PON 1101 - Tier III - Enhanced CommercialIndustrial Performance by fmx14915

VIEWS: 4 PAGES: 88

									       Enhanced C/I Performance Program Procedures Manual
                            PON 1101


Table of Contents

Introduction

Part A. SPC Agreement, Deliverables, and Procedures
Section 1: Standard Performance Contract (SPC) Agreement
Section 2: Detailed Energy Analysis
Section 3: Project Installation Report
Section 4: Measurement and Verification (M&V) Reports
Section 5: Invoices
Section 6: Standard Program Forms


Part B. Measurement and Verification Guidelines
Section 1: Measurement and Verification (M&V) Overview
Section 2: Standard Lighting M&V Plan: Monitoring Hours of Operation
Section 3: Alternate Lighting M&V Plan: Metering of Lighting Circuits
Section 4: Motors M&V Plan
Section 5: Variable-Speed Drive M&V Plan
Section 6: Chiller M&V Plan
Section 7: Generic Variable Load M&V Plan
Section 8: Billing Analysis M&V Plan
Section 9: Computer Simulation M&V Plan
Section 10: Renewable M&V Plan


APPENDIX A         Table of Standard Lighting Fixture Wattages
APPENDIX B         Equipment Efficiency Standards




Enhanced C/I Performance Program Procedures           i                 v10
INTRODUCTION

This document presents procedures for Tier III of the Enhanced Commercial and Industrial (C/I)
Performance Program. The program is designed to promote comprehensive efficiency projects in
the commercial and industrial sectors, regardless of the underlying contract structure between the
customer and the contractor.

 The document is divided into two parts:

A. Standard Performance Contract (SPC) Agreement, Deliverables, and Procedures.
   This part provides a copy of the SPC Agreement and details the required submittals and the
   procedures involved in preparing and reviewing them. Included are discussions about
   preparing the Detailed Energy Analysis, reporting estimated and verified energy savings, and
   invoicing for payments. It also includes standard reporting forms that must be completed for
   each project throughout the term of the SPC Agreement.

B. Measurement and Verification Guidelines. It provides guidelines for energy service
   companies (ESCOs) to follow when conducting measurement and verification (M&V)
   activities. Section 1 includes a discussion of minimum standard baselines. Appendix A lists
   standard lighting fixture wattages and Appendix B provides minimum efficiency standards
   for other equipment.

The terms of the Program Opportunity Notice (PON) in effect at the time of the Application
is received by NYSERDA shall govern this program and set forth the eligibility requirements for
participants and energy efficiency measures, the incentive payments, and general requirements.
Appendix C also includes a detailed discussion of the application procedures and the standard
application forms. The applicable PON is incorporated herein by reference in the Tier III
Enhanced C/I Performance Program Procedures Manual and made a part of this manual as
though set forth here in full.

The manual will be updated from time to time by NYSERDA and posted on NYSERDA’s web
site. No additional notice will be provided.




C/I Performance Program Procedures                    iii                                  v9.0
                                                                       Part A, Section 2: Detailed Energy Analysis




Section 2:                 Detailed Energy Analysis (DEA)
This section includes a discussion of the procedures and schedules for submitting the DEA and its
approval or rejection. It concludes with a discussion of the contents of the DEA. The equipment forms
are the core of the DEA. In addition, the ESCO is required to develop a plan for conducting measurement
and verification (M&V) activities unless it elected to have NYSERDA take responsibility for the M&V.


2.1 Submitting the DEA
Submitting a DEA is the ESCO’s third step in the Tier III Enhanced C/I Performance Program process
following approval of the application and execution of the SPC Agreement. The DEA provides
NYSERDA with detailed information about the ESCO’s proposed energy efficiency project, including
equipment surveys, projected energy savings, supporting calculations and, generally, M&V plans.
NYSERDA will require the ESCO to provide an Environment Assessment Form (EAF) with the DEA for
measures that may have an impact on the environment.

The DEA deliverable must be approved by NYSERDA. If the estimated amount of energy savings in the
approved DEA is lower than the energy and demand savings in the SPC Agreement, the Total Contracted
Project Incentive payable to the ESCO will be reduced proportionately. NYSERDA at its election may
offer to modify the Agreement to lower the Total Contracted Project Incentive.

If the estimated amount of energy savings in the DEA is higher, NYSERDA at its election may offer to
modify the Agreement to increase the Total Contracted Project Incentive provided Enhanced C/I
Performance Program funds are available. NYSERDA in its sole discretion may choose not to offer to
modify the Agreement, in which case the ESCO will be required to deliver the amount of energy savings
required under the SPC Agreement.

Submittal and Notification Schedule
An ESCO must submit a DEA within 60 days (for lighting-only projects) or 90 days (for all other
projects) of NYSERDA’s approval of the ESCO’s application. The original of the DEA should be
submitted to NYSERDA. A copy of the DEA should be sent to the Technical Consultant named in the
application approval letter. NYSERDA will not accept a DEA if an application was not received earlier.
For instructions on submitting the Project Application, please see the current Program Opportunity Notice
(PON) Appendix C under the Enhanced C/I Performance Program on NYSERDA’s website. If an ESCO
fails to submit the DEA within the specified time frame, NYSERDA will revoke its approval of the
Project and will no longer reserve the funding for the Project.

For single site applications, NYSERDA will notify the ESCO in writing, within 45 days of DEA receipt,
as to whether or not the DEA has been approved. Applications with multiple sites may take longer than
45 days to review. Approval of the DEA, however, is contingent on the ESCO scheduling and
NYSERDA conducting a “pre-installation inspection” of each of the project’s sites within the time frame
specified in the following section.

Scheduling the Pre-installation Site Inspection
NYSERDA’s Technical Consultant will contact the ESCO after receiving a DEA to schedule a pre-
installation site inspection. The inspection itself should be completed within 30 days of NYSERDA’s
receipt of the DEA. If the site inspection is not completed within those 30 days, due to delays by the
ESCO, the DEA review process will be suspended until the inspection is completed.



C/I Performance Program Procedures                     A.2-1                                               v10
                                                                      Part A, Section 2: Detailed Energy Analysis



After a pre-installation inspection has been scheduled, the ESCO cannot make any changes to the
equipment information in the DEA unless the ESCO requests such changes in writing. All changes must
be approved by NYSERDA.

The inspection is conducted by NYSERDA’s Technical Consultant to confirm the accuracy of the DEA
information regarding existing equipment. A representative of the ESCO and either the facility manager
or other customer representative must also be present during the inspection so any discrepancies can be
identified collectively by all parties. Also, the customer representative may need to arrange for any
disruptions in equipment operation, the opening of any electrical connection boxes or the connection of
current and power transducers.


2.2 DEA Approval or Rejection
After reviewing the DEA, NYSERDA will either approve the DEA as submitted, request clarification or
additional information, or reject it. NYSERDA will work with the ESCO on making minor revisions to
the DEA that NYSERDA deems necessary. An ESCO will have up to 30 days to respond to an initial
request for clarification or additional information during the DEA review. If the clarification or
additional information is not provided, NYSERDA may elect to declare the ESCO in default under the
SPC Agreement.

If the clarification or additional information is insufficient, each ESCO is allowed two subsequent
requests for such information. An ESCO will have up to 10 days to respond to each subsequent request
for clarification or additional information. If all necessary information is not received by NYSERDA
within 10 days following the third and final request for information, NYSERDA may elect to declare the
ESCO in default under the SPC Agreement.

NYSERDA’s DEA review process has three distinct components: (a) reviewing the content of the DEA
forms, (b) reviewing or developing the M&V plan and (c) conducting a pre-installation inspection. These
phases are described in the following sections.

Upon approval of the DEA, the ESCO may submit a Progress Payment Invoice. It is for up to 40% of the
Total Contracted Project Incentive not to exceed 50% of documented costs incurred for the purchase of
equipment related to the approved measures for the project.
DEA Content Review
Upon receiving a DEA, NYSERDA and its Technical Consultant review the contents to ensure the
following requirements are met:
        The project meets Tier III Enhanced C/I Performance Program requirements.
        The appropriate program forms, including a signed Customer Affidavit (SPC.5), are provided.
        The DEA contains complete and accurate supporting documentation.
        The existing equipment has not been removed and the proposed equipment has not been installed.
        The DEA includes an acceptable M&V plan, unless NYSERDA is responsible for the M&V plan.
        The estimates of energy savings are reasonable and the supporting equations, assumptions, and
        calculations are correct.

M&V Plan Review or Development
If the ESCO retained responsibility for M&V, the DEA submittal requires an M&V plan containing a
detailed description of how energy savings are to be determined for each measure and building within the
project. If NYSERDA will be responsible for M&V, NYSERDA and its Technical Consultant will
develop the M&V plan as part of its DEA review. The ESCO will have an opportunity to review and
comment on the M&V plan proposed by NYSERDA.

C/I Performance Program Procedures                    A.2-2                                               v10
                                                                       Part A, Section 2: Detailed Energy Analysis




Standard form SPC.6 presents a template to help with developing the M&V plan. The M&V plan must
comply with the M&V guidelines in Part B of this manual and must, in general, address the following for
each measure and building:
         What is the pre-installation condition/equipment and how will the baseline energy usage be
         measured or otherwise determined? How will post-retrofit energy usage be measured or
         otherwise determined?
         What factors or variables affect energy consumption of both baseline and post-retrofit conditions
         (e.g., outside and indoor temperature, humidity, occupancy, operating hours)?
         How will these factors/variables be measured and used to adjust the baseline or post-retrofit
         energy usage so savings can be determined?
Some projects will require metering of existing (baseline) equipment as a condition for approval of the
DEA. Projects where the existing load is variable and depend on such factors as weather, occupancy, or
production levels may require pre-installation metering to capture consumption levels at typical operating
conditions. Pre-installation data should be collected for long enough to demonstrate a repeatable pattern
or a variable that correlates to a known value. NYSERDA will decide whether pre-installation M&V data
are needed as a condition of approving the DEA. Table A2.1 presents pre-installation metering scenarios
for several types of electrical energy efficiency measures. M&V strategies for gas efficiency measures
should be discussed with NYSERDA. See Part B for additional information on each M&V method.
                                                  Table A2.1
                                     Pre-Installation Metering Scenarios
    Energy Efficiency Measure         M&V Method               Type of Pre-Installation Metering
 Lighting Efficiency Upgrade          LTG-B-01          None
 Occupancy Controls                   LTG-B-01          Operating hours
 Lighting Efficiency Upgrade and
                                      LTG-B-01          Operating hours
 Occupancy Controls
 Constant Load Premium
                                                        Instantaneous amperage, voltage, and kW
 Efficiency Motors (operating         CLM-B-01
                                                        measurements
 hours remain constant)
 Constant Load Premium
                                                        Instantaneous amperage, voltage, and kW
 Efficiency Motors (operating         CLM-B-01
                                                        measurements; operating hours
 hours change)
 Variable or Fluctuating Load                           True RMS power and instantaneous amperage
 Premium Efficiency Motors            CLM-B-01          spot measurements; short term amperage
 (operating hours remain constant)                      metering (for kW and TOU)
 Variable or Fluctuating Load                           True RMS power and instantaneous amperage
 Premium Efficiency motors            CLM-B-01          spot measurements; short term amperage
 (operating hours change)                               metering (for kW and TOU)
 Variable Speed Drives
                                                        Instantaneous amperage, voltage, and kW
 (constant baseline, same operating   VSD-B-01
                                                        measurements
 scenario)
 Variable Speed Drives
                                                        Instantaneous amperage, voltage, and kW
 (constant baseline, different        VSD-B-01
                                                        measurements
 operating scenario)
                                                        True RMS power or calibrated current readings,
 Variable Speed Drives (functional
                                      VSD-B-01          and variables affecting baseline energy use (to
 dependence of baseline kW)
                                                        determine baseline model)
 Chiller Replacement
                                      CH-B-01           None
 (Cooling load inferred)


C/I Performance Program Procedures                     A.2-3                                               v10
                                                                         Part A, Section 2: Detailed Energy Analysis



Note:    Variable or fluctuating loads include constant speed motors serving non-constant flow or load
         applications.
For lighting projects only where the estimated energy savings are under 600,000 kWh/yr, a calculated
energy savings approach (Option A of the IPMVP) to M&V may be acceptable to NYSERDA. The
ESCO must provide documented support of the estimated operating hours of each usage group.
Documented support might include but not limited to pre-monitoring results, historical data, and/or
engineering estimations. NYSERDA will review the engineering documentation for reasonableness of
energy savings and determine if M&V (installation of light loggers in the post-condition) is necessary.

Pre-installation Inspection
As mentioned earlier, the purpose of a pre-installation inspection is to verify that the information supplied
by the ESCO regarding a site’s existing equipment is accurate. If the ESCO has not provided adequate
information in the equipment survey to allow NYSERDA’s Technical Consultant to conduct an
inspection, the inspection will be postponed until more complete information is provided. NYSERDA
reserves the right to reject a DEA due to unreasonable delays caused by the ESCO.

During the inspection, NYSERDA’s Technical Consultant will verify that:
        Relevant information included in the equipment survey and M&V plan are accurate. Any errors
        that can be easily corrected during the inspection should be corrected; otherwise, the inspection
        will be canceled and rescheduled after corrections have been made.
        No new equipment proposed in the DEA for installation as part of the project has been installed.
        If the inspection reveals that such equipment is already installed, the measure(s) and any
        associated savings will be disallowed.
        No existing equipment proposed in the DEA for removal as part of the project has been removed.
        If the inspection reveals that such equipment has already been removed, the measure(s) and any
        associated savings will be disallowed.


2.3 Parts of the DEA
The DEA includes the four standard forms and the equipment forms listed in Table A2.2 as appropriate
for the measures included in the project. Each form is discussed in this section with a copy provided in
Section 6.
                                               Table A2.2
                                             Parts of the DEA

                          Form Name                               Form Code          Required for Each
 Project Summary                                                SPC.1               Project
 Energy and Gas Efficiency Measure Information                  SPC.2 – SPC.2B      Building
 Customer Affidavit                                             SPC.5               Customer
                                                                SPC.6 (L.1 for
 M&V Plan                                                                           Project/Measure
                                                                Lighting M&V)
 Lighting Survey (if applicable)                                EF.L                Building
 Motor and Variable-Speed Drive Survey (if applicable)          EF.M                Building
 Chiller/Unitary HVAC Unit Replacement (if applicable)          EF.C                Building
 Information for Other Measures (if applicable)                 EF.O                Building
 Environmental Assessment Form (EAF)                            EAF                 Unlisted Actions


C/I Performance Program Procedures                      A.2-4                                                v10
                                                                         Part A, Section 2: Detailed Energy Analysis



Project Summary Form: SPC.1
The ESCO must complete the ESCO and project information as appropriate.

Energy Efficiency Measure Information: SPC.2
The ESCO must complete this form for each of the buildings in the project if seeking electrical efficiency
incentives.

Gas Efficiency Measure Information: SPC.2B

The ESCO must complete this form for each of the buildings in the project if seeking gas efficiency
incentives.

Customer Affidavit: SPC.5
This form must be completed and signed by the customer to show that the customer acknowledges the
parties involved and their responsibilities under the program.

M&V Plan: SPC.6
A detailed M&V plan developed by the ESCO for each measure and building must be included with the
DEA (unless the ESCO elected to have NYSERDA conduct M&V). This form provides a template for
developing the M&V plans. Refer to the M&V guidelines in Part B for detailed directions.

Lighting Survey: EF.L
For projects that include a lighting retrofit, the ESCO uses this form to provide information identifying
the existing lighting fixtures to be retrofitted and the new equipment to be installed. The spreadsheet will
calculate the annual energy savings. (Standard form L.1: Lighting M&V Plan completes the technical
documentation required for a lighting retrofit. See Part B, Section 2.)

Location information is critical, as NYSERDA will use this form, along with site maps, as a guide during
the pre-installation site inspection. The ESCO must provide the following information on this form:
         Line Item: Each line should be numbered consecutively beginning with one.
         Floor: The floor on which the fixtures identified can be found. For multiple floor fixtures (such
         as in stairwells) enter the lowest floor where the fixtures are located in this field.
         Area Description: A unique identifier for each room or space in the building. These
         descriptions should be easily understood and intuitive to make field identification of a space easy
         (e.g., manager’s office, kitchen, sales floor, Room 116, etc.). This information should correspond
         to the site maps provided.
         Usage Group ID: Rooms with similar operating schedules or functions should be grouped
         together into “usage groups.” This method of grouping allows for better allocation of monitoring
         points (for M&V activities), which generates more accurate savings forecasts.
         Operating hour estimates for each usage group should be reasonable and based on both interviews
         with building personnel and on observation. Please see the Lighting Efficiency M&V plan in
         Section 2 of Part B for more information on usage group identification.
         Pre Fixt. No.: The existing number of fixtures connected to the on/off control identified by the
         Switch ID.




C/I Performance Program Procedures                      A.2-5                                                v10
                                                                          Part A, Section 2: Detailed Energy Analysis



         Pre Fixt. Code: The Fixture Code from the Table of Standard Fixture Wattages (see Appendix
         A) that identifies the lamp/ballast combination. Use only fixture codes from the table. If the
         exact existing fixture code is not found in the table, the code most closely resembling the existing
         equipment should be chosen. Never assign new fixture codes without NYSERDA’s approval.
         Pre Watts/Fixt: Wattage for the existing fixtures taken from the Table of Standard Fixture
         Wattage. In the event a fixture is not in the table, the ESCO should either (a) take wattage
         measurements for a representative sample of fixtures or (b) provide a documented source of the
         fixture wattage for approval by NYSERDA.
         Non-Operating (NOP) Fixtures: Non-operating fixtures are those fixtures that are typically
         operating but that have broken lamps, ballasts, switches intended for repair. A delamped fixture
         is not a non-operating fixture, and thus delamped fixtures should have their own unique wattage
         designations. Fixtures that have been disabled or delamped or that are broken and not intended
         for repair should not be included in the calculation of existing equipment’s demand or energy.
         They should, however, be noted in the lighting survey to avoid confusion. The inclusion of non-
         operating fixtures is limited to 10% of the total fixture count per building.
         Pre kW/Space: The product of the Pre Fixt No. multiplied by the Pre Watts/Fixt and divided by
         1,000.
         Exist Cont: The type of on/off control for the line, typically a switch, circuit breaker, motion
         sensor, or photo-cell. These may be abbreviated.
         Post Fixt No: The proposed number of fixtures connected to the on/off control identified by the
         Switch ID.
         Post Fixt Code: The Fixture Code from the Table of Standard Fixture Wattages that identifies
         the lamp/ballast combination to be installed. Use only Fixture Codes from the Table.
         Post Watts/Fixt: The watts per fixture taken from the Table of Standard Fixture Wattages for
         the equipment type entered under Post Fixt Code.
         Post kW/Space: The product of the Post Fixt # multiplied by the Post Watts/Fixt and divided by
         1,000.
         Prop Cont: The type of on/off control to be installed for the post-installation fixtures on the line,
         typically a switch, circuit breaker, motion sensor, or photo-cell. These may be abbreviated.
         kW Saved: The result of subtracting the Post kW/Space from the Pre kW/Space for the line.
         Baseline Annual Hours: The estimated annual hours of operation at pre-construction for the
         usage group identified on the line. For lighting efficiency projects, the baseline and proposed
         annual hours would be identical.
         Proposed Annual Hours: The estimated annual hours of operation at post-construction for the
         usage group identified on the line For lighting controls projects, the proposed annual hours of
         operation would be different and most likely reduced from the reported baseline annual hours of
         operation. Again, for lighting efficiency projects, the baseline and proposed annual hours of
         operation would be identical.
         kWh Saved: The product of pre kW/space and the baseline annual hours less the product of the
         post kW/space and the proposed annual hours.


Summer On-Peak Lighting kW Bonus for Eligible Con Edison Customers
An additional incentive of $200 per kW will be paid for summer on-peak demand reductions resulting
from the installation of higher efficiency lighting (does not include lighting control measures). Summer
on-peak is the period May 1 to October 31 and the hours between 12 pm and 6 pm, Monday to Friday,
excluding holidays.

The Lighting kW Bonus is calculated as follows:
Lighting kW Bonus = [(*Total typical day kWh savings between 12 pm and 6 pm) / 6 hours] x $200/kW


C/I Performance Program Procedures                       A.2-6                                                v10
                                                                         Part A, Section 2: Detailed Energy Analysis



*Note: Typical day is based on the summer on-peak period as defined above. M&V of the lighting kW
will require at a minimum; documented EF.L quantities and post installation inspection.


Motor and Variable-Speed Drive Survey: EF.M
This form should contain information for each motor or variable-speed drive (VSD) affected by the
project, even if the motor is part of other equipment, such as an air handler or a chiller motor upgrade.
Multiple motors may be included on a single line only if they have the same kW load, function and
operating hours.

The following information must be provided on this form:
        A description of the motor location and the proposed measure.
        Table M.1 – Pre-installation nameplate data for each device, including a unique ID, number of
        units, control device (e.g., switch, dampers, VSD, etc.), loading, manufacturer, model number,
        horsepower rating, nominal efficiency, synchronous speeds, enclosure type, information from a
        spot measurement of instantaneous kW, and energy consumption information.
        Table M.2 – Post-installation nameplate data for each device, including ID, number of units,
        control device, loading, manufacturer, model number, horsepower rating, nominal efficiency,
        synchronous speeds, enclosure type, and energy consumption information.
        Table M.3 – The spreadsheet will calculate the annual kW and kWh savings.


Chiller/Unitary HVAC Unit Replacement: EF.C
ESCOs must submit one copy of this form for every chiller, condenser, or unitary (also known as
packaged) HVAC unit affected by the project. The following information must be provided:
       Narrative descriptions of the equipment location, the systems served, and the sequence of
       operation. If the chiller or condenser being installed will be one of multiple units in a central
       plant, the entire chiller or central plant must be described.
       If a chiller or condenser is affected, the ID number, manufacturer, model number, year of
       manufacture, chiller or condenser type, capacity, fan horsepower and rated efficiency (full and
       Integrated Part Load Value (IPLV)). Chiller types may be centrifugal, reciprocating,
       screw/scroll, or non-electric (such as steam and gas absorbers, steam turbines, and gas engines).
       Condensers may be air- or water-cooled.
       If unitary HVAC units are affected, the ID number or number of identical units to be replaced,
       manufacturer, model number, year of manufacture, equipment type, and cooling or heating
       capacity must be provided. Possible equipment types are split or packaged air-conditioning, split
       or packaged heat pump, and direct or indirect evaporative cooling.
       A summary of the kWh savings associated with the particular unit(s) on the same form, as
       presented in the detailed savings calculations must be provided.

In addition, detailed energy savings analysis and supporting information used in estimating the annual
energy savings must be attached.

Summer On-Peak Chiller kW Bonus for Eligible Con Edison Customers

For chiller and unitary-A/C unit systems used for space conditioning that are eligible to receive $500/kW
of reduced summer on-peak demand, performance specifications from the manufacturer that include
values of nominal capacity (tons) and kW/Ton at Air-Conditioning and Refrigeration Institute (ARI)
standard rating conditions must be provided for full load and IPLV conditions.1


C/I Performance Program Procedures                      A.2-7                                                v10
                                                                       Part A, Section 2: Detailed Energy Analysis



The Chiller kW Bonus for electric chillers is calculated as follows:

Chiller kW Bonus = (*Peak Operating Tons) x [kW/ton baseline - kW/ton proposed ] x $500/kW
Note: The full load efficiency of the installed equipment must exceed the current ASHRAE 90.1 - 2004
Standard by 2%.

*Peak Operating Tons are based upon the summer on-peak period May 1 to October 31 and the hours
between 12 pm and 6 pm, Monday to Friday, excluding holidays.

The Chiller kW Bonus for electric to non-electric (i.e. gas/steam) chiller conversions is calculated as
follows:

Chiller kW Bonus = (*Peak Operating Tons) x [(kW/ton baseline - 0.1 kW/ton parasitic load ] x $500/kW
Note: The full load efficiency of the installed equipment must exceed the current ASHRAE 90.1 - 2004
Standard by 2%, as applicable.

*Peak Operating Tons are based upon the summer on-peak period May 1 to October 31 and the hours
between 12 pm and 6 pm, Monday to Friday, excluding holidays.

Since summer on-peak demand reduction is the intent of this incentive bonus, the estimated incentive
should be based on kW/ton values rated at the ARI full load condition. The use of IPLV, SEER, or other
seasonal ratings are not acceptable for the calculation of the summer on-peak demand reduction (chiller
bonus). M&V of the chiller to determine actual energy savings and Peak Operating Tons is required.



Information for Other Measures: EF.O
This form must be completed for all projects that include energy efficiency measures other than lighting
efficiency or controls, motors, variable-speed drives, chillers, condensers, or unitary HVAC equipment.

This form requires:
        A narrative description of the equipment location, operation, and the proposed measure.
        Summary of the impacts of the measure, including kWh consumption, kW demand, and operating
        hours in both the pre- and post-installation situations, as presented in the detailed savings
        calculations.

In addition, detailed energy savings calculations with analytical and methodological information used in
estimating the energy savings must be attached.



Gas Efficiency Measures:
ESCOs must submit detailed engineering calculations with analytical and methodological information to
support the estimated gas energy savings for the measure. While a gas form does not exist, the ESCO
must provide in their own format a detailed description of the existing equipment, operation, and the
proposed measure. Summary must also include annual gas consumption (therms), operating hours and
efficiency levels in both the pre- and post-installation situations.


Environmental Assessment Form: EAF



C/I Performance Program Procedures                     A.2-8                                               v10
                                                                          Part A, Section 2: Detailed Energy Analysis



NYSERDA is subject to the provisions of the State Environmental Quality Review Act (SEQRA),
implementing regulations of the New York State Department of Environmental Conservation, and
implementing regulations of NYSERDA. Funding will not be released for a Project that has not complied
with SEQRA.

Activities may qualify as Type I, Type II, or unlisted actions. A Type I activity is likely to have a
significant effect on the environment and requires an environmental impact statement (EIS); a Type II
action has been determined not to have a significant impact on the environment; an unlisted action must
be reviewed to determine if an EIS is appropriate.

The pre-approved measures in the C/I Performance Program, except chillers rated over 5 million BTUs
per hour, are generally eligible to be treated as Type II actions. NYSERDA will require the ESCO to
provide an Environmental Assessment Form (EAF) with the Detailed Energy Analysis for any unlisted
action included in the Project.

If an EAF is required for a measure, the ESCO must complete Part I of the EAF and provide additional
documentation, such as manufacturer’s cut sheets with emissions characteristics of the equipment to be
installed, copies of any required air quality permits or application for such permits, and photos of the site
and the surrounding area. To expedite NYSERDA’s review, the ESCO should provide responses to
Part II on a separate form.


_____________________________
1 Standard rating conditions are those as defined by ARI within Standard 550/590-2000 for water-chilling
equipment below 2,000 tons and Standards 210/240-1994 and 340/360-1993 for unitary equipment. For
water source heat-pumps ARI standard 320-1998, and for ground source heat-pumps standard 325-1998
shall be utilized. Note rated efficiency shall be presented for the equipment at nominal rated capacity.
Please contact NYSERDA for rating requirements of other equipment types.




C/I Performance Program Procedures                       A.2-9                                                v10
                                                                   Part A, Section 3: Project Installation Report




Section 3:                 Project Installation Report (PIR)
This section presents a discussion of the procedures and schedules for submitting the PIR and a review of
the required content.


3.1 Submitting the PIR
The ESCO submits the PIR when all measures are installed and commissioning of the equipment
completed as provided for in the approved M&V plan. The PIR provides NYSERDA with detailed
information about the ESCO’s installed energy efficiency project, including equipment surveys, projected
energy savings, and calculations.

Upon approval of the PIR, the ESCO may submit an invoice (the “installation invoice”) requesting
payment of up to 60% of the total incentive less any amount paid on a Progress Payment invoice, based
on estimated energy savings in the PIR. A detailed discussion on invoicing is provided in Part A, Section
5, of this manual.

The PIR is based largely on the forms within the Detailed Energy Analysis submittal, but should reflect
updated information based on installed conditions. The standard forms, discussed in Section 3.2, are
intended to capture summary information about the project equipment and estimated savings.
Supplemental energy savings calculations are required as an attachment to the applicable equipment form
and should include a description of the analysis used in estimating energy savings.

Submittal and Notification Schedule
The PIR is due within twelve months of NYSERDA’s acceptance of the Detailed Energy Analysis unless
a longer term is specified in the SPC Agreement. NYSERDA will not accept a PIR if a Detailed Energy
Analysis has not been approved (for instructions on submitting the Detailed Energy Analysis, please see
Part A, Section 2, of this manual). Failure by the ESCO to submit the PIR within the specified time
frame, shall be considered a default under the SPC Agreement.
Within 45 days after its receipt of the PIR (for applications with a single site), NYSERDA will notify the
ESCO in writing as to whether or not the PIR has been approved (aggregated applications may take
longer to evaluate). Approval of the PIR, however, is contingent upon the ESCO scheduling and
NYSERDA’s Technical Consultant conducting a post-installation inspection of each of the project’s sites
within the time frames specified in the following section.

Scheduling Post-installation Site Inspections
NYSERDA’s Technical Consultant will contact the ESCO after receiving a PIR to schedule a pre-
installation site inspection. The inspections themselves should be completed within 30 days of
NYSERDA’s receipt of the PIR. If all site inspections are not completed within those 30 days, the PIR
review process will be suspended until inspections can be completed.

After a post-installation inspection has been scheduled, the ESCO cannot make any changes to the
equipment information in the PIR, unless the ESCO requests such changes in writing. All changes must
be approved by NYSERDA.

The inspection is conducted by NYSERDA’s Technical Consultant to confirm the accuracy of the PIR
information regarding installed equipment. A representative of the ESCO and either the facility manager
or other customer representative must also be present during inspections so that all parties can identify

C/I Performance Program Procedures                      A.3-1                                        v 9.0
                                                                     Part A, Section 3: Project Installation Report



any discrepancies collectively. Also, the customer representative may need to request clarification or
additional information, or arrange for any disruptions in equipment operation.

PIR Approval or Rejection
NYSERDA will review the PIR and determine whether to approve the PIR as submitted, approve it with
minor revisions, or reject it. NYSERDA will work with the ESCO on making minor revisions to the PIR
that NYSERDA deems necessary. If NYSERDA finds the PIR to be complete but incorrect, NYSERDA
may make an adjustment to the savings and incentive payment estimates and will notify the ESCO of
those changes in writing.

The estimated energy savings in the approved PIR may fall short of the contracted energy savings (which
is based on the Detailed Energy Analysis) for one of the following two reasons:
         1. The ESCO has met all of its contractual obligations by properly installing all of the measures
            and equipment specified in the Detailed Energy Analysis; however, project performance does
            not initially appear to meet expectations (based on spot measurements, observed operating
            conditions, etc.), or
         2. The ESCO has not fulfilled its contractual obligations by failing to properly install all of the
            measures and equipment specified in the Detailed Energy Analysis.

In both cases, the installation payment will be reduced accordingly. However, in the first case, the
maximum potential incentive will remain unaffected. That is, the ESCO may still recover this initial
shortfall if the verified energy savings following the M&V period are determined to be greater than the
PIR estimated savings. In the second case, NYSERDA reserves the right to reduce the maximum
potential incentive based on the portion of work that was not completed in accordance with the approved
Detailed Energy Analysis. If the majority of work was not completed in accordance with the approved
Detailed Energy Analysis and the ESCO failed to provide timely notice of the change, NYSERDA will
reject the PIR entirely and withhold any incentive payment. If the PIR is rejected, the ESCO has sixty
calendar days from the date of the rejection to provide necessary information and resolve all outstanding
issues with NYSERDA.

NYSERDA’s PIR review process has two distinct phases: (a) reviewing the content of the PIR forms and
(b) conducting the post-installation inspection. These phases are described in the following sections.

         PIR Content Review
         Upon receiving a PIR, NYSERDA reviews the contents to ensure that the following requirements
         are met:
                  The project meets all program requirements.
                  The PIR contains complete and accurate information.
                  The equipment listed in the approved Detailed Energy Analysis has been installed or the
                  ESCO has explained any variance.
                  The estimates of energy savings are reasonable and the supporting equations,
                  assumptions and calculations are correct.
         Post-installation Site Inspection
         As mentioned earlier, the purpose of a post-installation inspection is to verify that the information
         supplied by the ESCO regarding a site’s installed equipment is accurate. If the ESCO has not


C/I Performance Program Procedures                        A.3-2                                        v 9.0
                                                                         Part A, Section 3: Project Installation Report



         provided adequate information to allow NYSERDA’s Technical Consultant to conduct an
         inspection, the inspection will be postponed until more complete information is provided.

         During the inspection, the Technical Consultant will verify that:
                 The equipment survey submitted with the PIR and the M&V plan are accurate and reflect
                 the actual equipment installed. Any differences from the proposed equipment in the
                 approved Detailed Energy Analysis are explained by the ESCO in the PIR.
                 Energy savings from any additional equipment (not specified in the approved Detailed
                 Energy Analysis) that has been installed are not included in the savings eligible for
                 incentives under the C/I Performance Program.

         Any errors that can be easily corrected during the inspection will be corrected; otherwise, the
         inspection will be postponed until the ESCO re-audits the equipment and schedules another
         inspection.


3.2 Parts of the PIR
The PIR includes updates to the SPC.1 and SPC.2 forms and the applicable equipment form(s) to reflect
the installed equipment. The forms are listed in Table A3.1. Instructions are provided in the following
section for adding to the certification on the SPC.1 form. A copy of each form is provided in Section 6.

                                                Table A3.1
                                              Parts of the PIR

                          Form Name                                  Form Code                 Required for Each
 Project Summary                                                  SPC.1                      Project
 Energy and Gas Efficiency Measure Information                    SPC.2 (B)                  Site/Building
 Lighting Survey (if applicable)                                  EF.L                        Building
 Motor and Variable-Speed Drive Survey (if applicable)            EF.M                        Building
 Chiller/Unitary HVAC Unit Replacement (if applicable)            EF.C                        Building
 Information for Other Measures (if applicable)                   EF.O                        Building


ESCO and Project Information: SPC.1
At the PIR stage, the ESCO must certify that the commissioning of the installed energy efficiency
measures has been completed. The following certification should be added to SPC.1:

“Additionally, I certify that the installation and commissioning of the energy efficiency measures
described above have been completed and all requirements of the approved M&V plan are being adhered
to.”




C/I Performance Program Procedures                        A.3-3                                            v 9.0
                                                                 Part A, Section 4: Measurement and Verification Reports




Section 4:                 Measurement and Verification (M&V) Reports
This section presents a review of the submittal procedures and schedules and a discussion of the content of
the reports.
4.1 Submitting the M&V Reports
M&V reports present information about the amount of energy savings that an installed project is delivering.
See Part B, Section 1.2 for duration of M&V period (MV1 and/or MV2)

ESCOs that retain responsibility for M&V must submit one or two M&V reports (MV1 and MV2) over the
course of a project depending on the approved plan. MV1 presents the energy savings achieved during the
initial M&V period, while MV2 presents energy savings achieved during the second M&V period. The data
contained in these reports should demonstrate clearly to NYSERDA whether or not an installed project is
actually achieving the amount of energy savings projected in the SPC Agreement. Upon approval of the
M&V report, an ESCO may submit an invoice for an incentive payment approved by NYSERDA. The
amount of this payment will be based on the actual amount of energy savings achieved by the project, as
demonstrated by the M&V report.

If NYSERDA is responsible for M&V, NYSERDA will prepare the M&V reports following the agreed to
M&V plan. NYSERDA will submit the M&V reports to the ESCO and the ESCO may then submit an
invoice based on the savings in the M&V report. The M&V requirements are the same whether M&V is the
responsibility of the ESCO or NYSERDA.

First M&V Report (MV1)
ESCOs must submit their first M&V report (MV1) within 60 days after the first performance period ends.
The required performance period will be defined in the approved M&V plan and may extend for up to 12
months.
Second M&V Report (MV2)
For projects where the approved M&V plan requires it, the second M&V report (MV2) is due 60 days after
the second performance period ends.

M&V Report Approval or Rejection
Where M&V is performed by the ESCO, NYSERDA will notify the ESCO in writing, within 45 days after
receiving an M&V report, whether or not the report has been approved. As part of the review process,
NYSERDA may request clarification or additional information and may choose to conduct an inspection of a
project site.

         M&V Report Content Review
         NYSERDA will review the contents of an M&V report to ensure the following criteria are met:
              All required forms are included and prepared in accordance with the instructions provided in
              this manual.
              The ESCO has adhered to the M&V plan in the approved Detailed Energy Analysis.
              All the required monitoring data is provided.
              The verified energy savings are properly calculated from the monitoring data.
              The installed equipment is operating as per the approved Detailed Energy Analysis.

C/I Performance Program Procedures                       A.4-1                                                      v9.0
                                                                   Part A, Section 4: Measurement and Verification Reports




M&V Inspection
Periodically, NYSERDA may choose to visit a project site to verify that the information provided in the
M&V report is accurate with regard to project equipment, site conditions, and monitoring configurations.
These inspections may occur at any time after project installation, both prior to and after the submittal of an
M&V report or preparation of an M&V report by NYSERDA. Should NYSERDA decide to inspect a site,
NYSERDA, or its Technical Consultant may or may not contact the ESCO to schedule the inspection. In
other words, an inspection may occur without advance notice given to the ESCO. If the M&V activities are
found to be different from those represented in either the M&V plan or the M&V report, NYSERDA may
refuse any further incentive payments. If NYSERDA deems an inspection necessary, an M&V report that is
under review will not be approved until the inspection has been completed.


4.2 Post Installation Monitoring Data
The post-installation monitoring data required by the approved M&V plan for the performance period the
M&V report covers must be described in an attachment to the applicable equipment form. This may include
utility data, weather data, light logger data, metering data, or other data depending on the M&V plan. The
raw data must be available for inspection by NYSERDA’s Technical Consultant at the time of a site
inspection or at other times upon request.


4.3 Parts of the M&V Reports
Each M&V report includes updated information based on measured data to two standard forms and to the
applicable equipment forms. Monitoring data along with energy savings calculations from the data should
also be included in the M&V report.

Table A4.1 lists the forms that constitute each M&V Report. A copy of each form is presented in Section 6.

                                                    Table A4.1
                                     Measurement and Verification Report Forms
                             Form Name                                   Form Code             Required for Each
 Project Summary                                                      SPC.1                   Project
 Energy Efficiency Measure Information                                SPC.2                   Site/Building
 Lighting Survey (if applicable)                                      EF.L                    Building
 Motor and Variable-Speed Drive Survey (if applicable)                EF.M                    Building
 Chiller/HVAC Unit Replacement (if applicable)                        EF.C                    Building
 Other Measure Information (if applicable)                            EF.O                    Building




C/I Performance Program Procedures                         A.4-2                                                      v9.0
                                                                                     Part A, Section 5: Invoices




Section 5:                 Invoices
This section presents the procedures involved in the preparation, submittal, and processing of the invoices
that ESCOs must submit to receive incentive payments.


5.1 Submitting the Invoice
Submitting an invoice is the ESCO’s method for requesting a payment due to the ESCO upon
NYSERDA’s approval of certain submittals. An ESCO will use its own invoice form to request payment
and will submit the following invoices to NYSERDA over the course of a project:
        Progress Payment Invoice: This invoice is optional. It is for up to 40% of the Total Contracted
        Project Incentive, not to exceed 50% of documented costs incurred for the purchase of equipment
        related to the approved measures. It is submitted following approval of the Detailed Energy
        Analysis.
        Installation Invoice: This invoice, based on energy savings estimates in the PIR, is for up to 60%
        of the Total Contracted Project Incentive, less any amount paid on a Progress Payment Invoice. It
        is submitted following NYSERDA’s approval of the PIR.
        1st Performance Invoice: Based on the approved M&V plan, there are either one or two
        performance invoices. If two M&V reports are required, the 1st Performance Invoice is for the
        balance of up to 80% of the Total Contracted Project Incentive. If a single M&V report is
        required, the 1st Performance Invoice is for the balance of up to 100% of the Total Contracted
        Project Incentive based on verified annual energy savings. It is submitted following NYSERDA’s
        approval of the ESCO’s first M&V Report (MV1).
        2nd Performance Invoice: For projects that require two M&V reports, this invoice is for up to the
        balance of the Total Contracted Project Incentive based on verified annual energy savings. It is
        submitted following NYSERDA’s approval of the second M&V Report (MV2).

The performance payments may be reduced if the installed measure fails to achieve the energy savings
estimated in the Detailed Energy Analysis.

Submittal and Notification Schedule
The Progress Payment Invoice may be submitted following approval of the Detailed Energy Analysis and
after equipment costs are incurred. The remaining invoices must be submitted within 30 days of
NYSERDA’s approval of the most recent submittal. (PIR for the installation invoice, MV1 for the first
performance invoice, MV2 for the second performance invoice.) NYSERDA will pay the ESCO within
30 days of receipt of the invoice.

NYSERDA will make no payments unless an invoice is submitted, regardless of whether the relevant
submittal has been reviewed and approved by NYSERDA. No invoices will be accepted more than 90
days after the end date of the SPC Agreement. For projects where critical program milestones are missed,
NYSERDA will withdraw the project, terminate the SPC Agreement, and accept no further invoices.




C/I Performance Program Procedures             A.5-1                                                      v9.0
                                                                                 Part A, Section 5: Invoices




Invoice Processing
NYSERDA will review each invoice to verify that:
     An SPC Agreement is in effect between NYSERDA and the ESCO.
     The most recent report (DEA, PIR, MV1, MV2) has been approved by NYSERDA.
     The invoice amount is based on the correct percentage of the Total Contracted Project Incentive.
     The invoice includes the signature of an authorized ESCO representative.

If the invoice meets all of the above requirements, NYSERDA will send a payment to the ESCO within
30 days of the invoice receipt date. The combined amount of all incentive payments may not exceed
100% of Total Contracted Project Incentive.




C/I Performance Program Procedures           A.5-2                                                     v9.0
      Section 6:               Standard Program Forms
      This section presents the standard program forms. The application forms are discussed in detail in
      Appendix C of the (PON). The remaining forms are discussed in sections 2-5 of Part A. Table A6.1
      provides general guidance on when the form is required. Refer to the appropriate section of Part A for
      additional information on the form.

      It is preferred that these forms be downloaded from NYSERDA’s website. Please refer to
      http://www.nyserda.org/Funding/default.asp and go to PON 1101 Enhanced Commercial/Industrial
      Performance Program. Several of the forms include calculated fields to simplify their completion.


                                                       Table A6.1
                                                Standard Program Forms
                                                                       Required at:
Form Code                         Form Name                   Appli-                      M&V         Comments
                                                                        DEA      PIR
                                                              cation                       1/2
SPC.1             Project Summary                               x         x        x        x     Form is updated at
                                                                                                  each project stage

SPC.2             Energy Efficiency Measure Information         x         x        x        x     Form is updated at
                                                                                                  each project stage


SPC.3             ESCO Short-Form Agreement                     x


SPC.4             Site Control Letter                           x


SPC.5             Customer Affidavit                                      x

EF.               Equipment Forms:                                                                Required forms are
      L              Lighting Survey                                      x        x        x     based on measures
                                                                                                  included in project
      M              Motor and Variable-Speed Drive Survey                x        x        x     and are updated at
      C              Chiller/Unitary HVAC Unit Replacement                x        x        x     each project stage
      O              Information for Other Measures                       x        x        x

SPC.6             Measurement and Verification Plan                       x
                      Form L.1 for Lighting Projects                      x

EAF               Environmental Assessment Form                           x                       For Unlisted
                                                                                                  Actions Only




      C/I Performance Program Procedures                       A.6-2                                           v9.0
                                                                                Part B, Section 1: M&V Overview




Section 1:                Measurement and Verification (M&V) Overview
This section provides general guidelines for preparing an M&V plan, choosing an M&V option and
method, defining and adjusting baselines, and collecting and submitting M&V data.

1.1     Preparing the M&V Plan
A building specific M&V plan is required for each energy efficiency measure (EEM). The one exception
to this rule is that a single M&V plan can be submitted for any number of similar buildings with identical
measures and energy use profiles. The M&V plan should be included in the Detailed Energy Analysis as
an attachment.

Form SPC.6 provides a template that may be used in preparing M&V plans. The items to be addressed
include the following:

1. Project Description: Identify the M&V method and section from the Procedures Manual that will be
   followed. Describe the energy efficiency measure(s) and how it will save energy. Include a
   description of any variables that affect energy consumption, such as outside temperature, time of day,
   etc.

2. Assumptions: State all substantive assumptions for the before and after retrofit energy consumption
   for the Project (the fan’s load varies with temperature, the estimated annual hours of operation are
   4,000, etc.).

3. M&V Activities: Describe all activities for measuring and verifying the energy consumption both
   before and after installation. This will include equipment surveys, baseline and post-installation
   metering. State how the baseline energy values will be adjusted by using post-installation
   parameters.

    Describe the commissioning activities that will occur upon installation to verify that the equipment
    has been installed properly, is functioning properly, and with proper maintenance and operation has
    the potential to generate the Contracted Energy Savings.

4. Calculations and Adjustments: State how the energy savings for the Project will be calculated,
   including any calculations for the baseline and post installation energy consumption. Show any and
   all relevant equations.

5. Metering Plan: Describe all metering activities including any sampling that will be employed to
   reduce the number of metering devices, the type of metering that will be employed (power, flow, etc.),
   the equipment that will be used, how the equipment will be calibrated, the specific equipment which
   will be metered and the length of time metering will be conducted.

6. Accuracy and Quality Assurance: Describe any accuracy requirements that will be met (such as
   sampling will achieve a confidence and precision of 90/20) and all activities to assure that metered
   data is accurate over the term of the Agreement.

7. Reports to be Prepared: Describe any reports that will be prepared and the format of all data that
   will be submitted to show energy savings on this Project.




Enhanced C/I Performance Program Procedures        B.1-1                                                   v10
                                                                                  Part B, Section 1: M&V Overview



8. Schedule: State the schedule for performing all metering, analysis and reporting on this Project.
   Show expected dates for submitting Project Installation Report (PIR) and M&V reports.

1.2 Measurement and Verification Options
The options and methods used in NYSERDA’s Tier III Enhanced C/I Performance Program are adapted
from those defined in the 2002 International Performance Measurement and Verifications Protocol
(IPMVP) and the 2000 Federal Energy Management Program (FEMP) M&V Guideline version 2.2. Four
basic options are outlined in the IPMVP:

        Option A – Partially Measured Retrofit Isolation: Savings are predicted using engineering or
        statistical methods that do not involve long-term measurement. This option will generally be
        accepted only where other methods are not cost effective and the savings are very predictable and
        reliable.

        Option B – Retrofit Isolation: Involves short-term or continuous metering during the
        performance period to determine energy consumption. Measurements are usually taken at the
        device or system level. NYSERDA prefers this option because of its higher accuracy level.

        Option C – Whole Facility: Involves (1) comparing monthly billing data recorded for the whole
        building or project site by a utility meter or sub-meters, before and after project installation, and
        (2) analyzing that data to account for any variables, such as weather or occupancy levels. Energy
        savings can be determined once the variables are recognized and adjusted to match pre-
        installation conditions.

        Option D – Calibrated Simulation: Involves using software to create a simulated model of a
        building based on blueprints and site surveys. The model is calibrated by comparing it with
        billing or end-use monitored data. Models of the project are typically constructed for (1) the
        existing base case, (2) a base case complying with minimum standards, and (3) a case with the
        energy measures installed.

The choice of an M&V option and method depends on the specific equipment being installed, the
complexity and interaction of the energy efficiency measures, and the value of the incentive payments.
All M&V plans require NYSERDA approval.

Limitations on M&V Costs
NYSERDA intends to enforce only cost-effective M&V requirements, incremental to those M&V
activities called for in an ESCO/customer contract. If the incremental cost to conduct Enhanced C/I
Performance Program-specific M&V activities is equal to or less that 15% of the total estimated incentive
payment as defined in the Project Application, the M&V cost is considered to be cost-effective. If, while
preparing an M&V plan, an ESCO estimates that its Tier III Enhanced C/I Performance Program M&V
costs will exceed 15% of the estimated incentive payment, the ESCO may contact NYSERDA to discuss
how best to reduce costs.

For the purpose of discussing cost-effectiveness, Enhanced C/I Performance Program M&V costs are
those costs directly associated with Enhanced C/I Performance Program M&V activities and reporting
and that are necessary to meet the M&V requirements set forth in the SPC Agreement. Costs associated
with energy audits, site surveys, program non-M&V submittals, and regular inspections are not
considered M&V costs since they would be required for any energy retrofit project. In addition, costs




Enhanced C/I Performance Program Procedures         B.1-2                                                    v10
                                                                           Part B, Section 1: M&V Overview



associated with M&V activities required for enforcing an ESCO/customer performance contract cannot be
counted towards the 15% cost-




Enhanced C/I Performance Program Procedures     B.1-2                                                 v10
                                                                                 Part B, Section 1: M&V Overview



effectiveness guideline. All claims that the costs of M&V activities are excessive must be verifiable
through documentation and are subject to NYSERDA’s review.

Duration of M&V Period
The standard M&V period is up to two years. However, for measures where the reliability and
persistence of savings is high, a single year of M&V may be appropriate. It is useful to distinguish
between efficiency measures and control measures in assessing the appropriate duration for M&V.

Efficiency measures involve the replacement of existing equipment with more efficient equipment on a
one-for-one basis where the basic function, control and operation remain the same. Levels of persistence
of savings are expected to be high based on demonstrated quality of installation and a single year of
M&V. Examples include:

        Lighting efficiency
        Motors
        Unitary air conditioning
        Chillers
        Process equipment

For more complex measures, and those with significant interaction or dependence on customer
interaction, the persistence of savings is less certain. These measures are often control related. Control
measures involve a change in the control of the end-use and the persistence of savings is less certain.
These projects require M&V to extend for up to two years. Examples include:

        Occupancy sensors/lighting control
        Variable-speed drives
        Energy management and control systems
        Economizers/free cooling cycles
        Process equipment control

To accommodate the different M&V requirements of these two categories of measures, NYSERDA has
developed an accelerated M&V approach where a single M&V period is required.

For projects that utilize the accelerated M&V approach, 60% of the total incentive will be paid after
installation of the efficiency measures. The final incentive payment of 40% of the total incentive will be
paid after the first year of savings verification. As with the standard M&V approach, the incentive
payment will be reduced if verified savings are lower than the contracted amount.

NYSERDA’s acceptance of an accelerated M&V approach will be determined on a case-by-case basis.
NYSERDA and its consultants will review details of each measure and general facility characteristics
with the participant prior to the determination of the approved M&V approach. Factors that will be
considered include:
            • Does the measure have a high level of anticipated persistence (certainty of savings)?
            • Are the building and efficiency measure usage stable and consistent from year to year?
            • Is there low interaction or dependency on other equipment at the facility?
            • Would a two-year M&V period be cost-effective relative to the incentive?


Enhanced C/I Performance Program Procedures         B.1-3                                                   v9.0
                                                                                Part B, Section 1: M&V Overview



             •   How well are the savings parameters supported within the detailed energy savings
                 analysis and other documentation?
             •   Is the proposed M&V procedure thorough?

Examples of anticipated M&V approaches are:


                             Measure                          M&V Approach
                  Lighting Efficiency              Accelerated
                  Lighting Control                 Standard
                  Motor Efficiency                 Accelerated
                  Unitary AC                       Accelerated, but M&V must
                                                   normalize savings using historical
                                                   weather data.
                  Chiller                          Accelerated, if all the chillers in the
                                                   plant are retrofit, otherwise the
                                                   standard M&V approach is required.
                  Process Equipment                Accelerated, if based on efficiency
                                                   improvements and if hours of use are
                                                   expected to be stable from year to
                                                   year.
                  Variable Speed Drives            Standard
                  Energy Management Systems        Standard
                  Economizers/Free Cooling:        Standard
                  Process Control                  Standard


Note that these are examples of anticipated levels of M&V. NYSERDA will make a final determination
of the required M&V approach based on the specifics of each Project Application, the proposed retrofits,
and the facility.

Choosing an M&V Option and Method
The choice of an M&V option and method depends on the specific equipment being installed, the
complexity and interaction of the energy efficiency measures, and the value of the incentive payments.
Each available method is discussed in detail in Part B, Sections 2 through 10, of this manual.
         Lighting Retrofit and Controls Measures
          The required M&V methods for lighting efficiency and lighting control retrofits are defined in
          Sections 2 and 3. These methods are applications of IPMVP M&V Option B.

          All projects with 70% or more of the direct energy savings resulting from lighting retrofit
          measures must use one of these methods for determining lighting energy savings. Other M&V
          methods may only be used when non-lighting, energy efficiency, equipment replacement savings
          (e.g. savings from HVAC equipment measures) represent more than 30% of the projected annual
          energy savings in the Detailed Energy Analysis.




Enhanced C/I Performance Program Procedures        B.1-5                                                   v9.0
                                                                                  Part B, Section 1: M&V Overview



          For lighting projects with 600,000 kWh of annual savings or less, the ESCO may use Option A
          of the IPMVP for the measurement and verification plan. The ESCO must provide engineering
          support of the operating hours for the project. Documented support might include but not limited
          to pre-monitoring results (preferred method), historical data, and/or engineering estimates.
          NYSERDA will review the engineering documentation for reasonableness of energy savings and
          determine if M&V (installation of light loggers in the post-condition) is necessary.
         Non-Lighting Retrofit and Controls Measures
          Option B methods, with pre- and post-installation end use metering are preferred for projects
          with only one, or perhaps a few measures, that are not strongly interrelated with respect to
          energy savings.

          Option D, calibrated computer simulation, is preferred for projects with multiple interrelated
          measures.

          If Option B or D M&V methods are not used, then Option C, regression analyses using utility
          billing data, can be specified in the project-specific M&V plan if it can be documented, to
          NYSERDA’s satisfaction, that the Option B and D methods are not cost-effective. Option C
          methods are the least preferred because of the following requirements: (a) using at least nine and
          preferably 12 months of post-installation data prior to calculating savings, (b) adjusting the
          analyses so as to have the baseline meet minimum energy standards, (c) allocating savings to
          different measure categories because pricing is differentiated by measure type, and (d) removing
          interactive savings from measures (e.g., cooling savings resulting from lighting projects) that are
          not counted for incentive payments under the Enhanced C/I Performance Program.

1.3     Determining Baseline Energy Consumption
The baseline energy consumption is determined using the efficiency of the existing equipment.

Some projects will require pre-installation monitoring M&V activities in order to establish the baseline
energy consumption model. Projects where the existing load is variable and dependent on such factors as
weather, occupancy, production levels, and so on, may require pre-installation metering to capture
consumption levels at typical operating conditions. Pre-installation data should be collected for a long
enough time to demonstrate a repeatable pattern or a variable that correlates to a known value.

It is within the sole discretion of NYSERDA to determine whether pre-installation M&V data is needed
as a condition of approving the Detailed Energy Analysis. Table A 2.1 in Part A, Section 2, presents pre-
installation metering scenarios for several types of energy efficiency measures.

Questions concerning the use of appropriate baseline conditions and standards should be directed to
NYSERDA.

Minimum Efficiency Standards
Where there is a minimum efficiency standard established by law, code, or standard practice, the
proposed project must meet or exceed the minimum efficiency standard or meet the required efficiency
levels as listed in the appendices of the Enhanced C/I Performance Program Manual. The ESCO may use
the actual condition for determining baseline equipment energy use. Savings will be based on the
difference between the efficiency of the new equipment and that of the baseline equipment.




Enhanced C/I Performance Program Procedures         B.1-5                                                    v9.0
                                                                                  Part B, Section 1: M&V Overview




         Motor and Cooling Equipment Retrofits
        Appendix B contains qualifying minimum energy efficiency standards for new motors and
        cooling equipment. For unitary air conditioners and heat pumps (air cooled, evaporatively cooled,
        or water cooled), packaged terminal air conditioners, room air conditioners, water-source and
        ground-water source heat pumps, and water and air-cooled water chilling packages the minimum
        qualifying efficiencies will be as defined in Appendix B. (For cooling efficiency measures under
        the Enhanced C/I Performance Program, the efficiency of the installed equipment must exceed
        the current ASHRAE 90.1 Standard by 2%.

        For motors that are permanently wired, the efficiencies will be as defined in Appendix B which
        follow National Electrical Manufacturer’s Association (NEMA) Efficiency Criteria.




1.4     Adjusting the Baseline
Information about baseline energy consumption that an ESCO submits in the Detailed Energy Analysis is
an estimate. This estimate is determined through energy audits and site surveys. It is common, however,
for this estimated baseline to change once actual metering data has been collected during pre-installation
M&V activities or when operating conditions change significantly after project installation. This change
is called baseline adjustment. ESCOs must submit as part of the M&V plan a description of how they
will adjust the baseline if metering data and post-installation operating conditions are different from those
used to determine the estimated baseline. The following are examples of why and how baselines are
adjusted:
    •   Changes in weather or occupancy data. Such changes are expected and predictable and the M&V
        plan should therefore include defined procedures for dealing with them. These procedures might
        include (1) re-calculating baseline consumption rates using performance-period weather or
        occupancy data, (2) re-calculating performance-period consumption rates using baseline weather
        or occupancy data, or (3) stipulating typical weather or occupancy conditions.
    •   Changes in hours of operation or tenant improvements. These changes may be predictable but,
        because of the numerous unknowns and possible “what-if” scenarios they involve, ESCOs do not
        need to provide detailed calculation methods covering each eventuality. Therefore, a more
        conceptual approach is appropriate. In general, an ESCO is responsible for delivering savings
        that would not have otherwise occurred without the ESCO’s intervention. Therefore, decreases in
        a facility’s operating hours or reductions in the amount of conditioned space will not be counted
        towards savings. In addition, retrofits or tenant improvements, not part of the project, but which a
        customer installs cannot be counted towards the savings. However, increases in operating hours,
        if utilizing the benefits of the ESCO’s project (e.g., lighting retrofit), can be counted in the
        savings calculation. ESCOs can include in their M&V plan (1) which party is responsible for
        decreases in energy savings associated with different categories of changes, (2) whether or not an
        ESCO can claim credit for savings associated with different categories of change, or (3) what
        categories of change are eligible for baseline adjustments.
    •   Changes in the actual function of a facility, such as a warehouse changing into office space.
        Reductions in energy consumption caused by building vacancies, decreased production, and other
        fundamental operational changes are not considered qualified measures under the program.




Enhanced C/I Performance Program Procedures         B.1-6                                                    v9.0
                                                                                 Part B, Section 1: M&V Overview




1.5     Collecting, Calibrating, and Submitting Data
Unless a project requires pre-installation monitoring to determine baseline information, M&V activities
begin as soon as the project is installed. For a project that requires post-installation commissioning
activities, the data collected and the energy savings it reveals during the initial period after project
installation is submitted with the Project Installation Report for NYSERDA’s review. M&V activities
may continue throughout the following two years, and the collected data are presented at the end of each
year in an annual M&V report (MV1 and MV2). Submittal of these reports is discussed in detail in
Section 4 of Part A.

Determining Metering Duration
The metering and monitoring period must be long enough to accurately represent the annual amount of
energy consumed by the affected equipment. The required duration depends on the measure. For instance,
if the project is a system that operates according to a well-defined schedule under a constant load, such as
a constant-speed exhaust fan motor, the period required for determining annual savings could be short
(i.e., 1-7 days). In this case, measured energy savings can be extrapolated to account for the entire year.
If, however, the equipment’s use varies across both day and season, as with air-conditioning equipment, a
much longer metering or monitoring period may be required to characterize the system. In this case,
long-term metering (3-6 months) is used to determine annual energy savings. A chiller retrofit may
require metering throughout the cooling season or perhaps for one month each season of the year.

If energy consumption varies by more than 10% from one month to the next, measurement duration
should be sufficient enough to document these variances. In addition, changes that will affect the baseline
adjustment by more than 10% should also be documented and explained. Any major energy consumption
variances due to seasonal activity increases or periodic fluctuations must also be monitored. If these
variances cannot be monitored for whatever reason, they must be included in the annual energy
consumption figure through a mathematical adjustment agreeable to NYSERDA.

Note that any auxiliary energy-consuming equipment must be metered or modeled if its energy
consumption changes as a result of project installation.

Calibrating Collection Devices
Sensors and meters used to collect M&V data should be calibrated to known standards (such as those of
the National Institute of Standards and Technology).

Submitting Metered Data
Metered data must be provided in formats usable by NYSERDA and not based on products or software
that are not publicly available. If special software products are required for the reading or analysis of
ESCO submittals, NYSERDA may reject the data or request the ESCO to provide the software.

Both “raw” and “compiled” data may be required by NYSERDA to support surveys, savings estimates,
and calculations. For billing analysis and computer simulation M&V methods, electronic and hard copy
input and output files must be provided. The ESCO must maintain electronic and paper copies of all
metered data throughout the term of the SPC Agreement.




Enhanced C/I Performance Program Procedures        B.1-7                                                    v9.0
                                                                                Part B, Section 1: M&V Overview




Communicating M&V Activities to NYSERDA
ESCOs must notify NYSERDA whenever they are about to (1) install and calibrate metering equipment
or (2) remove metering equipment. Enough lead-time must be given for NYSERDA to conduct a site
inspection before the equipment is installed or removed.

During the term of the SPC Agreement, an ESCO must notify NYSERDA in a timely manner of any
changes in occupancy, energy supply source, or other changes that significantly affect energy savings
(i.e., plus or minus 10%).

Verbal communication concerning changes or acceptance of ESCO M&V submittals is not binding on
NYSERDA. All submittals, changes to submittals, and approvals must be in writing and signed by an
authorized party, as indicated in the SPC Agreement. Any changes must be authorized by NYSERDA in
writing. The project work scope, proper measure selection, and successful project implementation are the
ESCO’s sole responsibility.

1.6     Resolving Disagreements over M&V
The following approach will be used to resolve any disagreements between NYSERDA and an ESCO
concerning the adequacy of an M&V report or plan or the adequacy and interpretation of M&V data or
analyses:
    1. If an M&V document is rejected by NYSERDA, NYSERDA will provide a written explanation
       of the rejection (referring to the contract, these guidelines, the M&V plan, or any other relevant
       sources) with suggestions for changes that would make the submittal acceptable.
    2. If the ESCO disagrees with the rejection, it must provide a written explanation (with references
       and any required additional documentation) within as short a time as possible to avoid missing
       any deadlines for re-submittal of rejected deliverables specified in the SPC Agreement.
    3. Upon receipt of the ESCO’s written explanation, ESCO and NYSERDA representatives will meet
       and attempt to resolve the disagreement.
    4. The ESCO must submit, within a time period specified in the SPC Agreement, a new submittal in
       a manner that complies with any resolution agreed to concerning the original submittal’s
       rejection.

If either party believes the disagreement cannot be resolved by the above approach, the parties will use
the dispute resolution mechanism defined in their SPC Agreement.




Enhanced C/I Performance Program Procedures        B.1-8                                                   v9.0
                                                    Part B, Section 2: Lighting M&V Plan: Monitoring Hours of Operation




Section 2:                Lighting M&V Plan: Monitoring Hours of
                          Operation
Method LTG-B-01
Monitoring Hours of Operation
Option B

2.1     Project Definition
The lighting projects covered by this standard M&V plan include:
   • All retrofits of existing fixtures, lamps, or ballasts with more energy-efficient fixtures, lamps, or
        ballasts.
   • Delamping with the use of reflectors.
   • Installation of lighting control devices (such as occupancy sensors, daylighting controls,
        automated lighting controllers, etc.) with or without changes to fixtures, lamps, or ballasts.

Under the Enhanced C/I Performance Program, all projects with 70% or more of the direct energy savings
resulting from lighting retrofit measures must follow either method LTG-B-01 or LTG-B-02 (presented
in Section 3), unless the annual kWh savings for the lighting project are less than 600,000. If the annual
savings are less than 600,000 kWh, the ESCO may use Option A of the IPMVP.

Project’s that follow Option A will be required to document the existing and proposed fixtures on the
EF.L form. The ESCO must provide engineering support of the estimated operating hours in the EF.L
form which may include pre-monitoring results, historical data and/or engineering estimations.

2.2     Overview of Verification Method
Surveys of existing (baseline) and new (post-installation) fixtures are required to be documented on Form
EF.L. Corrections or adjustments may be required for non-operating fixtures. Fixture wattages will be
determined from:
    • NYSERDA’s Table of Standard Fixture Wattages (see Appendix A),
    • Documentation on each fixture/ballast/lamp combination, or
    • Measurements of representative fixtures or lighting circuits.

Pre- and post-installation hours of operation will be determined by monitoring a statistically valid sample
of fixtures/rooms. The monitoring period must be reasonable and account for any seasonal variations.
Pre- and post-installation monitoring is required for lighting control measures. Only post-installation
monitoring is required for lighting efficiency measures.

In the event an existing fixture is not in the Table of Standard Fixture Wattages, the ESCO should either
(a) take wattage measurements for a representative sample of fixtures or (b) provide a documented source
of fixture wattages for approval. Fixture wattages in the Table were determined using the common ANSI
standard testing procedures for determining lighting-fixture power consumption.
The standard lighting M&V plan allows measurement of first year of savings. If required, the second
year savings measurement may follow the same M&V plan with adjustments as necessary to meet
accuracy requirements.



Enhanced C/I Performance Program Procedures        B.2-1                                                          v9.0
                                                     Part B, Section 2: Lighting M&V Plan: Monitoring Hours of Operation




2.3      Form L.1: Standard Lighting M&V Plan
Form L.1 presents the standard M&V plan for lighting efficiency and lighting control measures.
Instructions for each line of the form are presented in Section 2.4. Form L.1 follows the detailed
instructions.

Form L.1 may be used for lighting retrofit projects at single or multiple buildings. A multiple building
M&V plan is used only for multiple buildings with common measures and similar occupancy, usage, and
energy consumption patterns. If any of these variables are significantly different, an individual M&V
plan must be prepared for each building.

Using the multiple building plan approach will reduce the required total number of monitoring points. As
such, NYSERDA encourages the use of multiple building approaches to minimize M&V costs. As
buildings are aggregated together into a multiple building M&V plan it is imperative to carefully select
the usage groups. Spaces within a single usage group should have an expected range in hours of
operation of no more than ±15%. Failure to follow this guideline can result in incorrect calculation of
energy savings, and hence incentive amounts.

For example, consider a lighting retrofit at three buildings in an office complex. As the usage of each
building follows typical office-type patterns and the retrofits are common, a multiple building M&V plan
will be followed. In two of the buildings the lighting in private offices are expected to operate from 2,200
to 2,500 hours per year, with an average of 2,400 hours per year. In the third building the private office
lighting is expected to operate between 3,600 and 4,000 hours per year, with an average of 3,750. For this
example two private office-type usage groups should be designated; one as Office – bldg 1&2 and the
second as Office – bldg 3. The expected hours of use for the two usage groups entered in Form EF.L
would be 2,400 and 3,750, respectively. Determination of usage groups for the remaining spaces in the
buildings should follow a similar approach.


2.4      Form L.1 Instructions
Form L.1 has been developed to provide ESCOs a simplified and consistent method to complete
measurement and verification of lighting efficiency and lighting control retrofits. Form L.1 can be
downloaded from the NYSERDA web page for ease of editing and completion. As Form L.1 is
completed the ESCO can add additional lines to the tables as needed.

Section 1. Project Information

The project information must pertain to any and all buildings included in the M&V plan. A building is
considered a single structure where lighting measures will be installed. Buildings should be uniquely
designated. Do not enter a post office box when completing the building’s street address.

      Items 1-9. Enter the required information completely. If a multiple building plan is submitted
                 clearly delineate the name, address, and contact person for each building.

      Item 10.   Enter the types of building(s) from the following list:
                 Office, Retail, K-12 School, University, Hospital, Light Industrial, Heavy Industrial,
                 Manufacturing, or Other. If Other is chosen please describe.




Enhanced C/I Performance Program Procedures          B.2-2                                                         v9.0
                                                          Part B, Section 2: Lighting M&V Plan: Monitoring Hours of Operation



        Item 11.     Complete and attach Lighting Survey Form EF.L.
                     The pre-installation lighting equipment survey (Form EF.L) described in Part A, Section
                     2, must be completed before proceeding further with Form L.1. In Form EF.L, the
                     equipment to be changed is inventoried and the replacement equipment to be installed is
                     specified. Completing this form allows the ESCO to formulate the population counts and
                     estimated changes in wattage (kW saved) per usage group. This usage group information
                     is pertinent to calculating the sample sizes.

                     Wattage Table. Fixture wattages should be taken from the Table of Standard Fixture
                     Wattages. In the event a fixture is not in the Table, the ESCO should either (a) take
                     wattage measurements for a representative sample of fixtures or (b) provide a
                     documented source such as manufacturer’s specifications of the fixture wattages for
                     approval by NYSERDA. Never assign new fixture codes without approval.
                     The Table of Standard Fixture Wattages should be used for both the baseline and post-
                     installation fixtures.

                     Fixture Wattage Metering. If the ESCO must measure fixture wattages, it should adhere
                     to the following metering protocol:

                               The ESCO must take 15-minute, true RMS wattage measurements from at least
                               six identical fixtures of the type for which wattage data are required. 1 Readings
                               will be averaged to determine the per-fixture wattage values. For post-
                               installation fixtures, readings should be taken only after the new fixtures have
                               been operating for at least 100 hours. Meters used for this task must be
                               calibrated and have an accuracy of +/- 2% of reading or better.

                     Adjustments to the Baseline Demand for Non-Operating Fixtures. Prior to installing
                     new lighting fixtures, adjustments to the baseline demand may be required for non-
                     operating fixtures. In addition, after the lighting retrofit, adjustments to the baseline
                     demand may be required because of remodeling or changes in occupancy. Any
                     adjustments should be clearly identified in Section 4 of Form L.1.

                     The ESCO must identify all of the building’s existing non-operating fixtures that will be
                     retrofitted or replaced. Non-operating fixtures are those that are typically operating, but
                     that have broken lamps, ballasts, or switches intended for repair. A delamped fixture is
                     not a non-operating fixture, and thus delamped fixtures should have their own unique
                     wattage designations. Fixtures that have been disabled or delamped or that are broken
                     and not intended for repair should not be included in the calculation of baseline demand
                     or energy use. They should, however, be noted on Form EF.L to avoid confusion.

                     The baseline demand may include fixture wattages for up to 10% of the building’s non-
                     operating fixtures, by using values from the Table of Standard Fixture Wattages or from
                     fixture wattage measurements. The inclusion of non-operating fixtures is limited to
                     10% of the total fixture count per building. Therefore, if 10% or less of the existing
                     fixtures in the building are non-operating, the ESCO should include these fixtures and
                     their functioning wattages on Form EF.L. If more than 10% of the total number of
                     fixtures are non-operating, the baseline demand needs to be adjusted. In this case, the
                     number of fixtures beyond 10% should be included in Form EF.L with a baseline and
                     post-installation fixture wattage of zero.

1
    Actual values may vary by application



Enhanced C/I Performance Program Procedures               B.2-3                                                         v9.0
                                                        Part B, Section 2: Lighting M&V Plan: Monitoring Hours of Operation




     Item 12.    The ESCO should provide a brief description of the lighting retrofit. Fixture counts and
                 general retrofit types are required.

Section 2. Assumptions

     Item 13.    The ESCO is required to clearly present any assumptions that will affect the
                 determination of lighting usage and/or energy savings.

Section 3. M&V Activities

The text contained in Section 3 of Form L.1 presents the expected M&V activities that the ESCO will
complete. If aspects of items a. through e. on Form L.1 do not apply, the ESCO must clearly
strikethrough the non-applicable text and underline any new text added.

The ESCO must update the equipment survey in the Project Installation Report (PIR) to reflect the actual
equipment installed. Changes may occur during construction due to design considerations, accessibility
problems, and unavailability of planned fixtures. These changes will affect the project’s estimated energy
savings, and the installed fixtures must be verified by NYSERDA. These changes may require updating
the M&V plan.

Section 4. Calculations and Adjustments

The energy savings resulting from the lighting retrofit will be calculated using Form EF.L. Monitored
data will be used to determine pre- and post-installation hours of operation. For lighting efficiency
retrofits, post-installation monitored values hours of operation may be used as a proxy for pre-installation
monitored data. The energy savings are calculated as the difference between baseline and post-
installation energy usage.

The lighting energy savings are calculated within Form EF.L as:

                          kWh Savings = ∑u [ (kW/fixture x quantity x hours)baseline -
                                             (kW/fixture x quantity x hours)post ] u
        where:
                 kWh Savings                  = kilowatt-hour savings realized during post-installation time
                                                period
                 kW/fixturebaseline           = baseline lighting energy draw per fixture
                 kW/fixturepost               = post-installation lighting energy draw per fixture
                 quantitybaseline             = baseline number of affected fixtures, adjusted for non-
                                                operating units
                 quantitypost                 = post-installation number of affected fixtures
                 hoursbaseline                = baseline annual hours of operation for usage group u
                 hourspost                    = post-installation annual hours of operation for usage group u
                                              = annual operating hours

     Item 14. Any adjustments made to the baseline condition must be clearly noted. If qualifying
     fixture codes were used in place of existing fixture types then a listing of the adjustments must be
     attached to Form L.1.




Enhanced C/I Performance Program Procedures             B.2-4                                                         v9.0
                                                    Part B, Section 2: Lighting M&V Plan: Monitoring Hours of Operation



Section 5. Metering Plan

     Item 15.    The type of monitoring equipment and the length of the monitoring period should be
                 entered in Table 1. Additional lines may be added if necessary.

                 Monitoring is intended to provide an estimate of annual equipment operating hours. The
                 duration and timing of the run-time monitoring strongly influence the accuracy of
                 operating-hour estimates. Run-time monitoring should not be conducted during
                 significant holiday or vacation periods. If a holiday or vacation falls within the run-time
                 monitoring installation period, the monitoring should be extended for as many days as the
                 usage aberration.

                 The amount of time required to monitor the operating hours of the lighting fixtures in the
                 building (i.e., the monitoring period) is determined by the building’s type and operating
                 schedule. Buildings with variable schedules that change with the season or other factors
                 require more monitoring than buildings with fixtures that have a constant operating
                 schedule throughout the year. In all cases, the monitoring period should be long enough
                 to capture the operating schedule and any changes in the schedule. In most cases,
                 operating hours will need to be monitored for three weeks. For buildings with seasonal
                 schedules, such as schools and universities, longer monitoring periods are required. Find
                 the building type in Table B2-1 and the minimum monitoring period to determine the
                 lighting fixture’s hours of operation; then enter the monitoring period on Form L.1.
                 Contact NYSERDA if the facility type is not in Table B2-1.

                 If less-than-continuous monitoring is used, the lighting-operating hours during the
                 monitored period will be extrapolated to the full year.

                 Table B2-1: Monitoring Periods for Different Building Types

                                 Building Type                      Monitoring Period Required to
                                                                 Determine Lighting Operating Hours
                     Retail stores                                                   3 weeks
                     Office buildings                                                3 weeks
                     Schools                                                        3 weeks*
                     Hospitals                                                       3 weeks
                     Industries with constant production                             3 weeks
                     Industries with seasonal production                          4-8 weeks**

                     *If summer or out-of-session savings are greater than 20% of the total savings then
                     a minimum of two weeks of monitoring is required for both in-session and out-of-
                     session periods.
                     **Minimum of two weeks each season with a change in operating hours


     Item 16.    Information on the usage groups determined by the ESCO as being representative of the
                 spaces types in the lighting retrofit is entered in Table 2 of Form L.1.


Enhanced C/I Performance Program Procedures         B.2-5                                                         v9.0
                                                      Part B, Section 2: Lighting M&V Plan: Monitoring Hours of Operation



                 Separate rooms or areas in the building(s) with similar use and operating schedules
                 should be organized into usage groups. By applying usage groups, monitoring points can
                 be allocated across buildings, reducing the total number of monitoring points required for
                 a multiple-building project.

                 The rooms or occupancies included in the same usage group must have similar use and
                 operating hours. For instance, even though a building’s exterior lighting may have the
                 same annual hours of operation as the hallway lights, the two lighting systems have
                 different uses. In this case, a change in the operating hours of the exterior lights due to
                 installation of a photocell would not be relevant to the hallway light’s operating hours.
                 Therefore the exterior and hallway lighting would be organized into two separate usage
                 groups.

                 Refer to Table B2-2 to determine the suggested minimum number of usage groups for the
                 building type; then list each usage group on Table 2 of Form L.1. Six different usage
                 groups for a normal office building might include private offices, shared offices,
                 hallways, 24-hour lighting, rest rooms, and common areas. The usage groups entered in
                 Table 2 of Form L.1 should correspond with those listed on Form EF.L.

                 Operating-hour estimates for each usage group should be reasonable and based on
                 interviews with building personnel, observation of site conditions, and typical operating-
                 hour estimates for the space’s use. Operating-hour estimates will be reviewed by
                 NYSERDA, and unrealistic estimates will be grounds for rejecting the M&V Plan. The
                 ESCO would then be required to resubmit an updated M&V plan. ESCOs are
                 encouraged to provide supporting documentation for their operating-hour estimates.

                 Table B2-2: Suggested Minimum Number of Usage Groups for Building Types

                                      Building Type                 Suggested Minimum Number
                                                                          of Usage Groups
                          Office buildings                                             5
                          Elementary and middle schools                                5
                          High schools                                                 6
                          Hospitals                                                    10
                          Retail stores                                                 4
                          Light industries                                             5
                          Heavy industries                                              6
                          Manufacturing plants                                          6
                          Other                                                        10


     Item 17.    Determination of the sample size for determining monitoring points must be completed
                 using the NYSERDA Sample Size Calculator. The minimum number of monitoring
                 points is then entered in Table 3 of Form L.1. A print out of the sample size calculator



Enhanced C/I Performance Program Procedures           B.2-6                                                         v9.0
                                                   Part B, Section 2: Lighting M&V Plan: Monitoring Hours of Operation



                 must be attached to Form L.1 when submitted. The Sample-Size Calculator may be
                 downloaded from NYSERDA’s website.

                 You may ask NYSERDA to perform this step if you do not have a spreadsheet program
                 to run the calculation, or do not understand the calculation process. If you would like
                 NYSERDA to perform this step, initial the box included in item 16.

                 If the Sample-Size Calculator determines that more than 20 monitoring points are
                 required in a building, you may contact NYSERDA to discuss the possibility of reducing
                 the number of required monitoring points.

                 Table B2-3 presents a copy of the Sample-Size Calculator. Instructions for using the
                 calculator spreadsheet follow the table.




Enhanced C/I Performance Program Procedures        B.2-7                                                         v9.0
                                                                  Part B, Section 2: Lighting M&V Plan: Monitoring Hours of Operation




   Table B2-3: NYSERDA Sample-Size Calculator
     ESCO Name:
     Project Name:
     Monitoring Year:
     Completed By:
     Completion Date:
     Enter the number        1
     of buildings for
     this calculation

     Usage Group          Number Total         Projected  Expected Coefficient ES*cv     Sum                   nk/n        nk   Sample
                            of     Change       Average    Savings     of             ((ES*cv)2                                 Size per
                          Rooms/     in        Hours of     (ES)    Variation            / Nk)                                   Usage
                           Areas Wattage       Operation [kWh/year]   (cv)                                                       Group
                                  [kW] (1)        (2)        (3)
     Open Offices              50     58.0         4,500    261,000       0.5 130,500 3.4E+08                  0.33        4       4
     Hallway/Lobby               10     42.0         8,760     367,920          0.5   183,960 3.4E+09          0.47        6       6
     Exterior                     4      8.0         4,000      32,000          0.5    16,000 6.4E+07          0.04        0       1
     Restrooms                    8      3.5         4,000      14,000          0.5      7,000 6.1E+06         0.02        0       0
     Copier Room                  4      1.6         4,500       7,200          0.5      3,600 3.2E+06         0.01        0       0
     Kitchen                      1      0.4         2,500       1,000          0.5       500 2.5E+05          0.00        0       0
     Conference Rooms            12      7.2         1,500      10,800          0.5      5,400 2.4E+06         0.01        0       0
     Private Offices          150       30.0         3,200      96,000          0.5    48,000 1.5E+07          0.12        1       2
     Total                    239
                                                                                      Final, Total Sample Size (n)                13
     Notes:
     (1) For Lighting Controls Usage Groups enter a zero (0)
     (2) For Lighting Controls Usage Groups enter a zero (0)                                   Global Inputs
     (3) For Lighting Controls Usage Groups enter the expected energy saving                   Required Precision                  20%
                                                                                               Critical t-value, (tcrit)          1.645
     Other Factors                      Intermediate Calcs         x           x2
       Min. Monitored       2.5%        Sum(ES)k                 789,920                       Check
          Savings
        Number of          Adj t-       Sum(ES*cv)k              394,960 1.56E+11              Standard Error                    86,612
         Buildings         value
             1             1.645        Sum((ES*cv)2/N)k        3.82E+09                       %P*ES/tcrit                       96,039
                2          2.000        %P*Sum(ES)k/tcrit         96,039 9.22E+09              Ratio(should be < or =1)           0.902
                3          2.300                                                               Initial Sample Size (n)            11.96
                4          2.500
                5          2.650
                6          2.660



                       The following inputs are required for the NYSERDA Sample-Size Calculator:

                                 Number of Buildings: Enter the number of buildings included in the calculation
                                 (1 for single building calculations)
                                 Usage Group: Enter each usage group’s name on a row of the spreadsheet.
                                 Number of Rooms/Areas: Enter the total number of rooms/areas in each usage
                                 group (i.e., number of lines in EF.L).



Enhanced C/I Performance Program Procedures                      B.2-8                                                                     v9.0
                                                     Part B, Section 2: Lighting M&V Plan: Monitoring Hours of Operation




                          Total Change in Wattage: Enter the total change in wattage (e.g., the
                          instantaneous power reduction for each usage as shown in the example. The
                          instantaneous power reduction can be found by subtracting the post-installation
                          kW per Space from the pre-installation kW per Space for each usage group on
                          Form EF.L).
                          Projected Hours of Operation: Enter the estimated annual hours of operation
                          from Table 2 of Form L.1 as shown in the example. These are normally based on
                          interviews with building staff, the business hours of the building, and observance
                          of operating patterns at the site.
                          Coefficient of Variation: For the first year of monitoring, the coefficient of
                          variation (cv) of each usage group will be 0.5. This value is calculated for the
                          second year of monitoring based on the variability of the usage group’s operating
                          hours.

                 When using the sample size calculator for usage groups that include lighting controls, the
                 ESCO should enter the total energy savings estimated for the usage group in the
                 “Expected Savings” column and place a zero (0) in the “Total Change in Wattage” and
                 “Projected Average Hours of Operation” columns. The ESCO must monitor the same
                 sampled points (fixtures) to determine both pre- and post-installation hours for the
                 lighting controls measures.

                 The designation of usage groups must consider both pre- and post-installation operating
                 hours. Within a single usage group both the pre- and post-installation operation must be
                 similar. Therefore, spaces that are retrofit with new fixtures and lighting controls cannot
                 be in the same usage group as spaces that are retrofit with new fixtures only. Similarly, if
                 two types of spaces, both with the same pre-installation operating hours, are expected to
                 have different post-installation operating hours then they must be organized into two
                 different usage groups.

                 If the energy savings attributable to the lighting control measure are less than 10% of the
                 total savings for the project, the ESCO may call NYSERDA to discuss alternatives to
                 pre-installation operating hours monitoring. Note pre-installation monitoring for
                 operating hours is required only for usage groups retrofit with lighting controls; lighting
                 efficiency-retrofits do not require pre-installation monitoring. Post-installation
                 monitoring is required for all retrofit types.


     Item 18.    The fixtures to be monitored for hours of operation must now be selected by the ESCO
                 from the EF.L table submitted with this M&V Plan. The fixtures monitored in each usage
                 group should be randomly selected by the ESCO and submitted to NYSERDA for
                 review. These should be entered in Table 4 of Form L.1. The list should include
                 alternative fixtures in the event the fixtures selected for monitoring are inaccessible. The
                 ESCO should monitor more than the minimum number of points required to guard
                 against equipment failure, tampering, or theft.




Enhanced C/I Performance Program Procedures         B.2-9                                                          v9.0
                                                      Part B, Section 2: Lighting M&V Plan: Monitoring Hours of Operation




     Item 19.    Details on the equipment used to monitor the hours of operation should be entered in
                 Table 5 of Form L.1. This includes type of equipment, manufacturer’s name, model
                 number, and summary specifications. Monitoring equipment for recording operating
                 hours of lighting fixtures normally fall under one of the following categories:
                    • “Light Loggers,” devices that measure the operating hours of individual fixtures
                         through the use of photocells. Only light loggers that store information
                         translatable into actual load profiles of on and off times for fixtures (time-of-use-
                         loggers) are allowed. Current sensitive loggers are also available.
                    • Current or power measurements of lighting circuits that, when calibrated to the
                         total connected lighting load on the circuit, can be used to determine how many
                         fixtures were operating in terms of elapsed time or actual time-of-use load
                         profiles.
                    • Energy Management Systems can be used to record or trend usage of lighting
                         equipment and/or lighting energy consumption.

                 The monitoring equipment used must measure and record data indicating operating hours
                 in a downloadable electronic format. The monitoring device must also record status at
                 frequent intervals (i.e., at least every 15 minutes). “Raw” as well as “compiled”
                 electronic data from the monitoring devices must be submitted to NYSERDA upon
                 request for verification.

                 If the ESCO chooses to monitor electrical circuits to determine average operating hours,
                 it must use power-recording meters that record the circuit on/off status. Only when
                 lighting and non-lighting loads are separate may circuit monitoring be used.

Section 6. Accuracy and Quality Assurance

     Item 20.    The ESCO should describe any information or steps taken to assure accuracy and quality
                 of the M&V results.

                 The following is a list of common problems associated with lighting monitoring and
                 analysis of data. The ESCO should review these carefully to avoid erroneous results.

                      •   Undersampling: If the lighting measure population after installation or during
                          the program year is different than that anticipated in the M&V plan the ESCO
                          should re-calculate the required sample sizes.

                      •   Box time: Box time refers to the time a logger spends in a box as opposed to
                          monitoring a fixture. There are two kinds of "box time": before a logger starts
                          logging and after the logger is removed. The first type is the period between
                          logger initialization and logger installation. Once a logger is initialized, it records
                          “Light Off” until the sensor is properly installed. The second type is the period
                          between logger removal and data downloading. The logger records “Off” when it
                          is waiting for data to be downloaded. Data with significant box time decreases
                          the average on-time and increases the coefficient of variation. ESCOs should
                          identify box times for each logger file. Box time can be minimized by
                          initializing the loggers as they are installed and downloading data from the
                          loggers as they are being removed from the fixtures.



Enhanced C/I Performance Program Procedures          B.2-10                                                         v9.0
                                                     Part B, Section 2: Lighting M&V Plan: Monitoring Hours of Operation



                      •   Malfunctions: If a logger is damaged or malfunctions during the monitoring
                          period, it should be identified as malfunctioning and the data should be
                          disregarded. However, a logger with data significantly different from the average
                          cannot be eliminated as long as both the metered equipment and the logger are
                          functioning correctly.

                      •   Logger data error: Although highly unlikely, a portion of the logger data may
                          be erroneous due to computer error or transferring data files from one place to
                          another. If justifiable and approved by NYSERDA, these data may be removed
                          from the analysis.

                      •   Flickering: If the fixture being monitored flickers during the monitoring period,
                          any transition less than five minutes should be ignored. The presence of a large
                          number of cycles with very short duration is a good indication the fixture was
                          flickering.

                      •   Duplicate recording of hours of operation: If two or more loggers collect data
                          from the same circuit (on/off switch), the loggers will be treated as one sample
                          point. The exception is loggers that were monitoring in-session and out-of-
                          session periods for a school building, or a change in season for manufacturing
                          buildings.

                      •   Multiple monitoring periods: Some facilities, such as schools, may require
                          multiple monitoring periods for each sampled point. In such cases, the same
                          fixture must be monitored for all periods. Annual hours of operation for the
                          sampled point are then determined by weighting each monitoring period’s data
                          by the applicable percentage of the year represented.

     Item 21.    NYSERDA requires that all meters, monitoring equipment, and transducers provide
                 accurate readings. Reports should be submitted indicating equipment has been calibrated
                 per manufacturer procedures within the past twelve months, if appropriate.

Section 7. Reports to be Prepared

The text contained in Section 7 of Form L.1 presents a listing of the content to be included in the first-
and second-year M&V reports. If any aspects of these items do not apply, the ESCO must clearly
strikethrough the non-applicable text and underline any new text added.

Section 8. Schedule

     Item 22.    The expected schedule for milestones should be entered in Table 6 of Form L.1. The
                 ESCO should add any additional milestones as necessary to describe the future activities
                 associated with the lighting retrofit project covered by this M&V plan.




Enhanced C/I Performance Program Procedures         B.2-12                                                         v9.0
Form L.1:                                       LIGHTING MEASUREMENT AND VERIFICATION PLAN


Section 1. Project Information

   1.   ESCO Name:
   2.   Contact Person for M&V:
   3.   Street Address:
   4.   City, State, Zip
   5.   Phone:                                  Fax:                                E-mail:
   6.   Name of Building(s):
   7.   Building Address(es):
   8.   Building Contact Person:
   9.   Phone:                                  Fax:                                E-mail:
  10.   Building Type(s) [see Instructions]
  11.   Complete Lighting Survey (Form EF.L) and attach to end of Form L.1
  12.   Provide a brief description of the lighting retrofit




  This Lighting M&V Plan covers lighting efficiency and lighting control measures only. The approach used in the
  plan conforms to Option B of the International Performance Measurement and Verification Protocol (IPMVP).


Section 2. Assumptions
  13. State all substantive assumptions affecting the pre-installation and post-installation lighting usage, energy
      consumption and/or energy savings.




Section 3. M&V Activities
  This project contains lighting efficiency and/or lighting controls measures only. The following steps will be
  completed to measure and verify the energy savings attributable to the lighting retrofit.

        a.   A pre-installation lighting audit will be completed and submitted on Form EF.L with the Detailed Energy
             Analysis. The information on the form will document the existing (or baseline) lighting fixture type,
             location, count, usage group, number of non-operating fixtures, existing control type, and hours of
             operation. Form EF.L will also contain similar information for the anticipated post-installation condition.

        b.   The energy savings on Form EF.L will be based on hours of operation estimated from observation and
             from discussions with the building owner. Pre- and post-installation fixture wattage will be based on the
             NYSERDA Table of Standard Fixture Wattages, unless otherwise approved for by NYSERDA (attach a
             copy of the written authorization from NYSERDA).

        c.   A post-installation lighting verification will be completed and a revised Form EF.L will be submitted with
             the Project Installation Report.

        d.   For lighting control measures the pre-installation hours of operation will be determined from metering a
             representative sample of fixtures, as indicated using the NYSERDA Sample Size Calculator.

        e.   For lighting efficiency and lighting control measures post-installation hours of operation will be
             determined from metering a representative sample of fixtures, as indicated using the NYSERDA Sample
             Size Calculator.




                                                                                                      Form L.1 Page 1 of 4
Form L.1:                                       LIGHTING MEASUREMENT AND VERIFICATION PLAN


Section 4. Calculations and Adjustments
  Form EF.L will be used to calculate the energy savings resulting from the lighting efficiency and/or lighting control
  retrofit. When multiple points within a single usage group are monitored; a simple, unweighted average of all the
  monitored values will be used to calculate the hours of operation for the entire usage group. When more than one
  monitoring period is required for a usage group, the annual hours of operation for each monitoring point will be
  determined and then multiple points will be averaged together.

  14. State any adjustments to the baseline that was required when completing form EF.L. Note if qualifying fixture
      codes were used in place of existing fixture types attach a listing of the adjustments made.




Section 5. Metering Plan
  15. Enter relevant information into Table 1 to describe the monitoring approach to be used.

       Table 1. Monitoring Approach
                      Parameter                    Monitoring Equipment         Length of Monitoring Period
         Pre-Installation Hours of Operation
         (For Lighting Control Measures Only)
         Post-Installation Hours of Operation



  16. Enter the number of usage groups in Table 2. Refer to the Instructions for the recommended minimum
      number of usage groups. Add additional lines if necessary.

       Table 2. Usage Groups
                                                                      Estimated Annual Hours of Operation
          Usage Group ID     Space Types Included in Usage Group
                                                                      Pre-Installation    Post-Installation




                                                                                                   Form L.1 Page 2 of 4
Form L.1:                                     LIGHTING MEASUREMENT AND VERIFICATION PLAN


Section 5. Metering Plan - continued

  17. Use the NYSERDA Sample Size Calculator to determine the minimum number of monitoring sample points
      required. Enter the number of monitoring points in each usage group in Table 3. Attach a print out of the
      NYSERDA Sample Size Calculator report.

      If you would like NYSERDA to perform this step, initial here:

                Table 3. Monitoring Points in Each Usage Group
                   Usage Group ID      Minimum Number of        Proposed Number of         Measure
                                        Monitoring Points        Monitoring Points          Type*




                  *Use LE for Lighting Efficiency measure and LC for Lighting Control measure.
                   For Lighting Efficiency measures only post-installation monitoring is required.
                   For Lighting Control measures pre- and post-installation monitoring must be completed


  18. Specify in Table 4 the line items from Form EF.L that were randomly selected to be monitored.

                        Table 4. Line Items to be Monitored
                    Usage Group          Line Item        Parameter to be                 Measure
                        ID              Number(s)           Monitored                      Type*




                         *Use LE for Lighting Efficiency measure and LC for Lighting Control measure.
                          For Lighting Efficiency measures only post-installation monitoring is required.
                          For Lighting Control measures pre- and post-installation monitoring must be completed


  19. Specify in Table 5 the type of monitoring equipment to be used for the M&V of savings.

       Table 5. Monitoring Equipment Specifications
         Parameter to     Instrument        Manufacturer         Model                  Specifications
         be Monitored




                                                                                                         Form L.1 Page 3 of 4
Form L.1:                                           LIGHTING MEASUREMENT AND VERIFICATION PLAN


Section 6. Accuracy and Quality Assurance
  The NYSERDA Sample Size Calculator seeks to achieve a 90% confidence and 20% precision at the lighting
  project level. A calibration report for each of the transducers or meters used in the monitoring must accompany
  the M&V plan submittal, if appropriate.

  20. Describe any additional steps taken to ensure the accuracy of results and quality assurance.




  21. If appropriate, attach calibration reports for any transducers or meters used.


Section 7. Reports to be Prepared
  The M&V Report submitted to NYSERDA will contain the following:

      a. Form SPC.1 – ESCO and Project Information (updated as necessary)

      b. Form SPC.2 – Energy Efficiency Measure Information (updated as necessary)

      c. Form EF.L – Lighting Survey. Updated from the version submitted with the Project Installation Report to
         reflect actual hours of operation derived from monitored data. The revised savings shown in Form EF.L
         will be used in the calculation of financial incentive paid to the ESCO.

      d. An overview of the M&V activities completed, including:
          - tabular data summary presenting the data for each monitored point,
          - tabular data summary presenting the average hours of operation for each usage group, and
          - graphical presentation of weekday and weekend usage profiles for each monitored point.

      e. A marked-up floor plan (on 8-1/2 x 11 sheets) showing the location of each data logger.

      f. M&V activities shall continue for two years after project installation. After the first year, an M&V report will
         be submitted. During the second year, data loggers will be redeployed following the protocol contained in
         this M&V plan, unless otherwise instructed in writing by NYSERDA. A Second-Year M&V report, following
         the same format as the first-year report, will be submitted at the end of year two.

  Electronic files of raw and compiled monitored data will be maintained by the ESCO, and made available to
  NYSERDA upon request, throughout the duration of the SPC agreement.


Section 8. Schedule
  22. State the schedule for performing all metering, analysis, and reporting activities in Table 6.

       Table 6. Project Schedule
                        Milestone                    Responsible Party         Anticipated Schedule
         Pre-Installation M&V Activities (if any)
         Construction
         Project Installation Report Submittal
           st
         1 -Year M&V Activities
           st
         1 -Year M&V Report Submittal
           nd
         2 -Year M&V Activities
           nd
         2 -Year M&V Report Submittal




                                                                                                    Form L.1 Page 4 of 4
                                                      Part B, Section 3: Lighting M&V Plan: Metering of Lighting Circuits




Section 3:                Lighting M&V Plan: Metering of Lighting
                          Circuits

Method LTG-B-02
Metering of Lighting Circuits
Option B

3.1     Project Definition
This section addresses an alternate M&V method (LTG-B-02) for lighting measures where electric
consumption metering of lighting circuits is employed.

The lighting projects covered by this M&V method include:
   • All retrofits of existing fixtures, lamps, or ballasts with more energy-efficient fixtures, lamps, or
        ballasts.
   • Delamping with the use of reflectors.
   • Installation of lighting control devices (such as occupancy sensors, daylighting controls,
        automated lighting controllers, etc.) with or without changes to fixtures, lamps, or ballasts.

Under the SPC program, all projects with 70% or more of the direct energy savings resulting from
lighting retrofit measures must follow either method LTG-B-01 (presented in Section 2) or LTG-B-02,
unless the annual kWh savings for the lighting project are less than 600,000. If the annual savings are less
than 600,000 kWh, the ESCO may use Option A of the IPMVP.

Project’s that follow Option A will be required to document the existing and proposed fixtures on the
EF.L form. The ESCO must provide engineering support of the estimated operating hours in the EF.L
form which may include pre-monitoring results, historical data and/or engineering estimations

3.2     Overview of Verification Method LTG-B-02: Metering of Lighting
        Circuits
This M&V method involves measuring all, or a representative number of, lighting circuits to determine:

    •   Baseline and post-installation electrical energy consumption (kWh) to calculate energy savings,
    •   Current flow (amperage) or power draw (wattage) per unit of time. The post-installation metering
        period may be continuous or for a reasonable, limited time period during each contract year.

Depending on the specifics of the lighting retrofit and electric distribution system within the building(s) it
may be more cost-effective to employ this method rather than LTG-B-01 (where hours of operation at the
fixture level are determined). In method LTG-B-02, the quantity of metering points is typically fewer
than that in LTG-B-01. The retrofit type, inventory of available metering equipment, and accessibility to
fixtures and/or lighting panels will also affect the selection of M&V method.




Enhanced C/I Performance Program Procedures          B.3-1                                                          v9.0
                                                    Part B, Section 3: Lighting M&V Plan: Metering of Lighting Circuits



When an M&V plan is developed using this method the plan document must be organized into the
following sections:

    1. Project Description
    2. Assumptions
    3. M&V Activities
    4. Calculations and Adjustments
    5. Metering Plan
    6. Accuracy and Quality Assurance
    7. Reports to be Prepared
    8. Schedule


3.3     Calculating Demand and Energy Savings

Baseline Demand and Energy
The basis for calculating energy savings with this M&V method is circuit measurement. Equipment
inventories, however, are still required to confirm proper equipment installation, check against circuit
measurements, and document any changes required to define the baseline due to future retrofits or other
changes. In addition, the survey is used to quantify non-operating fixtures for any required adjustments to
the baseline and post-installation circuit measurements.


Pre-Installation Equipment Survey

In a pre-installation equipment survey, the equipment to be changed and the replacement equipment to be
installed for the buildings under the project are inventoried. Room location and corresponding building
floor plans should be included with the survey submittal. The surveys should include fixture, lamp and
ballast types, usage group designations, and counts of operating and non-operating fixtures. ESCOs
should use Form EF.L. Instructions for using Form EF.L with lighting and lighting control measures are
presented in Part B, Section 2.3.


Circuit Measurements

Circuit measurements determine either power draw or current flow (as a proxy for power draw) on one or
more circuits that have only (or primarily) lighting loads. Measurements are made before and after the
lighting retrofit is completed. By comparing circuit power before and after the retrofit, both energy and
demand savings can be determined. The following figure compares average load profiles for the energy
draw of a lighting circuit before and after a retrofit. As an example, such curves may be based on, four
weeks worth of weekday measurements averaged into a single daily baseline and post-installation profile.




Enhanced C/I Performance Program Procedures        B.3-2                                                          v9.0
                                                                                       Part B, Section 3: Lighting M&V Plan: Metering of Lighting Circuits




                                                              Baseline and Post-Installation Profiles
                                                                         Circuit Measurements For Average Weekday




                    kW From 277 Volt Lighting Circuit
                                                        100
                                                         90
                                                         80
                                                         70
                                                         60
                                                         50
                                                         40   Baseline
                                                         30
                                                         20                   Post-Install
                                                         10
                                                          0
                                                                                       Time of Day




The circuits must be carefully selected to ensure that:

    •   Only lighting loads affected by the retrofit are on the measurement circuit(s) (typically 277-Volt
        circuits are used); or
    •   If other loads are on the circuit(s), the non-lighting loads should be minimal, well-defined, and
        not vary either before or after the retrofit is complete.

If only a subset of affected lighting circuits is metered, the following issues must be addressed:

    •   Which lighting loads are on each lighting circuit;
    •   Which lighting circuits represent the entire project site, certain areas, or certain lighting usage
        groups; and
    •   Appropriate lighting-circuit sample sizes.

Whether all or just a sample of circuits is metered, it is important to specify how long the metering will be
conducted to determine a representative baseline and post-installation operating profile.

The ESCO should develop a sampling plan for monitoring circuits for each project site. The sampling
plan may concentrate measurements in areas with the greatest savings. However, circuits representing at
least 70% of the energy savings must be monitored.

Metering Equipment

The ESCO must specify the meter(s) to be used in the M&V plan. Circuit measurements are typically
done with either:

    •   Current transducers connected to one or more legs of a lighting circuit. Current data
        measurements are taken over an extended period of time. Voltage and power-factor data are
        taken as spot measurements and then assumed to be constant during the time period of the current
        metering; or,




Enhanced C/I Performance Program Procedures                                           B.3-3                                                          v9.0
                                                     Part B, Section 3: Lighting M&V Plan: Metering of Lighting Circuits



    •   True RMS current and potential (voltage) transducers are used to measure power continuously
        during the period. This type of metering can be more accurate than current measurement, but it is
        also more expensive.

True RMS readings are preferred. The ESCO should use a data logger that records status at frequent
intervals (i.e., at least every 15 minutes). “Raw” as well as “compiled” data from the meter(s) must be
made available to NYSERDA upon request. The ESCO must maintain this data throughout the term of
the SPC Agreement.

Metering Period

Metering is intended to provide an estimate of demand profiles and annual energy use. Duration and
timing of circuit metering installation strongly influences the accuracy of energy-savings estimates.
Metering should not be installed during significant holiday or vacation periods. If a holiday or vacation
falls within the metering installation period, the metering should be extended for as many days as the
usage aberration.

If less-than-continuous monitoring is used, the lighting operating hours during the monitored period will
be extrapolated to the full year. Please refer to Table 2-1 in Part B, Section 2 to determine the minimum
monitoring period for different project types.

The ESCO-supplied M&V plan must detail the agreed-to sample and metering plans.


Non-Operating Fixtures

Before installing new lighting fixtures, adjustments to the baseline demand may be required for non-
operating fixtures. In addition, after the lighting controls installation, adjustments to baseline demand
may be required because of remodeling or changes in occupancy. Methods for making adjustments
should be specified in the M&V plan.

The ESCO must identify all non-operating fixtures (i.e., those that typically operate, but have broken
lamps, ballasts, or switches intended for repair). See Part B, Section 2.4 for a discussion of how to
account for and adjust for non-operating fixtures.


Post-Installation Demand
Post-installation conditions should be identified in the post-installation equipment survey, which is
typically prepared by the ESCO and verified by NYSERDA. The circuit measurements will then be used
to define post-installation demand and energy use, as discussed above.


3.4 Equations for Calculating Energy Savings
For the installation year, the ESCO will provide energy-savings estimates in the pre- and post-installation
reports. These estimates must be realistic and documented.

The ESCO will extrapolate results from the metering data to determine demand and energy savings for
payments.



Enhanced C/I Performance Program Procedures         B.3-4                                                          v9.0
                                                         Part B, Section 3: Lighting M&V Plan: Metering of Lighting Circuits



To determine estimates of energy savings for lighting-controls projects, the following equation should be
used:
                        kWh Savingst = (average kWhbaseline ) t - (average kWhpost) t

        where:

                 kWh Savings                  = kilowatt-hour savings realized during time period t, where t
                                                can be whole year, week, weekdays, weekends, or particular
                                                hour of day
                 Average kWhbaseline          = baseline lighting energy use averaged for all time period t
                                                measurements
                 Average kWhpost              = post-installation lighting energy use averaged for all time
                                                period t measurements




Enhanced C/I Performance Program Procedures            B.3-5                                                           v9.0
                                                                              Part B, Section 4: Motors M&V Plan




Section 4:                Constant-Load Motors M&V Plan
(Option B)
Method CLM-B-01

4.1     Project Definition
Constant-load motor efficiency projects involve replacing existing (baseline) motors with high-efficiency
motors that serve constant-load systems. These EEMs are called constant-load motor efficiency projects
because the power draw of the motors does not vary over time. These projects reduce demand and energy
use.

This M&V method is appropriate only for projects where:
    • Constant-load motors are replaced with similar capacity constant-load motors, or
    • Baseline motors are replaced with smaller high-efficiency constant-load motors when the original
      motor was oversized for the load.

If motor changes are accompanied by changes in operating schedule or flow rate, or installation of
variable-speed controls, other M&V methods must be used.

4.2     Overview of Verification Method
Under Option B, Method CLM-B-01 is the only specified technique for verifying constant-load motor
efficiency projects. Surveys are required to document existing (baseline) and new (post-installation)
motors. The surveys should include for each motor:
     • Nameplate data.
     • Operating schedule.
     • Spot and short-term metering data.
     • Description of motor application.
     • Location.

Metering is required on at least a sample of motors to determine average power draw for baseline and new
motors. Demand savings are based on the average kW measured before, minus the average kW measured
after, the new motors are installed. Allowances may be made for differences in motor slip between
existing and new motors.

Operating hours for the baseline or post-installation periods will be determined with short- or long-term
metering of at least a sample of motors. In addition, metering may be used to (a) confirm constant
loading and (b) determine average motor power draw (if normalization is required).

4.3     Calculation of Demand and Energy Savings

Baseline Demand
Baseline conditions identified in the pre-installation equipment survey are defined by the ESCO.
NYSERDA will verify the baseline.



Enhanced C/I Performance Program Procedures    B.4-1                                                        v10
                                                                             Part B, Section 4: Motors M&V Plan



Steps involved in establishing the baseline demand are:
    • Pre-installation equipment survey,
    • Spot-metering of existing motors, and

The equipment survey is described in this sub-section. Spot metering measures instantaneous motor
power draw.

In the pre-installation equipment survey, the equipment to be changed and the replacement equipment to
be installed must be inventoried. Motor location and corresponding building floor plans should be
included with the survey. The surveys should include, in a set format:
     • Location.
     • Description of motor application.
     • Constant or variable loading.
     • Nameplate data.
     • Spot metering data (3-phase amps, volts, PF, kVA, kW and motor speed in rpm).
     • Operating schedule.


A motor survey form (EF.M) is included in Part A, Section 6, of the Enhanced C/I Performance Program
Procedures Manual.



Non-Operating Motors. Prior to installing new motors, adjustments to the baseline demand may be
required for non-operating motors that normally operate or are intended to operate. In addition, after
EEM installation, adjustments to baseline demand may be required due to factors such as remodeling or
occupancy changes. Methods for making adjustments should be specified in the M&V plan.

Baseline Operating Hours
Baseline motor operating hours can either be:
   Determined prior to EEM installation if they are assumed to be different from post-installation
   operating hours, or
   Determined after EEM installation if they are assumed to be the same as post-installation operating
   hours.

Short- or long-term metering must be used to determine operating hours.

Post-Installation Demand
New equipment must be defined and surveyed by the ESCO and verified by NYSERDA. After high-
efficiency motors are installed:
     All the motors must be surveyed using the same reporting format as that for the baseline motors, and
     All motors must be spot-metered using the same meter and procedures as those used for the baseline
     motors.

Either the existing motors or their replacement high-efficiency motors must also be short-term-metered to
verify that the motor load is constant. Data need only be processed to normalize the spot-metering results
(as discussed in Section 4.5).


Enhanced C/I Performance Program Procedures    B.4-2                                                       v10
                                                                                             Part B, Section 4: Motors M&V Plan



Post-Installation Operating Hours
Post-installation operating hours may be assumed to be either the same as or different from pre-
installation operating hours. If they are assumed to be the same before and after the new motors are
installed, either pre- or post-installation monitoring may be used. If they are assumed to be different,
however, pre- and post-installation monitoring must be done. Typically, where hours are the same before
and after installation, post-installation monitoring will be used because motor installation can proceed
without delay caused by monitoring.

Operating-hour monitoring is discussed in Section 4.6.

4.4        Changes in Load Factor and Slip
Standard-efficiency and high-efficiency motors may rotate at different rates when serving the same load.
Such differences in rotational speed, characterized as "slip," may lead to smaller savings than expected.
Considerable slip related savings impacts may be reflected in the load-factor difference between the
existing motor and a new high-efficiency motor. Large differences in load factor between the existing
motor and the replacement high-efficiency motor may also be symptomatic of other problems. The
ESCO must identify motors for which the difference in load factor between the high-efficiency and the
baseline motor is greater than 10%. If the load factor is outside that range, the ESCO must provide an
explanation, with supporting calculations and documentation.

Acceptable reasons for changes in load factor greater than 10% may include:
    The high-efficiency motor being smaller than the original baseline motor. The ESCO must document
    that the difference in load factor is due to differences in motor size.
    The high-efficiency motor exhibits less slip and is operating at a higher speed than the baseline motor.
    The ESCO must document that the change in slip accounts for the difference in load factor. (On
    centrifugal loads, changes in RPM are governed by the “cube-law.”) The ESCO is encouraged to
    account for slip when selecting motors and preparing initial savings calculations or modifying motor-
    drive systems where appropriate.

4.5        Spot- and Short-Term Metering
For each baseline and new motor, spot-metering (i.e., instantaneous measurements) of volts, amperes,
kVA, PF, and kW should be recorded. Such measurements should be made using a true RMS meter with
an accuracy at or approaching ± 2% of reading. 8 Other factors that may be measured include motor speed
in rpm and the working fluid temperature if the motor serves a fan or pump.

Short-Term Metering
The ESCO must conduct short-term monitoring to:
   Verify that motor loads are constant (baseline only).
   Normalize spot-metering kW measurement results.
   Determine operating hours, as discussed in Section 4.6.


8Gordon,  et al. (Gordon, F.M., et al. Impacts of Performance Factors on Savings From Motors Replacement and New Motor
Programs. ACEEE 1994 Summer Study on Energy Efficiency in Buildings. American Council for an Energy-Efficient
Economy. 1994) reported that, on average for all qualifying motors, the change in efficiency between a standard-efficiency and a
high-efficiency motor, including an adjustment for slip, was 4.4%. As such, the resolution of meters used to measure
instantaneous kW should be much smaller than 4.0%.


Enhanced C/I Performance Program Procedures             B.4-3                                                               v10
                                                                                Part B, Section 4: Motors M&V Plan



The ESCO must conduct short-term metering on all new motors or a randomly selected sample of motors
with the same application or operating hours. Short-term metering should be conducted for a sufficient
period to capture the full range of motor operation and all variances in the load it serves. Short-term
metering should be summarized in a form. Sample selection and metering results for the entire sample
should be summarized in a table.

ESCOs may conduct short-term metering using current transducers and data loggers. The equipment for
short-term metering need only be accurate within ±5% of full scale, but must be calibrated against the
spot-metering equipment specified above by taking spot-metering readings at the same time. Thus, short-
term metering equipment must be installed at the same time spot-metering readings are being taken. Data
loggers will record readings at intervals of 15 minutes or less.

Verify Constant Load. The ESCO will verify that motor loads are constant by comparing the short-term
metering period average amps to all hourly non-zero values. An application will be verified as constant if
90% of all non-zero observations are within ±10% of the average amps determined above. The ESCO will
record the number of non-zero observations, the number of observations within ±10% of the average
amperes determined above, and the percent of observations within ±10% of the average amperes. If any
application cannot be verified as constant load, the ESCO will examine the collected data to determine
whether the load for the motor varies on a systematic and predictable basis, whether the constant load was
changed during the test period, or whether there is some system anomaly.

If the load varies on a systematic basis, the motor will be treated as a variable load. If the load was
changed during the short-term monitoring period, the spot-metering and short-term monitoring testing
will be repeated. If a system anomaly is discovered, the ESCO will investigate the anomaly to determine
whether there is a logical explanation. Once the anomaly is understood, the ESCO must either treat the
load as a variable load or re-test as a constant load.

Normalize Spot-Metering kW Measurement Results. To determine the average power draw of the
replaced or new motors, the spot kW measurements must be adjusted and normalized using short-term
measurement data with the following equation:

             Normalizing factor =             (average amps measured during short-term metering) ÷
                                              (instantaneous amps measured with spot-metering)


For each motor replaced, the ESCO must then calculate average or normalized kW, using the following
equation:
           Normalized kW = instantaneous kW x normalizing factor

For motors not subject to short-term metering, the normalizing factor is equivalent to the average
normalizing factor developed for the motor sample of the same application.

4.6     Monitoring to Determine Operating Hours
Operating hours may be the same before and after the new motors are installed, or they may be different.
Operating hours for the baseline or post-installation periods must be determined with short- or long-term
monitoring on at least a sample of motors.

The ESCO will conduct short-term monitoring for a time period to be specified in the M&V plan. The
time period must be proposed by the ESCO and approved or modified by NYSERDA.



Enhanced C/I Performance Program Procedures        B.4-4                                                      v10
                                                                               Part B, Section 4: Motors M&V Plan



Monitoring is intended to estimate annual equipment operating hours. Duration and timing of run-time
monitoring installation strongly influence the accuracy of operating-hour estimates. Run-time monitoring
should not be installed during significant holiday or vacation periods. If a holiday or vacation falls within
the run-time monitoring installation period, the monitoring should be extended for as many days as the
usage aberration.

If less-than-continuous monitoring is used, the monitored period’s operating hours shall be extrapolated
to the full year. A minimum monitoring period of three weeks is recommended for almost all usage-area
groups. For situations in which motor operating hours might vary seasonally or according to a scheduled
activity, such as in HVAC systems, it may be necessary to determine operating hours during different
times of the year.

The M&V plan must specify the period and schedule for monitoring.

4.7     Selecting Motors for Metering

Spot-Metering
The ESCO must spot-meter all of the motors. However, the short- or long-term metering for determining
(a) that the load is constant, (b) normalizing factors, and (c) monitoring operating hours may only need to
be done for a sample of motors.

Sampling
ESCOs should begin their sampling analyses by classifying existing motors by applications with identical
operating characteristics or expected operating hours. Examples of applications include: HVAC
constant-volume supply fans, cooling water pumps, condenser water pumps, HVAC constant-volume
return fans, and exhaust fans. Each application must be defined and supported with schematics of
ductwork or piping, as well as control sequences to demonstrate that the application qualifies as a
constant load.

Sampling Accuracy
For each application or usage group in the ESCO's program, there must be at least one motor that is short-
term metered.

Following the guidelines for lighting projects:

    Sampling of a single project site’s motor operating hours must meet a precision and confidence level
    of 90/20 for the site as a whole.
    Sampling in usage groups across multiple facilities must meet a precision and confidence level of
    80/20 for each usage group. Sampling across multiple facilities can only be done if the facilities have
    the same usage groups, occupancy and use, and energy use patterns.




Enhanced C/I Performance Program Procedures       B.4-5                                                      v10
                                                                                    Part B, Section 4: Motors M&V Plan




Equations for Calculating Energy Savings
Normalized kW may be calculated using the following equation:

     kWnormalized = instantaneous kW (from spot metering) x normalizing factor

The kWh savings may be calculated using the following equations:


A) If operating hours are the same before and after measure installation:

          kWh savings (per each period) = [period hours] X [kW baseline, normalized - kW post, normalized]


B) If operating hours are different before and after measure installation:

     kWh savings (per each period) =

     (baseline period hours x kWbaseline, normalized) - (post-installation period hours x kWpost, normalized)

Where:
          kWbaseline, normalized =        the normalized kilowatts for the baseline motors
          kWpost, normalized =            the normalized kilowatts for the high-efficiency motors

These values may be corrected for changes in motor speed (slip) per Section 4.4.




Enhanced C/I Performance Program Procedures        B.4-6                                                          v10
                                                                               Part B, Section 5: VSD M&V Plan




Section 5:                Variable-Speed Drive Retrofit M&V Plan
(Option B)
Method VSD-B-01
Continuous Post-Installation Metering

5.1     Project Definition
Variable-speed drive (VSD) efficiency projects involve replacing existing (baseline) motor controllers
VSD motor controllers. These projects reduce demand and energy use, but not necessarily utility demand
charges. VSD retrofits often also include installing new, high-efficiency motors. Typical VSD
applications include HVAC fans and boiler and chiller circulating pumps.

This M&V method is only appropriate for VSD projects where:

    For baseline motors:
       Energy use is constant (i.e., constant-load motors), or
       Electrical demand as a function of operating scenarios (e.g., damper position for baseline or motor
       speed for post-installation) can be defined with spot measurements of motor power draw, and
       Operating hours as a function of different motor operating scenarios can be defined.

    For post-installation motors:
       Electrical energy use can be measured and data collected (on operating scenarios and operating
       hours) to determine what baseline energy use would have been.

5.2     Overview of Verification Method
Under Option B, Method VSD-B-01 is the only specified technique for verifying VSD projects.
Surveys are required to document existing (baseline) and new (post-installation) motors and motor
controls (e.g., motor starters, inlet vane dampers, and VSDs). The surveys should include for each motor
and control device:
       Nameplate data.
       Operating schedule.
       Spot metering data.
       Description of motor application.
       Location.

Commissioning of VSD operation is expected.

Metering is required on at least a sample of the existing motors to determine baseline motor power draw.
Constant-load motors may require only short-term metering to confirm constant-loading. For baseline
motors with variable loading, the short-term metering is done while the motors’ applicable systems are
modulated over their normal operating range. For variable-load baseline motors, an average kW demand
or a kW demand profile as a function of appropriate independent variables (e.g., outside air temperature)
may be used for calculating baseline energy use. If baseline independent-variable values are required for
calculating the baseline, they will be monitored during the post-installation period.


Enhanced C/I Performance Program Procedures    B.5-1                                                      v10
                                                                               Part B, Section 5: VSD M&V Plan




Post-installation metering is required on at least a sample of motors with VSDs.

Baseline demand and energy use are based on:
   • Motor operating hours measured before or after the VSDs are installed, and
   • A constant motor kW value determined from pre-installation metering, or
   • Motor kW calculated as a function of independent variables monitored during the post-
        installation period.

Post-installation demand and energy use are based on:
    • Motor operating hours measured after the VSDs are installed, and
    • Motor kW, which is continuously metered or metered at regular intervals during the term of the
        agreement, or
    • Motor kW calculated as a function of independent variables monitored during the post-
        installation period.

5.3     Calculating Demand and Energy Savings

Baseline Demand and Energy Savings
The baseline conditions identified in the pre-installation equipment survey must be defined by the ESCO,
which must give NYSERDA the opportunity to verify the baseline.

Baseline motor demand will either be:
   • A constant kW value,
   • A value that varies per a set operating schedule (e.g., 4,380 hours per year at 40 kW and 4,380
        hours per year at 20 kW), or
   • A value that varies as a function of some independent variables (e.g., outdoor air temperature or
        system pressure for a variable air-volume system).

Steps involved in establishing the baseline demand are:
    • Pre-installation equipment survey, and
    • Spot- or short-term metering of existing motors.

A motor and VSD survey form (EF.M) is included in Part A, Section 6. In the pre-installation equipment
survey, the equipment to be changed and the replacement equipment to be installed are inventoried.
Motor location and corresponding project site floor plans should be included with the survey. The
surveys must include, in a set format:
    • Location.
    • Description of motor application.
    • Load served.
    • Nameplate data.
    • Spot metering data.
    • Operating schedule.




Enhanced C/I Performance Program Procedures    B.5-2                                                      v10
                                                                               Part B, Section 5: VSD M&V Plan



For each motor to be replaced, spot-metered 3-phase amps, volts, PF, kVA, kW, and motor-speed data
should be recorded in a standard form. Such measurements should be made using a true RMS meter with
an accuracy at or approaching ± 2% of reading. Other factors that may be measured include motor speed
in rpm and the working fluid temperature if the motor serves a fan or pump.

The ESCO will conduct short-term monitoring for constant-load baseline motors to:
   • Verify that motor loads are constant, and
   • Normalize spot-metering kW measurement results.

The ESCO will conduct short-term monitoring for variable-load, baseline motors to:
   • Develop a schedule of motor kW (e.g., 4,380 hours per year at 40 kW and 4,380 hours per year at
      20 kW) or
   • Define the relationship between motor kW and the appropriate independent variables (e.g.,
      outdoor air temperature or system pressure for a variable air-volume system).

The ESCO must conduct short-term metering on all baseline and post-installation VSD-controlled motors
or on a randomly selected sample of motors with the same application or operating hours. Short-term
metering should be conducted and analyzed in the manner discussed in Method CLM-B-01 for constant-
load motor applications. See Section 4 for requirements on verifying constant-load motor loads.

Baseline Operating Hours
Baseline motor operating hours can either be:
   • Determined prior to EEM installation, if the hours are assumed to be different from post-
        installation operating hours; or
   • Determined after EEM installation if the hours are assumed to be the same as post-installation
        operating hours.

Short- or long-term metering will be used to determine operating hours as discussed in Section 5.5.

Adjustments to Baseline Demand and Energy Savings
Prior to installing new motors, adjustments to the baseline demand may be required for non-operating
motors that are normally operating or intended to operate. In addition, after EEM installation,
adjustments to baseline demand may be required because of factors such as remodeling or changes in
occupancy. Methods for making adjustments should be specified in the M&V plan.

Non-Operating Motors. With respect to non-operating equipment, the ESCO will also identify any non-
operating motors. Non-operating equipment would be operating but for broken parts and is intended for
repair.

Post-Installation Demand and Energy Savings
The new equipment will be defined and surveyed by the ESCO and verified by NYSERDA. After VSDs
are installed, short-term metering will be conducted for all motors using the same meter and procedures
used for the baseline motors, with the results entered in a standard survey form. See the discussion of
Baseline Demand and Energy Savings earlier in this section.

When recording the motor kW, the motor speed is also recorded. Direct motor rpm measurements may
be made or readings may be taken from the VSD control panel.



Enhanced C/I Performance Program Procedures   B.5-3                                                       v10
                                                                                Part B, Section 5: VSD M&V Plan




The power draw of the motors with VSDs will vary depending on the speed of the motor being controlled.
In addition, other factors such as downstream pressure controls will affect the power draw. With this
M&V method, it is assumed that:
    •   Motor power draw is continuously metered or metered for set intervals during the term of the
        SPC Agreement; or
    •   Motor power draw can be defined as a function of appropriate independent variables, and the
        independent variables are continuously monitored or monitored for set intervals during the
        Agreement’s term;
    •   If less-than-continuous monitoring is used, the monitored data during the monitoring period will
        be extrapolated to the full year. A minimum monitoring period of one month is recommended for
        almost all usage groups. For situations in which motor operating hours might vary seasonally or
        according to a scheduled activity, such as in HVAC systems, it may be necessary to collect data
        during different times of the year. Examples of set monitoring or metering intervals are once a
        month for each season or one random month during each contract year.


Post-Installation Operating Hours
Post-installation operating hours can be assumed to be either the same as or different from the baseline
operating hours. If the hours are assumed to be same before and after the new motors are installed, then
the post-installation monitoring of motors with VSDs may be used to determine operating hours.
Typically, post-installation monitoring will be used because waiting for results of the baseline monitoring
could delay VSD installation.

Operating hours may be established per a certain time period (e.g., weekday hours) or different operating
scenarios (e.g., at different VSD speeds). Operating-hour monitoring is discussed in Section 5.5.

5.4     Selecting Motors for Metering

Spot-Metering
The ESCO must spot-meter all of the motors; however, short- or long-term metering may only need to be
done for a sampling of motors.


Sampling
ESCOs must begin their sampling analyses by classifying existing motors according to applications with
identical operating characteristics or expected operating hours. Examples of applications include HVAC
supply fans, cooling water pumps, condenser water pumps, HVAC constant-volume return fans, and
exhaust fans. Each application will be defined and supported with schematics of ductwork or piping, as
well as control sequences.



Sampling Accuracy
For each application or usage group in the ESCO's project, there must be at least one motor subject to
short-term metering.



Enhanced C/I Performance Program Procedures    B.5-4                                                       v10
                                                                                Part B, Section 5: VSD M&V Plan



Following the guidelines for lighting projects:
    •   Sampling of a single building’s motor operating-hours, must meet a precision and confidence
        level of 90/20 for the project site as a whole.
    •   Sampling in usage groups across multiple facilities must meet a precision and confidence level of
        80/20 for each usage group. Sampling across multiple facilities may be done only if the facilities
        have the same usage groups, ownership, occupancy and use, and energy use patterns.



5.5      Monitoring to Determine Operating Hours
Operating hours may be the same before and after the VSDs are installed, or the hours may be different.
Operating hours for the baseline or post-installation periods will be determined with short- or long-term
monitoring on at least a sample of motors.

Operating hours will be established for different operating scenarios. Examples include:
   • For a baseline motor: 4,000 hours per year at 50 kW (control valve open) and 4,760 hours per
        year at 40 kW (control valve closed).
   • For a motor with a VSD: 2,000 hours per year at 15 kW (50% speed), 2,000 hours at 30 kW
        (75% speed), and 4,760 hours at 50 kW (100% speed).

The ESCO must conduct short-term monitoring for a period of time to be specified in the M&V plan.
The period of time must be proposed by the ESCO and approved or modified by NYSERDA.

Monitoring is intended to provide an estimate of annual equipment operating hours and energy use.
Duration and timing of run-time monitoring strongly influence the accuracy of operating-hour estimates.
Run-time monitoring should not be conducted during significant holiday or vacation periods. If a holiday
or vacation falls within the run-time monitoring period, the duration should be extended for as many days
as the usage aberration.

If less-than-continuous monitoring is used, the operating hours during the monitored period will be
extrapolated to the full year. A minimum monitoring period of four weeks is recommended for almost all
usage groups. For situations in which motor operating hours might vary seasonally or according to a
scheduled activity, such as in HVAC systems, it may be necessary to determine operating hours during
different times of the year.




5.6     Equations for Calculating Energy Savings
Calculate the kWh savings using the following equations:

             kWh savings (per each operating scenario) =
                        [hours per each operating scenario] x [kW savings per each operating scenario]


        Where:


          kW savings =                        kWbaseline - kWpost


Enhanced C/I Performance Program Procedures       B.5-5                                                    v10
                                                                                 Part B, Section 5: VSD M&V Plan




          kWbaseline =                        kilowatt demand of baseline motor in particular operating
                                              scenario
          kWpost =                            kilowatt demand of high-efficiency motor in particular
                                              operating scenario
          Operating scenario =                particular mode of operation defined by independent variable
                                              such as motor speed or valve position




Enhanced C/I Performance Program Procedures      B.5-6                                                      v10
                                                                                  Part B, Section 6: Chiller M&V Plan




Section 6:                Chiller Replacement M&V Plan (Option B)
Method CH-B-01, Metering of Chiller kW
Method CH-B-02, Metering of Chiller kW and Cooling Load

6.1     Project Definition
This EEM involves electric chillers, air conditioners and heat pumps used for space-conditioning or
process loads. For simplicity the term “chiller” includes all of the applicable types of cooling equipment.
Projects can include:
    • Existing chillers replaced with more energy-efficient electric chillers; or
    • Changes in chiller controls that improve chiller efficiency.

Two M&V methods are described in this section. For method CH-B-01, post-installation chiller electric
energy use is continuously metered or metered at regular intervals. With method CH-B-02, post-
installation chiller energy use and the cooling load are metered at regular intervals or continuously.

For projects that include the installation of non-electric chillers, a modified form of these M&V
approaches may be used. Program participants are encouraged to discuss potential M&V approaches with
the NYSERDA Technical Assistant prior to development of an M&V Plan for non-electric chillers.

6.2     Overview of Verification Methods
Surveys are required to document existing (baseline) and new (post-installation) chillers and chiller
auxiliaries (e.g., chilled-water pumps, cooling towers). The surveys should include (in a set format) for
each chiller and control device:
    • Nameplate data.
    • Chiller application.
    • Operating schedules.
    • Cooling load profile.
    • Control sequence.

Commissioning of chiller operation is expected.

When multiple chiller chillers serve the same area, i.e. a chiller plant, a survey of all chillers must be
provided.

Method CH-B-01 - Energy Use Metered. Post-installation chiller energy use is continuously measured,
or measured during set intervals, throughout the performance period of the SPC Agreement. Baseline
energy use is based on:
    • Measured or stipulated baseline chiller ratings (e.g., kW/ton, IPLV), and
    • Cooling loads calculated from measuring post-installation chiller energy use.

If it can be shown that baseline cooling loads will be different from post-installation cooling loads – as a
result of the CIPP project, NYSERDA may allow the use of stipulated baseline cooling loads.



Enhanced C/I Performance Program Procedures      B.6-1                                                           v10
                                                                                                  Part B, Section 6: Chiller M&V Plan



Method CH-B-02 - Energy Use and Cooling Load Metered. Post-installation chiller energy use and
cooling loads are continuously measured, or measured during set intervals, throughout the performance
period of the SPC Agreement. Baseline energy use is based on:
    • Measured or stipulated baseline chiller ratings (e.g., kW/ton, IPLV), and
    • Cooling loads measured during the post-installation period.

Metering of all chillers is required and commissioning of new chiller operation is expected.



6.3         Calculating Demand and Energy Savings

Baseline Efficiency
Baseline conditions identified in the pre-installation equipment survey must be defined by the ESCO,
which must give NYSERDA the opportunity to verify the baseline.

Steps involved in establishing the baseline demand are:
    • Pre-installation equipment survey, and
    • Defining chiller efficiency or metering of existing chillers.

Pre-Installation Equipment Survey. In the pre-installation equipment survey, the equipment to be
changed and the replacement equipment to be installed will be inventoried. Chiller location and
corresponding project site floor plans should be included with the survey. The surveys shall include, in a
set format:
     • Chiller and chiller auxiliaries nameplate data.
     • Chiller age, condition, and ratings.
     • Load served.
     • Operating schedule.
     • Cooling load profile.
     • Control sequence.
     • Chiller application.
     • Equipment locations.

Baseline chiller performance may be either stipulated or measured. If multiple chillers utilize a common
header the baseline efficiency is calculated using a capacity-weighted average of all chillers in the plant.
All methods for determining chiller performance/efficiency, as well as resulting values, must be approved
by NYSERDA.

Stipulated Chiller Efficiencies. The most common sources of chiller performance data are the
manufacturer or the minimum efficiencies specified in Appendix B. For existing chillers, the
“nameplate” performance ratings may be downgraded based on the chiller’s age or condition. Chiller
efficiency may be presented in several formats depending on the type of load data that will be stipulated.
Possible options include annual average kW/ton expressed as Integrated Part Load Value (IPLV) 9 or
kW/ton per incremental cooling loads.


9
    For example, per the appropriate standards of the Air-Conditioning and Refrigeration Institute.



Enhanced C/I Performance Program Procedures                 B.6-2                                                                v10
                                                                                Part B, Section 6: Chiller M&V Plan




For electric chillers, manufacturer data or performance sheets that illustrate the actual baseline efficiency
(full load and IPLV) must be provided. The project specific M&V plan must document how baseline
kW/ton values were obtained.

Metering Existing Chillers. The data collected to characterize the performance of the chiller depends on
whether or not the chiller’s efficiency is sensitive to condenser and chilled water temperature. Volume II
of the Final Report for ASHRAE Research Project 827-RP, Guidelines for In-Situ Performance Testing of
Centrifugal Chillers, provides detailed instructions for developing both a temperature-dependent and
independent model of chiller performance. The models use linear regressions on metered data to
characterize the chiller’s performance over a range of conditions. The wider the range of conditions
during the metering, the more accurate the models.

For temperature-independent chillers (i.e., chillers whose condenser and chilled-water temperatures are
close to constant), the following data must be collected:
    • Chiller kW.
    • Chilled water flow, entering and leaving temperatures for calculating cooling load.

For chillers subject to varying condenser and chilled-water temperatures, the data noted above must be
collected along with:
    • Condenser water supply and return temperatures.
    • Chilled-water supply and return temperatures.
    • If other features of the cooling plant are also modified by the proposed measures, they’ll need to
        be metered as well. For instance, if the condenser water pumps, chilled-water pumps, or cooling-
        tower fans are affected, their demand [kW] should also be metered.

To the greatest extent possible, this data should be entered into standard forms. Such measurements
should be made using a meter with an accuracy at or approaching ± 2% of reading for power
measurements and +/- 5% for flow measurements. Multiple measurements should be made while the
cooling systems are operating at different loads so the complete range of chiller performance can be
evaluated. Thus, baseline metering typically requires at least several weeks during a time when the
cooling load is expected to vary over a wide range, and more time is often required.



Post-Installation Efficiency and Energy Use
The new equipment should be defined and surveyed by the ESCO and verified by NYSERDA.

Chiller energy use and demand profile should be measured either:
    • Continuously throughout the term of the SPC Agreement, or
    • At set intervals during the term of the contract (e.g., one month during each of the four seasons).
         The intervals must adequately define the full range of chiller performance.

If data are not collected continuously, the collected data are used to develop a model of chiller
performance that can be applied to the times when chiller performance isn’t measured. For smaller
projects, use of bin temperature data can be used to correlate metered energy use data with annual energy
use.



Enhanced C/I Performance Program Procedures     B.6-3                                                          v10
                                                                                Part B, Section 6: Chiller M&V Plan




The data collected to characterize the chiller’s performance depends on whether or not the chiller’s
efficiency is sensitive to condenser and chilled-water temperature. Volume II of the Final Report for
ASHRAE Research Project 827-RP, Guidelines for In-Situ Performance Testing of Centrifugal Chillers,
provides detailed instructions for developing both a temperature-dependent and independent model of
chiller performance. The models use linear regressions on metered data to characterize the chiller
performance over a range of conditions. The wider the range of conditions covered during the metering,
the more accurate the model.

For temperature-independent chillers (i.e., chillers whose condenser and chilled water temperatures are
close to constant), the following data must be collected:
    • Chiller kW, and
    • Chilled-water flow, entering and leaving temperatures for calculating cooling load.

For chillers subject to varying condenser and chilled-water temperatures, the data noted above must be
collected along with:
    • Condenser water supply and return temperatures.
    • Chilled-water supply and return temperatures.
    • If other features of the cooling plant are also modified by the proposed measures, they’ll need to
        be metered as well. For instance, if the condenser water pumps, chilled-water pumps, or cooling-
        tower fans are affected, their demand [kW] should also be metered.

To the greatest extent possible, this data should be entered into standard forms. Such measurements
should be made using a meter with an accuracy at or approaching ± 2% of reading for power
measurements and +/- 5% for flow measurements. Multiple measurements should be made while the
cooling systems are operating at different loads so the complete range of chiller performance can be
evaluated.

Cooling Load
Cooling load does not have to be measured for determining post-installation energy use and demand as
post-installation chiller energy use is metered with these two M&V methods. The baseline cooling load,
however, must be determined for calculating baseline energy use.
Method CH-B-01 - Energy Use Metered.
With this method, cooling load is not measured; therefore, baseline cooling load is calculated from post-
installation chiller energy use measurements. Typical or actual weather data may be used to determine
cooling loads.

If it can be shown that baseline cooling loads will be different than post-installation cooling loads, due to
the project, NYSERDA may allow the use of stipulated baseline cooling loads. The difficulty with
stipulating cooling loads is that the savings may be inappropriately biased by comparing baseline and
post-installation energy use at different cooling loads. Possible sources of stipulated baseline chiller loads
are:
•         Pre-installation metering of cooling loads by the ESCO.
•         Studies of cooling load (for example, using bin weather data or calibrated computer simulation
          using DOE-2).
•         Results from other projects at similar project sites.



Enhanced C/I Performance Program Procedures     B.6-4                                                          v10
                                                                                Part B, Section 6: Chiller M&V Plan



If stipulated loads are used, it is assumed that the simple temperature-independent model of chiller
performance will be used because the condenser water-return temperature would be very difficult to
stipulate successfully. All stipulation methods and values must be approved by NYSERDA.
Method CH-B-02 - Energy Use and Cooling Load Metered.
With this method, cooling loads are measured; therefore, baseline cooling loads are based on the post-
installation cooling loads. Data that should be metered include:
•        Chilled-water flow.
•        Chilled-water entering and leaving temperatures 10 .
•        Condenser water entering and leaving temperature.
•        Outside-air temperature or weather data (for reference).

If a temperature-dependent model of chiller performance is used, the condenser water return temperature
must be measured.

6.4      Equations for Calculation of Energy Savings
Calculate the kWh savings using the following equations:

        kWh savings = [(cooling load in ton-hours) x (baseline kW/ton)] - post-installation kWh
or
         kWh savings = post installation kWh x [(baseline kW/ton)/(post-installation kW/ton) –1]


Where:
  • Cooling load in ton-hours is stipulated, measured, or calculated;
  • Baseline kW/ton is the stipulated or measured existing chiller performance; and
  • Post-installation kWh is measured for the new chiller(s).


Changes in the electric energy usage of condenser water pumps, cooling towers, etc. should be included
in the calculation of total savings. For non-electric cooling projects, the increases in electric energy usage
of the condenser water pumps, cooling tower, etc. must be included in the calculation of total electric
energy savings.




10Air-flow   measurements are required for DX systems.



Enhanced C/I Performance Program Procedures              B.6-5                                                 v10
                                                      Part B, Section 6: Chiller M&V Plan




Enhanced C/I Performance Program Procedures   B.6-6                                  v10
                                                                  Part B, Section 7: Generic Variable Load M&V Plan




Section 7: Generic Variable Load M&V Plan (Option B)
Continuous Post-Installation Metering
Method GVL-B-01

7.1     Project Definition
This M&V method covers projects that improve the efficiency of end-uses that exhibit variable energy
demand or operating hours. Examples of such projects include:
    • Replacing motors that serve variable loads with high-efficiency motors.
    • Upgrading building automated systems.
    • Installing new industrial process equipment.

For this M&V method, it is assumed that the savings associated with the EEMs can be verified with end-
use metering.

7.2     Overview of Method
The ESCO must audit existing systems to document relevant components (e.g., piping and ductwork
diagrams, control sequences, and operating parameters). The ESCO must also document the proposed
project and expected savings. All, or a representative sample, of the existing systems should be metered
by the ESCO to establish regression-based equations (or curves) for defining baseline system energy use
as a function of appropriate variables (e.g., weather or cooling load).

Once the EEM is installed, there are two general approaches for determining savings:
    •   Continuously measuring post-installation energy use and the appropriate variables. Post-
        installation variable data are used with the baseline “equations” to calculate baseline energy use.
    •   Continuously measuring only the appropriate post-installation variables. The post-installation
        variable data are used with baseline and post-installation “equations” to calculate baseline and
        post-installation energy use. With this approach, the ESCO will conduct metering to determine
        the post-installation relationship between input energy and the appropriate variables after the
        project is installed.

The ESCO will apply the results of post-installation metering to determine the difference between pre-
and post-installation input energy use (and demand). This difference represents the system savings.

Commissioning of new equipment operation is expected.



7.3     Metering and Calculating Baseline Demand and Energy Savings

Audit Baseline System
The ESCO must audit system(s) that will be affected by projects to document all relevant components,
such as motors, fans, pumps, and controls. For each piece of equipment, documented information should
include the manufacturer, model number, rated capacity, energy use factors (such as voltage, rated
amperage), nominal efficiency, the load served, and a listing of independent variables that affect system



Enhanced C/I Performance Program Procedures    B.7-1                                                           v10
                                                                  Part B, Section 7: Generic Variable Load M&V Plan



energy consumption. Equipment location and corresponding project site floor plans should be included
with the survey.

Establishing Baseline Model
The ESCO must meter system input energy (e.g., kWh) and demand (e.g., kW) over a representative time
period before any efficiency modifications are made. Such metering will be applied to those devices
directly affected by the EEM. Duration of input metering will be sufficient to document the full range of
system operation. The ESCO will propose an appropriate duration in the site-specific M&V plan, subject
to approval by NYSERDA on a case-by-case basis. Typically, observations will be made of 15-minute
intervals, unless the ESCO demonstrates that longer intervals are sufficient and such intervals are
approved by NYSERDA.

If multiple similar equipment components or systems are to be modified (e.g., 10 supply fans), the ESCO
may propose in the site-specific plan to meter only a sample.

Variable Measurements. Over the same period that input energy use is monitored, the ESCO will meter:
    •   Independent variables that affect energy and demand use. Examples of such data are ambient
        temperature, control set points, and building occupancy;
    •   Dependent variables (system output) that indicate energy and demand use. Such monitoring will
        clearly quantify output in units that directly correspond to system input. Examples of dependent
        variables are tons of cooling and gallons of liquid pumped.

Baseline Model(s). Most efficiency projects and systems may be directly influenced by highly variable
independent variables such as weather conditions. For such projects, the ESCO may choose to develop a
regression model that links independent-variable data to energy input. Specific methodologies to do so
may be presented by the ESCO in the site-specific M&V plan and considered for approval by
NYSERDA.

The ESCO will combine results of energy-input metering and variable(s) monitoring to establish the pre-
installation relationship between the quantities. This relationship will be known as the “System Baseline
Model” and will probably be presented in the form of an equation. The ESCO may use regression
analysis to develop such an equation, although other mathematical methods may be approved. If
regression analysis is used, the ESCO will demonstrate that it is statistically valid. Examples of criteria
for establishing statistical validity are:

    •   The model makes intuitive sense; e.g., the explanatory variables are reasonable, and the
        coefficients have the expected sign (positive or negative) and are within an expected range
        (magnitude).
    •   The modeled data represent the population.
    •   The model’s form conforms to standard statistical practice.
    •   The number of coefficients are appropriate for the number of observations (approximately no
        more than one explanatory variable for every five data observations).
    •   The T-statistic for all key parameters in the model is at least two (95% confidence that the
        coefficient is not zero).
    •   The model's R2 is reasonable given the type of data being modeled.
    •   All data entered into the model are thoroughly documented and model limits (range of
        independent variables for which the model is valid) are specified.



Enhanced C/I Performance Program Procedures    B.7-2                                                           v10
                                                                   Part B, Section 7: Generic Variable Load M&V Plan




NYSERDA will make a final determination on the validity of models and monitoring plans and may
request additional documentation, analysis, or metering from the ESCO as necessary.

The ESCO must carefully investigate systems and select data input and output for monitoring that exhibit
direct relationships to energy use. For example, some processes may use the same amount of energy
regardless of the amount of units produced. In such cases, the ESCO should carefully analyze systems to
identify a quantifiable output that exhibits a direct relationship to the input energy.

7.4      Post-Installation Metering and Calculating Savings
There are two approaches defined in this section for calculating savings:
    •    Continuously measuring post-installation energy use (and demand) and the appropriate variables.
         Post-installation variable data are used with the baseline “equations” to calculate baseline energy
         use (and demand).
    •    Continuously measuring appropriate post-installation variables. Post-installation variable data are
         used with the baseline and post-installation “equations” to calculate baseline and post-installation
         energy use (and demand).

Metering Post-Installation Energy Use and Variables
After installing the EEM, the ESCO must continuously meter system energy input and monitor output
(e.g., tons of cooling) or independent variables (e.g., weather) over the life of the claimed energy savings.
Such metering and monitoring will be conducted in the same way as the monitoring performed to model
performance of the baseline system.

For this option, the post-installation metered input energy will be used directly in the savings calculation.
The monitored data will be used in the System Baseline Model to calculate pre-installation energy input.

Energy savings over the course of a single observation interval will be calculated by the ESCO using the
following equation (assuming an electricity measure):

                                     Energy savingsi = (kWb - kWm) * Ti
Where:

    •    kWb = baseline kW calculated from System Baseline Model and corresponding to same time
         interval, system output, weather, etc., conditions as kWm.
    •    kWm = Measured kW obtained through continuous post-installation metering.
    •    Ti = Length of time interval.

For a particular observation interval, the ESCO must apply the monitored data to the Baseline System
Model to determine what the baseline-system energy input would have been. From this amount, the
ESCO must subtract the metered-system post-installation input. Energy savings are determined by
multiplying this difference by the length of the observation interval.

Metering Post-Installation Variables
The ESCO may meter post-installation system energy input and monitor post-installation conditions to
develop a Post-Installation System Model. The ESCO would then monitor system output (or the other



Enhanced C/I Performance Program Procedures     B.7-3                                                           v10
                                                                 Part B, Section 7: Generic Variable Load M&V Plan



relevant variables) during a representative period on a regular basis. Such a representative period should
be similar to the representative period over which System Baseline Model monitoring occurred. If
regression analysis is used, the Post-Installation System Model will also be subject to the same validity
criteria specified above.

When choosing this alternative, the ESCO should use two equations for calculating savings or one
equation that calculates changes in energy use. The ESCO must apply monitored data to the Baseline
System Model to obtain the baseline system energy input. The ESCO should then apply the same
monitored data to the Post-Installation System Model to obtain the post-installation system energy input.
The monitored data (e.g., ambient temperature) may be obtained continuously or for selected intervals
(e.g., once a month for each season for weather-dependent measures) during the term of the SPC
Agreement. The ESCO may then calculate the savings by taking the difference between the baseline and
post-installation system data input and multiplying by the appropriate time interval.

Actual or Typical Data
To determine savings using dependent or independent variables, use either (a) the actual measured values
as they occur during the term of the Agreement or (b) typical values for calculating savings. For example,
with respect to weather data, it may be more appropriate to use typical-year data rather than actual
weather data. The site-specific M&V plan must state whether actual or typical data are being used.




Enhanced C/I Performance Program Procedures    B.7-4                                                          v10
                                                                             Part B, Section 8: Billing Analysis M&V




Section 8:                Billing Analysis Using Regression Models M&V
                          Plan
(Option C)
Method GVL-C-01

8.1     Project Definition
Option C uses regression models with utility billing data to calculate annual energy savings. In general,
Option C should be used with complex equipment replacement and controls projects that have relatively
large (i.e., greater than 10-20% of the site’s monthly energy use) predicted savings.

Specifically for the Enhanced C/I Performance Program, utility billing analysis is limited to situations
where Options B and D are shown to not be cost-effective.

Option C methods are the least preferred because of the following requirements: (a) using at least nine
and preferably 12 months of post-installation data prior to calculating first-year savings, (b) adjusting the
analyses so the baseline meets minimum energy standards, (c) allocating savings to different measure
categories because pricing is differentiated by measure type, and (d) removing interactive savings from
measures (e.g., cooling savings resulting from lighting projects) not counted for incentive payments under
the Enhanced C/I Performance Program.

8.2     Overview of Method
Utility analysis, using regression models is a highly specialized discipline. ESCOs should use this section
for guidance and contact NYSERDA before preparing an M&V plan.

The M&V method described here is based, in part, on materials in the 2000 International Performance
Measurement and Verification Protocol (IPMVP). Information on the IPMVP may be found at
www.ipmvp.org. Valuable insights on utility bill analysis can be found in the IPMVP.

Option C encompasses whole-facility or main-meter verification procedures that provide retrofit
performance verification for those projects where whole-facility baseline and post-installation data are
available. Option C usually involves collecting historical whole-facility baseline energy use data and
continuously measuring whole-facility energy use after measure installation. Baseline and periodic
equipment inspections are also warranted. Energy consumption under Option C is calculated by
developing statistically representative models of whole-facility energy consumption.

8.3     Data Collection
Data collection and validating and ensuring alignment of all data start and end dates are important
elements of billing analysis. Data types and some data analysis protocols are discussed below.

Data Types
As input to regression models, billing data provide the basis for calibrating models and post-installation
energy use. Site data provide a means for controlling changes in energy use not associated with measure
installation. These data elements are discussed below.



Enhanced C/I Performance Program Procedures     B.8-1                                                           v10
                                                                               Part B, Section 8: Billing Analysis M&V



Monthly Billing Data. There are typically two types of monthly billing data: total usage for the month or
usage aggregated by time-of-use periods. While either type of data may be used with a regression model,
time-of-use is preferable as it provides more insight into usage patterns. In many cases, peak demand is
also recorded.
Interval Demand Billing Data. This type of billing data records the average demand (or energy use) for a
given interval (e.g., 15 minutes) associated with the billing period.
Site Data. Site data provide the information necessary to account for usage of, or changes in, energy
consumption not associated with the retrofit equipment. Typical site data that can be incorporated in
regression models include weather parameters, occupancy, facility square footage and any changes in
operating hours. These data are typically used to help define the independent variables that explain
energy consumption or change associated with equipment other than the installed equipment.

Data Analysis Protocols
The following are some of the required data analysis protocols:

Baseline energy consumption. The regression analysis requires at least 12 months’ worth of data prior to
installation. However, if energy consumption is sensitive to weather or other highly variable factors, then
at least 24 months’ worth of data are required.

First-year post-installation energy consumption. Regression analysis requires at least nine, and preferably
12, months’ worth of data after installation to determine savings for the first year.

Second-year post-installation energy consumption. The billing analysis models should be updated until at
least 20, and preferably 24, months’ worth of post-installation data have been used to determine the
independent variable coefficients.

Outliers. The criteria used for identifying and eliminating outliers need to be documented in the project-
specific M&V plan. Outliers are data beyond the expected range of values (e.g., a data point more than
two standard deviations away from the average of the data). However, the elimination of outliers must be
explained, for it is not sufficient to eliminate a data point because it is beyond the expected range of
values. Before a point is eliminated, an explanation for the unexpected data should be sought, and if there
is reason to believe that the data are abnormal because of specific mitigating factors, then the data point
may be eliminated from the analysis. Nevertheless, if a reason for the unexpected data cannot be found,
the data should be included in the analysis. Outliers will be defined based on “common sense” as well as
common statistical practice. Outliers may be defined in terms of consumption changes and actual
consumption levels.

8.4     Multivariate Regression Method
Multivariate regression is an effective technique that controls for non-retrofit-related factors that affect
energy consumption. If the necessary data (on all relevant explanatory variables, such as weather,
occupancy, and operating schedules) are available or collected, the technique will result in more accurate
and reliable savings estimates than a simple comparison of pre-and post-installation consumption loads –
which is not allowed in this program.

Use of the multivariate regression approach depends on and is limited by the availability of data. The
decision to use a regression analysis technique must be based, in part, on the availability of appropriate
information. Thus, on a facility-specific basis, it is critical to investigate the systems that affect and are
affected by the project and select all independent variables that have direct relationships to energy use.



Enhanced C/I Performance Program Procedures      B.8-2                                                            v10
                                                                              Part B, Section 8: Billing Analysis M&V



Data must be collected for the dependent and explanatory variables in a suitable format over at least 12
and preferably 24 months prior to project installation.

Overview of the Regression Approach
A regression model(s) should be developed that describes changes between pre- and post-installation
energy use for the affected facility (or facilities), taking into account all explanatory variables.

For affected utility electric billing meters with time-of-use data, the regression model(s) should yield
savings by hour or critical time-of-use period. For meters with only monthly consumption data, the
models should be used to predict monthly savings.

Standard Equation for Regression Analysis
In the regression analysis, utility meter billing data (monthly or hourly) on a facility-specific basis is used
to prepare models for comparing energy use before and after installing EEMs. Any differences, after
adjusting for non-retrofit-related factors, are then defined as the gross load impacts of the project.

The regression equations should be specified to yield as much information as possible about savings
impacts. For example, with hourly data, it should be possible to estimate savings impacts by time of day,
day of week, month, and year. With monthly data, however, it is only possible to determine the effects by
month or year. Data with a frequency lower than monthly can not be used under any circumstances.

Separate models may be proposed that define pre- and post-installation energy use with savings equal to
the difference between the two equations. A single “savings” model, which will likely be simpler and
generate more reliable estimates because it is based on more data points, is required unless otherwise
approved by NYSERDA.


Explanatory Variables
A list of explanatory variables that affect energy consumption, as well as possible interactive terms (i.e.,
combination of variables), needs to be specified. Critical variables may include weather, occupancy
patterns, and operating schedules.

If the energy savings model discussed above incorporates weather in the form of heating degree-days
(HDD) and cooling degree-days (CDD), the following issues should be considered:
    •   Use of the building “temperature balance point” for defining degree-days versus an arbitrary
        degree-day temperature base.
    •   The relationship between temperature and energy use, which tends to vary depending upon the
        time of year. For example, a temperature of 55°F in January has a different implication for
        energy use than the same temperature in August. Thus, seasonality may need to be addressed in
        the model.

Testing Statistical Validity of Model(s).
The statistical validity of the final regression model will need to demonstrate that:
   • The model makes intuitive sense (e.g., the explanatory variables are reasonable and the
        coefficients have the expected sign [positive or negative] and are within an expected range
        [magnitude]).
   • The modeled data represent the population.



Enhanced C/I Performance Program Procedures      B.8-3                                                           v10
                                                                            Part B, Section 8: Billing Analysis M&V



    •   The model’s form conforms to standard statistical practice.
    •   The number of coefficients is appropriate for the number of observations (approximately no more
        than one explanatory variable for every five data observations).
    •   The T-statistic for all key parameters in the model is at least two (95% confidence that the
        coefficient is not zero).
    •   The model is tested for possible statistical problems and, if present, appropriate statistical
        techniques are used to correct for them.
    •   All data input to the model are thoroughly documented, and model limits (range of independent
        variables for which the model is valid) are specified.

8.5     Calculating Savings
Savings calculation details depend on such issues as:
   • Use of hourly versus monthly utility meter billing data.
   • The data’s format (e.g., corresponding to same time interval as the billing data and availability of
       all relevant data for explanatory variables).
   • Amount of available energy consumption data.
   • Whether actual or typical data are used to calculate savings.

8.6     Project-Specific M&V Issues
When Option C billing analysis methods are used, the project-specific M&V plan must address, in
addition to other topics generic to all M&V methods, the following:
    • How billing data covering an adequate period of time will be used to calculate savings in the first
        and second performance years, while still meeting deadlines for submitting M&V reports. (At
        least nine and preferably 12 months of post-installation data are required for calculating savings).
    • How the analyses will differentiate savings for measures with different incentive prices. To
        address this issue ESCOs may consider using the billing analyses to estimate total facility energy
        savings and a computer simulation model to estimate the percent savings from each measure
        category.
    • How the analyses will account for interactive savings.




Enhanced C/I Performance Program Procedures     B.8-4                                                          v10
                                                                    Part B, Section 9: Computer Simulation M&V Plan




Section 9: Calibrated Computer Simulation Analysis M&V Plan
(Option D)
Method GVL-D-01

9.1     Project Definition

Situations where computer-based building energy simulations may be appropriate include:
EEM savings that cannot be readily determined using baseline and post-install measurements. Examples
include:

    •   The EEM improves or replaces the building energy management or control system.
    •   There is more than one EEM and the degree of interaction between them is unknown or too
        difficult or costly to measure.
    •   The EEM involves improving the building shell or other measures that primarily affect the
        building load (e.g., thermal insulation, low-e windows).

Conducting a computer simulation is a time-consuming task and building simulation software programs
are not capable of modeling every conceivable building and EEM. Situations for which computer
simulations are not appropriate include:

    •   Building systems (e.g., EMS) that cannot be modeled. The simulation program lacks the
        capability to model certain equipment or control algorithms that are important for comparing
        baseline and post-installation scenarios.
    •   EEMs that cannot be modeled. Some new technologies (e.g., ground-source heat pumps) often
        fall into this category.
    •   Models that cannot be adequately calibrated due to a lack of utility or end-use meter data or a lack
        of adequate sophistication in the model.

9.2.     Overview of Method
The M&V method described here is based, in part, on materials in the 2000 International Performance
Measurement and Verification Protocol (IPMVP). Information on the IPMVP may be found at
www.ipmvp.org.

The following steps are involved in performing Option D M&V. These steps are described in detail in the
following sections:
    •   Document, in the project-specific M&V plan, the strategy for calculating savings.
    •   Collect the required data from utility bill records, architectural drawings, site surveys, and direct
        measurements of specific equipment installed in the building.
    •   Adapt the data and enter them into the program’s input files.




Enhanced C/I Performance Program Procedures     B.9-1                                                          v10
                                                                             Part B, Section 9: Computer Simulation M&V Plan



     •   Run the simulation program for the “base” building. The base building is the existing building
         without the installed EEMs. The base building must comply with minimum State and federal
         energy standards.
     •   Calibrate the baseline model by comparing its output with measured data. Refine the base
         building model until the program’s output is within acceptable tolerances of the measured data.
     •   Repeat the process for the post-installation model. Calibration of the retrofit model, if done, will
         use data collected from site surveys (to validate that all of the equipment and systems are installed
         and operating properly) and possibly spot-, short-term, or utility metering.
     •   Estimate the savings. Savings are determined by subtracting the post-installation results from the
         baseline model results using either actual weather and project site operating conditions (e.g.
         occupancy and set points) or typical conditions and weather.
     •   Document the results for the first year of the performance period. Submit all documentation,
         including electronic files, for approval.
     •   Annually verify proper installation and operation of the EEM(s) and re-run the computer
         simulation if either operational characteristics of the measures or actual versus typical weather
         and project site operating conditions have changed.



9.3       Allowable Simulation Software and Weather Data
The most frequently used type of building simulation program for energy analysis is the whole-building,
fixed-schematic hourly simulation program 11 . Such programs are the most versatile, allowing the
modeler control, through input data, to accurately model most buildings. Two of the most common
public domain
programs of this type are DOE-2 and BLAST.

For M&V plans using calibrated computer simulation models, only DOE-2.1e or more current DOE-2
versions are allowed. For small projects with small projected incentive payments, NYSERDA may
consider allowing the use of other models if:
• the program is commercially available, supported and documented;
• the model can be shown to adequately model the project site and the EEMs;
• the model can be calibrated to a level of accuracy approved by NYSERDA; and
• the calibration can be documented.

Fixed-schematic programs require extensive input data to describe a building. Merely writing all the
necessary data into a program’s input file can consume a significant part of the project budget. Recently,
user interfaces have been developed that simplify the input process with easy-to-use graphical formats.
More extensive libraries of building components, materials, and systems have been added to facilitate
model development. Upon pre-approval by NYSERDA, the ESCO may be allowed to use certain
program model interfaces.

Calibrating a computer simulation of a real building for a specific year necessarily requires that actual
weather data be used. Programs that only allow use of average weather files or weather from only a few
“representative” periods per month or season are not suitable for the calibration techniques described in
this chapter. The project-specific M&V plan, for NYSERDA’s approval, must specify which weather

11
   Ayers, J.M. and E. Stamper, “Historical Development of Building Energy Calculations,” ASHRAE Transactions, vol. 101, part
1, 1995



Enhanced C/I Performance Program Procedures           B.9-2                                                             v10
                                                                              Part B, Section 9: Computer Simulation M&V Plan



data sources will be used. Both the source of the data (e.g., NOAA) and the physical location of the
weather station need to be specified. For example, some NOAA city data are from weather stations at
remote airports that may not represent a downtown location.



9.4      Simulation and Calibration Procedure

Document Calibrated Simulation Strategy in Project-Specific M&V plan
The following are issues that must be addressed to define the simulation approach:

     •   Define the existing (Baseline) building. The existing building represents the building as it exists
         prior to the ESCO installing EEMs. In most situations, this is the building as is. When the owner
         has planned changes other than ESCO-installed EEMs, the existing building must include these
         changes.
     •   Define the post-installation building. The post-installation building represents the building with
         the ESCO-installed EEMs. Once the EEMs have been selected, the post-installation building is
         modeled with their specifications.
     •   Define the calibration data interval. Calibrations to hourly data are generally more accurate than
         those to monthly data because there are more points to compare. Determine whether hourly or
         monthly billing data are available. Monthly calibrations tend to be more subjective and open to
         dispute. For Enhanced C/I Performance Program projects, hourly simulation and
         calibration is required, if at all possible. If monthly calibration is proposed, the ESCO must
         document why hourly calibration is not possible. If monthly project site billing data are used,
         then spot- or short-term data collection for calibrated key values should be used.
     •   Specify spot- and short-term measurements of building systems that are to be taken. These
         measurements augment the whole-building data and enable the modeler to accurately characterize
         building systems. Careful selection of spot- and short-term measurements is valuable, but may
         add significant cost and time to the project.
     •   Use an experienced building modeling professional. Although new simulation software packages
         make much of the process easier, a program’s capabilities and real data requirements cannot be
         fully understood by inexperienced users. Using inexperienced staff for this purpose will result in
         inefficient use of time in data processing, and in checking and understanding simulation results.

Collect Data
The data required for simulating a real building is voluminous. The main categories of data to collect for
the building and proposed EEMs are described below:
     •   Obtain building plans. Use as-built building plans; if not available, define alternative sources for
         NYSERDA approval.
     •   Collect a minimum of 12 (and preferably 24) consecutive months, with applicable dates, of utility
         bills for the months immediately prior to installation of the EEMs. The billing data should
         include monthly kWh consumption, peak electric demand for the month, and monthly heating
         fuel use (e.g., natural gas) 12 . Fifteen-minute or hourly data are also desired for calibration.
         Determine if building systems are sub-metered. Collect these data if available.

12
   Although this Enhanced C/I Performance Program only provides incentives for electricity savings, the models should also be
calibrated for heating fuels to ensure that the model adequately models total building energy use.



Enhanced C/I Performance Program Procedures             B.9-3                                                              v10
                                                                             Part B, Section 9: Computer Simulation M&V Plan



     •   If hourly data are required to calibrate the simulation, but none are available, consider installing
         metering equipment to acquire them.
     •   Determine what data to collect from the building using the software’s user manual as a guide.
         Develop data-collection forms to facilitate a site survey and keep records of building data.
         Prepare summary tables to easily check program input.
     •   Conduct on-site surveys. Visit the building site and collect the requisite data identified in the
         preceding step. Data that may be collected include:
             • HVAC systems - primary equipment (e.g., chillers and boilers): capacity, number, model
                 and serial numbers, age, condition, operating schedules, etc.
             • HVAC systems - secondary equipment (e.g., air-handling units, terminal boxes):
                 characteristics, fan sizes and types, motor sizes and efficiencies, design-flow rates and
                 static pressures, duct-system types, economizer operation, and control.
             • HVAC system-controls: including location of zones, temperature set-points, control set-
                 points and schedules, and any special control features.
             • Building envelope and thermal mass: dimensions and type of interior and exterior walls,
                 properties of windows, and building orientation and shading from nearby objects.
             • Lighting systems: number and types of lamps, with nameplate data for lamps and
                 ballasts, lighting schedules, etc.
             • Plug loads: summarize major and typical plug loads for assigning values per zone.
             • Building occupants: population counts, occupation schedules in different zones.
             • Other major energy-consuming loads: type (industrial process, air compressors, water
                 heaters, elevators), energy consumption, schedules of operation.
     •   Interview operators. Building operators can provide much of the above listed information and
         also any deviation in the intended operation of building equipment. It is critical to note changes
         in building occupancies that will affect energy use and thus the calibration process.
     •   Make spot measurements. Record power draw on lighting plug load, HVAC equipment, etc.,
         circuits to determine actual equipment operation power.
     •   Conduct short-term measurements. Data-logging monitoring equipment is set up to record
         system data as it varies over time. These data reveal how variable-load data change with building
         operating conditions such as weather, occupancy, daily schedules, etc. These measurements may
         include lighting systems, HVAC systems, and motors. The measurement period may be from one
         to several weeks. These data may be required if particular subsystems, e.g., the chiller plant in a
         building, need to be accurately modeled in order to determine savings.
     •   Collect weather data. For calibration purposes, representative site weather data are required.
         These data may be measured on-site or obtained for a nearby site from the National Climatic Data
         Center (NCDC). 13 Solar radiation data is not generally available in these data sets, but many
         programs have modules that simulate solar radiation from the cloud cover values in the NCDC
         data.

     •   Model calibration is most effective when the weather files contain real data for the same dates
         covered by the billing records. After the model is calibrated, the building’s energy use may be


13
 The National Climatic Data Center is located at 37 Battery Park Avenue, Federal Building, Asheville, NC 28801, 704-271-
4800.



Enhanced C/I Performance Program Procedures            B.9-4                                                               v10
                                                                            Part B, Section 9: Computer Simulation M&V Plan



         normalized using average-year weather. Average weather data may be obtained from ASHRAE
         (WYEC2) and the National Renewable Energy Laboratory (TMY2).
     •   Document all collected information and inputs in a format that allows due-diligence review.
         Inadequate or disorganized documentation can be the basis for rejecting a submittal.

Input Data into Simulation Software and Run Model
Simulation data input is another area where an expert modeler is needed. From the volume of data
collected, many decisions must be made to best represent the data in the simulation program’s input file.
One should emphasize caution in modeling components of thermal loads and HVAC systems. 14
              Thermal Loads
              •   Zoning. Thermal zones in a building model are based on collected HVAC zoning data.
                  Building modelers often combine HVAC zones to simplify the input and make the
                  models manageable.
              •   Infiltration. Infiltration is a significant load, but also one for which the modeler has the
                  least information.
              •   Window U-Values. Windows have U-values and shading coefficient characteristics that
                  are very different from glazing values only. Use the manufacturer’s rated window-unit
                  value or consult the ASHRAE Standard 90.1. In addition, shading associated with
                  window coverings should be taken into account.
              •   Ventilation Air. Either in terms of % system airflow or CFM of ventilation air, this
                  should be recorded and incorporated in the model.
              •   Thermal Mass. Most programs use weighting factors to describe a building’s thermal
                  mass characteristics and its impact on cooling load shapes and coincident peak-demand
                  behavior. Often the modeler has the option of using pre-calculated weighting factors or
                  custom weighting factors.
              HVAC Systems

              •   The software’s library of HVAC systems may lure the modeler to believe that a good
                  match exists between a selected library system and the real system. The selected system
                  should be examined closely and compared with known operating characteristics.
              •   Controls. The modeler must be thorough to obtain close-to-exact sequencing of building
                  controls. This is difficult to interpret from interviews, site surveys, manufacturer’s data,
                  and measurements. Further, the program’s input capability may limit control data input.

          These areas provide a starting point for building simulation input. The modeler will revisit the
          input data in refining the model to best represent the building. Follow the procedure in the
          simulation software package manual to input the collected data. Where possible, use measured
          data and real building information to verify or replace the program’s default values.

Compare Simulation Model Outputs to Measured Data
After inputting data, run a few simulations to debug the model. Then compare the energy flows and
demand projected by the model to that of the measured utility data. This step may require some post-
processing to view the comparison. All utility billing data should be used in the analysis, electric as well
as heating fuels such as natural gas. This guideline covers comparison to two types of measured data:

14
  Kaplan, M.B., Caner, P. and G.W. Vincent, “Guidelines for Energy Simulation of Commercial Buildings,” Proceedings from
the ACEEE 1992 Summer Study on Energy Efficiency in Buildings, Vol. 1, pp. 1.137-1.147.



Enhanced C/I Performance Program Procedures          B.9-5                                                             v10
                                                                                  Part B, Section 9: Computer Simulation M&V Plan



monthly utility bills and hourly data. For the Enhanced C/I Performance Program, hourly calibration
must be used unless otherwise approved in the M&V plan.

The calibration process must be documented to show the results from initial runs and what changes were
made to bring the model into calibration. This information, as well as the actual calibration results, needs
to be provided in post-installation submittals and annual reports.
Comparison to Hourly Measured Data.
 When comparing simulation output to hourly measured data, graphical and statistical methods should be
 used together. The graphical techniques provide information regarding which time periods the two data
 sets diverge. The statistical techniques provide two indices that allow the modeler to specify the
 acceptable calibration tolerances.

 For the Enhanced C/I Performance Program, the statistical technique must be used and the graphical
 technique may also be used to assist the modeler.

                   1) Statistical Comparison Techniques (Required)
                   Two statistical indices are required to declare a model “calibrated”: monthly mean bias
                   error (MBE) and the coefficient of variation of the root mean squared error
                   (CV(RMSE)). 15

                   The mean bias error is calculated by subtracting the simulated energy consumption from
                   the measured energy consumption for all the hours over a given time period, usually a
                   month or equivalent billing period. The differences are summed and then divided by the
                   sum of the measured energy consumption over the same time period. MBE is expressed
                   as:
                                                           ∑( M − S)        hr
                                          MBE (%) =       month
                                                                                 × 100
                                                            ∑M month
                                                                       hr


                   where M indicates the measured kWh or fuel consumption and S the simulated kWh or
                   fuel consumption.

                   The MBE indicates how well the energy consumption is predicted by the model as
                   compared to the measured data. It is subject to cancellation errors, however, where the
                   combination of positive and negative values for (M-S)hr serve to reduce MBE. To
                   account for cancellation errors, the CV(RMSE) is also needed. 16

                   The CV(RSME) is a normalized measure of variability between two sets of data. For
                   calibrated simulation purposes, it is obtained by squaring the difference between paired
                   hourly data points, summing the squared differences over each month or billing period,

15
   Kreider, J. and J. Haberl, “Predicting Hourly Building Energy Usage: The Great Energy Predictor Shootout: Overview and
Discussion of Results,” ASHRAE Transactions Technical Paper, Vol. 100, pt. 2, June 1994.
Kreider, J. and J. Haberl, “Predicting Hourly Building Energy Usage: The Results of the 1993 Great Energy Predictor Shootout
to Identify the Most Accurate Method for Making Hourly Energy Use Predictions,”: ASHRAE Journal, pp. 72-81, March 1994.
Haberl, J. and S. Thamilseran, “Predicting Hourly Building Energy Use: The Great Energy Predictor Shootout II, Measuring
Retrofit Savings – Overview and Discussion of Results, ASHRAE Transactions, June 1996.
16
   Bou-Saada, T.E. and J.S. Haberl, “An Improved Procedure for Developing Calibrated Hourly Simulation Models,”
International Building Performance Simulation Association, report no. ESL-PA-95/08-01, 1995.




Enhanced C/I Performance Program Procedures            B.9-6                                                                 v10
                                                                             Part B, Section 9: Computer Simulation M&V Plan



                  and then dividing by the number of points, which yields the mean squared error. The
                  square root of this quantity yields the root mean squared error. The CV(RMSE), is
                  obtained by dividing the RMSE by the mean of the measured data for the month or
                  billing period.

                  The root mean square error for the month is:
                                                              ∑( M − S)
                                                                             2
                                                                             hr
                                          RMSEmonth =         month
                                                                                  ,
                                                                      N hr
                  where Nhr are the number of hours in the month. The mean of the measured data for the
                  month is:
                                                              ∑M       hr
                                                   Amonth =   month

                                                                N hr
         The CV(RSME) is:
                                                               RMSE month
                                      CV ( RMSE month ) =                 × 100
                                                                 Amonth

         The combination of MBE and CV(RMSE) allows one to determine how well a model fits the
         data: the lower the two values, the better the calibration. These indices may be calculated for the
         entire period, or for weekdays, weekends, and holidays separately (Bou-Saada and Haberl, 1995).
         Table 9.1 below specifies the acceptable tolerances for MBE and CV(RMSE).


                                             Table 9.1.
                          Acceptable Tolerances for Hourly Data Calibration
                                               Value
                     MBEmonth                  ± 10%
                     CV(RMSEmonth)             ± 30%

                  2) Graphical Comparison Techniques
                  Any or all of four graphical comparison techniques summarized in Bou-Saada and
                  Haberl, 1995, 17 may be used to compare a simulation’s output with real data. Some of
                  these techniques require significant post-processing of data. These are:
                       •    Hourly load profiles, which compare measured and simulated power for different
                            day-types and seasons. These plots show where the simulation may be under- or
                            overestimating building power.
                       •    Binned interquartile analysis using box-whisker-mean plots, which show both
                            measured and simulated energy use by temperature bins. Such plots allow the
                            statistical characterization of dense collections of points in temperature bins.
                            These plots show how well the simulation is performing in different temperature
                            ranges, as well as the variability in both the measured data and simulation results.
                       •    Weather day-type 24-hour profile plots are also box-whisker-mean plots that
                            show whole-building electricity use versus the hour-of-the-day for both measured
19
  Bou-Saada, T.E. and J.S. Haberl, “An Improved Procedure for Developing Calibrated Hourly Simulation Models,”
International Building Performance Simulation Association, report no. ESL-PA-95/08-01, 1995.



Enhanced C/I Performance Program Procedures          B.9-7                                                              v10
                                                                           Part B, Section 9: Computer Simulation M&V Plan



                          and simulated data for different weather day-types. These plots show ambient
                          temperature influences and how well the simulation performs for the different
                          weather periods chosen.
                      •   Three-dimensional surfaces, which are plots of day, hour-of-day and differences
                          (positive only) between measured and simulated results (negative-only
                          differences are plotted separately). These plots show the modeler when gross
                          differences occur, that may be caused by modeling errors, which can then be
                          checked and corrected, or by building operating conditions that were not
                          accounted for in the data-collection phase of the project. Three-dimensional
                          color plots may be used instead of surface plots. The advantage of color plots is
                          that the plot may be easier to interpret or easier to recognize than time-of-year
                          occurrences of peculiar data.

                          For the Enhanced C/I Performance Program, the project-specific M&V plan must
                          specify which techniques are to be used.



Comparison to Monthly Utility Bills
 Comparing energy use projected by simulation to monthly utility bills is straightforward. First, the
 model is developed and run, as described in the previous section, using weather data that corresponds to
 the monthly utility billing periods. Next, monthly simulated energy consumption and monthly measured
 data are plotted against each other for every month in the data set, as shown in Figure 1. The error in the
 monthly and annual energy consumption is calculated by the following equations:

                                                          ( M − S ) month
                                      ERRmonth (%) =                      × 100
                                                             M month

                                              ERRyear =    ∑ ERR
                                                           year
                                                                   month


          Where M indicates the measured kWh or fuel consumption and S the simulated kWh or fuel
          consumption. Note that monthly differences in measured and simulated energy consumption
          may cancel each other, resulting in a smaller annual ERR.




Enhanced C/I Performance Program Procedures       B.9-8                                                               v10
                                                                   Part B, Section 9: Computer Simulation M&V Plan



                                                Figure 1.
                               Comparison of Measured and Simulated Results

                                        Measured kWh            Simulated kWh

                      2000
                      1500
                      1000
                       500




                   Ju 1


                   Au 0 1




                   D 01
                           1
                   Ap 1




                   N 01
                   Fe 1




                    Ju 1
                   M 01
                   M 1




                   Se 01

                   O 1




                        -0
                        -0


                        -0
                         0




                         0
                         0




                         0


                        -
                       l-




                        -
                      r-
                      n-




                      n-


                      g-
                      p-
                      b-




                    ov
                    ec
                     ar


                    ay




                     ct
                   Ja




          The simulated quantities must be summed over the exact same days in each billing period.
          Table 9.2 below specifies the acceptable tolerances for monthly and yearly values of ERR for
          monthly data calibration.

                                                 Table 9.2.
                             Acceptable Tolerances for Monthly Data Calibration
                                                        Value
            ERRmonth                                    ± 25%
            ERRyear                                     ± 15%



Refine Model Until an Acceptable Calibration is Achieved
If the statistical indices calculated during the previous step indicate that the model is not sufficiently
calibrated, revise the model and compare again to measured data. The graphical and statistical techniques
described in the previous section hint at where the greatest errors in the model can be found.
Additionally, most simulation programs allow access to results from building sub-systems. These results
can be plotted and compared with short-term measured data and scheduling information to check for
inaccuracies.

Complete documentation of the calibration process is required indicating the results of each calibration
attempt and the subsequent modifications to the simulation model.

9.5     Post-Installation Model(s)
A post-installation model may be prepared for comparison with the baseline model and determining
savings. The post-installation model will usually be the baseline model, modified for minimum energy
standards, with the substitution of new energy-efficient equipment and systems. This new model must
also be calibrated and documented. The possible calibration mechanisms are:
    •   Using site-survey data to validate that all of the specified equipment and systems are installed,
        have the nameplate data used in the model, and are operating properly;
    •   Using spot- and/or short-term metering data to calibrate particular model modules of equipment,
        systems, or end-uses; or


Enhanced C/I Performance Program Procedures     B.9-9                                                         v10
                                                                     Part B, Section 9: Computer Simulation M&V Plan



    •    Using utility (15-minute, hourly, or monthly) metering data to calibrate the model, as was done
         with the pre-installation model.

The above-mentioned post-installation model calibration mechanisms are not necessarily mutually
exclusive. If the first two mechanisms are used, the model can be calibrated soon after measure
installation. If the last mechanism is used, then the model can only be calibrated after sufficient (e.g., 12
months worth) billing data are available. The calibration mechanisms to be used must be specified in the
project-specific M&V plan.

In some instances, the post-installation model will be the only model calibrated. This can occur when the
baseline project site cannot be easily modeled due to significant changes during the 12 months prior to the
new measures being installed and thus recent billing data are not representative.

Note that all changes to the model, both related and unrelated to the EEMs, need to be clearly recorded.

9.6      Calculating Energy and Demand Savings
Whether the baseline or post-installation building simulation is the calibrated model, energy savings are
still determined from the difference between the outputs of the baseline and post-installation models.
Savings are determined with both models using the same conditions (weather, occupancy schedules, etc.).
The methods described below help insure that the baseline and post-installation models are consistent in
terms of weather and building operation conditions (occupancy schedules, set-points, etc.).

Savings are equivalent to the difference between energy consumption projected by the baseline model and
that projected by the post-installation model. To estimate savings, first confirm that all inputs to the
baseline and post-installation model are consistent. Next, select the appropriate weather data set and run
both models. Then, compare the energy consumption projected by both models.

Select the appropriate weather data set and run both models.
If savings are to be estimated for a specific year, actual weather data from that year must be used. If
savings are to be estimated for a typical year, typical weather data files may be used. Both the baseline
and post-installation model must be run with the same weather data. The weather data to be used must be
specified in the site-specific M&V plan.

Calculate energy and cost savings.
To calculate savings, subtract energy consumption projected by the post-installation model from energy
consumption projected by the baseline model.

kWh savings are calculated with the equation:

kWhsaved ,t = kWhbaseline ,t − kWhpost ,t

Where:
    •    kWhsaved , t =    kilowatt-hour savings realized during selected time period t.
    •    kWhbaseline , t = kilowatt-hour consumption of baseline building model operating under same
         conditions (weather, operating, and occupancy schedules, etc.) as post-installation building, for
         selected time period.




Enhanced C/I Performance Program Procedures      B.9-10                                                         v10
                                                                  Part B, Section 9: Computer Simulation M&V Plan



    •    kWhpost ,t =     kilowatt-hour consumption of post-installation building operating under same
        conditions (weather, operating, and occupancy schedules, etc.) as baseline building, for selected
        time period.

9.7     Method Specific Issues for M&V Plan
Specific M&V issues that need to be addressed in the M&V plan include:
   • Which version of DOE-2 will be used, the supplier of the program, and what, if any, pre- and
        post-processors will be used.
   • Baseline building description (age square footage, location, etc.), including a description of
        building systems to be replaced.
   • Description of any building operation conditions (set-points, schedules, etc.) affected by the
        EEMs.
   • Documentation that the baseline model complies with minimum standards.
   • Documentation of the calibrated simulation strategy and project procedure, including differences
        in calibration parameters between the existing and post-installation cases.
   • A summary of the building data to be collected and sources (e.g., site surveys, drawings, etc.).
   • Identification of spot- and short-term measurements to be made.
   • Selection of the calibration data interval (should be hourly or monthly).
   • Identification and source of weather data used (on-site, local weather station or typical weather
        data).
   • Identification of the statistical calibration tolerances and graphical techniques to be used.
   • Indication of who will provide the simulation analysis documentation to NYSERDA.




Enhanced C/I Performance Program Procedures    B.9-11                                                        v10
                                                                           Part B, Section 10: Renewables M&V Plan




Section 10:               Renewables M&V Plan
Method R-B-01

10.1 Project Definition
The renewables projects covered by this verification plan include devices or systems that generate
electricity or displace electricity use through renewable energy resources(i.e., photovoltaics and active
solar systems). Architectural passive solar systems are not included in this Section and would require the
use of M&V methods such as those described in other Sections.

As a wide variety of renewable projects are possible, only an overview of renewable project M&V
methods is provided. ESCOs should review their project concept and M&V approach with NYSERDA
prior to submitting an application.

10.2 Overview of Methods
For determining savings, two general approaches may be used:
    • “One-for-one replacement” calculation, or
    • Net benefits calculation

One-For-One Replacement. This concept assumes that energy (electrical or thermal) produced by the
renewable system, and used at the project site, displaces electricity that would have been provided by an
existing source. With the “one-for-one replacement” concept, all one has to do is measure the net amount
of energy produced by the renewable system and used at the project site. This approach is most common
with photovoltaic systems.

Net Energy Use Analysis. In this approach, similar to Option B or C for energy efficiency projects,
electrical energy use at the project site is compared before and after the system is installed to estimate the
net benefit provided by the renewable energy system. This approach is most common with solar thermal
systems.

Determining the electrical output of systems is relatively straightforward. This is because electrical
output and parasitic loads can be simply measured with many commercially available meters. Measuring
thermal output (e.g., hot water from a domestic hot water solar system displacing an electric water-
heating system) is also straightforward, although not necessarily inexpensive, using commercial Btu
meters, water-flow meters, temperature transducers, etc. However, all of the thermal output from a
system does not necessarily displace an equivalent amount of electrical load due to storage and system
losses.

Metering Information

Electrical Metering
Electricity measurements associated with generator output, parasitic loads, and power to the project site,
third parties, and the utility may be needed. All electrical meters (and related equipment) are usually
provided, installed, owned, and maintained by the ESCO or servicing utility.




Enhanced C/I Performance Program Procedures     B.10-1                                                       v10
                                                                           Part B, Section 10: Renewables M&V Plan



With the one-for-one replacement M&V method, meters will typically show the measure's gross output,
in kW and kWh, less parasitic (e.g., pump motors) use and sales to third parties or the local utility, as well
as any local transformation and transmission losses. The goal with this method is usually to measure net
generation delivered to the site. Metering, interconnection (including safety provisions), reporting, and
other related issues are to be in accordance with current electrical standards and the requirements of the
servicing electric utility.

With the net energy use M&V method, deliveries to and from the facility should be separately recorded
and treated as separate transactions. Note that power may flow into or out of the “plant” at different times
and thus detents that prevent reverse registration may be required. For purposes of power delivered to the
site, a single meter that records energy supplied to the site is preferred. If a calculated transformer loss
value is used, it must be based on certified factory test data for that particular transformer supplied by the
manufacturer and acceptable to NYSERDA.

The following are some suggested metering requirements:
   • kWh and demand metering at the point of delivery.
   • Time-of-delivery metering.
   • Conduit to accommodate a telephone line for remote meter reading.
   • Load-profile recording equipment at the point of delivery, with graphic recorder or data logger.

Thermal Metering
Thermal meters (e.g., Btu meters) are required for measuring the net thermal output of certain renewable
energy systems (e.g., hot water generated by an active solar system).

Note that metering of thermal energy requires a “net” measurement of flows and enthalpy to and from a
system. Measurements of thermal flows may need to take into account any vented or wasted energy
produced by the system but not used at the site, as well as distribution and storage losses. Also note that
small errors in enthalpy measurements (usually determined by temperature) can introduce large errors in
the energy calculations, so meter precision, accuracy, and calibration are especially important.

10.4 Equations For Calculating Savings
The general format for calculating savings from renewable energy projects is shown below for two M&V
approaches.

“One-for-one replacement” calculation:

Savings equal:

                                     (electrical energy delivered) +
        [(thermal energy delivered and used) ÷ (thermal to electric efficiency of displaced system)]


Net benefits calculation:

Savings equal:

              (Pre-installation electrical energy use) – (Post-installation electrical energy use)



Enhanced C/I Performance Program Procedures     B.10-2                                                       v10
                                                                   Part B, Section 10: Renewables M&V Plan




10.5 Project-Specific Measurement and Verification Plan
Measurement and verification plans for renewable energy projects must be custom developed by the
ESCO for NYSERDA’s review and approval. This is because each project is usually unique and there are
no guideline M&V methods (as there are for water and energy measures). The information in Section 1
may be used preparing the M&V plan.




Enhanced C/I Performance Program Procedures   B.10-3                                                 v10

								
To top