA 29 D (Homeowner Authorization Form) ____ Landlord/Tenant Agreement (Contribution $ ________) ____ Consumer Education Documentation/ESPP ____ Client Satisfaction Form Signed/Dated ____ Correspondence/Case Notes ____ Leveraged Funds Information

8. Comments: Reviewed By: ________________________ Date: _____________

9. File Structure Standardized Administrative File System for HWAP Providers Implemented for all providers in 2010 Files for completed units must be segmented into the following sections: 1.Financial Information 2.Data Collection 3.Intake 4.Additional Funding Sources Documentation (utility programs, home repair grants, etc.)

10. HWAP Client Administrative File Format Attach inside front cover of file: –Completed HWAP Quality Assurance Form (File Checklist) –Digital Photo CD or Photographs We plan to modify this and possibly other requirements to save resources OCEAN database

11. File Format Financial Information – Section One Building Weatherization Report (BWR) BWR Revision(s) Final Inspection Certification (signed by client and final inspector) Contractor Invoices/Purchase Orders/Vendor Receipts (document purchases associated with the job) Daily Logs/Timesheets (document crew hours) Job Cost Report/Materials List/Inventory Information (document which materials and amounts of materials used on the job)

12. File Format Data Collection – Section Two –Data Collection Form – initial inspection report –Worst Case Draft for each day on the job –Manual J –Energy Audit (if required) –Priority List –Work Order/ Proceed Order –Change Orders –Mold Assessment Form –Lead Notification Form –Certified Lead Renovator License (photocopy) –Lead Certification Checklist –CO or Other Hazard Form –State Historic Preservation Form (if more than 50 years old) –Certificate of Insulation (if installed in sidewalls, floors/perimeter, attic) –Copies of Permits (if required)

13. File Format Intake – Section Three –Client Application –Income Eligibility Documentation/ Re-verification after 12 months –Proof of Ownership (title, deed, printout from county auditor website) –Priority Points –EIA-29D (Homeowner Authorization Form) –* Rental Agreement –* Landlord Contribution (copy of check or other proof of payment) –Consumer Education/Energy Savers Partnership Plan Form –Client Satisfaction/Follow-Up Form –Client Correspondence (letters, case notes, explanations) * If applicable

14. File Format Additional Funding Sources – Section Four Most programs also support HWAP activities with other funds (utility funds, home repair grants, etc.). If additional paperwork is required for these programs, please keep it segmented separately in the back of the HWAP client folder.

15. Next Steps … Standardized Forms This project is currently underway Working with utility companies that fund weatherization to standardize all forms required into a singular format when possible –Eliminate duplicate paperwork –Create more consistency in files Some forms are proving easier than others (mold, lead) – the biggest challenge is the Data Collection Form and the homeowner authorization form

19. Last thought … … and contact your friendly HWAP monitors if you have questions or concerns. There will always be something “out- of-the-box” in weatherization, something that fits no rule. The key is … 

20. Questions? Katrina Metzler Section Supervisor, Weatherization 614-387-2729 Katrina.Metzler@development.ohio.gov