Office of Community Assistance,
Home Weatherization Assistance Program
Overview of Client File Structure of the
Home Weatherization Assistance Program
The State of Ohio is an Equal Opportunity Employer and Provider of ADA Services.
Standardized File Structure and
Required Documentation
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
And everybody loved it.
Just kidding.
Ohio Development Services Agency Quality Assurance Form
Grantee and Grant No. _________________________________________ Job # _____________________ No. Units _________
Client Name _____________________________________
Date of Completion ___________ Year Built __________
Housing Type
SF
Mobile
Primary Fuel Type
Nat Gas
Circle if replaced:
2-4 Unit
5+ Units
Propane/Oil
FURNACE
or
OWN
Elec
Other
HWT
or
RENT
Initial Inspector ___________________________________ Final Inspector ____________________________________
Pre Blower Door _____________ Post Blower Door _______________ Date Initial _____________ Date Final ______________
DOE Investment
$ ___________
TOTAL Job Investment $ ___________
Other Funding Source(s)
Amount
$
$
$
____ Certified Renovator Documentation
____ 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)
____ 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
Comments:
Reviewed By: ________________________ Date: _____________
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.
2.
3.
4.
Financial Information
Data Collection
Intake
Additional Funding Sources Documentation (utility programs,
home repair grants, etc.)
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
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)
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)
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
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.
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
Last thought …
There will always
be something “outof-the-box” in
weatherization,
something that fits
no rule.
The key is … 
… and
contact your
friendly
HWAP
monitors if
you have
questions or
concerns.
Questions?
Katrina Metzler
Section Supervisor, Weatherization
614-387-2729
Katrina.Metzler@development.ohio.gov