120003 O5 Exhibit D Data and Tools Requirements Guide.pdf

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IRA HOME ENERGY REBATES: DATA & TOOLS REQUIREMENTS GUIDE

VERSION 1.2

Published on May 2nd, 2024

This document, Version 1.2, replaces the document published on October 13, 2023.

Please note the following principal changes:

• The introduction has been revised for clarity. It includes more explicit information on different options for meeting requirements and highlights the timing for states to provide information required prior to program launch.

• The previously labeled ”Parts” have been changed to “Sections” to be consistent with the Program Requirements document.

• Required Pre-Launch Information (Sections 2.1 and 3.1) must be submitted at least 60 days before program launch, and changes must be flagged at least 30 days in advance (previously unspecified).

• Required Rebate Transaction Data (Sections 2.2 and 3.2) incorporates information from the previous Parts 1D and 2D, respectively. For states not using the DOE/PNNL Rebate Tracker, this data must be submitted monthly (previously quarterly).

• Required Programmatic Data (Sections 2.3 and 3.3) must be reported on a monthly basis (previously quarterly).

• The previous Part 3 has been removed for simplification.

• The previous Part 5 has been reorganized into the new Section 4.0 and adds information about workflows, APIs, and data submission.

• Many of the data points previously required in the table in Part 1B have been moved to the new Section 5.0 Appendix A. Appendix A has been added to this document to ensure that consistent data is collected when doing Section 50121 assessments. Assessments requirements vary for modeled vs. measured savings projects. Unlike the data points required in the other portions of this document, assessment data must be transmitted via an HPXML/BuildingSync file

120003 O5 Exhibit D

Sign up for updates and learn more: ii produced by home assessment software tools. Therefore, states will not be reporting assessment data as individual data points.

• The previous Appendix has been incorporated into the new Section 6.0 Appendix B and updates some information.

• The previous Part 4 has been incorporated into the new Section 7.0 Appendix C and adds a recommendation about linking data to the DOE/PNNL API.

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Modifications adopted in this document are as follows and are highlighted in the text in yellow:

Version No.

Item No.

Description of Modification Location(s)

1.2

Table in previous Part 1A

• Removes “Additional Notes” column

• Adds numbering column

• Reorders and consolidates rows, some rows moved to new Table 2

Section 2.1, Table 1, pg. 3

New Table 2 adds required Pre-Launch Data Details for Section 50121 if the state is planning on using the real-time API and coupon system provided by PNNL, including instructions that the information must be provided at least 60 days prior to the launch of their program.

Section 2.1, Table 2, pg. 4-5

Table in previous Part 1B

• Reorders and consolidates rows from previous table

• Adds numbering column

• Renames data categories for clarity

• Adds:

o Row 4 (Claimant phone number) o Row 5 (Homeowner email) o Row 6 (Homeowner phone number) o Row 7 (Applicant ID) o Row 9 (Unique portfolio identifier) o Row 10 (State attestation) o Row 17 (Building address ID) o Row 22 (Contractor name) o Row 23 (Company name) o Rows 28-37 (Safety Testing) o Row 38 (Final Rebate Payout to Homeowner) o Row 39 (Final Rebate Payout to Aggregator) o Row 48 (Measured Energy Use) o Rows 49-50 (Measured Savings)

Section 2.2, Table 3, pg. 6-15

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• Adds additional note to row 14

• Adds additional note to row 16

• Adds DOE reporting requirement to row 24

• Adds additional note to row 27

• Removes previous rows 5, 16, 17, 18, 19, 21-22, 24-27, 33, 41-44, 50-53

Table in previous Part 1C

• Adds numbering column

• Adds:

o Number of LMI multifamily projects (row 13) o Rebate funding to LMI multifamily projects (row 18) o Number of responses to required consumer satisfaction survey

(row 22)

Section 2.3, Table 4, pg.16-

Table in previous Part 2A

• Removes “Additional Information” column

• Adds numbering column

• Adds program implementer contact information (row 3)

• Adds program launch timing (row 4)

• Reorders and consolidates rows, some rows moved to new Table 6

• Consolidates funding allocation

• Replaces “mini-assessment” with “limited assessment”

Section 3.1, Table 5, pg. 18-

New Table 6 adds required Pre-Launch Data Details for Section 50122 if the state is planning on using the real-time API and coupon system provided by PNNL, including instructions that the information must be provided at least 60 days prior to the launch of their program. Adds question about point of sale entities.

Section 3.1, Table 6, pg. 19

Table in previous Part 2B

• Reorders and consolidates rows from previous table

Section 3.2, Table 7, pg. 20-

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• Adds numbering column

• Renames data categories for clarity

• Adds:

o Row 3 (Installation type) o Row 5 (Claimant phone number) o Row 6 (Homeowner email) o Row 7 (Homeowner phone number) o Row 8 (Applicant ID) o Row 9 (State attestation) o Row 27 (Contractor name) o Row 28 (Company name) o Rows 30-31 (Measure Information) o Row 35 (Vendor ID) o Row 43 (Proof of delivery) o Rows 45-54 (Safety Testing) o Row 55 (Consumer Satisfaction)

• Adds additional notes to rows 18-19

• Adds DOE reporting requirement to row 26

• Adds additional options (model number or AHRI) to row 33 for purchased item identification

• Adds additional note to row 44

• Removes previous rows 7, 23-27, 30-31, 34, 40, 43, 47-51

Table in previous Part 2C

• Adds numbering column

• Adds:

o Number of LMI multifamily projects (row 13) o Number of responses to required consumer satisfaction survey

(row 20)

• Revises LMI to be <80% AMI in rows 15 and 18

Section 3.3, Table 8, pg. 31-

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9 New Tables 9 and 10 add HPXML and BuildingSync data requirements for single- and multi-family Section 50121 rebates, respectively.

Section 5.1, Table 9, pg. 36- Section 5.2, Table 10, pg. 41-

Relocates upgrade component data required for Section 50122 (formerly in “Appendix”) to new Table 11 in Section 6.0. Adds numbering column and required upgrade components for –

• Envelope Improvements – Wall Insulation (row 3)

• Envelope Improvements – Ceiling Insulation (row 6)

• Envelope Improvements – Duct Insulation (rows 7-8)

• Envelope Improvements – Floor Insulation Above Conditioned

Space (rows 9-12)

• Envelope Improvements – Foundation Insulation (rows 13-15)

• Envelope Improvements – Air Sealing (row 19)

• HVAC – Ventilation (rows 29-30)

Section 6.0, Table 11, pg. 51-

11 Adds limited assessment input requirements for Section 50122 HVAC Section 6.0, Table 12, pg. 61-

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Table of Contents

1.0 Introduction

1.1 Meeting the Data & Tool Requirements

1.2 Additional Information & Assistance

2.0 Home Efficiency Rebates (Section 50121)

2.1 Section 50121 Rebates: Pre-Launch Information (Required)

2.2 Section 50121 Rebates: Rebate Transaction Data Collection & Reporting (Required)

2.3 Section 50121 Rebates: Programmatic Data Tracking & Reporting (Required)

3.0 Home Electrification & Appliances Rebates (Section 50122)

3.1 Section 50122 Rebates: Pre-Launch Information (Required)

3.2 Section 50122 Rebates: Rebate Transaction Data Collection & Reporting (Required)

3.3 Section 50122 Rebates: Programmatic Data Tracking & Reporting (Required)

4.0 Rebate Tracking, Processing & Workflows

4.1 Workflows

4.2 APIs

4.3 Data Submittal to DOE

4.4 Learn More

5.0 Appendix A – Section 50121 HPXML and BuildingSync Field Requirements

5.1 Single Family Buildings

5.2 Multifamily Buildings

6.0 Appendix B – Section 50122 Components

7.0 Appendix C – IT System Functions

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Tables Table 1: Pre-Launch Data Details for Section 50121

Table 2: Pre-Launch Data Details for Section 50121 if using the Real-Time API Coupon System Provided by PNNL

Table 3: Required Transaction Data Components for Section 50121

Table 4: Required Program Data Tracking for Section 50121

Table 5: Pre-Launch Data Details for Section 50122

Table 6: Pre-Launch Data Details for Section 50122 if using the Real-Time API Coupon System Provided by PNNL

Table 7: Required Transaction Data Components for Section 50122

Table 8: Required Program Data Tracking for Section 50122

Table 9: Single-Family HPXML Inputs for Section 50121

Table 10: Multifamily Data Inputs for Section 50121

Table 11: Upgrade Component Data Required for Section 50122

Table 12: Required Limited Assessment Inputs for Section 50122 HVAC

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1.0 Introduction

This guide delineates the data and information that states must collect, retain, and/or report to the U.S. Department of Energy (DOE) prior to launch as well as throughout the course of the two residential rebate programs authorized by Sections 50121 and 50122 of the Inflation Reduction Act (IRA) of 2022. It provides details related to requirements noted in the DOE Program Requirements & Application Instructions (Program Requirements)1 for the IRA Home Energy Rebates Program. Relevant portion(s) of the Program Requirements are listed as references in footnotes.2

The guide is organized as follows:

• Sections 2.0 and 3.0 describe data collection, tracking, and reporting requirements for the Home Efficiency Rebates (Section 50121) and the Home Electrification and Appliance Rebates (Section 50122), respectively.3 Each section is broken out into three parts:

1. Questions that states must answer at least 60 days prior to program launch

2. Data requirements associated with individual rebate transactions4

3. Data requirements associated with overall rebate programs5

• Section 4.0 introduces the DOE/Pacific Northwest National Laboratory (PNNL) workflows and application programming interfaces (APIs).

o States are required to either use the DOE/PNNL workflows OR receive DOE approval of alternative workflows submitted at least 60 days prior to launch.

1 Program Requirements can be accessed at: https://www.energy.gov/scep/articles/home-energy-rebate-programs-requirements-and-application-instructions 2 DOE/PNNL expect that clarifications and revisions will be needed to address questions and comments that arise as states and implementers begin to design and launch their programs. Once these issues are resolved, DOE/PNNL will strive to keep changes and updates to a minimum. Throughout the course of the rebates, DOE/PNNL will alert states prior to making any changes to this document, workflows, or the APIs and provide appropriate lead time for states to make any required changes (unless there’s a critical system problem that needs to be fixed immediately).

3 While this guide breaks out requirements for each of the two rebate programs, some states may elect to build one system to implement both types of rebate programs.

4 See Program Requirements: Sections 3.1.2; 3.1.3; 3.1.5; 3.2.2; 3.2.4; 4.1.3; 4.1.5; 4.1.6; 4.2.4 5 See Program Requirements: Sections 3.1.6.2; 4.1.7.1

Sign up for updates and learn more: 2 o States are required to submit rebate transaction-level data via the API or a DOE/PNNL standardized spreadsheet.

States that use the DOE/PNNL workflows will fulfill this requirement in real time. States that use their own workflows must submit all transaction data for the prior month on the first of each month.

• Appendices A and B provide requirements for data collection, documentation, and quality installation for Sections 50121 & 50122 rebate projects, respectively.6

• Appendix C is intended to serve as a reference checklist of the primary functions required to carry out the rebate programs.

1.1 Meeting the Data & Tool Requirements

In meeting the reporting requirements outlined in this guide, states must adhere to the data security requirements described in the Program Requirements. While not all data points must be reported to DOE, DOE may request, pursuant to the applicable privacy rules, any data elements that states must retain for the purposes of audits or other needs. All requirements are consistent with and will be included on the Federal Assistance Reporting Checklist (FARC) as part of the award package.

1.2 Additional Information & Assistance

The DOE/PNNL team is committed to working with states and their program implementers to ensure that data collection, reporting, and tracking – as well as rebate processing – are simple and effective.

If you have any questions about the content in this document, please feel free to reach out to the data and tools team at RebateTools@pnnl.gov.

6 A state’s program design should incorporate quality assurance and enforcement mechanisms to verify the quality of contractor work. States are encouraged to develop methods that efficiently but effectively use resources. Some examples include using less highly trained personnel (e.g., technical college or recent high school graduates) to carry out basic quality review (e.g., checking that all vents are working and connected to ducts); or, conducting more frequent in person inspections for certain types of projects (e.g., those that include HVAC, those completed by new contractors or by contractors that haven’t demonstrated consistently high quality work, those completed in low-income homes and/or with greater levels of public investment).

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2.0 Home Efficiency Rebates (Section 50121)

2.1 Section 50121 Rebates: Pre-Launch Information (Required)

DOE requires pre-launch information to understand how PNNL’s IT team will need to engage with the state and/or its implementer.

States can provide this information in any format; however, DOE/PNNL is providing a standardized spreadsheet in the section labeled “Pre-Launch Data Details” on https://www.pnnl.gov/projects/rebate-tools/pre-program-launch.

States must:

• Provide all of the following information to their project officer at least 60 days BEFORE launching their Section 50121 Program.

• Notify the DOE/PNNL team at least 30 days prior to making any changes in relevant program designations (e.g., low-income allocations, rebate amounts) over the course of implementing the rebate programs, so that the system can be updated accordingly.

Table 1: Pre-Launch Data Details for Section 50121

Pre-Launch Data Details

1 Anticipated program launch date (enter in mm/dd/yy)

2 Which implementers will you be working with to implement your IRA rebates?

3 Please provide contact information for those within that company that should have access to the DOE/PNNL APIs and/or state dashboard.

4 Does the state plan to allow the modeled savings approach at time of program launch? (Yes / No)

5 Does the state plan to offer the measured savings approach at time of program launch? (Yes / No)

If the state is planning on using the real-time API and coupon system provided by PNNL, then they must also provide the following information at least 60 days prior to the launch of their program.

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Table 2: Pre-Launch Data Details for Section 50121 if using the Real-Time API Coupon System Provided by PNNL

Pre-Launch Data Details

1 How much funding does the state want to allocate to the Section 50121 rebates?

2 If offering both modeled and measured savings approaches, does the state want to designate percentage allocations for the two methods? (Yes / No)

3 If yes, what percentage for modeled?

4 If yes, what percentage for measured?

5 Does the state want to allocate funds in any other way besides how the funds are allocated in the Program Requirements7 (e.g., setting higher minimums for low-income, low-income multifamily; setting minimums for overall multifamily, etc.)?

6 If offering modeled approach: For modeled savings approach projects, what amount of time does the state plan to allow a rebate reservation to be active for single-family buildings? Enter time period (e.g., 1 month, 6 months, 1 year)

7 If offering modeled approach: For modeled savings approach projects, what amount of time does the state plan to allow a rebate reservation to be active for multifamily buildings (where more than one unit is being updated)? Enter time period (e.g., 1 month, 6 months, 1 year, 2 years)

8 For measured savings approach projects, what amount of time8 does the state plan to allow a rebate reservation to be active for single-family buildings? Enter time period (e.g., 1 month, 6 months, 15 months, 18 months, 2 years)

9 For measured savings approach projects, what amount of time9 does the state plan to allow a rebate reservation to be active for multifamily buildings (where more than one unit is being updated)? Enter time period (e.g., 1 month, 6 months, 15 months, 18 months, 2 years)

7 Refer to Section 7.0 of Program Requirements & Application Instructions-Appendix A: Required Allocations. Table 13. Home Energy Performance-Based, Whole-House Rebate Allocations (50121) 8 The reason this is more than one year is because for the measured path, the rebate cannot be redeemed prior to one year after the project has been completed, so that the “after” utility bills can be collected and uploaded.

9 Refer to Section 7.0 of Program Requirements & Application Instructions-Appendix A: Required Allocations. Table 13. Home Energy Performance-Based, Whole-House Rebate Allocations (50121)

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10 For measured projects in single-family buildings, will the state place a cap or limit on the rebate amount if it exceeds estimated savings? If so, what amount (e.g., 120% of estimated savings)? Note that the coupon tracking system will be set up to reserve the level designated by the state.

11 For measured projects in multifamily buildings, will the state place a cap or limit on the rebate amount if it exceeds estimated savings? If so, what amount (e.g., 120% of estimated savings)? Note that the coupon tracking system will be set up to reserve the level designated by the state.

12 For measured projects, please confirm if the state will be using the payment rates as outlined in Table 3 of the Program Requirement & Application Instructions, or proposing to use a different rebate amount?10

13 Are you using PNNL Quality Install (QI) Tool for Quality Assurance (QA) requirement listed in Table 3 below?

(Yes / No) If not using PNNL QI tool, provide details to DOE on the process for how the QA required elements will be collected and submitted.

2.2 Section 50121 Rebates: Rebate Transaction Data Collection & Reporting (Required)

The table below lists all the data that is required to be collected by the state or a third party for each rebate transaction associated with the Home Efficiency Rebates.

• All the following data elements must be collected and retained by the state or its implementer.

• Some of the following data elements must ALSO be reported to DOE through the API or a DOE/PNNL standardized spreadsheet. These are marked with an X in the column entitled “Required to Report to DOE”.

• Unless otherwise noted, a state can elect to share any of the following data elements with DOE via the Main API or a DOE/PNNL standardized spreadsheet.

• States need to refer to the API documentation defined in a living document and located on this webpage:

https://www.pnnl.gov/projects/rebate-tools.

10 Different rebate amounts must be proposed in Narrative Document and are subject to DOE approval

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Methods of Reporting:

• For states that elect to use the DOE/PNNL Rebate Tracking System, the DOE will automatically receive this data via the DOE/PNNL Main API at the time of each transaction.

• For states that elect NOT to use the DOE/PNNL Rebate Tracker, states must submit this data monthly (on the last day of the month) via the DOE/PNNL Main API or a DOE/PNNL standardized spreadsheet.

Any data components not designated as “Report to DOE” must be retained and provided to DOE upon request.

Table 3: Required Transaction Data Components for Section 50121

Data Category11 Specific Data Element

Suggested Drop-Down Options & Other Information

Required to Report to

DOE

Additional Notes

1 Initiate Rebate Request

Rebate type12 • Modeled savings

• Measured savings

X

2 Initiate Rebate Request

Claimant type • Homeowner

• Multifamily building owner

• Contractor

• Aggregator

• Other

3 Initiate Rebate

Claimant email

Do NOT share this data point with

DOE.

4 Initiate Rebate

Claimant phone number

11 Data categories listed refer to components of the workflows listed in Section 4.0 of this document.

12 If a state is offering both Section 50121 and 50122 rebates, then this question could be part of a combined user interface and the additional option would be the electrification rebates.

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Options & Other Information

Required to Report to

DOE

Additional Notes

5 Initiate Rebate Request

Homeowner email (if claimant is not the building owner)

6 Initiate Rebate Request

Homeowner phone number (if claimant is not the building owner)

7 Initiate Rebate

Applicant ID

PNNL will provide a separate API which will create unique applicant identifier. The Applicant ID is used for the duration of the rebate processing, tracking, and reporting.

8 Initiate Rebate

Unique project identifier

9 Initiate Rebate

Unique portfolio identifier (if applicable)

For measured projects that are submitted as part of a portfolio.

Initiate Rebate

State attestation Yes / No (or Checkbox)

X

The state attests that ‘we have required proof of identify, proof of ownership, and proof of income for this rebate’

11 Household Eligibility Methods used to establish income qualification

• Link to IRS 1040 request form

• List of Categorical Eligibility Programs

• Pay stubs

Only for applicants requesting income-qualifying rebate levels.

See list of categorically eligible programs here:

https://www.energy.gov/scep/articl es/ira-50121-50122-home-energy-rebates-categorical-eligibility-list.

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Options & Other Information

Required to Report to

DOE

Additional Notes

12 Household Eligibility Number of people in household

Only for applicants requesting income-qualifying rebate levels

13 Household Eligibility Income bucket • <80% AMI

• ≥80% AMI

X

DOE/PNNL’s Address API allows programs to compare a household’s income with up-to-date AMI levels corresponding to address & occupancy.13 States are encouraged to use this API. If they choose to use anything else, they need to get approval from DOE project officer.

Only for applicants requesting income-qualifying rebate levels.

14 Household Eligibility Disadvantaged community Yes / No

X

If the state uses the DOE map (CEJST) for designating Disadvantaged Communities, this additional data field is optional. If the state uses a different method for designating Disadvantaged Communities, the state must provide their map with designated disadvantaged communities to DOE/PNNL and/or include this data field separately in their data collection and reporting.

15 Household Eligibility New or existing construction New / Existing X

13 Address API is provided on https://www.pnnl.gov/projects/rebate-tools

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Options & Other Information

Required to Report to

DOE

Additional Notes

16 Household Eligibility Building address

While the address field appears to a user to be in the same API as the rest of the rebate information, the address data point actually gets sent to a separate “address API” on a separate server than the "main API” and does not get sent to DOE.

17 Household Eligibility Building address ID

X

Address must be entered in the separate Address API, which will create the unique address identifier for the Main API. The Address ID is used for the duration of the rebate processing, tracking, and reporting.

18 Household Eligibility Building type • Detached Single Family

• Attached Single Family

• Manufactured Home

• Multifamily In-Unit

• Central Multifamily

19 Household Eligibility If MF, number of units in building

20 Household Eligibility If MF, percent of units that meet <80% AMI bucket

Between 0 and 100%

21 Household Eligibility Unique identifier(s) for utility account(s)

22 Contractor Eligibility Contractor name First and last name of contractor

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Options & Other Information

Required to Report to

DOE

Additional Notes

23 Contractor Eligibility Company name (if different from contractor name)

24 Contractor Eligibility Is contractor eligible? Yes / No X

25 Measure Information Home component(s) to be upgraded (check all that apply)

Wall insulation, ceiling insulation, duct insulation, floor/foundation insulation, window replacement, window attachment, air sealing, duct sealing, water heater, heating equipment, cooling equipment, ventilation, appliance

26 Measure Information Current rebate request amount

Not required for spreadsheet

27 Quality Assurance (1) Proof of quality installation and installation at designated address at time of project completion.

(2) Geo-tagged and time stamped quality installation photos of all home components that were upgraded.

DOE/PNNL tool https://www.pnnl.gov/projects/qua lity-install-tool is recommended.

If not using PNNL QI tool, provide details to DOE on the process for how the QA required elements will be collected and submitted within 60 days of program launch

28 Safety Testing Does the venting test pass? Passed / Failed / Warning / N/A X

Testing is only required if the home has one or more combustion appliances post-retrofit.

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Options & Other Information

Required to Report to

DOE

Additional Notes

29 Safety Testing Does the spillage test(s) pass?

Passed / Failed / Warning / N/A X

Testing is only required if the home has one or more combustion appliances post-retrofit.

30 Safety Testing Does gas leak detection test pass?

Passed / Failed / Warning / N/A X

Testing is only required if the home has one or more combustion appliances post-retrofit

31 Safety Testing Does the ambient CO test pass?

Passed / Failed / Warning / N/A X

Testing is only required if the home has one or more combustion appliances post-retrofit

32 Safety Testing Does the undiluted CO test pass?

Passed / Failed / Warning / N/A X

Testing is only required if the home has one or more combustion appliances post-retrofit

33 Safety Testing Are there signs of mold or moisture in or outside the home?

Yes / No X

Contractor should not proceed with energy efficiency measures if there are signs of mold or moisture.

34 Safety Testing What is the roof condition? Good / Potential issues X

35 Safety Testing What is the drainage system condition?

Good / Potential issues

36 Safety Testing Has an ASHRAE 62.2 calculation been performed pre- and post-retrofit to ensure proper indoor air quality?

Yes / No

37 Safety Testing Confirm that answers to questions 28-36 have been disclosed to the homeowner

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Options & Other Information

Required to Report to

DOE

Additional Notes

38 Total Rebate Payout for the project

Total amount of rebate payout

This is the total rebate amount that was paid by the state to the claimant for this project

39 Final Rebate Payout to the Household

Amount of rebate deducted or paid to the

This is the amount of money that the homeowner received for the rebate for modeled or measured; It maybe the same as the Total Rebate Payout if there is no aggregator involved

40 Final Rebate Payout to Aggregator

Amount of rebate paid to aggregator14

This is the amount of money that the aggregator received for the rebate. This field is only for measured projects using aggregators.

41 Project Cost Equipment & materials X

42 Project Cost Installation costs X

43 Project Completion Project completion date X

44 Project Invoice Project invoices

45 Building Owner Signature

Signature or electronic signature confirming that the improvements were made at the address on the coupon

14 For measured projects, contractors can act as aggregators.

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Options & Other Information

Required to Report to

DOE

Additional Notes

46 Modeled Energy Use BPI 2400 compliant, DOE approved software used

The National Renewable Energy Laboratory is developing a methodology to review energy modeling software for BPI 2400 compliance. A list of approved software will be provided on https://www.pnnl.gov/projects/reb ate-tools when it is available.

47 Modeled or Measured Energy Use

Total site (modeled or measured) kWh equivalent15 before retrofit energy use

48 Modeled or Measured Energy Use

Total site estimated kWh equivalent after retrofit energy use

49 Measured Energy Use Total site actual kWh equivalent after retrofit energy use

50 Measured Energy Savings

Software used to estimate energy savings

51 Measured Energy Savings

Output files from open-source advanced M&V software as approved by

DOE

Files must be submitted in .csv format

15 KWh equivalent is a metric that reflects the energy savings of all fuels in the project using the energy conversion of non-electric fuels to kWh on a BTU-equivalent basis as defined in section 4.3.2 of BPI 2400-2015. See section 3.2.4.2 of the Program Requirements and Application Instruction documents for how to calculate kWh equivalent.

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Options & Other Information

Required to Report to

DOE

Additional Notes

52 Home Assessment Data

HPXML file (single family)/BuildingSync file (multifamily)

See Appendix A – Section 50121 HPXML and BuildingSync Field Requirements

X

See Appendix A – Section 50121 HPXML and BuildingSync Field Requirements

53 Consumer Satisfaction Per Appendix B of the Program Requirements and Application Instructions document, states must ask consumers the following questions as part of a post-rebate project survey.

On a scale of 1 to 5:

Strongly Disagree = 1, Strongly Agree = 5, (include “Don’t Know” and “Not Applicable)”

• It was easy to understand the rebate requirements and provide the needed information

• It was easy to find a contractor/retailer who understood how to process the rebate

• The contractor/retailer provided a high-quality of service

States can include additional questions, but at minimum must include these.

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Options & Other Information

Required to Report to

DOE

Additional Notes

• The rebate was a major reason for my purchase

• My new efficiency upgrades perform well

• My home is more comfortable than it was before the new efficiency upgrades

• My energy bills are lower since the new efficiency upgrades

• Overall, I am satisfied with my experience with the [Rebate name] program

• I would recommend this program to a friend or family member who could use it

• I plan to do more to save energy in my home because of my experience with this program

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2.3 Section 50121 Rebates: Programmatic Data Tracking & Reporting (Required)

The following programmatic data must be tracked by States and/or a designee and submitted on a monthly basis through the DOE PAGE system.

States can use DOE/PNNL-provided admin access to its centralized rebate database to download information required for any fields noted with an “X”.

Data in the DOE/PNNL central rebate database will be:

• updated live for those states that use the DOE-provided workflows; and,

• updated monthly for those states that submit the data required in Section 2.2 via the Main API or DOE/PNNL standardized spreadsheet.

States can use the DOE/PNNL rebate tracking database to assemble this information via DOE-provided admin access where noted in the right column.

Table 4: Required Program Data Tracking for Section 50121

Data Element Details if Applicable

Can be Downloaded from DOE/PNNL rebate tracking Database

1 Total administrative Spend

2 Other funds leveraged? Yes / No

3 Type/Source of other funds (if applicable)

4 Amount of leveraged funds

5 Number of $200 Installer Bonuses

6 Other project-related costs

7 List of qualified contractors Provide a link to a live list that the state will keep updated

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8 Rebate funds allocated X

9 Number of homes receiving rebates

10 Number of projects by LMI X

11 Number of projects by DAC X

12 Number of single-family projects X

13 Number of LMI multifamily projects

14 Number of multifamily projects X

15 Rebate funding to LMI households

16 Rebate funding to DAC households

17 Rebate funding to single family

18 Rebate funding to LMI multifamily projects

19 Rebate funding to multifamily

20 Portfolio energy savings (modeled only)

21 Portfolio energy savings (measured only)

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22 Number of responses to required consumer satisfaction survey

See Appendix B of DOE Program Requirements for more information.

These will be collected as part of the state’s monthly progress reporting as required in the FARC (Financial Assistance Reporting Checklist).

3.0 Home Electrification & Appliances Rebates (Section 50122)

3.1 Section 50122 Rebates: Pre-Launch Information (Required)

DOE requires pre-launch information to understand how PNNL’s IT team will need to engage with the state and/or its implementer.

States can provide this information in any format; however, DOE/PNNL is providing a standardized spreadsheet in the section labeled “Pre-Launch Data Details” on https://www.pnnl.gov/projects/rebate-tools/pre-program-launch.

States must:

• Provide all of the following information to their project officer at least 60 days BEFORE launching their Section 50122 Program.

• Notify the DOE/PNNL team at least 30 days prior to making any changes in relevant program designations (e.g., low-income allocations, rebate amounts) over the course of implementing the rebate programs, so that the system can be updated accordingly.

Table 5: Pre-Launch Data Details for Section 50122

Pre-Launch Data Details

1 Anticipated program launch date (enter in mm/dd/yy)

2 Which implementers will you be working with to implement your IRA rebates?

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3 Please provide contact information for those within that company that should have access to the DOE/PNNL APIs and/or state dashboard.

4 Does the state plan to allow Section 50122 rebates approach at time of program launch? (Yes / No)

5 Refer to Program Requirements Section 7.0 Appendix A: Required Allocations. Table 14. High Efficiency Electric Home Rebate Allocations (50122) Does the state want to allocate funds in any other way besides how the funds are allocated in the table (e.g., setting higher minimums for low-income, low-income multifamily; setting minimums for overall multifamily;

setting minimums or maximums for specific product categories, rental properties, etc.)?

6 What is the maximum amount that the state will offer for each electrification rebate in multifamily buildings?

Please provide additional info on additional restrictions if applicable

7 In addition to requiring limited home assessments (i.e., mini-assessments) for heating & cooling projects, will the state require limited assessments for other Section 50122 projects? If yes, list all rebate-covered product types for which the state will require limited assessments?

8 Please provide the initial list of vendors that the states will pay.

If the state is planning on using the real-time API and coupon system provided by PNNL, then they must also provide the following information at least 60 days prior to the launch of their program.

Table 6: Pre-Launch Data Details for Section 50122 if using the Real-Time API Coupon System Provided by PNNL

Pre-Launch Data Details

1 How much funding does the state want to allocate to the Section 50122 rebates?

2 How long does your state plan to allow a coupon to remain viable after rebate request is made (e.g.,, expiration date of 30 days, 45 days, etc.)?

3.2 Section 50122 Rebates: Rebate Transaction Data Collection & Reporting (Required)

The table below lists all the data that is required to be collected by the state or a third party for each rebate transaction associated with the Section 50122 rebates.

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• All the following data elements must be collected and retained by the state or its implementer.

• Some of the following data elements must ALSO be reported to DOE.

• Note that a state can elect to share any of the following data elements with DOE via the Main API or DOE/PNNL standardized spreadsheet unless otherwise noted.

• States need to refer to the API documentation defined in a living document and located on this webpage:

https://www.pnnl.gov/projects/rebate-tools.

Methods of Reporting:

• For states that elect to use the DOE/PNNL Rebate Tracking System, DOE will automatically receive this data via the DOE/PNNL Main API at the time of each transaction.

• For states that elect NOT to use the DOE/PNNL Rebate Tracking System, states must submit this data monthly (on the last day of the month) via the DOE/PNNL Main API or a DOE/PNNL standardized spreadsheet.

Any data components not designated as “Report to DOE” must be retained and provided to DOE upon request.

Table 7: Required Transaction Data Components for Section 50122

Data Category Specific Data Element

Options or Coding

Report to DOE Additional Notes

1 Initiate Rebate

Rebate type16 • Electrification X

2 Initiate Rebate

Claimant type • Homeowner

• Multifamily Building

Owner

• Contractor

• Tenant

16 If a state is offering both Section 50121 and 50122 rebates, then this question could be part of a combined user interface and the additional option would be the electrification rebates.

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Options or Coding

Report to DOE Additional Notes

3 Initiate Rebate Request

Installation type • Do-It-Yourself (DIY)

• Contractor installed

4 Initiate Rebate

Claimant email

5 Initiate Rebate

Claimant phone number

6 Initiate Rebate Request

Homeowner email (if claimant is not the building owner)

7 Initiate Rebate Request

Homeowner phone number (if claimant is not the building owner)

8 Initiate Rebate Request

Applicant ID

X

PNNL will provide a separate API which will create unique applicant identifier. The Applicant ID is used for the duration of the rebate processing, tracking, and reporting.

9 Initiate Rebate Request

State attestation Yes / No (or Checkbox)

X

The state attests that ‘we have required proof of identify, proof of ownership, and proof of income for this rebate.

10 Initiate Rebate

Unique project identifier

Information regarding creation of unique project ID will be provided in the Main API documentation and the PNNL web page (pnnl.gov/projects/rebate-tools)

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Options or Coding

Report to DOE Additional Notes

11 Occupant Basic Info Permission to share energy data with State and DOE for evaluation purposes

12 Occupant Basic Info Owner or renter-occupied

13 Household Eligibility Methods used to establish income qualifications

• 1040 Form

• List of Categorical

Eligibility Programs

• Pay stubs

See list of categorically eligible programs here:

https://www.energy.gov/scep/articl es/ira-50121-50122-home-energy-rebates-categorical-eligibility-list

14 Household Eligibility Disadvantaged community Yes / No

X

If the state uses the DOE map (CEJST) for designating Disadvantaged Communities, this additional data field is optional. If the state uses a different method for designating Disadvantaged Communities, the state must provide their map with designated disadvantaged communities to DOE/PNNL and/or include this data field separately in their data collection and reporting.

15 Household Eligibility New or existing construction New / Existing X

16 Household Eligibility Number of people in

See Address API

17 Household Eligibility Income bucket • <80%

• 80% AMI ≤ X < 150%

AMI

X

See Address API

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Options or Coding

Report to DOE Additional Notes

18 Household Eligibility Building address

While the address field appears to a user to be in the same API as the rest of the rebate information, the address data point actually gets sent to a separate "address API" on a separate server than the "main API" and does not get sent to DOE.

19 Household Eligibility Unique address ID

Address must be entered in the separate Address API, which will create the unique address identifier for the Main API. The Address ID is used for the duration of the rebate processing, tracking, and reporting.

20 Household Eligibility Building type for the project • Detached Single Family

• Attached Single Family

• Manufactured Home

• Multifamily In-Unit

• Multifamily In-Unit (part of whole building project)

• Central Multifamily

21 Household Eligibility If MF, number of units in building

22 Household Eligibility If entire MF building, what percent of units are in <80% AMI bucket or are in the ≥80% AMI and <150% AMI bucket?

Between 0 and 100% for each bucket

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Options or Coding

Report to DOE Additional Notes

23 Household Eligibility If single unit in MF building, what’s the income bucket of tenant in that unit?

• <80% AMI

• ≥80% AMI and <150%

AMI

24 Household Eligibility If single unit in MF building, what’s the unit number?

25 Household Eligibility Prior IRA rebated amounts 7 digit maximum

26 Contractor Eligibility (If applicable)

Is contractor eligible? Yes / No X

Only applicable for HVAC, electrical wiring, electrical load service and air sealing projects

27 Contractor Information

Contractor name First and last name of contractor X

28 Contractor Information

Company name (if different from contractor name)

29 Measure Information Upgrade type • Envelope improvements o Wall insulation o Ceiling insulation o Duct insulation o Floor insulation above unconditioned space o Floor insulation above conditioned space o Foundation insulation o Air sealing o Duct sealing

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Options or Coding

Report to DOE Additional Notes

• Electric load service center

• Electric wiring

• Heat pump water heater

• Heat pump (HVAC)

• Ventilation

• Heat Pump clothes dryer

• Electric stove/cooktop/oven/ran ge

30 Measure Information If upgrade type is “envelope improvements” or “heat pump (HVAC)”, what is the conditioned floor area of the home or unit?

31 Measure Information If upgrade type is “heat pump water heater” or “heat pump dryer”, how many bedrooms are in the home or unit?

32 Measure Information Original and upgrade component details

See Appendix B – Section 50122 Components

X See Appendix B – Section 50122 Components

33 Measure Information Purchased item universal product code(s) (UPC) OR model number OR AHRI reference number

For heat pump measures, only model number(s) or AHRI number will be accepted.

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Options or Coding

Report to DOE Additional Notes

34 Retailer or Distributor Vendor name (if applicable) X The system can list any vendor that has a business license number.

35 Retailer or Distributor this specific rebate transaction applies to (if applicable)

Vendor ID

Vendor ID is only for states and vendors who are connected to the PNNL API for instant access to their state’s rebate tracking system.

Vendor ID is “N/A” if vendor is not connected to the PNNL API. States will approve vendors in their state.

Vendor ID will be determined by

PNNL.

36 Rebate Redemption at Point of Material or Equipment Purchase

Amount of rebate deducted upon material purchase

Only applicable if coupon used at point of sale of equipment/materials

37 Rebate Redemption at Point of Material or Equipment Purchase

Purchase date point of sale of equipment/materials

Required for each reservation

38 Rebate Redemption at Point of Material or Equipment Purchase

Purchased item(s) description as seen on receipt or invoice

Required for each reservation

Required if no UPC

39 Rebate Redemption at Point of Material or Equipment Purchase

Equipment and materials cost point of sale of equipment/materials

Required for each reservation

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Options or Coding

Report to DOE Additional Notes

40 Rebate Redemption at Point of Installation

Project invoice

If rebate is used at point of installation

41 Rebate Redemption at Point of Installation

Equipment and materials cost

If rebate is used at point of installation

42 Rebate Redemption at Point of Installation

Installation costs X

If rebate is used at point of installation

43 Quality Assurance – Retailer Delivery

ONLY

Proof of delivery

If item(s) are delivered but not installed by a retailer and photos are collected as part of a retailer delivery service, the photos should be sent to the state and/or implementer in order to document the delivery to that specific address

44 Quality Assurance – Contractor Install

Proof of quality installation and installation at designated address (to be submitted by the contractor for installations)

X17

DOE/PNNL tool https://www.pnnl.gov/projects/qualit y-install-tool is recommended

If not using PNNL QI tool, provide details to DOE on the process for how the QA required elements will be collected and submitted within 60 days of program launch

45 Safety Testing Does the venting test pass? Passed / Failed / Warning / N/A X

Testing is only required if the home has one or more combustion appliances post-retrofit.

17 Except DIY measures. Everything except heating and cooling/HVAC, electrical wiring, electrical load service, and air sealing can be DIY, however, if it is installed by a contractor, proof of quality installation is required.

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Options or Coding

Report to DOE Additional Notes

46 Safety Testing Does the spillage test(s) pass?

Passed / Failed / Warning / N/A X

Testing is only required if the home has one or more combustion appliances post-retrofit.

47 Safety Testing Does the gas leak detection test pass?

Passed / Failed / Warning / N/A X

Testing is only required if the home has one or more combustion appliances post-retrofit

48 Safety Testing Does the ambient CO test pass?

Passed / Failed / Warning / N/A X

Testing is only required if the home has one or more combustion appliances post-retrofit

49 Safety Testing Does the undiluted CO test pass?

Passed / Failed / Warning / N/A X

Testing is only required if the home has one or more combustion appliances post-retrofit

50 Safety Testing Are there signs of mold or moisture in or outside the home?

Yes / No X

Contractor should not proceed with energy efficiency measures if there are signs of mold or moisture.

51 Safety Testing What is the roof condition? Good / Potential issues X

52 Safety Testing What is the drainage system condition?

Good / Potential issues

53 Safety Testing Has an ASHRAE 62.2 calculation been performed pre- and post-retrofit to ensure proper indoor air quality?

54 Safety Testing Confirm that answers to questions 46-54 have been disclosed to the homeowner.

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Options or Coding

Report to DOE Additional Notes

55 Consumer Satisfaction Per Appendix B of the Program Requirements and Application Instructions document, states must ask consumers the following questions as part of a post-rebate project survey.

On a scale of 1 to 5:

Strongly Disagree = 1, Strongly Agree = 5, (include “Don’t Know” and “Not Applicable)”

• It was easy to understand the rebate requirements and provide the needed information

• It was easy to find a contractor/retailer who understood how to process the rebate

• The contractor/retailer provided a high-quality of service

• The rebate was a major reason for my purchase

• My new efficiency upgrades perform well

States can include additional questions, but at minimum must include these.

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Options or Coding

Report to DOE Additional Notes

• My home is more comfortable than it was before the new efficiency upgrades

• My energy bills are lower since the new efficiency upgrades

• Overall, I am satisfied with my experience with the [Rebate name] program

• I would recommend this program to a friend or family member who could use it

• I plan to do more to save energy in my home because of my experience with this program

3.3 Section 50122 Rebates: Programmatic Data Tracking & Reporting (Required)

The following programmatic data must be tracked by States and/or a designee and submitted on a monthly basis through the DOE PAGE system.

States can use DOE/PNNL-provided admin access to its centralized rebate database to download information required for any fields noted with an “X”.

Data in the DOE/PNNL central rebate database will be:

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• updated live for those states that use the DOE-provided workflows; and,

• updated monthly for those states that submit the data required in Section 3.2 via the Main API or DOE/PNNL standardized spreadsheet.

States can use the DOE/PNNL rebate tracking database to assemble this information via DOE-provided admin access where noted in the right column.

Table 8: Required Program Data Tracking for Section 50122

Can be Downloaded from DOE/PNNL Rebate Tracking Database

1 Total administrative Spend

2 Other funds leveraged? Yes / No

3 Type/Source of other funds (if applicable)

4 Amount of leveraged funds

5 Number of $500 Installer Bonuses

6 Other project-related costs

7 List of qualified contractors Provide a link to a live list that the state will keep updated

8 Rebate funds allocated X

9 Number of homes receiving rebates X

10 Number of projects by LMI X

11 Number of projects by DAC X

12 Number of single-family projects X

13 Number of LMI multifamily projects X

14 Number of multifamily projects X

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Can be Downloaded from DOE/PNNL Rebate Tracking Database

15 Rebate funding to households <80% AMI X

16 Rebate funding to DAC households X

17 Rebate funding to single family projects X

18 Rebate funding to multifamily projects <80%

AMI

19 Rebate funding to multifamily projects X

20 Number of responses to required consumer satisfaction survey

See Appendix B of DOE Program Requirements for more information.

X

These will be collected as part of the state’s monthly progress reporting as required in the FARC (Financial Assistance Reporting Checklist).

4.0 Rebate Tracking, Processing & Workflows

(Required unless DOE approves alternatives for rebate processing and reporting)

To assist states in completing some of the many IT functions needed to facilitate rebate transactions in accordance with legislative and DOE requirements, DOE/PNNL developed workflows and application programming interfaces (APIs) aimed at…