Energy Reduction Plan Guidelines

MULTIFAMILY PERFORMANCE PROGRAM EXISTING BUILDINGS COMPONENT Energy Reduction Plan Guidelines November 2007 Version 1.1 November 2007 Version 1.1 Table of Contents Introduction ..................................................................................................... 1  1  Existing Buildings Energy Reduction Plan Guidelines ............................. 3  1.1  Role of the Energy Reduction Plan .......................................................................... 4  1.1.1  Basic Definition (How it differs from an Energy Audit) ................................................... 4  1.1.2  Basic Contents of the Energy Reduction Plan ................................................................... 4  1.1.3  Program Rules – Requirements of the Energy Reduction Plan.......................................... 4  1.2  Existing Building Benchmarking ............................................................................. 7  1.2.1  1.2.2  1.2.3  1.2.4  Benchmarking Tool Instructions........................................................................................ 8  Benchmarking Tool Version 1.1 ...................................................................................... 10  Direct Metering Assistant ................................................................................................ 11  Initial Benchmark Report and Drawdown Request #1..................................................... 12  2  Existing Building Energy Auditing Requirements .................................. 18  2.1  Scope ...................................................................................................................... 19  2.2  Objectives ............................................................................................................... 19  2.3  General Approach to Building Assessment............................................................ 19  2.4  Consumption and Rate Analysis ............................................................................ 19  2.5  Documentation and data entry ................................................................................ 20  2.6  Work scope development ....................................................................................... 20  2.7  Aggregated measures ............................................................................................. 22  2.8  Energy Efficiency Measures that Must Be Evaluated ............................................ 23  2.8.1  Electricity submetering analysis ...................................................................................... 24  2.8.2  Combined Heat and Power System .................................................................................. 25  2.9  Additional Energy Efficiency Measures Worth Consideration .............................. 25  2.9.1  Staff Training and Certification ....................................................................................... 26  2.9.2  Owner’s Manual .............................................................................................................. 26  2.10  2.11  2.12  2.13  2.14  Health and Safety Measures that Must Be Evaluated ......................................... 28  Materials and installation standards / specifications ........................................... 28  Non-Energy Savings............................................................................................ 29  Cost Estimation ................................................................................................... 30  Evaluation and Internal Quality Control (not a Program requirement)............... 30  3  Existing Building Modeling Protocols .................................................... 32  3.1  Building Analysis Tools ......................................................................................... 33  3.2  Model True-Up ....................................................................................................... 33  3.3  Simulation Reporting Requirements ...................................................................... 34  3.4  Modeling more than One Building Type ............................................................... 35  4  Existing Building Financial Plan Guidelines .......................................... 36  4.1  Scope ...................................................................................................................... 37  4.2  Objectives ............................................................................................................... 37  4.3  Sample Financial Plan ............................................................................................ 38  i November 2007 Version 1.1 5  Existing Building Construction Plan Guidelines..................................... 40  5.1  Scope ...................................................................................................................... 41  5.2  Objectives ............................................................................................................... 41  5.3  Sample Construction Plan ...................................................................................... 41  5.4  Construction Progress Report (50% complete) ...................................................... 43  5.5  Substantial Completion Report .............................................................................. 46  6  Existing Building Post Construction Benchmarking............................... 49  6.1  Scope ...................................................................................................................... 50  6.2  Objectives ............................................................................................................... 50  6.3  Post Construction Benchmarking Report (Under Development) ........................... 50  6.4  Adjustments for Vacancy Rates ............................................................................. 51  ii November 2007 Version 1.1 Introduction The Multifamily Performance Program NYSERDA’s MULTIFAMILY PERFORMANCE PROGRAM (“Program”) is a comprehensive Program that addresses the needs of the multifamily sector by working with developers, building owners and their representatives (“Participants”) to improve the energy efficiency, health, safety, and security of residential buildings with five (5) or more residential units. The Program consists of the New Construction and the Existing Buildings Components, serving all combinations of market-rate and low- to moderate-income projects through a common process and a varying schedule of incentives. This document refers only to the Existing Buildings Component; a similar document exists for the New Construction Component of the Program. This Program relies on a network of contractors who have demonstrated their ability to provide multifamily building performance services. These contractors are identified as Multifamily Performance Partners (herein referred to as “Partner”), and afforded the privileges and incentives outlined in the Partnership Agreement and its Attachments. The Program will work to achieve the following NYSERDA goals: 1. Create a market-based network of building performance specialists capable of delivering services to developers, building owners and their representatives; 2. Facilitate access to capital for comprehensive energy and energy-related improvements; 3. Reduce the burden imposed by energy consumption and other utility-related costs, with a significant emphasis on providing this benefit to low- to moderate-income residents while maintaining or improving the health, safety and security of multifamily buildings; 4. Package energy efficiency with other types of improvements such as advanced meters coupled with a real-time pricing or time-of-use electricity rate structure, distributed generation and renewable energy; 5. Reduce the multifamily sector’s contribution to the system peak demand; 6. Promote the ENERGY STAR label. The High-Rise and Low-Rise New Construction Component will serve multifamily buildings of five (5) or more residential units. This Component will address the needs of new construction and gut rehabilitation projects by providing assistance to improve the energy efficiency, health, safety, and security of these projects as they are planned, designed and constructed. This Component uses a set of protocols that lead a multifamily project to achieve a predetermined energy performance target. Achievement of this energy performance target entitles the Participant to receive NYSERDA incentives and ® 1 November 2007 Version 1.1 may entitle the building to receive the ENERGY STAR label from the U.S. Environmental Protection Agency (EPA). The Existing Buildings Component will serve existing multifamily buildings of five (5) or more residential units by providing assistance to improve their energy efficiency, health, safety, and security. This Component requires that the Participant benchmark their existing facility’s current energy performance against a set of similar buildings using the Program’s Benchmarking Tool. The Benchmarking Tool defines the energy performance target the Participant will be expected to achieve. An Energy Reduction Plan must be developed to achieve the energy performance target. Developing that Energy Reduction Plan, completing the improvements identified in that Plan, and confirming that the performance target has been achieved entitles the Participant to receive NYSERDA incentives and may entitle the building to receive an ENERGY STAR performance indicator provided by the EPA. 2 November 2007 Version 1.1 MULTIFAMILY PERFORMANCE PROGRAM EXISTING BUILDINGS COMPONENT 1 Existing Buildings Energy Reduction Plan Guidelines November 2007 3 November 2007 Version 1.1 1.1 1.1.1 Role of the Energy Reduction Plan Basic Definition (How it differs from an Energy Audit) The Energy Reduction Plan involves the development and implementation of a comprehensive energy efficiency work scope. An energy audit is a necessary first step but is only one component of the Plan. After the energy audit is complete, a work scope is developed that incorporates a financing plan and a preliminary implementation schedule. These post-audit components of the Plan are critically important and must be developed in close consultation with the Participant in order to ensure that the project moves through to construction. 1.1.2 Basic Contents of the Energy Reduction Plan The Energy Reduction Plan shall include the following necessary components: 1. Initial Benchmark Report 2. Comprehensive energy audit, including complete package of energy efficiency and health and safety measures and the completion of NYSERDA’s Submetering Feasibility Tool and CHP Screening Tool 3. Financing Plan 4. Implementation Schedule 5. Request for Incentive #1 6. Construction Progress Report at 50% Complete: Request for Incentive #2 7. Substantial Completion Report: Request for Incentive #3 8. Post Construction Benchmark Report: Request for Incentive #4 1.1.3 Program Rules – Requirements of the Energy Reduction Plan The Energy Reduction Plan summarizes the results of a comprehensive energy audit, details the specific energy reduction measures that will be implemented to achieve the performance target, identifies the sources of funding that will pay for these measures and outlines their implementation schedule. The following Program Rules must be adhered to by all projects accepted into the Program. This list focuses on programmatic requirements and is not intended to cover all Program eligibility requirements as listed in the Application, the Participation Agreement and/or the Partnership Agreement. 1. The Energy Reduction Plan must be submitted within six months of the Program Application approval date. 2. When assembling the set of measures to be included in the Detailed List of Recommended Measures, the following criteria must be met: a. The entire scope of work must have an SIR ≥ 1.0. The cost of the scope used in this cost-effectiveness evaluation must include the fees charged by the Partner to provide the Program services, the costs of the proposed measures, any associated feasibility study and/or design fees, and a construction 4 November 2007 Version 1.1 management fee if applicable and not already included in the Partner fees. Measures that are not cost effective in the project scope may be included if the overall SIR ≥ 1.0. b. A 20% performance target must be achieved with an SIR ≥ 1.0 in order to receive all incentives. However, if a complete Energy Reduction Plan is submitted that does not achieve 20% performance target, the Participant is eligible for Incentive #1. In addition, any cost effective measure that is analyzed within an Energy Reduction Plan may be financed through the Energy $mart Loan Fund Program, subject to the associated terms and conditions of that Program. c. The work scope for projects receiving the affordable housing incentive must include all cost-effective (SIR > 1.0) tenant-based (i.e., in the apartment) measures listed in the Energy Efficiency Measures that Must Be Evaluated in Section 2.8 of this document as analyzed by the comprehensive assessment. This requirement holds regardless of whether the project is master-metered or individually metered and applies only to those measures owned by the building. For apartments within co-ops and condos where the in-unit measures are owned by the individual shareholder, an effort must be made by the Partner and Participant to offer energy efficient replacements paid for by the shareholder. These replacements should be coordinated by the Board or management company to insure that they meet the performance assumptions in the audit and capture possible bulk purchase discounts. d. All recommended measures must at least comply with the Program’s Minimum Performance Standards. 3. An improvement analysis must be performed on all measures listed in Energy Efficiency Measures that Must Be Evaluated in Section 2.8 of this document. As described in the Energy Reduction Plan Template, if a measure listed is not considered, the Partner must note the reason for exclusion. 4. At a minimum, an evaluation must be performed for the health and safety measures listed in Health and Safety Measures that Must Be Evaluated in Section 0 of this document. As described in the Energy Reduction Plan Template, if one or more of the measures listed is not considered, the Partner must note the reason for exclusion. Special attention should be paid to situations where building code violations are uncovered. 5. Work scopes that include measure(s) such as combined heat and power systems (CHP), submetering systems, advanced meters, photovoltaics, or any measure that produces on-site power or allocates cost of energy usage to tenants or shareholders must first address energy efficiency. To demonstrate this, all of the Energy Efficiency Measures that Must Be Evaluated in Section 2.8 of this document with an SIR greater than that of the advanced measure(s) must be included in the final scope of work. 6. The Energy Reduction Plan may be implemented in up to three (3) one-year phases. If the scope of work is divided into phases, the Partner must show, in Section IV, Plan Implementation and Schedules, the specific subset of measures 5 November 2007 Version 1.1 that will be installed in each phase and what portion of the 20% performance target will be achieved in that phase. The 20% target must be fully attained at the end of the final phase. 7. If the scope of work is not divided into phases, the Energy Reduction Plan must be implemented within eighteen months. The start of construction, as shown in the Gantt Chart of Preliminary Construction Schedules in Section IV of the Energy Reduction Plan, must occur within six months of the approval of the Energy Reduction Plan, which includes the Request for Incentive #1. 8. Demand reduction (kW) coincident with system peak associated with the recommended package of energy efficiency measures must be included in the Energy Reduction Plan. Partners are encouraged to use NYSERDA’s spreadsheet-based Demand Calculator Tool for estimating demand reductions. This Tool was developed for the ENERGY STAR Multifamily Pilot Program. The Tool is available for download on the NYSERDA website. 9. Any changes in the work scope that change the overall project savings must be submitted as a revision to the Energy Reduction Plan. The project must still achieve the 20% minimum in estimated savings after this revision. At a minimum, the Partner should submit revised Tables 2 & 3 from the Energy Reduction Plan. If a measure is added or removed, the Partner must submit a revised Exhibit C from the Participation Agreement. The project can proceed prior to receiving approval from NYSERDA but the Participant cannot start/continue work on the revised measure(s) until they receive approval. 10. NYSERDA will not provide incentives that exceed 100% of the estimated cost of the proposed measures as indicated in the most recently approved Energy Reduction Plan. These estimated costs must include any associated design fees and the Partner fees. For projects that have recently installed energy efficient measures and are establishing their energy target baseline prior to the installation of those measures (see Section 1.2), the NYSERDA incentives shall not exceed 100% of the estimated cost of the measures not installed prior to the acceptance of a completed Program application. Additionally, if the Financial Plan includes any funding from other NYSERDA programs (not including the Loan Fund) or utility, state, or local energy efficiency programs that receive funding from a system benefit fund or similar monies authorized by the Public Service Commission that are directed to not supplant NYSERDA funding, the measures affected by this additional funding must be identified. The cost of these measures shall be excluded from the incentive cap that limits NYSERDA’s incentives under the Multifamily Performance Program.1 For example, if incentives are paid for refrigerators by a non-NYSERDA source, the cost of the refrigerators would be removed from the total project cost for the purposes of assessing a cap to the incentives (i.e., incentives cannot exceed 100% of project cost). 1 6 November 2007 Version 1.1 1.2 Existing Building Benchmarking NYSERDA, in collaboration with Oak Ridge National Laboratory and the Environmental Protection Agency, has developed a Benchmarking Tool that is based on a database of approximately 500 multifamily buildings from across the United States. This tool is used to establish the starting point, or baseline, and performance target for projects in the Multifamily Performance Program. In addition, the Benchmarking Tool is to be used to determine whether or not a project in the Program has met its performance target approximately one year after construction has been completed. A project may establish a baseline that ends up to one year prior (24 month look back) to the acceptance of a completed Program Application2. This provision allows projects to incorporate energy reduction measures that may have been recently installed by starting the baseline period prior to their installation. All previously installed measures must still be modeled and the entire work scope must still have an SIR ≥1.0. The project’s incentives shall be capped at 100% of the estimated cost of the uninstalled measures in such circumstances. Note that all measures applying to the Energy $mart Loan Fund are subject to the Loan Fund’s terms and conditions. After completing a comprehensive energy audit, the Partner will collaborate with the Participant to develop an energy efficiency work scope. The Partner will use the Benchmarking Tool to determine if the proposed work scope meets the minimum energy reduction performance target of 20%. If so, the Partner will work with the Participant to develop a financing plan and construction plan. If not, the Partner will assess the measures included in the proposed work scope and determine if additional energy savings can be achieved through additional measures or more efficient systems. Incentive #1 will be honored for completed Energy Reduction Plans regardless of whether they meet the 20% minimum threshold for energy savings. However, projects that do not achieve an estimated 20% in energy savings are not eligible for further NYSERDA incentives, with the exception of NYSERDA’s Energy $mart Loan Fund Program, and then only for costeffective measures or packages of measures. The Benchmarking Tool is posted on the NYSERDA website (www.getenergysmart.org). The remainder of this section includes screen shots from the initial tabs from the Excel file entitled Benchmarking Tool and ERP Tables. This includes: 1. 2. 3. 4. 5. Benchmarking Tool Instructions Benchmarking Tool Direct Metering Assistant3 Initial Benchmark Report Drawdown Request for Incentive #1 2 3 This would result in a base year that would start up to 24 months prior to Program application. There are two Direct Metering Assistant tabs in the Workbook, one for electricity and one natural gas. Only the electricity tab is shown in this section as the natural gas tab shows an identical approach. 7 November 2007 Version 1.1 In addition to the Excel file tabs listed above, the Benchmarking Tool and ERP Tables file also includes tables necessary for insertion into the Energy Reduction Plan. These tables are presented and described in the Energy Reduction Plan Template. 1.2.1 A. Benchmarking Tool Instructions Building Description 1. Start on the ‘Benchmarking Tool’ tab. 2. Enter Building Name. 3. Enter Zip Code. If you do not know it, go to the ‘Zip Code Finder’ tab and enter the Location in the form “City Name, NY.” Press enter and the zip code will appear. 4. Once the Zip Code is entered on the ‘Benchmarking Tool' tab, typical annual HDD and CDD data for your area will appear. These typical figures can be used to get approximate benchmarking results. For your actual benchmarking results, you must insert the actual HDD and CDD data to match the billing period for your project's utility data. Daily weather temperature data for five cities in New York can be downloaded at http://www.engr.udayton.edu/weather/citylistUS.htm. 5. Enter Gross Building Floor Area and the total Number of Units in the building. If there are multiple buildings participating in the program, enter the total floor area and number of units for all buildings. If vacancy rates are believed to be an issue, please enter all building and utility data without adjustments. Any necessary adjustments for occupancy issues will be addressed during the post-retrofit Benchmarking. 6. Enter the Percent of the Units with Washer/Dryer Hookups. This is determined by counting the number of units that have pumping and wiring for washers and dryers regardless of whether or not the units actually have washers or dryers. Divide this by the total number of units. If there is centralized laundry or no laundry, enter 0. For projects that include multiple buildings, the percent of units with washers/dryer hookups must be calculated using the total number of units with and without hook-ups in the entire complex. 7. Enter the Percent of the Gross Floor Area that is Heated and the Percent that is Cooled. Heated spaces are apartment and common area spaces within the building that are heated by the building’s heating system. Similarly, cooled spaces are apartment and common area spaces within the building that are cooled by the building’s cooling system. B. Annual Consumption and Costs Pre-Retrofit 1. Enter the total annual consumption of electricity, natural gas, and fuel oil directly from the utility bills. If your building does not use a certain type of energy, leave that cell blank. Be sure to select the correct units from the drop down menus above the energy consumption cells. If the project has multiple buildings, include the total annual consumption for all buildings. 2. Be sure to include all fuel consumption in the Tool, including apartment-level cooking gas. 8 November 2007 Version 1.1 C. D. E. F. 3. For buildings with directly metered electricity or gas, you must use the approach described on the Direct Metering Assistant tab to estimate total consumption for the building based on a 10% sample of apartments. 4. Enter the total annual cost of electricity, natural gas, and fuel oil. (optional) 5. Enter the number of building structures in your apartment complex (If there is only one building, enter one). Results Pre-Retrofit 1. The results panel contains comparisons of ‘Your Building’ to the ‘HUD Average’ (Housing and Urban Development national data). 2. The ‘Score Against Peers’ shows the ranking of your building compared to other buildings in the benchmarking database. For example, if your building’s score is a 65, then your building’s energy performance ranks higher than 65% of the buildings in the benchmarking database. The ‘Score Against Peers’ is used to calculate some of the program incentives available for your building. Design Assistant 1. In the Design Assistant section, enter the result of subtracting the modeled savings estimate for each fuel from pre-retrofit consumption values. 2. The Design Assistant is used during the processes of creating the Energy Reduction Plan in order to see if the proposed measures will meet the Projected Percent Source Energy Reduction target. It is very important to appropriately “true-up” your simulation model to pre-retrofit billing data per Section 3.2 of this document. Design Assistant can also be used in developing the Phase Metrics tab for projects that will be phased over 2 or 3 years. Annual Consumption and Costs Post-Retrofit 1. Once one year of post retrofit utility bills are available, enter the post retrofit energy use data into the post retrofit area of the annual consumption and costs panel. Results Post-Retrofit 1. Once one year of post retrofit utility bills are available, the post-retrofit area of the results panel will display the building’s achieved benchmarking score, post retrofit source energy use, and weather-normalized percent source energy use reduction after retrofit. 9 November 2007 Version 1.1 1.2.2 Benchmarking Tool Version 1.1 NYSERDA Multi-Family Building Performance Benchmarking Tool - Ver. 1.1 The NYSERDA Multi-Family Building Energy Use Benchmarking Tool quantifies the projected performance of a user-defined building relative to all HUD 5-plus unit multi-family residential buildings nationwide. A score of 75 denotes performance at the top 25th percentile of 5-plus unit multi-family buildings. A score of 50 denotes performance at the 50th percentile (the mid-point). To use this tool, you will need to calculate your building's annual energy consumption. Provide entries for your building in the "white cells" below. Click on underlined headings for help. Building(s) Description Building Name: Sample Project 10201 Mapping Location: New York, NY 5-digit Zip Code: Entire Building Gross Floor Area (sqft) 350,000 Not Sure? Weather Description "optional entry" Annual HDD: Annual CDD: Typical 4805 1096 Pre-Retrofit 4955 975 Post-Retrofit Number of Family Units 200 Percent of Units with Laundry Hookups Percent of Gross Floor Area Heated 90.0 Percent of Gross Floor Area Cooled 90.0 IMPORTANT: Annual entries should correspond to the same time period as the pre-/post-retrofit annual consumptions reported below. Pre- or post-retrofit values must be provided to score your building. Annual Energy Consumptions and Costs ----Pre-Retrofit Electricity Units: Energy Cost ($) No. of buildings Calculated unit cost: MMBtu IMPORTANT: Entries should represent 12 continuous months of consumption Post-Retrofit District Steam kLbs Natl Gas MMBtu Fuel Oil Gal #2 Electricity kWh Natl Gas MMBtu Fuel Oil Gal #2 Gal #2 District Steam kLbs 7,580 257,095 12 33.92 $/unit 21,090 310,696 12 14.73 $/unit IMPORTANT: Number of buildings represented by the reported energy use values above should always be equal for all reported fuels. $/unit $/unit $/unit $/unit $/unit $/unit Results Score Against Peers Building Site Energy Use (MMBtu/year) Building Source Energy Use (MMBtu/year) Site Energy Use Intensity (kBtu/ft2-year) Source Energy Use Intensity (kBtu/ft2-year) 27 Pre-Retrofit Your Building 28,670 47,407 81.9 135.4 Average 50 NA 37,357 NA 106.7 Post-Retrofit Your Building Average 50 NA 31,433 NA 89.8 Weather-normalized Percent Source Energy Use Reduction After Retrofit Design Assistant Units: Energy Projected Annual Energy Consumption Electricity MMBtu Natl Gas MMBtu Fuel Oil Gal #2 District Steam kLbs 5,840 15,863 Projected Percent Source Energy Reduction Projected Score Against Peers 24% 53 21,703 36,121 62.0 103.2 19-Nov-07 Projected Building Site Energy Use (MMBtu/year) Projected Building Source Energy Use (MMBtu/year) Projected Site Energy Use Intensity (kBtu/ft2-year) Projected Source Energy Use Intensity (kBtu/ft2-year) 10 November 2007 Version 1.1 1.2.3 Direct Metering Assistant4 Direct Metering Assistant - Electricity The Direct Metering Assistant helps you estimate the electricity use for a directly metered building based on a sample of apartments. 10% of each type of apartment should be sampled. Apartments are considered of the same type if they have the same number of bedrooms and similar square footage. For example, different apartment types in your building could be: studio, 1-bedroom, 1-bedroom with den, 2-bedroom. In the example below, F, K, A, E are one type, G, J, B, D are a second type, and C, H are a third type. The 10% sample for this example building should include 10% of the type one apartments, 10% of the type two apartments, and 10% of the type three apartments. Identify Apartment Types Describe the types of apartments in your building using the spaces below. Insert rows as needed. The description of the type 1 apts for the above example building would be "Type 1 apts. = Floor Plans F,K,A,E" Type 1 apts. = Type 2 apts. = Type 3 apts. = Type 4 apts. = Type 5 apts. = Calculate 10% Sample of each Apartments Type A 10% sample of each apartment type is needed. Enter the number of apartments of each type on the left. The number of apartments of each type that need to be sampled is calculated on the right. Insert extra rows as needed. Apartments = Total # of type 1 apts. = Total # of type 2 apts. = Total # of type 3 apts. = Total # of type 4 apts. = Total # of type 5 apts. 0 Sample Size = 10% sample of type 1 apts. = 10% sample of type 2 apts. = 10% sample of type 3 apts. = 10% sample of type 4 apts. = 10% sample of type 5 apts. = Total # of apartments. If this is incorrect, you may have missed a type of apartment. Apartment Electricity Use Information You will now need to collect 12 months of electricity data for your 10% sample of each apartment type. The table above show exactly how many apartments of each type you will need data for. Once you have collected your data, sum the annual electricity use for all apartments of each type. Total Annual Electricity Use kWh = total annual electricity use for kWh = total annual electricity use for kWh = total annual electricity use for kWh = total annual electricity use for kWh = total annual electricity use for Estimated Total Apartment Electricity Use sample size Total Annual Electricity Use Average Annual use per unit Number of Apartments Estimated Total Annual Use apartments of type 1. apartments of type 2. apartments of type 3. apartments of type 4. apartments of type 5. type 1 type 2 type 3 type 4 type 5 0 kWh = Estimated total annual electricity use for all apartments in the building Common Area Electricity Use Enter the total annual electricity use of all common areas. kWh = Common area annual electricity use Estimated Whole Building Electricity Use Copy and paste this amount into the Benchmarking Tool. 0 kWh = Estimated whole building annual electricity use 4 There is also another tab included for Direct Metering of natural gas which follows the same approach. 11 November 2007 Version 1.1 1.2.4 Initial Benchmark Report and Drawdown Request #1 Sample Project NYSERDA Multifamily Performance Program Initial Benchmark Report Benchmark Score and Incentive Summary Total Apartment Units 200 Initial Benchmark Score Energy Reduction Target % Energy Reduction Target Source Energy (MMBtu/year) Incentive Summary Performance Incentives Incentive #1: Energy Reduction Plan Addendum Incentive #1: Multiple Energy Audits (enter data in rows 54 & 55) Incentive #2: At 50% Construction Completion Incentive #3: At Construction Substantial Completion Incentive #4: Energy Performance (at 20% achieved reduction) Special Incentives for Advanced Measures: Advanced Metering Equipment Combined Heat and Power (CHP) System Building Operator Training & Certification Owner's Manual Photovoltaic (PV) Systems TOTAL INCENTIVE Performance Incentives Energy Reduction Target Sample Project Reduction Target Source Energy (MMBtu/year) 47,406 MMBtu reduction target 20% 20% 20% 20% Energy Reduction Target 20% Reduction Target Source Energy (MMBtu/year) 9,481 MMBtu $12,000 $6,250 $160,000 $80,000 $75,000 $0 $0 $0 $0 $0 $333,250 Sample Project is Affordable Housing 27 20% 9,481 MMBtu Energy Reduction Target Score 27 quartile 1st 2nd 3rd 4th Quartile 2nd score range <= 25 26 to 50 51 to 75 >75 Sample Project achieved a benchmarking score of 27. This places Sample Project in the 2nd quartile as compared with multi-family buildings nation wide. Sample Project's reduction target for participation in the NYSERDA Multi-Family Building Program is 20% of the building's source energy. The buliding's pre-retrofit source energy use is 47,406 MMBtu and its source energy reduction target is 9,481 MMBtu. 12 November 2007 INCENTIVE #1: Energy Reduction Plan INCENTIVE #1: Energy Reduction Plan INCENTIVE #1 for Sample Project not including Special Incentives $12,000 Affordable Housing $5,000 $10,000 $20 Market-Rate Housing $2,500 $5,000 $10 Version 1.1 up to 30 units Base Incentive 31 units and over Additional Incentive per unit for projects over 100 units ADDENDUM INCENTIVE #1: Additional Energy Assessments ADDENDUM INCENTIVE #1: Additional Energy Assessments Enter total number of Additional Assessments that represent ≥ 15 units. Enter total Number of Units in Additional Assessments < 15 units. 1 assessments 10 units ADDENDUM INCENTIVE #1 not including INCENTIVE #1 $6,250 Affordable Housing Additional Incentive per assessment representing ≥ 15 units Additional Incentive per unit for assessments representing <15 units $3,750 $250 Market-Rate Housing $1,875 $125 INCENTIVE #2: At 50% Construction Completion INCENTIVE #2: At 50% Construction Completion INCENTIVE #2 for Sample Project $160,000 Affordable Housing $800 Market-Rate Housing $300 Incentive per unit INCENTIVE #3: At Construction Substantial Completion INCENTIVE #3: At Construction Substantial Completion INCENTIVE #3 for Sample Project $80,000 Affordable Housing $400 Market-Rate Housing $300 Incentive per unit INCENTIVE #4: Energy Performance INCENTIVE #4: Energy Performance Achieved % Reduction in Building Source Energy (default 20%) INCENTIVE #4 for Sample Project $70,000 20% quartile 1st 2nd 3rd 4th score range <= 25 26 to 50 51 to 75 >75 reduction target 20% 20% 20% 20% for every percentage point beyond the reduction target add: Affordable Market-Rate Housing Housing incentive per unit $400 $200 $375 $175 $350 $150 $325 $125 $40 $20 13 November 2007 Special Incentives for Advanced Measures Advanced Metering Equipment Cost of Resident Education and Regulatory Assistance (default $3,500) Resident Education and Regulatory Assistance Incentive SPECIAL INCENTIVE: Advanced Metering Equipment Total cost of the Advanced Metering System (default: $500 per apartment) Number of Advanced Master Meters to be Installed (default: 1 per building) Combined Advanced Submeter and Master Meter Incentives Advanced Metering Equipment Incentive for Sample Project $0 Affordable Housing $3,500 2 Version 1.1 $0 $0 Ed. & Reg. Assistance Incentive (per project) 1 Market-Rate Housing $2,000 $150 $1,500 Advanced Submeter Incentive (per apartment) Advanced Master Meter Incentive (per m. m.) 1 2 $200 $2,000 2 Incentive will not exceed 100% of cost for services. Combined incentive not to exceed 50% of total cost. SPECIAL INCENTIVE: Combined Heat & Power (CHP) System Combined Heat and Power (CHP) System kW of CHP system Combined Heat and Power (CHP) System Incentive for Sample Project $0 Affordable Housing $1,000 Market-Rate Housing $750 CHP System Incentive (per kW) SPECIAL INCENTIVE: Building Operator Training & Certification Building Operator Training & Certification Number of Building Operator Training & Certification Attendees Cost per Attendee (default $2,000) Building Operator Training & Certification Incentive for Sample Project $0 Affordable Housing $1,500 75% Market-Rate Housing $1,000 50% 0 $2,000 Bldg Operator Training & Cert. Incentive (per attendee) Maximum Incentive as Percent of Total Cost Owner's Manual Incentive SPECIAL INCENTIVE: Owner's Manual Is an Owner's Manual available for the owner and staff? Please Make Selection Owner's Manual Incentive for Sample Project $0 Affordable $1,000 $500 Market-Rate $750 $500 Owner's Manual Incentive with BOT&C Owner's Manual Incentive without BOT&C Photovoltaic (PV) Systems SPECIAL INCENTIVE: Photovoltaic (PV) Systems The Photovoltaic System is Total kW of the Photovoltaic System Please Make Selection Photovoltaic (PV) Systems Incentive for Sample Project $0 Building Not Building Integrated Integrated $4.50 $4.00 First 25 kW (per watt) $3.50 $3.00 Next 25 kW (per watt) PV systems with over 50 kW are not Eligible under this program 14 November 2007 Version 1.1 MULTIFAMILY PERFORMANCE PROGRAM EXISTING BUILDINGS COMPONENT Request for Incentive #1 Pursuant to the terms of the NYSERDA Participation Agreement between NYSERDA and , the Owner of the Buildings at the Property is eligible to receive Incentive #1. NYSERDA Project ID: # Project Name and Address: Project Tax ID: The Partner confirms that the Building Owner has reviewed the Draft Energy Reduction Plan and agreed to the terms necessary for release of this payment. Please remit a check for $ payable to the owner or owner’s representative. Make check payable to: Confirm that all required documentation has been submitted to the project’s Case Manager: Yes, a copy of the signed contract between the Building Owner/Manager and Partner outlining, at a minimum, the services required by the Program and their associated fees has been attached. Yes, a copy of Exhibit C of the Participation Agreement signed by the building Owner has been attached. Yes, Sections I through VI and Appendices A-D of the Draft Energy Reduction Plan are approved and have been sent via email in electronic format (Adobe Acrobat preferred). Yes, the approved modeling software information per the Simulation Reporting Requirements as described in Section 3.3 of the Guidelines has been attached. Yes, a copy of the Benchmarking Tool has been sent via email with the electronic copy of Energy Reduction Plan. Multifamily Performance Partner Signature__________________________________ Print Name ___________________________________ Building Owner or Authorized Representative Signature__________________________________ Print Name ________________________________ Date _____________________ Date _____________________ I elect to discontinue participation in the Multifamily Performance Program and will not pursue Incentives 2, 3, or 4. 15 November 2007 Version 1.1 MULTIFAMILY PERFORMANCE PROGRAM EXISTING BUILDINGS COMPONENT Incentive #1 Addendum Request Form Multifamily Performance Program Applications submitted under the Existing Buildings Component are entitled to an additional incentive for projects that include multiple energy assessments (also known as energy audits). In cases where additional assessments are required, Incentive #1 will be increased by $3,750 Affordable or $1,875 Market Rate per additional assessment. However, in cases where the additional energy assessments are required for less than 15 apartments, a $250/unit Affordable or $125/unit Market Rate cap will be applied. In these cases, the assessment representing the largest number of units in the project will be covered by the base Incentive #1. This additional incentive is added to the full Incentive #1 as calculated using the Benchmarking Tool and the total number of apartment units in the entire Project. The following parameters should be used to determine the number of energy assessments required for a single Project: 1. Buildings must be physically separate 2. Buildings must have separate and unique heating systems (type, age, size, efficiency) 3. Building envelopes must be unique in their construction characteristics (materials, levels of insulation, geometry) 4. Separate fuel bills must be available for each building 5. A unique energy assessment must be performed by the Partner on each building at a cost to the owner. This includes a field inspection, diagnostics, simulation model and evaluation of energy reduction measures. 6. The proposed scope of work for each unique building type will be presented in separate Lists of Recommended Measures with the project’s Energy Reduction Plan. These representative scopes will be aggregated over all buildings of each type and over all types within the project to produce a project-level total scope of work detailed within the Executive Summary of the Energy Reduction Plan. Partner Firm: _______________________________________________ Contact: _______________________________________________ Project Name: ______________________________________________ Identify each property that will be separately analyzed, per the parameters listed above. Assessments (including street addresses of all buildings) 1 2 3 4 5 6 7 8 9 10 Total Number of Units (must match Project total ) # of Apts Reason for separate assessment (required) Complete the worksheet on the next page to determine the full amount of Incentive #1, including the Addendum and input the value below. 16 November 2007 Version 1.1 Incentive #1 (per Benchmarking Tool) Total # of Units Incentive per Benchmarking Tool (A) $ Addendum Incentive (Assessments representing less than 15 units) Note: The Total # of Additional Units should not include the largest building or buildings with more than 15 units Total # of Additional Units [choose one] Addendum Incentive (B) X Addendum Incentive (Assessments representing 15 units or more) Note: The Total # of Additional Assessments should be one less than number of assessments and should not include any assessments for buildings with less than 15 units $250/unit AFF *or* $125/unit MR = $ Total # of Additional Assessments [choose one] Addendum Incentive (C) X $3750/audit AFF *or* $1875/audit MR = $ Total Incentive #1 including Addendum (A + B + C) $ 17 November 2007 Version 1.1 EXISTING BUILDINGS COMPONENT 2 Existing Building Energy Auditing Requirements November 2007 18 November 2007 Version 1.1 2.1 Scope This chapter describes the requirements that a comprehensive energy audit of a multifamily building project in the NYSERDA Multifamily Performance Program – Existing Buildings Component (“Program”) must follow. The requirements in this chapter must be followed for the Energy Reduction Plan to be approved. 2.2 Objectives The objectives of these Energy Auditing Requirements are as follows: 1. Ensure a consistent energy auditing protocol and building simulation methodology from building to building and from Partner to Partner to evaluate the energy efficiency of multifamily buildings. 2. Ensure a consistent approach for addressing the major energy-related components of a multifamily building (e.g., envelope, HVAC, DHW) within the energy auditing process. 3. Ensure that a comprehensive scope of energy efficiency measures is considered. 4. Ensure that health and safety measures and related issues are sufficiently addressed as part of the energy audit. 2.3 General Approach to Building Assessment The building assessment(s) is to be conducted or supervised by a Building Performance Institute (BPI) certified Multifamily Building Analyst. The Building Analyst is expected to follow the standards established by BPI in accordance with their certification and to be trained in related systems inspection, testing and modeling protocols. The instrumented testing must utilize equipment that is built for the tolerances required and is accurate and verified in calibration. 2.4 Consumption and Rate Analysis In order to benchmark the project under the Program, the Partner must be provided signed Fuel Release Forms for each common area account and for a 10% sample of apartments representing each line in the building(s). The energy consumption should be analyzed and reviewed prior to a site visit to determine any anomalies that might warrant further investigation or inquiry during the audit. This consumption should also be utilized in the modeling process to true-up the building (see Section 3). When determining cost savings from the recommended scope of work, the Partner should use a marginal rate analysis that includes consideration of demand charges and ratchet clauses, where applicable. Projects subject to a block rate structure by their local utility will realize cost savings based upon which block the energy savings occur within. As a result, a marginal rate analysis produces a more accurate cost savings projection, and subsequent SIR calculations, than a straight blended rate analysis and is therefore preferred when preparing the Energy Reduction Plan. 19 November 2007 Version 1.1 That said, there are situations when utilizing a blended rate is either more appropriate or simply easier than utilizing a marginal rate. The Program makes no requirements on the use of a specific rate analysis, but does require that whenever a blended rate is used, its application is clearly presented and explained in the Energy Reduction Plan and that any claims of cost savings are specifically called out in the Plan that they may not accurately reflect the cost savings based on the projected energy savings as a result of the project’s specific rate structure. 2.5 Documentation and data entry All information collected on the building, through the on-site observation, surveys and performance testing shall be documented and serve as a reference for data entry into an energy analysis tool. It is recommended that the building analyst who performs the onsite assessment be responsible for entering building data into the analysis tool, as much of the data entry requires interpretation of occupant/management query, visual indicators of systems performance and analytical performance testing. As an example; the overall efficiency of the distribution system is based on occupant comfort, system design and controls, insulation levels and system leakage. In cases where field staff and modelers are distinct functions, it is important for the field auditor to take detailed notes so that this interpretative information can be transferred. 2.6 Work scope development Work scope decisions are based on the value of proposed measures to reduce the building’s energy use. The cost of completing a measure, when compared to the energy savings accrued by a measure, determines the length of time for simple payback on the investment. The calculated lifetime dollar savings for a measure divided by the cost of the installed measure yields a savings to investment ratio (SIR). Energy efficiency recommendations should be based on calculated SIR, with larger SIRs receiving higher priority. An SIR of 3 means that over the life of the improvement, $3.00 of energy saving will accrue for every $1.00 invested. Proposed energy work scopes can include measures with a calculated SIR of less than 1.0 provided that the package of measures has an overall SIR of 1.0 or greater. In some cases, it may be advantageous to include measures that are marginally cost effective in order to maintain consistency of equipment inventory (i.e., T-8 lighting throughout a building). However, the overall project must always have an SIR of 1.0 or greater. To determine life cycle savings and Savings to Investment Ratio (SIR), all projects must use the standard measure life assumptions as included in the Service Lives of Common Measures table below. When necessary, Partners may propose different measure lives than those included but must provide justification for the lifetime used. 20 November 2007 Version 1.1 Partners must use the discount rate included in the Energy Reduction Plan Tables as provided on the NYSERDA website. NYSERDA will update these Tables with a revised discount rate as necessary. In general, an improvement analysis should be performed on any building component, appliance or building characteristic not meeting an established minimum energy efficiency standard (NYS Energy Conservation Construction Code or Program’s Minimum Performance Standards). High performance improvements should always be considered, along with the associated costs of materials/equipment, installation, demolition, fireproofing and finishing work. Additionally, the proposed measure must be given an expected life use. The table below includes standard measure life assumptions to be used in all projects within this Program. Partners may propose different service lives than those included below but must provide justification for the lifetime used. Service Lives of Common Measures Measure Name Measure Life Lighting & Appliances Ceiling Fans 10 CFL 8 CFL - Hardwired Fixture 12 CFL Torchieres 5 Clothes Washer (Res & Com) 14 Daylight Dimming Controls 10 Dehumidifier 10 Dishwasher 13 Freezer 19 HPS Fixture - Exterior 15 LED Exit Sign 15 Occupancy Controlled Switching 10 Occupancy Sensor 10 Pulse MH Fixture 15 Refrigerator 19 T5 Fixture 15 T8 Fixture 15 Vending Miser 10 HVAC Measures Boiler 25 Central AC or HP 15 Chiller (Air or Water cooled) 24 Demand Controlled Ventilation 10 Duct Sealing 25 Economizer (Dry bulb) 15 Electric Water Heater 15 EMS 15 Furnace 20 21 November 2007 Version 1.1 Measure Name Measure Life HVAC Measures (cont.) Gas Water Heater 13 Ground Source HP 20 Heat Pump Water Heater 10 Heat Recovery Ventilator 15 High Efficiency Oil Burner 25 Indirect Fired Water Heater 15 Low-flow Showerheads/Aerators 7 Motors 20 Pipe Insulation 10 Programmable Thermostat 10 PTAC Unit 15 Split System AC or HP 15 Variable Speed Drive 15 Ventilation Fans 10 Water Source AC or HP 15 Window or TTW AC 13 Envelope Measures Air Sealing 13 Exterior Doors 20 Insulation 20 Roofing 30 Storm Windows & Doors 20 Windows 35 The Savings to Investment Ratio for a specific measure is not intuitive, and it is always a good idea to let the software analysis be the guide. When the analysis does not affirm a SIR that exceeds 1.0, consider options to reduce the costs. With insulation for example, there are diminishing return for levels that exceed a certain amount; the first R-19 will have more value than the addition of another R-19 for the same cost. Often, high performance features with higher costs can offer a better SIR because an incremental cost increase buys a substantially higher performance product. This is the case with window replacements that may reduce heat loss by 50% at a relatively high cost per sq. ft. But by adding argon gas between the glazing the performance may increase by another 30%, while the cost increases by only 10%. Again, this analysis is not intuitive, so let the modeling software provide the cost/benefit analysis. Accurately modeled buildings and accurately valued upgrades yield realistic SIRs. 2.7 Aggregated measures Individual measures aggregated into a proposed work scope will often interact with each other and impact the anticipated savings performance. For instance, analysis may indicate that installing new windows in an existing building might save 50 MMBtu/year. Or, installing a new boiler in the same building might save 25 MMBtu/year. However, if you install the boiler first, careful analysis will show that the windows, installed second, 22 November 2007 Version 1.1 might save only 40 MMBtu/year. Conversely, you could install the windows first, saving 50 MMBtu/year, but then the boiler would only save 15 MMBtu/year, since in either case the boiler/window combination must correspond to the same savings, 65 MMBtu/year. The savings attributable to a package are almost always less than the sum of the savings each measure would produce if implemented in the original building. We must include these interactive effects in estimating the savings attributable to a recommended package of measures. However there may be peripheral benefit from a measure that augments the energy savings of another measure. As an example: reducing the heating/cooling load of a building reduces the distribution cycling time, which in turn reduces to the number of hours that distribution losses occur, and the amount of electrical energy required to drive distribution. 2.8 Energy Efficiency Measures that Must Be Evaluated The following is a list of measures that have historically produced favorable SIRs and must be considered in the Energy Reduction Plan. This list is not exhaustive, but all measures listed below must be considered. As described in the Energy Reduction Plan Template, if one or more of the measures listed below is not considered, the Partner must note the reason for exclusion. Material, equipment and installation costs vary from project to project, as does the cost of energy, so SIRs are not predictable and will only be determined by analysis. Lighting & Appliances Bi-level lighting ENERGY STAR CFL's ENERGY STAR clothes washers ENERGY STAR dishwashers ENERGY STAR refrigerators ENERGY STAR T5 & T8 lamps w/electronic ballasts LED exit signs Occupancy sensors for select common areas (i.e., laundry room) Super T8 bulbs and ballasts HVAC Measures Combined Heat and Power (CHP) System Condensate reclamation for steam systems Conversion from electric to gas heat Decentralization of central boiler plants Energy Management System ENERGY STAR boilers ENERGY STAR cooling systems ENERGY STAR furnace Heat recovery from exhaust air Outdoor air reset for hydronic systems Replace #6 oil with dual fuel system (#2 oil and natural gas) 23 November 2007 Version 1.1 HVAC Measures (cont.) Separate DHW direct-fired boiler, condensing if gas Thermostatic radiator valves Timers on roof fans per code requirements Envelope Air sealing (including weatherstripping) Insulate all hot surfaces (condensate tank, steam & HW piping) Insulate duct work Insulate roof deck or attic Other Electric Submetering Elevator motors and controls Low-flow showerheads and sink aerators Thermostatic/smoke driven louvers & fans in elevator machine rooms and stairwells 2.8.1 Electricity submetering analysis Buildings that are master metered (with only one utility meter recording the electricity use for the whole building) should always be considered for submetering. With submetering, each residence is billed for the amount of electricity they actually use. Because of this, occupants will make an effort to reduce their electricity use, lowering the total electricity use of the building. NYSERDA estimates that a building’s overall electricity use will be reduced by an average of 8%. This 8% represents the average reduction in building electricity use that was found over the 4 years of the Comprehensive Energy Management (CEM) program (2003 – 2006) with data from 34 projects. Specific buildings could achieve more or less savings than this average depending on factors such as occupant behavior and the amount of common area load. In most cases submetering is possible because of advances in wireless communication and power line carrier communication. However, the wiring in some buildings may not be compatible with submetering. Consult a metering vendor to determine if the wiring in a building supports submetering. Challenges inherent in submetering projects include the following: • Submetering requires that the management seek approval from regulatory agencies which can include NYPSC, DHCR, HPD, and HUD. Submetering consultants, equipment vendors and third party billing service providers with experience can provide help in this area. • Submetering requires a change to how residents are billed. For this reason, the management will have to perform outreach to educate the residents. Submetering equipment vendors and third party service providers may be able to help provide this outreach. • With submetering, the management will be taking over responsibility for the residents’ electricity bill, which will require time and effort from the management 24 November 2007 Version 1.1 • staff. Most submetering equipment vendors and third party service providers can provide this billing service. Depending on the wiring of the building, access may have to be gained to all apartments in order to install the submetering equipment. A submetering system should include submetering of each apartment and submetering of the common areas, including management and maintenance office spaces, as well as laundry and storage areas. A master meter should also be installed in parallel with the utility meter. This allows for an accounting of all the electricity used in the building. A Submetering Feasibility Tool is available to help determine the economic benefits of submetering. This tool can be downloaded from: http://www.getenergysmart.org/Files/Copy%20of%20CEMFeasibilityTool.xls Also important to consider are advanced metering systems, which have the capability to record interval data (i.e., electricity consumption in brief intervals of 15 minutes or less). This facilitates the building in participating in time of use and demand reduction programs. Time of use and demand reduction facilities are of particular interest to utility providers and may make the building eligible for additional incentives. In addition, load management may allow the building to achieve a better electricity rate, provide building management with an understanding of their energy use, and help to develop and maintain a building energy plan. 2.8.2 Combined Heat and Power System Multifamily buildings presenting specific characteristics can be good candidates for combined heat and power (CHP) systems. CHP systems produce on-site electricity and utilize the waste heat for domestic hot water production, space heating, and other uses. All projects must be analyzed for CHP systems using the Program’s CHP Screening Tool available to Partners from the www.getenergysmart.org website. Projects that receive a “green” or “yellow” light from the Screening Tool may proceed to a more detailed feasibility study and possible installation of a CHP system. The details for developing this feasibility study and specifying and installing the system are provided in the CHP Systems Manual for Multifamily Projects available to Partners at www.getenergysmart.org. All CHP Systems that are applying for the Advanced Incentive must follow the guidelines as included in the CHP Systems Manual. 2.9 Additional Energy Efficiency Measures Worth Consideration The following list of measures are worthy of consideration, but are not required to be considered in the comprehensive energy assessment. Staff training and certification (See Section 2.9.1) Owner’s manual (See Section 2.9.2) Reflective roofing Controls for commercial kitchen vent hoods Heat recovery of dryer exhaust (commercial laundry equipment) 25 November 2007 Version 1.1 2.9.1 Staff Training and Certification Building operations and maintenance practices are a critical component to achieving improved energy performance in multifamily buildings. Partners and Participants are strongly encouraged to consider staff training and certification as a measure in their scope of work to help insure that the projected energy performance is realized with the newly installed measures. The Building Performance Institute offers a certification for Multifamily Building Energy Efficient Building Operators. This certification is supported by training by the Hudson Valley Community College through their “Center for Energy Efficiency & Building Science (CEEBS)”. CEEBS’ Learning Centers are located throughout the state. 2.9.2 Owner’s Manual In conjunction with training and certification, an owner’s manual containing a detailed inventory of equipment, operations manuals, warranties, and other information pertaining to a project’s systems can help address problems commonly found during energy audits and inspections. Partners are encouraged to produce a comprehensive owner’s manual for a building's owner and maintenance staff. All of the items suggested or required are things building maintenance classes suggest staff should have or information they should know. The table below describes the items that are required to be in an Owner’s Manual to qualify to receive the NYSERDA Owner’s Manual advanced measure incentive. Following this table is a table of additional items that are suggested for the Owner’s Manual, but are not required. Required Items for Owner’s Manual 1. 2. 3. 4. 5. 6. 7. 8. Two clearly labeled, durable 3-ring binders or bound copies of the following items; one binder should be placed conspicuously in a boiler room (or superintendent's office) and the other given to the owner. All information should be in electronic form (non-electronic records should be scanned) and stored on a compact disk included with each binder in the 8.5x11 pocket. After owner has reviewed draft of the owner’s manual, there must be at least a ½-hour follow up with building maintenance staff to explain the owner’s manual. Contact list of firms involved in project. Table of Contents List of installed equipment including manufacturer and model numbers, number of units installed, and locations (e.g. apartment numbers). Approved submittals. Change orders, and design directives. 26 November 2007 Version 1.1 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20. As built drawings (11 x 17, folded and in binder) and specs, where used in construction. If available in CAD form, include CD in binder in the 8.5x11 pocket. Sections II and III of the Energy Reduction Plan (Existing Conditions and Evaluated Measures). Clear list of suggested operation and maintenance practices, in a very simple bulleted form (only what is not covered in operating manuals). Preventative maintenance plan, i.e. filter changes, when and what type, clean and tune procedures, disposal of waste products, etc. Testing and balancing reports Commissioning reports, including control sequences and initial trend logs. Equipment installation and operating manuals for all equipment and controls. Warranty on work (including contact information). Equipment warranties. Reproducible educational/instructional materials distributed to residents concerning energy conservation measures or use of new equipment/systems. Necessary replacement part list for items that should be stocked in house, for example pin based light bulbs should have specific models with color temperature and CRI. Preventative maintenance logs that Program Partner develops for building staff (in a separate binder) with instructions. These should include: • Repair logs • Logs for any contractors working in the building Next steps and follow up action items list with energy performance contact information. Items Suggested but Not Required for Owner’s Manual 1. 2. 3. 4. 5. 6. Labeled photos of installations of hidden elements (insulation, etc). Labeled photos of every attic insulated with open blow insulation, including depth markers. Plan for ensuring that training gets passed on to new employees when there is turnover. Must be either training for a new hire or a succession plan that allows outgoing employee to train incoming employee. Meter Readings during construction, and 2 week period after installation Service contracts where applicable with easily identifiable contact info. Video tape or DVD of actual on site staff training so new staff can also have a way to learn about the proper operation, this is especially important when there is a high turnover of staff. 27 November 2007 Version 1.1 2.10 Health and Safety Measures that Must Be Evaluated It is the intent of this Program to insure that energy-related health and safety measures, even if they do not lead to fuel, electricity, or monetary savings, are addressed. Special attention should be paid to situations where building code violations are uncovered. In addition to the energy efficiency measures included in the Energy Reduction Plan’s Detailed List of Recommended Measures, this list includes measures deemed important to the health and safety of the building occupants or to protect the integrity of the installed measures and the building structure. As there are no appreciable energy savings, and in cases a negative impact on the overall SIR, these measures, considered peripheral to energy efficiency, can be included in a work scope as long as they do not drive the project SIR below 1. Where health and safety issues have been identified through the building assessment process and are not included in the work scope, the Partner has an obligation to inform the building owner and to encourage them to address these issues prior to the completion of the specified work scope. At a minimum, the following health and safety measures must be evaluated as part of the Energy Reduction Plan. As described in the Energy Reduction Plan Template, if one or more of the measures listed below is not considered, the Partner must note the reason for exclusion. Note that it is not required that any of the measures listed are included in the List of Recommended Measures. Health and Safety Measures that Must Be Evaluated Asbestos mitigation as part of boiler and distribution system repair Carbon monoxide detectors (unless all-electric) Emergency battery-powered lighting in common stairways and hallways Installation and/or repair of mechanical ventilation Lead paint mitigation during window replacement Seasonal dehumidification Repair of roof and water flashings Replacement and/or repair of combustion vents Smoke detectors Ventilation cleaning and repair to ensure air quality 2.11 Materials and installation standards / specifications All measures recommended by the Energy Reduction Plan must at least comply with the Program’s Minimum Performance Standards where applicable. It is the responsibility of the Partner to insure that all performance assumptions made in the comprehensive energy assessment and reflected in the Energy Reduction Plan are translated into bid and construction documents. A work scope should contain performance specifications or references to the specifications for the materials and equipment to be installed. Additionally, the work scope should include enough information about installation standards to insure that competitive bidding is fair in scope 28 November 2007 Version 1.1 and pricing and that potential contractors understand the importance of performance contracting. 2.12 Non-Energy Savings Energy saving measures included in the work scope can occasionally provide cost savings through saving water (and associated sewer charges) and/or providing cost savings in the form of reduced equipment maintenance. Although these savings may not be used to achieve the 20% energy savings target, the cost savings associated with them may be used in calculating the work scope SIR. Water & Sewer Savings A reduction in water consumption can be associated with some common building improvements, including but not limited to: ENERGY STAR Clothes Washers ENERGY STAR Dishwashers Low-flow aerators and showerheads Low-volume or dual flush toilets In order to quantify the water savings associated with these and potentially other measures, Partners should develop straightforward, spreadsheet-based calculations using field measurements, manufacturers’ data, and ASHRAE guidelines, as appropriate. Consumption savings can then be applied to the delivered cost of water and sewer for the project to determine the cost savings. Due to the nature of water rate structures, it is very important that marginal rates be analyzed as opposed to simply using the historical delivered cost of water and sewer. This will typically involve a review of the rate structure to determine if the estimated level of savings will reduce consumption below a minimum rate threshold. When including water and sewer savings in the proposed work scope, savings calculation backup and water and sewer consumption data must be included in the Energy Reduction Plan. Operation and Maintenance (O&M) Savings Cost savings associated with reduced O&M expense can be very difficult to predict and quantify and should be claimed only in cases where solid documentation can be provided to substantiate the savings estimate. An example might involve the removal of a central boiler plant and replacement with building-based boilers. If the central plant involved underground distribution of heated water or steam and the underground piping was in a deteriorated condition, annual repairs could be regular and expensive. In such a case, it may be reasonable to quantify the savings associated with no longer needing to maintain the underground distribution piping, based on historical costs for such maintenance and repair. 29 November 2007 Version 1.1 2.13 Cost Estimation The projected cost of installed measures relies on estimates that are based on previous experience and knowledge of current pricing of building materials, equipment and labor. Although there are likely other costs associated with installing measures, these can usually be aggregated into a simple percent increase above the estimated cost of materials and labor. Below is a list of items to consider when estimating costs. • Use the ENERGY STAR Quantity Quotes service (www.quantityquotes.net) where purchasers can register to instantly contact suppliers of ENERGY STAR qualified products. These ENERGY STAR qualified products are available through the web site: light bulbs, light fixtures, clothes washers, dehumidifiers, dishwashers, refrigerators, and room air conditioners. • Assess the quantities of items needed and the estimated hours of labor to accomplish installations. • Use previous contacts to help itemize local prices of labor and materials. Develop accepted pricing ranges based on evaluation of completed projects. Build a database of unit pricing from this information and keep it current. • Contact contractors and vendors for information on unit pricing and labor costs. • Consult straight materials and labor costs from R.S. Means handbook or other industry standard estimating guide. Include overhead and profit (O&P) as appropriate. Means should be no more than two years old. Add 3% per year out of date. Be sure to use City Indices, differences can be large. • Use recognized equipment catalogs for retail equipment prices. • Include bulk pricing initiatives or schedules where available. • Account for associated demolition, construction and finishing work that may be requisired for installations. • Include all “hidden costs” (i.e. asbestos and/or lead abatement, sidewalk bridges and scaffolding for window repair/replacement). • Unless in-house labor is proposed, assume all installations will be performed by an outside contractor, who will charge competitive rates. • Design, analysis and construction management costs must be included, to the extent reasonable, in the cost of the measures for which they are associated. For example, if design of a new heating system is required, the cost of this design must be included as part of the cost of the heating system. This allows for the cost effectiveness of measures to be more fairly assessed. • Construction Management and Partner Fees are generally not associated with specific measures but are required to be included in the overall project cost. (See Existing Building Financial Plan Guidelines in Section 4) 2.14 Evaluation and Internal Quality Control (not a Program requirement) An evaluation of the delivered services is an important step in the building assessment process. Accurate analysis and resulting feedback is a tool critical to improving the skills of all project participants. There are several areas where evaluation will provide invaluable feedback - energy and comfort improvements made to the building, the procedures and tools incorporated into the program, and the skills of those who were 30 November 2007 Version 1.1 involved in providing services. While this type of evaluation is not a Program requirement, it is good practice and is encouraged. Evaluations should be formalized and designed to answer the following questions: Have all measures identified in the work scope been installed to the specifications of the contract? Conduct inspection of work during the installation and confirm that materials and installation specifications are fully compliant. Inspections should be conducted while installations are in progress. Call-backs are expensive and inconvenient for everyone, so identify and correct problems when installers are still on-site. Are the occupants and building managers happy with the services? A survey should be used to determine customer satisfaction with the mechanics of the program, with reference to the application process, contracting and costs, installations and workmanship, and overall building performance. Identify complaints and provide a formal response to outline resolution. Identify compliments and request formal “Letters of Reference.” What were the costs for installed measures? Construct a database of measures costs to assist in future cost estimating. Were there any building issues encountered in providing services that were not properly identified in the building assessment? Identify any errors or omissions in specifying materials, equipment, and related costs. How have the installed measures impacted the energy use of the building? Fuel use information collected one year after the installation of efficiency measures and entered into the building software analysis, will characterize the energy performance (heating slope) of the building, resulting from installed measures. Identify the percent energy reduction and compare to projected estimates for reduction. Determine the accuracy of initial projections concerning the savings to investment for delivered service. Identify situations where actual energy savings fail to meet projected savings, and where savings exceed projected savings. The information collected from actual fuel/utility billing analysis should be considered objective, accurate, and third party to the building operation and the providers of energy upgrade services. Internal Quality Control – Partners are encouraged to conduct a comprehensive review of their Energy Reduction Plans prior to submittal. This will speed the approval process for the Energy Reduction Plan and subsequently the release of Incentive #1. In order to assist in conducting quality control, each Partner has been supplied with a detailed Quality Review spreadsheet, which is the same form that is used for Program quality control. Partners are encouraged to use this spreadsheet. 31 November 2007 Version 1.1 MULTIFAMILY PERFORMANCE PROGRAM EXISTING BUILDINGS COMPONENT 3 Existing Building Modeling Protocols November 2007 32 November 2007 Version 1.1 3.1 Building Analysis Tools Only analytical tools that satisfy the requirements outlined in the Analytical Tool Requirements table below may be used to conduct the comprehensive building assessment underlying the Energy Reduction Plan. Analytical Tool Requirements 1. Compliance with ASHRAE 90.1 Appendix G simulation and documentation requirements (see Section X.X.X.); OR Approval for EPAct Federal Tax Deductions (see http://www.eere.energy.gov/buildings/info/qualified_software/ ); OR DOE approval for use in Weatherization Assistance Program for multi-family buildings. Support of systems and configurations that are typical for multifamily buildings in North East. Support of Multifamily Performance Program business process and reporting requirements. Availability of technical support, training, and/or user manual and documentation. NYSERDA Multifamily Performance Program staff will not provide assistance with software-related questions or model troubleshooting. Built-in troubleshooting tools and errors/warnings reports. The report should be attached to the Energy Reduction Plan, with the appropriate clarifications. Integrated support for evaluation of design alternatives (improvements). 2. 3. 4. 5. 6. Please refer to NYSERDA’s web site for an up-to-date list of tools that are approved for use in the program. Partners or software vendors who believe that they have an analytical tool that satisfies the requirements in Table 1 but that is not yet approved for use in the program should submit an application to the Program Implementer describing tool capabilities and demonstrating compliance with the listed program requirements. Based on Program Implementer review, the tool may be accepted for use on one or several pre-approved pilot projects. After successful completion of the pilot project(s), the tool will be included in the list of approved software. Energy Reduction Plans for projects that are not identified as pilot projects prior to preparing the comprehensive energy assessment and that utilize software not approved for use in the program will not be accepted. 3.2 Model True-Up Following the current program guidelines, all models of existing buildings must be calibrated according to actual, pre-retrofit utility usage including electric and fossil fuels. 33 November 2007 Version 1.1 Users of approved modeling software that does not include billing analysis functionality are required to utilize NYSERDA’s Multifamily billing analysis spreadsheet that will be made available to them upon request. The difference between the modeled use and actual consumption for heating, cooling and baseload represents the percent misalignment of data/assumptions. Annual billing to model differences of 10% or less represent a reasonable alignment of information. Where variation exceeds 10%, review the data and assumptions for anomalies in data, data entry errors, misinterpretation of performance features such as the effective U-factor for insulation, and assumptions made in modeling occupant baseload use. Differences will exist for several reasons, but most differences can be accounted for with a good review of data and assumptions. Adjustment to the data/assumptions is referred to as the “True-Up” process. This is not intended to be a manipulation of the data, but is an evaluation of the information collected (analytical and subjective). Example: A senior housing project uses more energy for space heating and less energy for space cooling than the model predicted. The percent difference in the Heating is 15%. The assumption that 65ºF heating and 75ºF cooling are the building setpoint temperatures may not be correct. Seniors often require warmer temperatures both summer and winter. If the actual temperature maintained in the building was higher than the assumed setpoints, enter new setpoints and evaluate the impact. Now the Heating for modeled and actual energy may be reasonably aligned. The characterization of the building’s level of efficiency for space conditioning is represented by the Heating Slope - Btu/HDD/sq. ft. High efficiency new construction can perform at 2 or 3 Btu/HDD/sq. ft., while buildings that are poorly insulated and maintained may require 10 or more Btu/HDD/sq. ft. As this number is normalized for weather, it is useful when comparing one building to other, and in estimating the potential for energy savings related to space conditioning. A building may score well on the standard of Btu/HDD/sq. ft and still have large potential energy savings on baseload consumption. 3.3 Simulation Reporting Requirements Program submittals that include modeling results must be accompanied by the following: a) Software-generated reports with simulation inputs and outputs. Reports must include sufficient level of details to allow verification of energy savings and accuracy of building and measure representation in the modeling tool. Model files must also be submitted following the current program guidelines, and will be reviewed according to a sampling protocol. b) Software-generated list of simulation errors and warnings. 34 November 2007 Version 1.1 To satisfy these reporting requirements, TREAT users must submit Text (CSV) Package Export, Recommended Improvements Report, Building Description Report, and screenshots of Model Inspector tabs. Users or DOE-2 based tools must submit BEPU (Building Utility Performance), LV-B (Summary of Spaces), PV-N (Plant Design Parameters), SV-A (System Design Parameters), ATTN (list of simulation errors / warnings) report. The Program Implementer will work with performance partners who use other approved software tools to develop the list of required software-generated reports. 3.4 Modeling more than One Building Type In projects consisting of multiple buildings where each building or group of buildings differs significantly to warrant multiple energy assessments, the Partner is expected to follow these requirements in developing and reporting the project’s scope of work. Step 1. Determine each unique building type that warrants a separate energy assessment. This determination must be reflected on the Incentive #1 Addendum if the project is applying for additional incentives. Regardless, this determination must be explained in the Energy Reduction Plan and the individual buildings within each assessment listed (see Energy Reduction Plan Template). Step 2. Conduct an energy assessment on at least one representative building of each building type. For each energy assessment follow the Program requirements for conducting the energy assessment and modeling the building. Step 3. Prepare a Detailed List of Recommended Measures for each assessment’s representative building. These lists DO NOT need to individually meet the Program rules of cost-effectiveness (SIR ≥ 1.0) or of achieving the 20% performance target. These lists must be presented individually within the Energy Reduction Plan and must represent ONLY the representative building, not the aggregated building type. Step 4. For each assessment, aggregate the recommended scope of work for the representative building over all of the buildings in that assessment to determine the total quantities, costs, and savings of the work scopes for each assessment. Aggregate these scopes over all assessments in the project and develop a total project-level scope of work. This scope of work should be reflected in the overall Detailed List of Recommended Measures in the Executive Summary section of the Energy Reduction Plan. This overall scope must comply with the Program rules of cost-effectiveness (SIR ≥ 1.0) and of achieving the 20% performance target. 35 November 2007 Version 1.1 MULTIFAMILY PERFORMANCE PROGRAM EXISTING BUILDINGS COMPONENT 4 Existing Building Financial Plan Guidelines November 2007 36 November 2007 Version 1.1 4.1 Scope The scope of the financial plan will vary in complexity depending on the anticipated sources of funding for the energy efficiency work scope. For Program Participants who have sufficient funds in reserve to cover the construction costs of the project, the financial plan will be very simple. Conversely, for Participants who are planning to include public funding (e.g., DHCR, HUD) and/or NYSERDA’s Energy $mart Loan Program, the financing plan will be more complex. Per the Program’s Partnership Agreement: The Partner shall directly provide or ensure provision of the necessary financial and/or regulatory assistance to develop the Energy Reduction Plan. At the Participant’s option, the Partner shall assist the Participant in identifying the sources of funding necessary to fully implement the Energy Reduction Plan. The Partner shall ensure financial and/or regulatory assistance is provided by individual(s) holding the requisite knowledge and experience, establishing compliance with this condition by obtaining references from owners and/or developers confirming previous success as: 1) a financial consultant on either multifamily or commercial projects; or, 2) a regulatory consultant on low-income multifamily projects regulated by HUD, DHCR, HPD, and/or OTDA. Compliance with this condition may be supported by evidence that the individual(s): 1) holds a valid Commercial Mortgage Broker License; or 2) is an approved lender under the New York Energy $martSM Loan Program; or 3) provision of financial packaging services in NYSERDA's Assisted Multifamily Program; or 4) is an accredited Community Development Financial Institution. 4.2 Objectives The objective of the financial plan is to clearly present a detailed description of how the proposed energy efficiency work scope is intended to be financed. The plan should provide enough detail to ensure that all parties (Participant, Partner, and NYSERDA) are aware of the intended sources of funding for the energy efficiency project. 37 November 2007 Version 1.1 4.3 Sample Financial Plan An example of a financial plan is included below. Sample Financial Plan This section of the Energy Reduction Plan includes a description of the funding sources that the Participant will use to finance the energy efficiency work scope. Per the incentive schedule for NYSERDA’s Multifamily Performance Program, the Partner estimates that the Participant will receive a total of $104,500 in NYSERDA grant funds. Of this total, $82,000 will be used toward the installation of energy efficiency measures, including the cost to complete the Energy Reduction Plan development. The remaining $22,500 in anticipated performance incentives will be used to replenish the reserves, approximately one year after project completion. In addition to the NYSERDA grant, the Participant has submitted a funding request with the Division of Housing and Community Renewal (DHCR) for $50,000. The Participant has also applied for a loan of $50,000 through NYSERDA’s Energy $mart Loan Program. The remaining amount of $97,903 will come from the Participant’s reserve account for the property. The proposed Financing Plan is summarized in the table below, which illustrates the costs associated with achieving the performance target and the sources of funding that will cover those costs. 38 November 2007 Version 1.1 Financing Plan ELIGIBLE USES Total Costs of Improvements Construction Management Fees Multifamily Performance Partner Fees TOTAL ELIGIBLE USES* $242,011 $22,393 $15,500 $279,904 *Total Eligible Uses must match the Total Investment amount in the Plan Summary table (Table 2). The project's cost-effectiveness must be based on the total of these Eligible Uses. SOURCES Anticipated NYSERDA Grant NYSERDA Energy $mart Loan Fund Building Reserves State funds - source #1 TOTAL SOURCES** **Total Sources must equal Total Eligible Uses. $82,000 $50,000 $97,904 $50,000 $279,904 NYSERDA Private Bank N/A DHCR Committed Date or Requested Available Requested 11/1/2007 Requested 6/1/2007 Committed 5/1/2007 Committed 9/1/2007 39 November 2007 Version 1.1 MULTIFAMILY PERFORMANCE PROGRAM EXISTING BUILDINGS COMPONENT 5 Existing Building Construction Plan Guidelines November 2007 40 November 2007 Version 1.1 5.1 Scope The construction plan should include a detailed description of the proposed schedule for installing all of the measures included in the energy efficiency work scope, including a timeline for regulatory approvals, system design, and bid document preparation, as applicable. 5.2 Objectives The objective of the construction plan is to clearly present a detailed description of how the proposed energy efficiency work scope is intended to be implemented. The plan should provide enough detail to ensure that all parties (Participant, Partner, and NYSERDA) are aware of the proposed schedule for addressing all necessary regulatory approvals, design requirements, bid document preparation, as well as the installation of each of the measures included in the energy efficiency project. 5.3 Sample Construction Plan An example of a construction plan is included below. Sample Construction Plan The Partner and the Participant have worked together to develop a preliminary schedule for installing the measures described in Section III of the Energy Reduction Plan. For the boiler replacement and boiler controls (EMS), the Partner will review the design documents to ensure that the appropriate equipment is being specified. The bidding and installation of the other measures will be reviewed as necessary. This preliminary schedule is shown in the table on the following page and graphically illustrated in Figure 1. 41 November 2007 Version 1.1 Preliminary Construction Schedule This chart should be completed with the entire List of Recommended Measures - there is no need to show the phases if the project is phased. # Estimated Estimated (from Table 3) 1 2 3 4 5 6 7 8 Measure Lights in Apts Refrigerators Low Flow Devices EMS Condensing Boiler Sliding Doors Windows CO Detectors Delivery Method Preferred Contractor Preferred Contractor In-house Labor Contracted bid Contracted bid Contracted bid Contracted bid WAP Design Required? N N N Y Y Y Y N Regulatory Review Date N/A N/A N/A N/A 5/15/2007 5/15/2007 5/15/07 N/A Agency Construction Start 6/1/2007 7/1/2007 6/1/2007 8/15/2007 Completion Date 6/30/2007 7/31/2007 6/30/2007 9/14/2007 9/30/2007 10/5/2007 10/5/2007 6/30/2007 DHCR DHCR DHCR 8/1/2007 9/3/2007 9/3/2007 6/1/2007 Figure 1: Gantt Chart of Preliminary Construction Schedule This chart is simply the graphic representation of the construction schedule. If the project is phased, however, you should create one Gantt Chart for each phase. 2007 Measure Lights in Apts Refrigerators Low Flow Devices EMS Condensing Boiler Sliding Doors Windows CO Detectors Design and Bid Document Development Design & Bid May Jun Jul Aug Sep Oct Nov Dec 42 November 2007 Version 1.1 5.4 Construction Progress Report (50% complete) The 50% Complete Progress Report must be submitted by the Partner upon 50% completion of construction. To determine 50% complete, the Partner shall use the Payment #2 Worksheet – 50% Complete, as shown on the following page. This worksheet calculates the 50% Complete threshold in terms of energy savings associated with each measure in the work scope. There is no verification of savings associated with this Progress Report, rather the intention is to set this Program milestone at a point where approximately half (50%) of the energy savings work scope has been installed. For an example of how this is calculated see the sample report on the next page. Along with the submission of the Payment #2 Worksheet – 50% Complete form, the Partner must submit the Request for Incentive #2 form (drawdown request). This form is shown on the page following the Payment #2 Worksheet – 50% Complete form. 43 November 2007 Version 1.1 Payment #2 Worksheet - 50% Complete Certification Ty Webb I certify, to the best of my knowledge, that the information (Owner signature) presented herein represents an accurate and true description of the Project Work. September 14, 2007 (date) Daniel Noonan September 14, 2007 (date) (Partner signature) 50% Interim Inspection Date: Field Inspector Name(s): Notes: September 14, 2007 Daniel Noonan Progress To Date Projected Energy Savings from Energy Reduction Plan (mmBtu) Measure (ECMs linked from Construction Schedule) Est. Energy Savings To % Complete To Date Date (%) (mmBtu) Scheduled Completion Date (mm/dd/yyyy) Summary of Progress (note progress, change orders, delays) DHW Measures Energy Management System New Heating System Patio Window Replacement Primary Window Replacement Apartment Lighting Upgrade Refrigerator Replacement Install CO Detectors Total Progress To Date 42 192 337 440 616 27 78 0 1,731 100% 80% 80% 35% 25% 100% 100% 100% 51% 42 154 269 154 154 27 78 0 877 6/30/2007 7/20/2007 6/30/2007 9/28/2007 9/28/2007 10/31/2007 10/31/2007 14 doors installed to date. 44 November 2007 Version 1.1 MULTIFAMILY PERFORMANCE PROGRAM EXISTING BUILDINGS COMPONENT Request for Incentive #2 Pursuant to the terms of the NYSERDA Participation Agreement between NYSERDA and , the Owner of the Buildings at the Property is eligible to receive Incentive #2. The Partner confirms that the project is 50% Complete, as shown on the attached Payment #2 Worksheet. NYSERDA Project ID: # ID> Project Name and Address: For Payment #2, enter the applicable information below: Market-Rate Housing $300/unit Project Tax ID: Units Total Incentive Affordable Housing $800/unit Incentive Amount Requested Please remit a check for $ made out to the owner or owner’s representative. Make check payable to: Confirm that all required documentation has been submitted: Yes, the Payment #2 Worksheet is attached. Multifamily Performance Partner Representative Signature__________________________ Print Name ________________________ Date _____________________________ Building Owner or Authorized Signature ________________________ Print Name ______________________ Date ____________________________ 45 November 2007 Version 1.1 5.5 Substantial Completion Report The Substantial Completion Progress Report must be submitted by the Partner upon substantial completion of construction. Per the American Institute of Architects, substantial completion is defined as the “stage in the progress of the Work when the Work or designated portion thereof is sufficiently complete in accordance with Contract Documents so that the Owner can occupy or utilize the Work for its intended use.” For energy savings measures, the “intended use” is to generate the proposed level of energy savings. To illustrate Substantial Completion, the Partner shall use the Payment #3 Worksheet – Substantial Completion, as shown on the following page. As with the 50% Complete Progress Report, this worksheet calculates Substantial Completion in terms of energy savings associated with each measure in the work scope, including completion of all health and safety measures. There is no verification of savings associated with this Progress Report, rather the intention is to set this Program milestone at a point where Substantial Completion has been achieved and the energy savings work scope has been installed and is reducing energy. For an example of how this is calculated see the sample report on the next page. Additionally, to be considered substantially complete, certain energy conservation measures will require testing and balancing and other "test out" procedures. A list of such ECMs is under development and will be made available when it is complete. The post-construction analysis period begins with approval of the Payment #3 Worksheet – Substantial Completion form. Partners should be certain that the project is substantially complete prior to submitting this form and that any punchlist items will either be installed soon after this submission or have only minor impacts on the project’s energy savings. Upon NYSERDA, or Program Implementer, approval of the Payment #3 Worksheet – Substantial Completion form, the Partner must submit the Request for Incentive #3 form (drawdown request). This form is shown on the page following the Payment #3 Worksheet – Substantial Completion form. 46 November 2007 Version 1.1 Payment #3 Worksheet - Substantial Completion Certification Ty Webb I certify, to the best of my knowledge, that the information (Owner signature) presented herein represents an accurate and true description of the Project Work. Daniel Noonan (Partner signature) November 23, 2007 (date) November 23, 2007 (date) Substantial Completion Inspection Date: Field Inspector Name(s): Notes: November 23, 2007 Daniel Noonan Progress To Date Projected Energy Savings from Energy Reduction % Complete Plan To Date (mmBtu) (%) Measure (ECMs linked from Construction Schedule) Est. Energy Savings To Date (mmBtu) Date of Completion (mm/dd/yyyy) Performance Testing Remaining Punchlist Required? Items (Y/N) (list) Notes DHW Measures Energy Management System New Heating System Patio Window Replacement Primary Window Replacement Apartment Lighting Upgrade Refrigerator Replacement Install CO Detectors Total Progress To Date 42 192 337 440 616 27 78 0 1,731 100% 100% 100% 75% 90% 100% 100% 100% 90% 42 192 337 330 554 27 78 0 1,559 6/30/2007 7/20/2007 6/30/2007 9/28/2007 9/28/2007 10/31/2007 10/31/2007 Y Y Y Interior & exterior finish details 28 doors installed; some issues with proper fit 47 November 2007 Version 1.1 MULTIFAMILY PERFORMANCE PROGRAM EXISTING BUILDINGS COMPONENT Request for Incentive #3 Pursuant to the terms of the NYSERDA Participation Agreement between NYSERDA and , the Owner of the Buildings at the Property is eligible to receive Incentive #3. The Partner confirms that the project is Substantially Complete (90%), as shown on the attached Payment #3 Worksheet. NYSERDA Project ID: # ID> Project Name and Address: For Payment #2, enter the applicable information below: Market-Rate Housing $300/unit Project Tax ID: Units Total Incentive Affordable Housing $400/unit Incentive Amount Requested Please remit a check for $ made out to the owner or owner’s representative. Make check payable to: Confirm that all required documentation has been submitted: Yes, the Payment #3 Worksheet is attached. Yes, Performance Testing documentation is attached. Multifamily Performance Partner Representative Signature__________________________ Print Name ________________________ Date _____________________________ Building Owner or Authorized Signature ________________________ Print Name ______________________ Date____________________________ 48 November 2007 Version 1.1 MULTIFAMILY PERFORMANCE PROGRAM EXISTING BUILDINGS COMPONENT 6 Existing Building Post Construction Benchmarking November 2007 49 November 2007 Version 1.1 6.1 Scope At least twelve (12) months, but no more than eighteen (18) months, after construction is complete, the Partner shall prepare and submit a post-construction Benchmarking Tool spreadsheet to verify that the Performance Target has been met. The following tasks shall be completed to achieve this goal: a) Prepare and submit a post-construction Benchmarking Tool spreadsheet, using twelve (12) months of post-construction utility data for the Participant’s facility, to calculate the current Benchmarking Tool score. b) If post-construction source energy consumption from the Benchmarking Tool meets or exceeds the minimum performance target, prepare and submit request for the final incentive payment on behalf of the Participant in accordance with the Participation Agreement between the Participant and NYSERDA and using the appropriate NYSERDA Request for Incentive #4 Form. c) If post-construction source energy consumption from the Benchmarking Tool does not meet the minimum performance target, the Partner can resubmit results with new utility data up to six months later. If after 18 months post-construction the savings are still not meeting the performance target, the Owner will not receive Incentive #4. Note that the starting point for the post-construction period is approval of the Payment #3 Worksheet – Substantial Completion form (see section 5.5). 6.2 Objectives The objective of the post-construction benchmarking is to ensure that the energy savings projected in the Energy Reduction Plan are being fully realized. In cases where the energy savings achieves the performance target of 20% reduction or greater, NYSERDA will remit payment for Incentive #4. If the energy savings do not achieve the target, NYSERDA will work with the Partners to understand why savings are not reaching projected levels so that the Program can be modified, as necessary, to accommodate issues that may be revealed through this process. 6.3 Post Construction Benchmarking Report (Under Development) The Post Construction Benchmarking Report must be submitted by the Partner no sooner than 12 months after substantial completion (approval of the Payment #3 Worksheet – Substantial Completion form) and no later than 18 months. To demonstrate attainment of the performance target and submit a request for Payment #4, the Partner shall use the Payment #4 Worksheet – Post Construction (under development). This worksheet will include the results of the post-construction consumption and benchmarking analysis and 50 November 2007 Version 1.1 indicate the actual, achieved performance improvement of the project. This Report shall also include any calculations of adjustments based on occupancy rates as described in the following section. Similarly, if the Partner is proposing any other adjustments to the post construction consumption values, all calculations and associated justifications must be clearly described in the Post Construction Benchmarking Report. 6.4 Adjustments for Vacancy Rates Vacancy rates, and any related adjustments, are primarily a concern when they are anticipated to be different between the pre and post construction periods. Small, short term swings in occupancy (< 10%) will not require adjustment. Any adjustments must be clearly identified and fully described in the Post Construction Benchmarking Report. When necessary, adjustments will need to be applied based on the metering configuration in the affected buildings, using the following as guidance: • Master metered baseload electricity: Partner will have the option of scaling the “Number of Units” input to match the actual number of occupied units (i.e., 100 apts. x 90% vacancy = 90 apts.) or scaling the energy consumption to reflect the number of occupied units. When scaling energy consumption, it is important to scale only the level of consumption that is estimated to be used by the apartments, net of common area use. • Master metered heating energy (any fuel): Vacant units are often heated to safeguard from frozen pipes or because apartment-level zoning is not possible. If all units are heated, vacant or not, there is no need for adjustments. However, if heating to the units is zoned by apartment and heat is turned off or to a low “vacant” level, Partner may need to scale the energy consumption to reflect the number of occupied units. As with electricity, it is important to scale only the level of consumption that is estimated to be used by the apartments, net of common area use. • Direct metered: Since energy consumption for direct metered projects will typically be based on a 10% sample per the Direct Metering Assistant tool, vacant units should not affect the estimate. However, if vacancy rates vary between the pre and post construction periods, consumption can be scaled by scaling the “Number of Units” to match the number of occupied apartments. 51 November 2007 Version 1.1 MULTIFAMILY PERFORMANCE PROGRAM EXISTING BUILDINGS COMPONENT Request for Incentive #4 Pursuant to the terms of the NYSERDA Participation Agreement between NYSERDA and , the Owner of the Buildings at the Property is eligible to receive Incentive #4. The Partner confirms that the Performance Target of at least 20% in source energy reduction has been met, as shown on the attached Payment #4 Worksheet. NYSERDA Project ID: # ID> Project Name and Address: For Payment #4, enter the applicable information below: Market-Rate Housing <$200 $125>/unit Project Tax ID: Units Total Incentive Affordable Housing <$ 400 – $325>/unit Incentive Amount Requested Please remit a check for $ made out to the owner or owners representative. Make check payable to: Confirm that all required documentation has been submitted: Yes, the Payment #4 Worksheet is attached. Multifamily Performance Partner Representative Signature _________________________ Print Name ________________________ Date ________________________________ Building Owner or Authorized Signature ______________________________ Print Name ____________________________ Date ______________________________________ 52