ESBD_404455_1749755276773_Exhibit 5 - DOEHER_ResS_DataToolsReqGuideV2.pdf

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IRA HOME ENERGY REBATES: DATA & TOOLS REQUIREMENTS GUIDE

VERSION 2

Published on January 7th, 2025

This document replaces the Version 1.2 document published on May 2nd, 2024.

Please note the following principal changes from Version 1.2 to Version 2:

• Rebate transaction data elements (additions, removals, changes and clarifications captured throughout the document) are updated to align with the development of the Rebate Tracking and Reporting Tool (API), updates made to the Program Requirements and Application Instructions document, and other program resources such as the Multifamily Requirements Guidance for Modeled Savings and Quality Installation in the Home Energy Rebates Program.

• Clarifies when states opt to report transaction data after-the-fact, using the reporting end-point of the API or via spreadsheet, data must be submitted monthly by the last day of the subsequent month.

• Program pre-launch data details (previously Table 1) are removed and replaced with a web link.

• Programmatic Data (previously Table 4 and Table 8) is removed and replaced with reference to Federal Assistance Reporting Checklist (FARC).

• Safety checks (previously in Table 3 and Table 7) are moved to Appendix C.

• Supporting rebate transaction documentation for proof of quality installation and pre- and post- install photographs are required to be retained by the states and no longer regularly reported to DOE (except when requested).

http://www.energy.gov/scep https://www.energy.gov/scep/articles/home-energy-rebate-programs-requirements-and-application-instructions https://www.energy.gov/scep/articles/home-efficiency-rebates-ira-sections-50121-multifamily-requirements-guidance-modeled https://www.energy.gov/scep/articles/quality-installation-home-energy-rebates-program-ira-sections-50121-and-50122 https://www.energy.gov/scep/articles/quality-installation-home-energy-rebates-program-ira-sections-50121-and-50122

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Modifications adopted in Version 2 are listed in the following table and highlighted in yellow throughout the document.

Item No.

Description of Modification Location(s)

Modifies the structure of the document and descriptions of the updated content, including clarified reporting timelines.

Section 1.0, pp. 1-2

2 Adds clarifying language about data collection, retention, and reporting. Section 1.1, p. 2

Adds Section 1.2 to summarize quarterly reporting requirements for FARC compliance, removes previous Sections 2.3 and 3.3.

Section 1.2, p. 2

Clarifies pre-launch information reporting method and requirements, deletes tables, and refers to online spreadsheet template.

Section 2.1, p. 3

Section 3.1, pp. 15-16

5 Clarifies rebate transaction reporting requirements.

Section 2.2, pp. 3-4

Section 3.2, pp. 16-17

Table 1 (previously Table 3):

• Removes “suggested” from the 4th column title

• Adds:

o Row 3 (Homeowner name) o Row 21 (If MF, number of occupied units in building) o Row 24 (Vendor ID) o Row 30 (Geotagged photos) o Row 32 (Post-Retrofit Inspection Passed) o Row 33 (See Appendix C – Safety Checks) o Row 36 (Amount of disadvantaged community incentive paid) o Row 49 (External Rebate ID)

• Modifies:

o Row 8 (Applicant ID) o Row 9 (Unique project identifier) o Row 10 (Unique portfolio identifier) o Row 11 (State attestation) o Row 14 (Income bucket)

Section 2.2, Table 1, pp. 4-15 http://www.energy.gov/scep

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o Row 28 (Home component(s) to be upgraded) o Row 29 (Rebate reservation amount) o Row 31 (Proof of quality installation) o Row 34 (Total amount of rebate payout) o Row 37 (Equipment & materials cost) o Row 38 (Installation costs) o Row 39 (Project completion date) o Row 40 (Project invoices) o Row 41 (Signature) o Row 42 (Modeling software used) o Row 47 (Output files) o Row 50 (Consumer Satisfaction)

• Removes (previous row numbers):

o Rows 28-37 (Safety Testing) o Row 40 (Amount of rebate paid to aggregator)

Table 2 (previously Table 7):

• Removes “suggested” from the 4th column title

• Adds:

o Row 4 (Emergency replacement) o Row 5 (Claimant name) o Row 24 (If MF, number of occupied units in building) o Row 32 (Limited Home Assessment) o Row 43 (Installation Vendor ID) o Row 46 (Amount of disadvantaged community incentive paid)

Section 3.2, Table 2, pp. 17-

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• Modifies:

o Row 6 (Claimant mail) o Row 10 (Applicant ID) o Row 11 (State attestation) o Row 12 (Unique project identifier) o Row 13 (Permission to share) o Row 19 (Income bucket) o Row 21 (Unique address ID) o Row 22 (Building type) o Row 29 (Is contractor eligible?)

o Row 33 (Upgrade type) o Row 38 (Product Vendor ID) o Row 39 (Amount of rebate deducted) o Row 40 (Purchase date) o Row 41 (Purchased item(s) description) o Row 42 (Equipment & materials cost) o Row 44 (Installation costs) o Row 45 (Project invoice) o Row 49 (Geotagged photos) o Row 50 (Proof of quality installation) o Row 54 (Consumer Satisfaction)

• Removes (previous row numbers):

o Row 34 (Vendor name) o Rows 45-54 (Safety Testing)

8 Adds details on API capabilities. Section 4.2, pp. 29-30

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9 Clarifies data submittal options. Section 4.3, p. 30

10 Adds Section 4.4 about modifying previously submitted data. Section 4.4, p. 30

11 Clarifies HPXML file requirements. Section 5.1, p. 31

Table 3 (previously Table 9):

• Modifies:

o Rows 12-14 (Modeled electricity/gas/other fuel use) o Row 15 (Monthly utility usage data) o Rows 68-70 (Weather Normalized Usage) o Rows 71-75 (Detailed Model Calibration Error) o Rows 76-79 (Simplified Model Calibration Error)

Section 5.1, Table 3, pp. 32-

13 Clarifies data requirements for multifamily buildings. Section 5.2, p. 37

14 Clarifies use of PNNL’s Quality Install Tool and safety testing requirements. Section 6.0, p. 47

15 Modifies footnote 33 to clarify how states handle additional data points. Section 6.0, p. 47

Table 5 (previously Table 11):

• Modifies the table name to include original component data

• Modifies:

o Row 13 (Foundation type) o Row 24 (Existing water heater fuel type/type) o Row 27 (Existing heating distribution type) o Row 29 (new CFM flow rate) o Row 33 (new stovetop/oven/range type)

• Removes (previous row numbers):

o Row 25 (existing water heater type)

Section 6.0, Table 5, pp. 48-

17 Clarifies requirements for limited assessments. Section 6.0, p. 56

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Table 6 (previously Table 12):

• Adds columns “Drop-Down Options or Coding” and “Notes” and populates rows as needed

• Adds rows 19-23 on project eligibility

• Not considering new columns, modifies:

o Row 1 (Address) o Row 4 (Percent conditioned floor area served) o Row 7 (Type of ceiling/attic insulation)

Section 6.0, Table 6, pp. 57-

19 Adds Appendix C – Safety Test Results. Section 7.0, pp. 62-64

Table 7 (rows removed from previous Tables 3 and 7):

• Adds additional notes to rows 1-8

• Modifies rows 6-10

Section 7.0, Table 7, pp. 62-

Adds detail about API use and clarifies additional IT system photo functionality.

Section 8.0, pp. 65-66

Adds footnotes:

• 6 (p. 4, table numbering)

• 8 (p. 6, income verification)

• 9 (p. 7, Address API)

• 10 (p. 10, geotagging)

• 11 (p. 11, QI tool)

• 12 (p. 11, aggregators)

• 14 (p. 15, file format)

• 15 (p. 17, table numbering)

• 16 (p. 20, Address API)

• 17 (p. 23, limited home assessments)

• 18 (p. 27, project completion date)

• 19 (p. 27, geotagging)

• 20 (p. 27, pre-existing equipment)

• 21 (p. 27, quality install)

Throughout

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• 22 (p. 27, QI tool)

• 23 (p. 29, Main API)

• 24 (p. 30, Requirements reference)

• 28 (p. 32, table numbering)

• 29 (p. 32, column explanation)

• 31 (p. 33, blower door tests)

• 32 (p. 38, table numbering)

• 36 (p. 48, table numbering)

• 37 (p. 57, table numbering)

• 38 (p. 62, safety testing)

• 39 (p. 62, combustion safety testing)

Changes the name of the “DOE/PNNL Rebate Tracking System” to “DOE Rebate Tracking and Reporting Tool”

Throughout

24 This version makes clerical fixes, including formatting updates

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Table of Contents

1.0 Introduction

1.1 Meeting the Data & Tool Requirements

1.2 Additional Data Reporting Requirements

1.3 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)

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)

4.0 Rebate Tracking, Processing & Workflows

4.1 Workflows

4.2 APIs

4.3 Data Submittal Options

4.4 Modifying Data Previously Submitted to DOE

4.5 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 – Safety Test Results

8.0 Appendix D – IT System Functions

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Tables

Table 1: Required Transaction Data Components for Section 50121

Table 2: Required Transaction Data Components for Section 50122

Table 3: Single-Family HPXML Inputs for Section 50121

Table 4: Multifamily Data Inputs for Section 50121

Table 5: Original and Upgrade Component Data Required for Section 50122

Table 6: Required Limited Assessment Inputs for Section 50122 HVAC

Table 7: Safety Test Results (50121 and 50122)

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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 two parts:

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

2. Data requirements associated with individual rebate transactions4

• 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.

o States are required to submit rebate transaction-level data via the API (in real-time or using a reporting endpoint) or a DOE/PNNL standardized spreadsheet. States that use the DOE/PNNL workflows will fulfill this requirement utilizing the real time API. States that use their own workflows must submit all transaction data for the prior month on the first of each month by the last day of the subsequent month.

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 https://www.energy.gov/scep/articles/home-energy-rebate-programs-requirements-and-application-instructions

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• Appendices A and B provide requirements for data collection, documentation, and quality installation for Sections

50121 & 50122 rebate projects, respectively.5

• Appendix C is intended to capture the results of safety checks that are performed for Sections 50121 & 50122.

• Appendix D 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. States must report the required data elements identified in this document, at minimum, once a month. For data points identified in this document that states must collect and retain, but not include in their regular submissions to DOE, there is a standing obligation for states to report those additional data points to DOE when instructed. In the event DOE requests data subject to privacy rules, states should discuss data transfer methods with DOE prior to sending. 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 Data Reporting Requirements

In addition to the reporting requirements outlined in this guide, states are obligated to report program level data on a quarterly basis in accordance with the Federal Assistance Reporting Checklist (FARC) as part of the award package.

1.3 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.

5 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 to provide this information.

States must:

• Provide all of the following pre-launch information to their project officer at least 60 days BEFORE launching their Section

50121 Program.

• Notify the Project Officer 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 DOE can request for

PNNL to update the system accordingly.

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 Section 50121 rebates.

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

• Some Most 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 titled “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.

Methods of Reporting:

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

http://www.energy.gov/scep https://www.pnnl.gov/projects/rebate-tools/pre-program-launch https://www.pnnl.gov/projects/rebate-tools

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• For states that elect NOT to use the DOE Rebate Tracking and Reporting Tool in real-time, states must submit this data monthly (on the last day of the month by the last day of the subsequent month) via the DOE/PNNL Main API reporting endpoint or a DOE/PNNL standardized spreadsheet.

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

Table 16: Required Transaction Data Components for Section 50121

Data Category7 Specific Data Element

Suggested Drop-Down Options & Other Information

Required to Report to

DOE

Additional Notes

1 Initiate Rebate Request

Rebate type • Modeled savings

• Measured savings X

2 Initiate Rebate Request

Claimant type • Homeowner

• Multifamily building owner

• Contractor

• Aggregator

• Other

3 Initiate Rebate

Homeowner name

Do NOT report this data point to

DOE.

4 Initiate Rebate

Claimant email

5 Initiate Rebate

Claimant phone number

6 Initiate Rebate Request

Homeowner email (if claimant is not the building owner)

6 Previously labeled Table #3 in the Data and Tools Requirements Guide v1.2.

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

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Options & Other Information

Required to Report to

DOE

Additional Notes

7 Initiate Rebate Request

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

8 Initiate Rebate

Applicant ID

PNNL provides a separate API endpoint which will create a unique applicant identifier from data points collected about the homeowner or building owner that is receiving the benefit of the upgrade or in the case of New Construction, the property development company. The Applicant ID is used for the duration of the rebate processing, tracking, and reporting.

For users that are not connected to DOE/PNNL API, instructions on how to obtain applicant IDs are available at https://www.pnnl.gov/projects/reb ate-tools.

http://www.energy.gov/scep

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Options & Other Information

Required to Report to

DOE

Additional Notes

9 Initiate Rebate

Unique project identifier

This is a unique string supplied by the API user that is used to associate one or more reservations to a single project.

Note: It is recommended that a universally unique identifier (UUID) be used to avoid duplication, but the API user can use any other system that they find convenient, provided that it is unique for the state.

Initiate Rebate

Unique portfolio identifier (if applicable)

Required when claimant type is aggregator.

11 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 income8 for this rebate.

12 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.

8 For rebates provided for ≥80% AMI income bucket, the state is not required to verify proof of income.

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

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Options & Other Information

Required to Report to

DOE

Additional Notes

13 Household Eligibility Number of people in household

Only for applicants requesting income-qualifying rebate levels.

14 Household Eligibility Income bucket • <80% AMI

• ≥80% AMI

See Address API9.

Address Service will provide the user the AMI band based on the number of occupants.

15 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.

16 Household Eligibility New or existing construction New / Existing X

9 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

17 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.

18 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.

how to obtain address IDs are available at https://www.pnnl.gov/projects/reb ate-tools.

19 Household Eligibility Building type • Detached Single-Family

• Attached Single-Family

• Manufactured Home

• Multifamily In-Unit

• Central Multifamily

X

Central Multifamily is used for whole building projects.

Multifamily In-Unit is used for individual unit projects within a multifamily building.

20 Household Eligibility If MF, number of units in building

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Options & Other Information

Required to Report to

DOE

Additional Notes

21 Household Eligibility If MF, number of occupied units in building

Applicable only for Central Multifamily.

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

Between 0 and 100% X

Only required for Central Multifamily (whole building projects).

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

24 Contractor Information

Vendor ID

X

This is a unique ID assigned by the state to a primary contractor performing the work who will receive the rebated funds.

25 Contractor Information

Contractor name First and last name of contractor X

This is the contractor name associated with the reported Vendor ID.

26 Contractor Information

Company name (if different from contractor name)

This is the contractor company name associated with the reported Vendor ID.

27 Contractor Eligibility Is contractor eligible? Yes / No X

This field captures if the contractor completing the project is on the state’s Qualified Contractor list.

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Options & Other Information

Required to Report to

DOE

Additional Notes

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

Wall insulation, ceiling insulation, duct insulation, floor insulation, foundation insulation, window replacement, window attachment, air sealing, duct sealing, water heater, heating equipment, cooling equipment, ventilation, appliance, lighting, pump, motor, VFD, thermostat

29 Measure Information Current rebate request amount

Rebate reservation amount

Only applicable for Measured. Not required when reporting via reporting endpoint or via spreadsheet.

30 Post-Installation Photographs

Geotagged10 photos of all home components that were upgraded

Photographs of the upgraded equipment must be used by the states to verify the equipment installed was eligible for rebate and installed at the address identified for the project at the time the project was completed.

10 Geotagging metadata includes both geolocated coordinates and GPS date and time stamps.

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Options & Other Information

Required to Report to

DOE

Additional Notes

31 Quality Assurance Proof of quality installation at designated address at time of project completion

DOE/PNNL QI tool https://www.pnnl.gov/projects/qua lity-install-tool is recommended.11

States are required to document their QI processes within their Consumer Protection Plan (CPP) for DOE review and approval.

32 Inspection Post-Retrofit Inspection Passed

Yes / No / N/A

X

State attests that if a post-retrofit inspection was conducted and failed that the issues were remedied before the rebate was provided to the claimant.

33 Safety Checks See Appendix C –Safety Checks.

See Appendix C – Safety Checks.

34 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 claimant12 for this project and does not include disadvantaged community incentive.

11 PNNL partnered with industry experts to create quality installation procedures for a large variety of technologies. The Home Energy Rebates program does not require use of the PNNL QI Tool, but DOE encourages states to consider its use as it does meet the requirements of the program. The QI tool is also capable of capturing geotagged photographs of both the pre-existing conditions and the installed equipment.

12 Claimants can be aggregators. See DOE aggregator Fact Sheet for more details: https://www.energy.gov/scep/articles/using-aggregators-deliver-home-efficiency-rebates.

http://www.energy.gov/scep https://www.pnnl.gov/projects/quality-install-tool

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Options & Other Information

Required to Report to

DOE

Additional Notes

35 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.

36 Final Rebate Payout for Disadvantaged Community Incentive

Amount of disadvantaged community incentive paid

This is the amount of money that was paid to an entity that was incentivized for executing projects in a disadvantaged community.

37 Project Cost Equipment & materials cost

X

When a breakdown between equipment & materials and installation costs is available, report the cost of equipment & materials in this field. When a breakdown is not available, states should report $0 in this field and report the total cost in the Installation Costs field.

38 Project Cost Installation costs

X

When a breakdown between equipment & materials and installation costs is available, report the cost of installation in this field.

When a breakdown is not available, states may report a total combined cost in this field.

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Options & Other Information

Required to Report to

DOE

Additional Notes

39 Project Completion Project completion date

X

States have the flexibility to define project completion date but should ensure consistency. The project completion date cannot be a date after the redemption is completed.

40 Project Invoice Project invoices

Total project cost on the invoice should equate to the reported equipment, materials, and installation costs associated with the rebated equipment. If non-rebated items are also on the invoice, those must be separately accounted for on the invoice (both equipment and materials and installation costs).

41 Building Owner Signature

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

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Options & Other Information

Required to Report to

DOE

Additional Notes

42 Modeled Energy Use BPI 2400 compliant, DOE approved Modeling software used

For single-family homes, a list of DOE approved software can be found here:

https://www.energy.gov/scep/singl e-family-modeling-solutions-home-efficiency-rebates-program#.

For multifamily buildings, a list of approved modeling methods is listed here:

https://www.energy.gov/scep/articl es/home-efficiency-rebates-ira-sections-50121-multifamily-requirements-guidance-modeled.

43 Modeled or Measured Energy Use

Total site (modeled or measured) kWh equivalent13 before retrofit energy use

44 Modeled or Measured Energy Use

Total site estimated kWh equivalent after retrofit energy use

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

46 Measured Energy Savings

Software used to estimate energy savings

13 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. https://www.energy.gov/scep/articles/home-energy-rebate-programs-requirements-and-application-instructions http://www.energy.gov/scep https://www.energy.gov/scep/single-family-modeling-solutions-home-efficiency-rebates-program https://www.energy.gov/scep/single-family-modeling-solutions-home-efficiency-rebates-program https://www.energy.gov/scep/single-family-modeling-solutions-home-efficiency-rebates-program https://www.energy.gov/scep/articles/home-efficiency-rebates-ira-sections-50121-multifamily-requirements-guidance-modeled https://www.energy.gov/scep/articles/home-efficiency-rebates-ira-sections-50121-multifamily-requirements-guidance-modeled https://www.energy.gov/scep/articles/home-efficiency-rebates-ira-sections-50121-multifamily-requirements-guidance-modeled https://www.energy.gov/scep/articles/home-efficiency-rebates-ira-sections-50121-multifamily-requirements-guidance-modeled https://www.energy.gov/scep/articles/home-energy-rebate-programs-requirements-and-application-instructions

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Options & Other Information

Required to Report to

DOE

Additional Notes

47 Measured Energy Savings

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

DOE

Files must be submitted in .csv or JSON format.14

48 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.

49 State Tracking External Rebate ID X A unique ID created by the state for each rebate transaction.

Reporting the ID is optional if state system is connected to the PNNL API in real-time.

50 Consumer Satisfaction Refer to Appendix B of the Program Requirements and Application Instructions for a list of questions states must ask consumers.

States can include additional questions, but at minimum must include those listed in the Program Requirements and Application Instructions.

14 To request consideration for supporting additional file formats, please email RebateTools@pnnl.gov.

mailto:RebateTools@pnnl.gov

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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 to provide this information.

States must:

• Provide all of the following pre-launch information to their project officer at least 60 days BEFORE launching their Section

50122 Program.

• Notify the Project Officer 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 DOE can request for

PNNL to update the system accordingly.

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.

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

• Some Most 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 titled “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.

Methods of Reporting:

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

http://www.energy.gov/scep https://www.pnnl.gov/projects/rebate-tools/pre-program-launch

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• For states that elect NOT to use the DOE Rebate Tracking and Reporting Tool in real-time, states must submit this data monthly (on the last day of the month by the last day of the subsequent month) via the DOE/PNNL Main API reporting endpoint or a DOE/PNNL standardized spreadsheet.

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

Table 215: Required Transaction Data Components for Section 50122

Data Category Specific Data Element

Options & Other Information

Required to Report to

DOE

Additional Notes

1 Initiate Rebate Request

Rebate type • Electrification

2 Initiate Rebate

Claimant type • Homeowner

• Multifamily Building Owner

• Contractor

• Tenant

3 Initiate Rebate

Installation type • Do-It-Yourself (DIY)

• Contractor installed

4 Initiate Rebate

Emergency replacement Yes / No

States that have offered emergency replacement as an option for HVAC or water heating must retain records for each rebate that was authorized under emergency replacement circumstances.

5 Initiate Rebate

Claimant name

15 Previously labeled Table #7 in the Data and Tools Requirements Guide v1.2.

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Options & Other Information

Required to Report to

DOE

Additional Notes

6 Initiate Rebate

Claimant email

7 Initiate Rebate

Claimant phone number

8 Initiate Rebate Request

Homeowner email (if claimant is not the building owner)

9 Initiate Rebate Request

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

10 Initiate Rebate Request

Applicant ID

X

PNNL provides a separate API endpoint which will create a unique applicant identifier from data points collected about the homeowner or building owner that is receiving the benefit of the upgrade or in the case of New Construction, the property development company. The Applicant ID is used for the duration of the rebate processing, tracking, and reporting.

how to obtain applicant IDs are available at https://www.pnnl.gov/projects/reb ate-tools.

http://www.energy.gov/scep

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Options & Other Information

Required to Report to

DOE

Additional Notes

11 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.

12 Initiate Rebate

Unique project identifier

This field is required only when the building type is “MF-In Unit (part of whole building)”.

13 Occupant Basic Info Permission to share energy data with state and DOE for evaluation purposes

Yes / No X

Energy data sharing is not required to be eligible for a HEAR rebate.

14 Occupant Basic Info Owner or renter-occupied

15 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.

16 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.

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

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Options & Other Information

Required to Report to

DOE

Additional Notes

17 Household Eligibility New or existing construction New / Existing X

18 Household Eligibility Number of people in

See Address API16.

19 Household Eligibility Income bucket • <80%

• 80% AMI ≤ X < 150%

AMI X

See Address API16.

Address Service will provide the user the AMI band based on the number of occupants.

20 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.

16 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

21 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.

DOE/PNNL API instructions on how to obtain address IDs are available at https://www.pnnl.gov/projects/reb ate-tools.

22 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 X

Multifamily In-Unit must be used when a single unit in a multifamily building is applying for the rebate.

Multifamily In-Unit (part of whole building project) must be used when more than one unit in a multifamily building is applying for the rebate within a single project.

Central Multifamily must be used when the reservation is for shared building upgrades that benefit more than one unit in a multifamily building.

http://www.energy.gov/scep

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Options & Other Information

Required to Report to

DOE

Additional Notes

23 Household Eligibility If MF, number of units in building

Only applicable for Multifamily In- Unit (part of whole building project) and Central Multifamily.

24 Household Eligibility If MF, number of occupied units in building

Only applicable for Multifamily In- Unit (part of whole building project) and Central Multifamily.

25 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

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

• <80% AMI

• ≥80% AMI and <150%

AMI

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

28 Household Eligibility Prior IRA rebated amounts 7 digit maximum

29 Contractor Eligibility (If applicable)

Is contractor eligible? Yes / No

X

This field captures if the contractor completing the project is on the state’s Qualified Contractor list.

This is only applicable for HVAC, electrical wiring, electrical load service and air sealing projects.

30 Contractor Information

Contractor name First and last name of contractor

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Options & Other Information

Required to Report to

DOE

Additional Notes

31 Contractor Information

Company name (if different from contractor name)

32 Limited Home Assessment17

If upgrade type is “HVAC”, complete the limited home assessment details.

See

Appendix B – Section 50122 Components.

X

See

Appendix B – Section 50122 Components.

33 Measure Information Upgrade type • Envelope improvements Insulation, Air Sealing, and Ventilation 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

• Electric load service center

17 For 50122 qualified electrification projects (QEPs) that include an electric heat pump for space heating and cooling, a contractor or the eligible entity representative must complete a limited home assessment of the home before submitting a request for a rebate reservation to the state. At minimum, the limited home assessment must collect the datapoints included in Table 6 of this document.

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Options & Other Information

Required to Report to

DOE

Additional Notes

• Electric wiring

• Heat pump water heater

• Heat pump (HVAC)

• Ventilation

• Heat Pump clothes dryer

• Electric stove/cooktop/oven/ran ge

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

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

36 Measure Information Original and upgrade component details

See

Appendix B – Section 50122 Components.

X

See

Appendix B – Section 50122 Components.

37 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 & Other Information

Required to Report to

DOE

Additional Notes

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

Product Vendor ID

X

A unique ID the state has assigned to the vendor who accepted redemption of the product rebate for reimbursement by the state.

For retail vendors who submit coupon redemption data directly via the PNNL API, this ID will be coordinated between the vendor and PNNL.

39 Rebate Redemption at Point of for Material or Equipment Purchased

Amount of rebate deducted upon material or equipment purchase

40 Rebate Redemption at Point of for Material or Equipment Purchased

Purchase date

41 Rebate Redemption at

Equipment Purchased

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

42 Rebate Redemption at

Equipment Purchased

Equipment & materials cost

X

For contractor installed incentives, when a breakdown between equipment & materials and installation costs is available, report the cost of equipment & materials in this field. When a breakdown is not available, states should report $0 in this field and report the total cost in the Installation Cost field.

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Options & Other Information

Required to Report to

DOE

Additional Notes

43 Rebate Redemption for Installation

Installation Vendor ID

X

A unique ID the state has assigned to the installation vendor who conducted the installation of the qualified product.

44 Rebate Redemption at Point of for Installation

Installation costs

X

If rebate is used at point of installation. When a breakdown between equipment & materials and installation costs is available, report the cost of installation in this field. When a breakdown is not available, states may report a total combined cost in this field.

45 Rebate Redemption at Point of for Installation

Project invoice

If rebate is used at point of installation. Total project cost on the invoice should equate to the reported equipment, materials, and installation costs associated with the rebated equipment. If non-rebated items are also on the invoice, those must be separately accounted for on the invoice (both equipment and materials and installation costs).

46 Final Rebate Payout for Disadvantaged Community Incentive

Amount of disadvantaged community incentive paid

Only applicable if the state is offering incentives for installing equipment in disadvantaged communities.

47 Final Rebate Payout for Installer Incentive

Amount of incentive paid to the installer

Only applicable if installer was incentivized to install the product.

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Options & Other Information

Required to Report to

DOE

Additional Notes

48 Project Completion Project completion date18

49 Photographs Geotagged19 photos of pre-existing20 appliances and installed products

When a retailer or distributor is being reimbursed with a rebate, a state program can comply with post-install photo requirements by either collecting geotagged photos of product delivery or by requiring an agreement by the household that received a rebate to provide photos upon request.

50 Quality Assurance – Qualified Contractor Install

Proof of quality installation at designated address21

DOE/PNNL tool https://www.pnnl.gov/projects/qualit y-install-tool is recommended.22

States are required to document their QI processes within their Consumer Protection Plan (CPP) for DOE review and approval.

18 To be defined by the state and should be consistently applied.

19 Geotagging metadata includes both geolocated coordinates and GPS date and time stamps.

20 Pre-existing equipment photos are not required for new construction and building materials (insulation/air sealing, electrical load service panels, and wiring).

21 Proof of quality installation is required for all QEPs installed by contractors on the state’s qualified contractor list. A QI process that includes relevant safety checks is recommended for all other installations, including Do It Yourself (DIY) installations. Everything except heating and cooling/HVAC, electrical wiring, electrical load service panels, and air sealing can be DIY.

22 PNNL partnered with industry experts to create quality installation procedures for a large variety of technologies. The Home Energy Rebates program does not require use of the PNNL QI Tool, but DOE encourages states to consider its use as it does meet the requirements of the program. The QI tool is also capable of capturing geotagged photographs of both the pre-existing conditions and the installed equipment.

http://www.energy.gov/scep

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Options & Other Information

Required to Report to

DOE

Additional Notes

51 Safety Checks See Appendix C –Safety Checks

See Appendix C –Safety Checks

52 Inspection Post-Retrofit Inspection Passed

Yes / No / N/A

X

State attests that: Issues that resulted in a failed inspection were remedied before the rebate was provided to the claimant.

53 State Tracking External Rebate ID X A unique ID created by the state for each rebate transaction. This ID must be reported to DOE when utilizing the spreadsheet reporting method and must be unique for every row in the spreadsheet.

Reporting the ID is optional if state system is connected to the PNNL

API.

54 Consumer Satisfaction Refer to Appendix B of the Program Requirements for a list of questions states must ask consumers.

States can include additional questions, but at minimum must include those listed in the Program Requirements.

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 simplifying tracking, reporting, and participation by consumers, contractors, retailers, and others. The products reflect significant input from external experts including program implementers, states, retailers, IT firms, and other stakeholders.

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4.1 Workflows

The workflows outline step-by-step actions that various rebate participants (e.g., state energy offices, implementers, vendors, homeowners, installers, aggregators, eligible entity representatives) undertake, how their actions relate to one another, and what data is collected and/or reported at each step. Each workflow lays out a process that reflects a corresponding use case, including but not limited to who applies for the rebate, whether the rebate is applied at point of sale or installation, among other variables.

States and their program implementers are highly encouraged to use the DOE/PNNL workflows and APIs. The DOE/PNNL team is available to meet with states and/or their designees to ensure that the processes and systems work as effectively within a state’s program design.

Given that some states may choose to integrate the rebates with existing programs and processes, states can propose alternative workflows.