SUPPORTING STATEMENT FOR

INFORMATION COLLECTIO N REQUEST RENEWAL NUMBER 2193.03 : “INFORMATION COLLECTION ACTIVITIES ASSOCIATED WITH EPA’S ENERGY

STAR ® PROGRAM IN THE RESIDENTIAL SECTOR”

January 10 , 2013

Prepared by :

Climate Protection Partnerships Division

Office of Air and Radiation U.S. Environmental Protection Agencyi TABLE OF CONTENTS

1. IDENTIFICATION OF THE INFORMATION COLLECTION

................................ ............ 1 1(a) Title and Number of t he Information Collection

................................ ........................... 1 1(b) Short Characterization or Abstract

................................ ................................ ................. 1

2. NEED FOR AND USE OF THE COLLECTION

................................ ................................ . 12 2(a) Need and Authority for the Collection

................................ ................................ ......... 12 2(b) Practical Utility and Users of the Data

................................ ................................ ......... 13

3. NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA

... 18 3(a) Nonduplication

................................ ................................ ................................ ............. 18 3(b) Public Notice Required Prior to ICR Submission to OMB

................................ .......... 18 3(c) Consultations

................................ ................................ ................................ ................ 19 3(d) Effects of Less Frequent Collection

................................ ................................ ............. 20 3(e) General Guidelines

................................ ................................ ................................ ....... 20 3(f) Confidentiality

................................ ................................ ................................ .............. 20 3(g) Sensitive Questions

................................ ................................ ................................ ...... 20

4. THE RESPONDENTS AND THE INFORMATION REQUESTED

................................ ... 21 4(a) Respondents and SIC Codes

................................ ................................ ........................ 21 4(b) Information Requested

................................ ................................ ................................ . 22

5. THE INFORMATION COLLECTED

— AGENCY ACTIVITIES, COLLECTION METHODOLOGY, AND INFORMATION MANAGEMENT

................................ .......... 40 5(a) Agency Activities

................................ ................................ ................................ ......... 40 5(b) Collection Methodology and Management

................................ ................................ .. 41 5(c) Small Entity Flexibility

................................ ................................ ................................ 41 5(d) Collection Schedule

................................ ................................ ................................ ...... 42

6. ESTIMATING THE BURDEN AND COST OF THE COLLECTION

............................... 44 6(a) Estimating Respondent Burden

................................ ................................ .................... 44 6(b) Estimating Respondent Costs

................................ ................................ ....................... 44 6(c) Estimating Agency Burden and Costs

................................ ................................ .......... 45 6(d) Estimating the Respondent Universe

................................ ................................ ........... 45 6(e) Bottom Line Burden Hours and Cost Tables

................................ ............................... 70 6(f) Reasons for Change in Burden

................................ ................................ ..................... 71 6(g) Burden Statement

................................ ................................ ................................ ......... 751

1. IDENTIFICATION OF THE INFORMATION COLLECTION

1(a) Title and Number of the Information Collection

This ICR is entitled ― Information Collection Activities Associated with EPA's ENERGY

STAR ® Program in the Residen tial Sector, ‖ ICR number 2193.03 , OMB Control 2060

- 0586

. This ICR is a renewal and a non

- rule related ICR.

1(b) Short Characterization or A bstract

ENERGY STAR ® is a voluntary energy efficiency label ing program aimed at forming public

- private partnerships that prevent air pollution rather than control it after its creation. The U.S. Environmental Protection Agency (EPA) introduced ENERGY STAR in 1992 to label energy efficient computers. Since then, EPA and the U.S. Department of Energy (DOE) have expanded the ENERGY STAR Program to promote energy efficiency in over 60 product categories such as office equipment and consumer electronics, and in commercial and residential buildings. President Obama ha s made energy efficiency a key element of his effort to address energy independence and reliability and climate change. Increased energy efficiency through ENERGY STAR provides cost savings to businesses and consumers, reduces greenhouse gas

emissions fro m power plants, and increases U.S. energy security and reliability.

This ICR renewal examines information collection activities under the ENERGY STAR Program within the new home and existing home sectors. ENERGY STAR is part of EPA’s

Climate Protection Partnerships Division (CPPD) within the Office of Air and Radiation (OAR). EPA announced ENERGY STAR for New Homes in 1995 as part of its effort to promote energy efficient new home construction within the residential sector. EPA rolled out an existing h omes initiative in 1999 to promote cost

- effective energy efficiency retrofits. Some additional key milestones include the following:

 I n 2001, EPA launched Home Performance with ENERGY STAR and i n 2008

, EPA launched an ENERGY STAR HVAC Quality Installation Program . These efforts promote h ome envelope improvements, (e.g., proper installation of adequate insulation, air sealing of holes and gaps into the home, and installation of energy efficient windows) proper installation of high efficiency heating and cooling equipment and duct sealing and repair.

 In 2010

, EPA announced new, more rigorous guidelines for new homes looking to earn the ENERGY STAR. Compared to homes built to the prior guidelines,

homes b uilt to the new guidelines are at least 10 percent more energy efficient

, making them up to 30 percent more efficient than typical new homes. These new guidelines include four checklists that are designed to help ensure that critical details and systems that impact a home’s efficiency, comfort, and durability are not missed or installed incorrectly during the design and construction phases.

These checklists are as follows:

 Thermal Enclosure System Checklist

– covers construction details that provide for c omprehensive air sealing, quality

- installed insulation, and high

-2 performance windows.

 Heating, Ventilation, and Cooling (HVAC) Quality Installation Check l ist for

Raters

– covers details to be checked by a home energy rater that ensure the

HVAC contractor h as properly designed and installed the home’s HVAC system for optimal performance.

 Heating, Ventilation, and Cooling (HVAC) Quality Installation Checkist for

Contractors

– covers details to be checked by the HVAC contractor that ensure the home’s HVAC syst em is designed and installed for optimal performance.

 Water Management System Checklist

– covers details that protect roofs, walls, and foundation from moisture damage.

 In 2011

, a set of guidelines was released allowing multifamily high rise buildings

to earn the ENERGY STAR for the first time.

Through the end of 2011

, more than 1.3 million ENERGY STAR certified homes have been built in the U.S. and more than 150,000 have been retrofitted through Home Performance

with ENERGY STAR Program s. This is the 20 th anniversary of the ENERGY STAR Program

. Over the past 20 years, with the help of ENERGY STAR, American families and businesses have saved about $230 billion on utility bills and prevented more than 1.7 billion metric tons of carbon pollution.

EP A believes collecting information from the public regarding ENERGY STAR in the residential sector is critical to the program’s sustained success in forming and nurturing voluntary agreements with the private sector to build and promote energy efficient hom es. Partners view the ENERGY STAR label as a very effective marketing tool for highlighting the energy efficiency of their products, services, and homes to homebuyers and homeowners. In addition, ENERGY STAR provides partner s with recognition as environm ental leaders. Collecting information about partner s and about ENERGY STAR’s impact in the residential marketplace is necessary to ensure that the value of the ENERGY STAR label is protected and maintained, and to ensure continued success and delivery of valuable benefits to partner s such as market differentiation, competitive advantage, and public recognition.

Throughout ENERGY STAR’s existence, EPA has attempted to streamline its

information collection activities to focus on information needed to provide incentives and public recognition to organizations promoting ENERGY STAR. EPA has done this by both minimizing the amount of information collected from program participants and by utilizing technology (i.e.,

Web

- ena bled forms and databases) to more efficiently collect information. For example, since

2006 when the first ICR was approved, EPA has deployed an online Partnership Agreement for home builders and verification organizations as well as an online partnership application review

a nd approval tool called PARA. EPA also make s all marketing and outreach materials and

educational resources available via its Web site

.

Because ENERGY STAR is a voluntary program, all information collection activities

undertaken are o f a voluntary nature. Respondents are not required to participate. Any information received to date has been submitted voluntarily to EPA.3

Sections 1 through 5 of this document describe the collections (e.g., from the standpoint

of need and use/utili ty of the information collected). These sections also describe respondent and Agency activities. In Section 6, EPA estimates the total annual hour and cost burden to respondents and the Agency under the collections.

ENERGY STAR IN THE RESIDENTIAL SECTOR

The ENERGY STAR Program promotes energy efficiency in both the new construction and existing home market sectors . ENERGY STAR forms formal partnerships and informal relationships with organizations that participate in building, verifying, selling, financing and incentivizing ENERGY STAR certified new homes as well as organizations that assess and improve the energy efficiency of existing homes. Participant groups include the following:

 Home Builders. This participant group includes builders of t raditional s ite

- built homes such as large production home builders, custom home builders, and multifamily high rise developers. This group also includes onsite builders and installers of homes produced in manufacturing plants including manufactured and modular homes. This group also includes the manufacturing plants that produce

manufactured an d/or modular homes that, once fully constructed onsite, are eligible for the ENERGY STAR label

. Organizations of all sizes are encouraged to join the Program. Partners make a commitment to building and selling

ENERGY STAR certified homes. Multifamily high rise developers are asked to submit a project application for each building/development project before design.

 Architects and Home Plan Designers. This participant group includes production architects and home plan designers who prepare architectural pla ns for resid ential construction projects. Organizations of all sizes are encouraged to join the Program by submitting a Partnership Agreement. Partner s make a commitment to

include energy efficient details on home plans in an effort to earn the Designed to

Earn ENERGY STAR label

.

 Verification Organizations. This participant group includes companies involved in independently verifying that homes meet ENERGY STAR guidelines for residential energy efficiency. They act as third

- party providers of home energy verification services who are independent from ENERGY STAR. Verification organizations typically serve as contractors hired by home builders and work under the oversight of an Oversight Organization. There are two types of verification organizations that participate in ENERGY STAR as partner s: certified Home Energy Raters and accredited Home Energy Rating Providers. There are also manufactured and modular home plant certifiers who independently verify that manufacturing plants that produce manufactured an d modular homes can consistently produce homes to earn the ENERGY STAR

label

.4  Oversight Organizations. Oversight organizations are organizations recognized by EPA as having the necessary qualifications and capabilities and infrastructure in place for overseeing the verification of a home’s energy efficiency for the

E NERGY STAR label by Verification Organizations (see de scription above ).

There are three main types of oversight organizations that serve similar roles but

for different sectors of the housi ng industry. Verification Oversight Organizations (VOOs) serve as oversight organizations for verifying that site

- built, single

family homes meet ENERGY STAR guidelines. Manufactured and Modular Home Verification Organizations (MVOOs) oversee the verificat ion of

manufactured and modular homes for the ENERGY STAR label

. HVAC Quality Installation Training and Oversight Organization s (H

- QUITOs) are independent,

third

- party oversight organizations that provide the required training and oversight activities for HVAC contractors to install HVAC systems in ENERGY

STAR certified homes. EPA recognition of an entity as an oversight organization means EPA has reviewed the organization’s capabilities, qualifications, and existing businesses practices and determined tha t the organization possesses the necessary oversight infrastructure and processes to oversee the verification of home energy efficiency and to apply that infrastructure and those processes towards verifying homes for the ENERGY STAR label

.

 Lenders. This participant group consists of lenders who use the ENERGY STAR brand to promote the use of energy efficiency mortgages (EEMs) by homebuyers to purchase an energy efficient home.

 Energy Efficiency Program Sponsors (EEPS).

 Certified Homes EEPS. This participant group includes utilities; national, regional, state, or local government entities; or other organizations involved in coordinating and/or administering a n energy

- efficiency program that promotes

ENERGY STAR certified homes.

 Ho me Performance with ENERGY STAR Sponsors. This participant group consists of utilities, state or local government, or non

- profit organizations that sponsor and promote a home energy retrofit program. The program emphasizes a whole house approach to energ y efficiency, installation of recommended measures, diagnostic testing, and quality assurance.

 HVAC Quality Installation Sponsors. This participant group consists of

utilities and state and local agencies that sponsor and/or promote a program
that verifies that HVAC contractors install heating and air conditioning equipment to meet American National Standards Institute (ANSI) approved quality installation standards.

 HVAC Contractors. This participant group consists of contractors that install residential HVAC equipment and participate in the ENERGY STAR HVAC Quality Installation Program (HVAC QI)

.5  Home Performance with ENERGY STAR c ontractors. This participant group consists of contractors that make energy efficiency improvements under a Home

Performance with ENERGY STAR P rogram.

 Homeowners. While not ENERGY STAR partner s, another participant group is homeowners. This participant group includes all homeowners that will use EPA’s online home assessment tools that will collect energy use data and home energy

characteristics from homeowners. Homeowners benefit directly from this activity by allowing them to analyze and understand their home energy use and obtain

information on how to reduce their energy consumption to save money and improve home comfort

.

Also, on an informal basis and without becoming ENERGY STAR partner s, other home industry professionals such as real estate agents and appraisers can promote ENERGY STAR

res idential programs and educate the public about the environmental and economic benefits of energy efficient homes.

The following paragraphs describe the information collections applicable to these groups.

JOINING THE ENERGY STAR PROGRAM AND RELATED AC TIVITIES

Organizations interested in joining ENERGY STAR as a partner are asked to submit a Partnership Agreement that includes their basic address and contact information and describes their level of commitment to promoting ENERGY STAR certified homes, Home Performance with ENERGY STAR, or ENERGY STAR HVAC Quality Installation. This partnership is activity

- based ; thus

, partner s are asked or encouraged to undertake certain responsibilities and activities related to being an active ENERGY STAR partn er and maintaining this active status,

as described below. This information is entered into a n EPA

- maintained database called iSTAR ( www.energystar.gov/istar ) which maintains all information collected from P artnership Agreements

.

Home Builder Partners

T o join ENERGY STAR as a partner , home builders are asked to complete, sign, and submit an online Partnership Agreement. These partner s agree to build ENERGY STAR

certified homes and to promote ENERGY STA R

. The Agreement also gives home builders the option of committing to a higher level of participation. This includes an optional commitment to

build all of their homes as ENERGY STAR certified homes, committing to offering ENERGY STAR’s Advanced Lighting Package (ALP) to home buyers, and committing to offering EPA ’s

Indoor Air PLUS (IAP) label to home buyers. ENERGY STAR provides special recognition for

the se optional commitments on its Web site.6

Architects/Home Plan Designers

In order to join ENERGY STAR as a partner , architects/home plan designers are asked to complete, sign, and submit an online Partnership Agreement to EPA. These partner s agree to include details in their home plans with the intention of those plans earning the Designed to Earn

the ENERGY STAR label and to promote ENERGY STAR

.

Verification Organization Partners

T o join ENERGY STAR as a partner , verification organizations are asked to complete, sign, and submit a Partnership Agreement to EPA. There are two types of verification organizations that participate in ENERGY STAR as partner s: certified Home Energy Raters and accredited Home Energy Rating Providers. Both Home Energy Rating Providers and Home Energy Raters perform verification services, also known as home energy ratings, on homes by conducting onsite diagnostic tests to measure the energy efficiency of homes. Home Energy Raters and Providers also assist in verifying the energy efficiency of homes built in manufacturing plants, including manufactured and modular homes. [Note: There are also manufactured and modular home plant certifiers who independently verify that manufacturing plants that produce manufactured and modular homes can consistently produce homes to earn the

ENERGY STAR label . Plant certifiers are not partner s, however.]

Oversight Organizations

Oversight organizations include organizations recognized by EPA as having the necessary qualifications and capabilities and infrastructure in place for overseeing the verification of a home’s energy efficiency for the ENERGY STAR label by v erification

o rga nizations. Oversig ht organizations do not join as ENERGY STAR partner s
, but rather participate in the program by completing an application to be recognized by EPA as an Oversight Organization. This application requests the applicant to provide information that demonstrates that they meet the eligibility criteria established by EPA to be an Oversight Organization.

Lenders

This participant group consists of lenders who use the ENERGY STAR program to promote the use of energy efficiency mortgages (EEMs) b y homebuyers to purchase an energy

efficient home. They commit to deliver energy efficient mortgages (EEMs) to buyers of energy efficient homes such as ENERGY STAR Certified Homes. EEMs use the present value of future utility bill savings to provide loan a pplicants more favorable loan terms, allowing them to qualify for a larger loan and to finance a more energy efficient home. Organizations of all si zes are encouraged to join the p rogram by submitting a Partnership Agreement.

Energy Efficiency Program Sponsors (EEPS)

This group includes various types of Energy Efficiency Program Sponsors (EEPS). It includes Certified Homes EEPS, which are organizations that coordinate and/or administer an

energy

- efficiency program that promotes ENERGY STAR certified homes. It also includes7

Home Performance with ENERGY STAR Program Sponsors, which are organizations that sponsor energy efficiency retrofit program for existing homes. Finally, it includes HVAC Quality Installation Program Sponsors, which are organization s that sponsor and/or promote a program that verifies that HVAC contractors install heating and air conditioning equipment to meet American National Standards Institute (ANSI) approved quality installation standards. EEPS interested in joining ENERGY STAR are asked to complete and submit a Partnership Agreement and related information.

HVAC Contractors

HVAC contractor s participate in ENERGY STAR Certified Homes and HVAC Quality

Installation Program s. They are not ENERGY STAR partner s and do not complete a Partnership Agreement

. As part of their participation in the ENERGY STAR, contractors sign a participating agreement with ENERGY STAR HVAC QI Sponsors that ensures that they are qualified to install HVAC equipment according to prog ram guidelines. C ontractors also seek

credentials from H

- QUITOs. They also agree to send Web content and other marketing materials featuring ENERGY STAR to HVAC Quality Installation Sponsor s for promotion of the HVAC Quality Installation Program

.

Home P erformance with ENERGY STAR Contractors

Home Performance with ENERGY STAR c ontractors participate in installing energy efficiency measures in existing homes under the oversight of a Home Performance with

ENERGY STAR S ponsor. They are not partners and do not complete a Partnership Agreement. They do sign a participat ion agreement with a sponsor that ensures they are qualified to install energy efficiency measures according to program guidelines.

VERIFICATION OF ENERGY STAR G UIDELINES

Home Builders

Builders of Site

- Built Homes (General)

Home builders complete a Water Management Checklist for each home built, including

site

- built and manufactured and modular homes. In addition, home builders can choose to fill out

a number of items in the Thermal En closure Checklist before providing it to Home Energy Raters for completion.

Manufactured and Modular Home Plants

To receive an ENERGY STAR label for homes manufactured in a plant or factory , the plant must integrate ENERGY STAR guideline s into home design plans. These plans are kept on site and are not collected by EPA. An internal plant coordinator is responsible for ensuring that program standards have been incorporated into plant operations. This plant coordinator is responsible for the manufacturing

, as well as quality installation of the homes onsite

. The coordinator addresses any issue s regarding manufactured and modular ENERGY STAR homes.8

As part of this responsibility, the plant coordinator collects and retains the four ENERGY STAR

c hecklists completed when homes are inspected onsite : the Thermal Enclosure Checklist

, Water Management Checklist

, HVAC Rater Checklist , and HVAC Contractor Checklist s.

Multifamily High Rise Developers

For each home design, multifamily high rise develop ers submit a Proposed Design to ensure that the project design meets program requirements and that they have been included in the construction documents. Upon completion of the construction phase, developers submit an

As

- Built Design Package to ensure that the energy conservation measures chosen by the design team are installed to specification.

Verification Organizations

Home Energy Raters and Providers

Both Home Energy Rating Providers and Home Energy Raters perform verification services, also known as home energy ratings, on homes by conducting onsite inspections and diagnostic tests to assess the energy efficiency of homes. For homes earning the ENERGY

STAR label , Rating Providers and Raters must check some additional information about the homes that is not a usual part of conducting a home energy rating to verify that the homes meet ENERGY STAR requirements. Home Energy Rating Providers provide a layer of quality control by overseeing the work of the Home Energy Raters and submitting quarterly reports to EPA on behalf of Home Energy Raters. Home Energy Raters and Providers also assist in verifying the energy efficiency of homes built in manufacturing pl ants, including manufactured and modular homes. They are involved in verifying that these homes meet ENERGY STAR requirements by checking that ENERGY STAR

- related measures and requirements are installed and met both while in production in the plant and dur ing onsite construction.

As part of inspecting site

- built homes and manufactured/modular homes onsite, Raters complete two checklists: the Thermal Enclosure Checklist and the HVAC QI Rater Checklist. They also collect two checklists from other parties: the Water Management Checklist and the HVAC QI Contractor Checklist. The Rater submits all four checklists to the Provider. For manufactured and modular homes, Raters also complete a separate manufactured or modular home completion report, which is submitt ed to the MVOO.

In addition, Architects/Home Plan Designers contract with verification organizations to verify the energy efficiency criteria of each home plan for which they are seeking the Designed

to Earn the ENERGY STAR label . These Raters review pl ans, complete the four checklists as well as the Designed to Earn the ENERGY STAR Review Checklist. Once the Rater has approved the project, they issue the label

.

Manufactured and Modular Home Plant Certifiers

The manufactured and modular home industry utilizes third

- party consultants called plant certifiers who certify a manufacturing plant’s ability to consistently produce and install9

ENERGY STAR certified manufactured and modular homes. Plant certifiers are not ENERGY

STAR partner s. Plant certifiers complete a manufactured or modular home plant qualification form for each plant inspected to demonstrate that the plant is qualified to produce ENERGY STAR certified manufactured and/or modular homes. Once a plant is approved, the plant certifier returns to the plant every six months to ensure continued adherence to ENERGY STAR guidelines.

H

- QUITOs

HVAC Quality Installation Training and Oversight Organizatio ns (H

- QUITOs) are independent, third party oversight or ganizations that provide required oversight activities for

HVAC contractors. H

- QUITOs oversee HVAC contractors by performing onsite quality

assurance of contractor offices and/or on a sample of systems installed through periodic site

visits and verification of checklists

.

HVAC Quality Installation Spons ors

HVAC Quality Installation Sponsors may perform additional quality assurance on HVAC systems installed by contractors. To verify that HVAC systems have been installed correctly by

contractor s, Program Sponsors collect and review a commissioning report for each installation. Quality assurance also includes field verification of a small sample of installations by each

contractor.

HVAC Contractors

HVAC contractor s participating in EPA’s EN ERGY STAR HVAC Q uality I nstallation

program install residential HVAC equipment. HVAC contractors that participate in the ENERGY STAR Certified Homes Program are asked to complete an HVAC QI Contractor

Checklist for site

- built homes and provide it to the Rater. HVAC contractor s that choose to participate in an ENERGY STAR HVAC Quality Installation Program will submit a commissioning report to an HVAC Quality Installation Program Sponsor for each HVAC installation verified. This commissioning report includes details on the HVAC equipment (e.g. make, model), design specifications specifi c to the installations, and results of tests (e.g. air flow, refrigerant tests).

EVALUATION

Partners

EPA may contact partner s on a regular or as

- needed basis to evaluate and improve the ENERGY STAR Program, provide technical assistance to participants , and promote energy efficiency through the ENERGY STAR Program. EPA may contact partner s regarding the following:10  Sales and Marketing Support: EPA communicates with partner s to assist them in marketing the program to the public. EPA may also use this interaction to

encourage new partner s to join the program.

 Technical Support: EPA may periodically contact partner s (e.g. home builders, Raters and Providers) and others (e.g. HVAC contractor s) to provide technical

support to promote successful program implementation

.

 Program Evaluatio n: F eedback about the ENERGY STAR Program and its

outreach efforts is collected and utilized by EPA to assess and improve the

effectiveness of the ENERGY STAR Program in stimulating and transforming the market for energy efficient homes.

 Market Evaluation : I nformation about ENERGY STAR in the marketplace is collected and utilized by EPA to assess ENERGY STAR’s impact on the market for energy e fficient new and existing homes.

Other Home Industry Professionals

EPA may contact other professionals in the residential sector such as realtors, appraisers, product manufacturers, and retailers, for their feedback on developing building science/energy efficiency concepts for the ENERGY STAR Program , its outreach efforts , and its impact on the market for energy efficient new and existing homes.

Homeowner Evaluation

This participant group includes all homeowners and organizations that choose to use

EPA’s on

- line home assessment tools, such as the Home Energy Yardstic k , Home Energy Advisor, Home Energy Profile and other available resources to benchmark and monitor their

homes’ energy performance. Use of these activities is a direct benefit for participating

h omeowners. Some h omeowners may be featured in case studies o n the ENERGY STAR

Web site to encourage others to take similar actions

.

Collecting information about how much energy is being saved as a result of ENERGY STAR’s residential programs is an important indicator of success. EPA may request permission

from a number of homeowners (less than 500 in any one market) to obtain energy use and cost information from utilities and energy suppliers by completing a utility bill release form

. Respondents would need to complete, sign, and return the permission form. This information will be analyzed to measure ENERGY STAR’s impact and determine trends in the residential sector with respect to energy demand and energy efficiency impact of the program.

PERIODIC REPORTING

In order for EPA to assess partner s’ level of activity and give them credit for the

ENERGY STAR certified homes they build or verify , EPA collects basic information each calendar quarter about the number of certified homes that partner s have built and verified

. This11

information is the n dis played on the ENERGY STAR Web site to publicly recognize organizations and their level of activity in building and verifying ENERGY STAR certified

homes.

Rating Providers are asked to submit a report to EPA every quarter describing the number

of ENERGY STAR certified homes. Manufactured and Modular Home Verification Oversight Organizations (MVOOs) are asked to collect and enter ENERGY STAR

- related information into a database as verification organizations confirm that homes meet ENERGY STAR requirements. Each calendar quarter MVOOs generate a spreadsheet from their database containing the

ENERGY STAR

- related information that EPA asks for. The MVOO submits the spreadsheet via email. There is a separate spreadsheet containing ENERGY STAR manuf actured home information and a separate spreadsheet containing ENERGY STAR modular home information. As part of their participation in the program, H

- QUITOs agree to share information as requested by EPA.

Partners that sponsor a Home Performance with ENE RGY STAR or ENERGY STAR HVAC Quality Installation Program also submit quarterly reports. Home Performance with ENERGY STAR Sponsors are asked to submit quarterly reports on jobs completed by contractors. As the final quarterly report of the year, Program Sponsor s submit an annual report to EPA that, among other things, described strategies and challenges in implementing program requirements.

For ENERGY STAR HVAC Quality Installation Program

, the number of completed projects or verified installations by p articipating contractor is reported. Quarterly reporting is also an opportunity to update partner contact information and participating contractor contact

information.

ENERGY STAR AWARDS

Organizations interested in receiving recognition for their effort s in building, verifying

, and/or sponsoring ENERGY STAR certified homes may submit an online application for an

ENERGY STAR Award. These awards are given out annually by EPA during the annua l ENERGY STAR awards ceremony. EPA is currently issuing the following awards under the

ENERGY STAR Program in the Residential Sector :

 ENERGY STAR Partner of the Year

 Home Builders

 Home Energy Raters

 Program Delivery (including New Homes and Home Performance)

 Excellence in Affordable Housing

OUTREACH PARTNERSHIP

Partners have the option of participating in an outreach partnership, whereby partner s jointly contribute resources to the distribution of a public outreach and education campaign about

ENERGY STAR certified homes. A one page Commitment Form is completed by the partner s12

and submitted to EPA. This form requests partner contact information as well as the amount of resources to be provided and details about the type of media to be used for the outreach campaign.

The o utr each p rogram involves coordination and implementation by local partner s to develop and distribute the outreach materials. EPA works closely with partner s in interested markets to help facilitate a successful outreach campaign.

2. NEED FOR AND USE OF THE COLLECTION

2(a) Need and Authority for the Collection

Section 103(a) of the Clean Air Act author izes EPA to establish ―a national research and development program for the prevention and control of air pollution.‖ As part of such a program, EPA is to ―conduct and promote the coordination and acceleration of research, investigations, experiments, demon strations, surveys, and studies relating to the causes, effects (including health and welfare effects), extent, prevention and control of air pollution.‖ Section 103(a)(1).

In addition, as a component of the program, section 103(g) directs the Administrator to ―conduct a basic engineering research and technology program to develop, evaluate, and

demonstrate non

- regulatory strategies and technologies for air pollution prevention.‖ The section calls on the Administrator to provide opportunities fo r industry, public interest groups, scientists, and other interested persons to participate in strategy development. Section 103(g) further directs EPA to include as elements in the program ―improvements in non

- regulatory strategies and technologies for pr eventing or reducing multiple air pollutants including sulfur oxides, nitrogen oxides, heavy metals, PM

- 10 (particulate matter), carbon monoxide, and carbon dioxide...‖ The strategies and technologies are to improve various air pollutant reduction and non

- regulatory control strategies, including energy conservation.

The ENERGY STAR Program is one component of the Administrator’s response to reduce green house gas emissions that contribute to climate change. ENERGY STAR partner s help promote efficient ho mes by building and label ing qualifying homes with the ENERGY

STAR label and by improving the efficiency of existing homes. The label provides an easy way for consumers to identify energy

- efficient homes and products that save money on utility bills and reduce air pollution. By using less energy, these homes and products help reduce the demand to create power, which is typically generat ed by power plants that burn fossil fuels. As such, these homes help reduce air pollutants such as sulfur oxides, nitrogen oxides, and carbon dioxide that are generated by these stationary sources. ENERGY STAR demonstrates how providing

consumer informati on and public recognition can be used as a non

- regulatory strategy to prevent and control air pollution.

The information collection activities described in this ICR are necessary for EPA to track

and assess the market for energy efficient homes, which a llows EPA to design its ENERGY STAR outreach programs and public education materials to fit the needs of its partner s, as well as to provide public recognition and market differentiation to participating organizations.

Because some of the collection activ ities involve small businesses, EPA will limit collection13

activities where a minimum amount of information is sufficient for EPA to complete its work. This ICR will not have a significant economic impact on a substantial number of small

businesses. The f

ollowing section explains the need for each major information collection activity included in this ICR.

2(b) Practical Utility and Users of the Data

JOINING THE ENERGY STAR PROGRAM AND RELATED ACTIVITIES

EPA’s primary source of information about its ENERGY STAR partner s comes from the Partnership Agreement form that organizations complete to join the ENERGY STAR Program. Depending on the respondent, there are certain information collection activities and additional forms related to becoming a partner . The purpose of these activities, the users of this information, and any additional forms associated with these activities are described below.

Home Builders

EPA uses information submitted in its ENERGY STAR Partnership Agreement to

offici ally establish an organization’s participation in ENERGY STAR and to provide organizations with public recognition of their ENERGY STAR Partnership. EPA uses the Partnership Agreement to enforce its trademark of the ENERGY STAR name and logos, to

commit partner s to verifying the energy efficiency of every home that receives an ENERGY

STAR l abel

, to provide public recognition by listing partner s on the ENERGY STAR Partner Locator ( www. energystar.gov/partnerlocator) as well as committing partner s to providi ng EPA with verification information upon request.

The Agreement also gives b uilder s the option of making a commitment to building 100 percent of their homes to ENERGY STAR guidelines, offering ENERGY STAR’s Advanced Lighting Package (ALP) in their hom es, and/or offering EPA’s Indoor Air PLUS (IAP) label

. These additional commitments can be made by the partner simply by initializing the applicable section of the Agreement.

EPA will use information provided on the Partnership Agreement to provide pub lic recognition to partner s that are offering the I ndoor A ir P LUS in their new homes. EPA will also use this information to track the activities of builders building homes containing the IAP to make sure they are correctly implementing the IAP.

Architect s/Home Plan Designers

All home plans are certified through the use of a model to project that the home as constructed will meet ENERGY STAR efficiency standards. The completion of the four checklists ensures that all construction details typically found in ENERGY STAR certified homes are present in the home plan . The Designed to Earn checklist ensures that all elements of an energy efficient home eligible for the ENERGY STAR label were verified. To ensure that new Raters are correctly verifying home plan s, verification organizations are asked to submit all four checklists, model results

, and the Designed to Earn c hecklist to EPA. After these materials14

are approved, the Architect/Home Plan Designer can submit all subsequent home plans to verification organ izations for verification and label ing without EPA review.

Verification Organizations

Home Energy Raters and Providers

EPA uses information submitted in its ENERGY STAR Partnership Agreement to officially establish an organization’s participation in ENERGY STAR and to provide organizations with public recognition of their ENERGY STAR Partnership. EPA uses the Partnership Agreement to enforce its trademark of the ENERGY STAR name and logos, to

commit partner s to verifying the energy efficiency of every home that receives an ENERGY

STAR l abel , as well as committing partner s to providing EPA with verification information upon

request.

Information provided on the Partnership Agreement is used to provide partner s additional

rec ognition on the ENERGY STAR Web site’s Partner Locator Tool

, which is accessed by those

in the ho me building industry as well as by home buyers searching for ENERGY STAR partner s in their state.

Oversight Organizations

VOOs and MVOOs

EPA uses the information submitted as part of the VOO and MVOO applications to ensure that organizations meet EPA’s eligibility criteria and have the qualifications and systems

necessary to effectively oversee the verification of homes for the ENERGY STAR l abel

.

H

- QUITOs

EPA uses the information collected in the H

- QUITO application to learn about the organization, its national presence and quality assurance processes to ensure that it is qualified to certify and oversee HVAC contractors.

Energy Effic iency Program Sponsors (EEPS)

Certified Homes EEPS

Information contained on the Commitment Form completed by EEPS as part of their Partnership Agreement will be used by EPA to verify what ENERGY STAR Program areas the

partner is committing to promote . EEPS can only use the ENERGY STAR name and logos to promote program areas for which they are committed to via the Commitment Form

.

Home Performance with ENERGY STAR Sponsors

EPA will use the program implementation plan that is prepared and submitted by Home15

Performance with ENERGY STAR partner s to ensure that they have a n effective plan to manage and consistently deliver a program for making whole

- house energy efficiency impro vements. EPA will also verify that key program components are included in the plan. EPA will refer to this plan when verifying a partner ’s commitment to ENERGY STAR. EPA provides an Implementation Plan template that partner s may use to create their plan.

ENERGY STAR HVAC Quality Installation Sponsors

EPA will use the program implementation plan that is prepared and submitted by ENERGY STAR HVAC Quality Installation Program partner s to ensure that these partner s have

a n effective plan to manage a program to ensure that residential HVAC systems have been installed according to ENERGY STAR HVAC Quality Installation guidelines. EPA will also verify that key program components are included in the plan. EPA will refer to this plan when evaluating a p artner ’s commitment to ENERGY STAR.

HVAC Contractors

HVAC contractors participating in ENERGY STAR Programs are not ENERGY STAR partners and do not complete a Partnership Agreement. However, as part of their participation in the program, contractors seek credentials from H

- QUITOs. This ensures they have the qualifications to satisfy ENERGY STAR guidelines as appropriate.

Home Performance with ENERGY STAR Contractors

Contractors participating in a Home Performance with ENERGY STAR program perform energy efficiency improvement projects in existing homes. These contractors are asked to complete a participation agreement and provide it to the program sponsor. This agreement describes the program’s requirements and terms of participation. EPA does not collect this information from sponsors, but may ask to review their records to verify that sponsors are properly overseeing the activities of contractors.

VERIFICATION OF ENERGY STAR GUIDELINES

Home Builders

Verification that a home meets ENERGY STAR program guidelines occurs when site

built home builders or plants producing manufactured and modular homes want to apply the

ENERGY STAR l abel on homes. This process is necessary to ensure the quality of the home with respect to ENERGY STAR’s guidelines f or energy efficiency. A home’s energy efficiency is verified two ways. The first is via a performance path, where the builder, after meeting

ENERGY STAR’s core requirements, can determine what features to include in its homes in

order to earn the ENERGY S TAR l abel . The second way is via a prescriptive path, where the

builder must install not only all of ENERGY STAR’s core requirements but also all other requirements of ENERGY STAR’s prescriptive path. Also, a home can earn the ENERGY

STAR label by being in dividually tested or as part of a sample group. Sampling involves use of an analytical protocol approved by the Residential Energy Services Network (RESNET) that16

allows only one home in a group of seven similar homes to be verified. In this ―sampling‖

me thod, if the one home meets ENERGY STAR guidelines the other, similar homes are assumed to perform similarly and do not need to be individually tested. Also, a manufactured and modular home’s energy efficiency features are inspected onsite before the ENER GY STAR label is applied.

Manufactured and Modular Home Plants

Manufactured and Modular plants must ensure that they are ready and able to consistently produce homes that are ready for ENERGY STAR qualification and that these

homes are installed properly and according to ENERGY STAR guidelines. This

, in turn

, protects the value associated with the ENERGY STAR name and logo in the residential sector. This information is also used by the plants to correct any issue s that arise during the production and installation process.

Multifamily High Rise Developers

Multifamily high rise developers submit a Proposed Design Package to ensure that the project design meets program requirements before construction. Upon completion of construction, developers submit an As

- Built Design to ensure that the energy conservation measures are installed to specification. This process is necessary to ensure the quality of the home with respect to ENERGY STAR’s guidelines for energy efficiency.

Verification Organizati ons

Home Energy Raters and Providers

Information collected and maintained as part of a verification organization’s process for verifying the energy efficiency of an ENERGY STAR certified home on behalf of a homebuilder is used by the verification organization, the home builder, and EPA to ensure that a home receiving an ENERGY STAR label meets EPA’s guidelines for residential energy efficiency. This serves to protect the integrity of the ENERGY STAR program by providing independent,

third

- party verification of all ENERGY STAR certified homes. The information is not submitted to EPA but rather is maintained by the verification organization and the homebuilder in the form of a home energy rating report, which is generated by the verification organization. EPA may request a copy of the final rating report if there is a need to become involved in resolving questions concerning the ENERGY STAR status of a home.

Manufactured and Modular Home Plant Certifiers

Information collected and maintained as part of a manufactured housing and modular housing partner’s plant certification process is used by EPA and the manufacturing plants themselves to ensure that a manufacturing plant is ready and a ble to consistently produce homes that are ready for ENERGY STAR qualification and that these homes are installed properly and according to ENERGY STAR guidelines. This in turn protects the brand recognition and value

associated with the ENERGY STAR name and logo in the residential sector. A plant17

qualification form is completed as written confirmation of the plant’s certification. The qualification form is not an EPA form and is not submitted to EPA. The form belongs to an

EPA

- approved manufactured and modular verification oversight organization . A copy of the form is maintained by the plant itself.

Oversight Organizations

Oversight organizations, such as HVAC Quality Installation Training and Oversight Organization s (H

- QUITOs) oversee contractors to ensure the quality of the home with respect to ENERGY STAR’s guidelines for energy efficiency. H

- QUITOs perform quality assurance onsite

at contractor offices and/or on a sample of HVAC systems installed in the home.

HVA C Contractors

HVAC contractor s participating in the ENERGY STAR Certified Homes Program complete an HVAC QI Contractor Checklist for site

- built homes to ensure that a home receiving

an ENERGY STAR label meets EPA’s guidelines for residential energy effic iency

. Contractors participating in an ENERGY STAR HVAC Quality Installation Program will complete a commissioning report to document important verification information for each HVAC

installation verified . The reports for each Program Sponsor are different

. Program Sponsors collect and review a commissioning report for each installation to ensure the quality of the HVAC system with respect to ENERGY STAR’s guidelines for energy efficiency. EPA does not

collect this information from P rogram Sponsor s, but may ask to review their records to verify

tha t the P rogram Sponsor or quality assurance organization is actively reviewing reports.

EVALUATION

Partners and Other Home Industry Professionals

EPA will use information collected from partner s about their experience with the program to streamline and modify the program in order to improve participants’ experience and participation. EPA will use information collected from partner s and others in the new home construction and home improvement se ctors to evaluate the impact of ENERGY STAR on the building, selling, and promotion of energy efficient new homes and the improvement of existing homes. EPA will also use this information to improve its ability to serve the needs of those in

the home cons truction and home improvement industries who wish to build and promote energy efficient homes. This collection activity will ensure that ENERGY STAR maintains its brand value in the marketplace as the symbol for energy efficient homes and products, and th at its education and outreach efforts are well designed and targeted and properly executed given

current market conditions.

This evaluation information may also be used by EPA or shared with other organizations as part of public outreach or education campaigns promoting the environmental and economic benefits of energy

- efficient new and existing homes.18

Homeowners

EPA may , when granted permission by a homeowner who has purchased an ENERGY

STAR certified home or had a Home Performance with ENERGY STA R project performed on

their home , collect energy use and cost information from servicing utilities and energy suppliers. This information will be analyzed to determine the energy saving impact of the program.

PERIODIC REPORTING

EPA will use the infor mation obtained via the reporting process to learn about the progress and accomplishments of partner s and others under the ENERGY STAR Program. For example, the quarterly reports help in the formulation of short

- and long

- term goals for energy and air pollution reduction and in the identification of partner s who are deserving of special recognition via EPA’s ENERGY STAR Awards and other special recognition programs. This information is also used by EPA to inform the public as to the progress being made in reducing residential energy use and in reducing air pollution.

ENERGY STAR AWARDS

Information collected from partner s via the ENERGY STAR Awards application process will be used by EPA to evaluate the level of activity and brand support provided by partner s and

to determine which partner s will earn an ENERGY STAR award in the various award categories being offered. This information will also be used by EPA as part of its efforts to promote

ENERGY STAR and succ essful organizations that have committed themselves to promoting energy efficient homes. The awards themselves will be used by partner s to promote their success

as a partner and leader among their peers

.

OUTREACH PARTNERSHIP

The information collected o n the Commitment Form is used by EPA as an agreement

between EPA and partner s as to the terms of the outreach campaign to be co

- developed. This includes the type of media to be used and the resources to be contributed by all partner s towards the campaign.

3. NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION

CRITERIA

3(a) Nonduplication

The information collected under this ICR does not duplicate any information that is collected by any other federal agency or otherwise publicly available

.

3(b) Public Notice Required Prior to ICR Submission to OMB

To comply with the Paperwork Reduction Act requirement that any agency developing a19

non

- rule

- related ICR solicit public comments for a 60

- day period, EPA published a Federal Register notice on August 21, 2012 ( 77 FR 50495 ). No comments were received on this notice.

3(c) Consultations

On August 9, 2012, the U.S. Office of Management and Budget (OMB) issued a memorandum directing agencies to engage in advance testing of information collections,

incl uding Federal forms. Advance testing must be used to the extent feasible and appropriate, especially for complex or lengthy forms. Such advance testing should occur either before proposing information collections to the public or during the public commen t period required by the Paperwork Reduction Act (PRA). OMB identified several purposes for advance testing of

forms:

 Ensure that they are not unnecessarily complex, burdensome, or confusing;

 Obtain the best available information about the likely burden s on members of the public; and

 Identify ways to reduce burdens and increase simplification and ease of comprehension.

Under ENERGY STAR , EPA carefully evaluates each proposed information collection against applicable criteria in the PRA and as summarized above. As an initial matter, EPA determines whether each proposed collection is necessary (e.g., does it provide meaningful and

essenti al information that cannot be obtained from an existing source?). If the collection is deemed necessary and useful, the Agency will design the collection to ensure information quality while minimizing burden and complexity on the public. For example, EPA has been increasingly offering electronic methods for information submittal under ENERGY STAR. The information collections under ENERGY STAR include user instructions in plain English and other tools to simplify completion (e.g., checklists), and many of the electronic collections offer additional user assistance (drop

- down menus, pre

- populated forms, etc.).

EPA also will use advance testing, particularly for complex or lengthy forms. Advance testing will be coordinated with the 60

- day notice and comment period already required under the PRA. For example, EPA may collect feedback through the following methods (which will be performed in compliance with the PRA, as applicable):

 Focus groups;

 Pre

- tests (e.g., mail out the draft form with a few ques tions on usability and burden); and/or

 Web

- based questions.

For purposes of this ICR submission, EPA has carefully reviewed all of the forms and determined that the submission does not include any complex or lengthy forms that warrant advance testing. T hey are relatively straight

- forward and, to the greatest extent practicable, incorporate the features described above to reduce burden, improve information quality, and simplify implementation.20

3(d) Effects of Less Frequent Collection

EPA has carefull y considered the information collection burden imposed by the ENERGY STAR Program. EPA is confident that those activities requested of respondents are necessary, and to the extent possible, the Agency has attempted to minimize the burden imposed.

A number of the requested activities, for example, will be performed once (e.g., one

- time submittal of Partnership Agreement). In addition, respondents can satisfy many of the collections in this ICR by submitting readily available information , and most collectio ns are completed electronically . For example, users of the Home Energy Yardstick for homeowners are asked to enter energy use data online (e.g., data from their energy bills). EPA believes strongly that, if the information collections in this ICR are not performed at the requested frequency, EPA’s ability to implement the ENERGY STAR Program and the public’s ability to benefit from the program’s tools and resources could be hampered significantly.

3(e) General Guidelines

Information collections perfo rmed under this clearance will follow all of OMB's General Guidelines regarding federal data collection.

EPA intends to omit the expiration date from all forms being submitted for OMB review

in this ICR. The information collected on the forms is modified infrequently. When modifications to the forms do occur, they normally involve changes that do not affect respondent burden (e.g., changes to wording and/or format). Under the 1995 Paperwork Reduction Act, a person is not required to respond to a collect ion of information unless it displays a currently valid

OMB control number.

Since this ICR is renewed every three years, inclusion of an expiration date on the forms would require EPA to amend them every three years. This would create unnecessary burd ens for both EPA and those who complete the forms. Since inclusion of the expiration date on the forms in these circumstances provides little to no value for the public, EPA intends to omit it from the

forms under this ICR.

3(f) Confidentiality

Participation in the ENERGY STAR Program is voluntary and may be terminated by participants or EPA at any time. If a claim of confidential business information (CBI) is asserted, EPA will manage that information in accordance with EPA’s provisions on

conf identiality. 40 CFR Part 2, Subpart B establishes EPA’s general policy on the public disclosure of information and procedures for handling CBI claims.

3(g) Sensitive Questions

The information collections do not ask sensitive questions, such as those p ertaining to sexual attitudes or behavior or religious beliefs. No questions of a sensitive nature are asked of participants with ENERGY STAR.21

4. THE RESPONDENTS AND THE INFORMATION REQUESTED

4(a) Respondents and SIC Codes

Respondents for this information collection request include s partner s in ENERGY STAR

, including homebuilders, verification organizations, lenders, utilities, and regional ene rgy efficiency P rogram Sponsor s. The following is a list of Standard Industrial Classification (SIC)

c odes and corresponding North American Industry Classification System (NAICS) codes for industry segments which may be affected by information collections covered under this ICR for

the ENERGY STAR Program.

SIC NAICS Industries

1521 233320 General Contractor s

- Single

- Family Houses

1522 233220 General Contractors

- Residential Buildings, Other Than Single

Family Industry

1531 233210, Operative Builders

233310

1541 233310 General Contractors

- Industrial Buildings and Warehouses

1542 233320 General Contractors

- Nonresidential Buildings, Other than

Industrial Buildi ngs and Warehouses

1711 235110 Plumbing, Heating And Air

- conditioning

1721 235210 Painting and Paper Hanging Industry Group

1731 235310 Electric al Work

1741 235410 Masonry, Stone Setting, and Other Stone Work

1742 235420 Plastering, Drywall, Acoustical, and Insulation Work

1743 235430 Terrazzo, Tile, Marble, and Mosaic Work Industry Group

1751 235510 Carpentry Work

1752 235520 Floor Laying and Other Floor Work, Not Elsewhere Classified

1761 235610 Roofing, Siding, and Sheet Metal Work Industry Group

1771 235710 Concrete Work Industry Group

1781 235810 Water Well Drilling

1791 235910 Structural Steel Erection

1793 235920 Glass and Glazing Work

1794 235930 Excavation Work

1795 235940 Wrecking and Demolition Work

1796 235950 Installation or Erection of Building Equipment, Not Elsewhere

1799 235990 Special Trade Contractors, Not Elsewhere Classified

4911 221122, Electric Services

221121

4922 486210 Natural Gas Transmission

4923 221210 Natural Gas Transmission and Distribution

4924 221210 Natural Gas Distribution

4925 221210 Mixed, Manufactured, or Liquefi ed Petroleum Gas Production

and/or

4931 221112, Electric and Other Services Combined22 221111, 221113,

221119

4932 221210 Gas and Other Services Combined

4939 221112, Combination Utilities, Not Elsewhere Classified

221122

4961 221330 Steam And Air

- conditioning Supply

6021 522110 National Commercial Banks

6022 522190 State Commercial Banks

6029 522110 Commercial Banks, Not Elsewhere Classified

6035 522120 Savings Institutions, Federally Chartered

6036 522120 Savings Institutions, Not Federally Chartered

6061 522130 Credit Unions, Federally Chartered

60 62 522130 Credit Unions, Not Federally Chartered

6111 522294 Federal and Federally

- Sponsored Credit Agencies

6162 522390 Mortgage Bankers and Loan Correspondents

522292

6163 522310 Loan Brokers

6531 531320 Real Estate Agents and Managers

7389 54135 0 Business Services Not Elsewhere Classified

7623 811412 Refrigeration and Air

- Conditioning Service and Repair Shops

8712 541310 Architectural Services

9531 925110 Administration of Housing Programs

9532 925120 Administration of Urban Planning and Comm unity and Rural Development

4(b) Information Requested

The information collected by EPA differs depending on the specific collection activity as well as the respondent type. Therefore, this section describes the data items used and the associated resp ondent activities based on the respondent type within each major collection activity. [Note: For detailed information about the data items described in this section (e.g.,

elements on a specific form), refer to the forms submitted with this ICR.]

JOINING THE ENERGY STAR PROGRAM AND RELATED ACTIVITIES

Organizations interested in joining ENERGY STAR as partner s are asked to submit a Partnership Agreement describing their commitment to promoting ENERGY STAR certified homes and residential energy efficiency . They also may be asked or encouraged to undertake related activities, as described below.

Home Builders

This participant group includes builders of traditional s ite

- built homes such as large production home builders, custom home builders, and multifamily high rise (MFHR) developers. This group also includes onsite builders and installers of homes produced in manufacturing23

plants including manufactured and modular homes. This group also includes the manufacturing plants that produce manufactured and/or modular homes that, once fully constructed onsite, are eligible for the ENERGY STAR label

. Organizations of all sizes are encouraged to join the Program by submitting a Partnership Agreement . Partners make a commitment to building and selling ENERGY STAR certified homes. In addition, when a builder joins, it can commit to

build all of its homes to be ENERGY STAR certified (i.e., a ―100% commitment‖) . If they choose to do so, they are asked to renew their 100% commitment annually. Further, MFHR developers are asked to submit a project application for each building/development project.

(i) Data Items

 A Partnership Agreement and related materials

.

 Annual renewal of 100% commitment (opti onal).

 For multifamily high rise developers, a project application for each building/development project

.

(ii) Respondent Activities

 To join ENERGY STAR, organizations are asked to c omplete and submi t the Partnership Agreement and related materials online

.

 Partners choos ing a 100% commitment renew the ir commitment annually

online

.

 MFHR developers are asked to prepare and submit a project application for

each building/development project.

Architects/Home Plan Designers

This partner group includes production architects and home plan designers who prepare architectural plans for resid ential construction projects. Organizations of all sizes are encouraged to join the Program by submitting a Partnership Agreement

. Partners m ake a commitment to including energy efficient details on home plans in an effort to earn the Designed to Earn

ENERGY STAR label

.

(i) Data Items

 A Partnership Agreement

.

(ii) Respondent Activities

 To join ENERGY STAR, organizations are asked to complete and submit the Partnership Agreement online.24

Verification Organization Partners

This partner group includes organizations involved in independently verifying that homes meet ENERGY STAR guidelines for residential energy efficiency. They act as third

- party, independent providers of home energy rating services. The main types of verification organization partner s that participate in ENERGY STAR are certified H ome E nergy R aters and

accredited H ome E nergy R ating P roviders. Organizations are encouraged to join the Program by submitting a Partnership Agreement. [Note: There are also manufactured and modular home plant certifiers who independently verify that manufacturing plants that produce manufactured and modular homes can consistently prod uce homes to earn the ENERGY STAR label

. Plant

certifiers are not partner s
, however. ]

(i) Data Items

 A Partnership Agreement

.

(ii) Respondent Activities

 To join ENERGY STAR, organizations are asked to complete and submit the Partnership Agreement online.

Oversight Organization s

Oversight organizations include organizations recognized by EPA as having the necessary qualifications and capabilities and infrastructure in place for overseeing the verification of a home’s energy efficiency for the Energy Star label by Verification Orga niz ations. Oversight organizations do not join as ENERGY STAR partner s but rather participate in the program by completing an application to be recognized by EPA as an Oversight Organization.

V erification Oversight Organizations (V OOs )

Verification oversigh t organizations (VOOs) oversee Home E nergy Raters and Providers in the marketplace. To be qualified to oversee verification of ENERGY STAR homes, these organizations apply to be a VOO with ENERGY STAR. Once approved, VOOs provide oversight and addr ess issue s from owners of ENERGY STAR homes regarding Home E nergy Raters and Providers.

(i) Data Items

 A n application form

.

 Issues from homeowners.25

(ii) Respondent Activities

 To particip ate in the ENERGY STAR Program , VOOs perform the
following:

 C omplete and submit app lication materials to EPA; and

 Collect and handle issues about Raters and Providers who have verified

ENERGY STAR homes.

M anufactured/Modular Verification Oversight Organizations (M VOOs )

Another type of oversight organization is a manufactured/modular verification oversight organization , which acts as a third

- party, independent quality assurance provider for manufacturing plants that produce ENERGY STAR certified manufactured and modular homes.

(i) Data Items

 A n application form

.

(ii) Respondent Activities

 To participate in the ENERGY STAR Program , organizations are asked to
prepare and submit the completed application to EPA.

H

- QUITOs

HVAC Quality Installation Training and Oversight Organizations (H

- QUITOs) are independent, third party oversight organizations that provide required oversight activities for

HVAC contractors. To demonstrate that they are qualified to oversee verification of contractors, these oversight organizations apply to be an H

- QUITO with ENERGY STAR. Once approved,

H

- QUITOs agr ee to certify and oversee HVAC c ontractors participating in the program by reviewing and approving contractor credent ials, and performing quality assurance on a representative number of systems installed by contractors.

(i) Data Items

 A n a pplication to EPA

.

 HVAC contractor applications for credentials

.

(ii) Respondent Activities

 To participate in the ENERGY STAR Program , H

- QUITOs perform the following:

 Complete and submit application to EPA; and26  Collect, review and approve applications from HVAC c ontractors seeking

credentials.

Lenders

This partner group commits to deliver energy efficient mortgages (EEMs) to buyers of energy efficient homes such as ENERGY STAR Certified H omes

. EEMs use the present value of future utility bill savings to provide loan applicants more favorable loan terms, allowing th em to qualify for a larger loan and to finance a more energy efficient home. Organizations of all

si zes are encouraged to join the p rogram by submitting a Partnership Agreement.

(i) Data Items

 A Partnership Agreement

.

(ii) Respondent Activities

 To join ENERGY STAR, organizations are asked to complete and submit the Partnership Agreement online.

Energy Efficiency Program Sponsor (EEPS) Partners

Certified Homes EEPS

This partner group includes utilities; national, regional, State, or local government entities; or other organizations involved in coordinating and/or administering an energy

efficiency program that promotes ENERGY STAR certified homes. EEPS interested in joining

ENER GY STAR are asked to complete and submit a Partnership Agreement and Commitment

Form.

(i) Data Items

 A Partnership Agreement and Commitment Form

.

(ii) Respondent Activities

 To join ENERGY STAR, organizations are asked to complete and submit the Partnership Agreement and Commitment Form.27

Home Performance with ENERGY STAR Sponsors

Home Performance with ENERGY STAR partner s are organizations that sponsor energy efficiency retrofit program for existing homes. These partner s are typically utilities, state agencies, and local associations who sponsor and promote a program of whole house, building

science

- based improvements to existing homes . The program should emphasize a whole house approach, facilitation of the insta llation of recommended measures, diagnostic testing, and quality assurance. Organizations of all sizes are encouraged to join the Program by submitting a Partnership Agreement and related materials, including a program implementation plan and Web

materials

. Sponsors also review participation agreements from contractors participating under the Home Performance with ENERGY STAR program. This agreement describes the program’s requirements and terms of participation.

(i) Data Items

 A Partnership Agreement.

 A written plan for implementing a program meeting the criteria for Home

Performance with ENERGY STAR

.

 Web content and other marketing materials featuring ENERGY STAR

.

 Participation agreement.

(ii) Respondent Activities

 To participate in the ENERGY STAR Program , organizations perform the following:

 C omplete and submit t he Partnership Agreement to EPA;

 Develop and s ubmit to EPA electronically a written plan to implement a program that meets the criteria for Home Performance with ENERGY

STAR ; and

 Submit Web designs and marketing materials that use ENERGY STAR logos or messaging for EPA review

.

 Sponsors review participation agreements from cont ractors participating under the Home Performance with ENERGY STAR program.28

HVAC Quality Installation Program Sponsors

This participant group consists of utilities, oversight organizations (e.g.

, H

- QUITOs), and state and local agencies that sponsor and/or promote a program that verifies that HVAC contractors install heating and air conditioning equipment to meet American National Standards Institute ( ANSI ) approved quality installation standards. Organizations of all sizes are encouraged to join the Program by submitting a Partnership Agreement and program implementation plan.

(i) Data Items

 A Partnership Agreement

.

 A written plan for implementing an ENERGY STAR HVAC Quality Installation Program

.

(ii) Respondent Activities

 To participate in the ENERGY STAR Program , organizations perform the following activities:

 Complete and submit the Partnership Agreeme nt; and

 Develop and submit to EPA a written plan to implement a program that meets the criteria for an ENERGY STAR HVAC Q uality Installation Program

.

HVAC Contractors

HVAC c ontractors participating in ENERGY STAR Program s are not ENERGY STAR

partner s and do not complete a Partnership Agreement . However, as part of their participation in the program, contractors seek credentials from H

- QUITOs. They also agree to send Web content and other marketing materials featuring ENERGY STA R to HVAC Quality Installation Program

S ponsors for promotion of the HVAC Quality Installation Program

.

(i) Data Items

 Credential ing ap plication to H

- QUITOs.

 Web content and other marketing materials featuring ENERGY STAR

.

(ii) Respondent Activities

 Contractors p erform the following activities:

 Complete and submit credentialing application to H

- QUITOs; and

 S ubmit Web designs and marketing materials that use ENERGY STAR logos or messaging to HVAC QI Program S ponsors.29

Home Performance with ENERGY STAR Contractors

Hom e Performance with ENERGY STAR c ontractors participate in installing energy efficiency measures in existing homes under the oversight of a Home Performance with ENERGY STAR Sponsor. They are not partners and do not complete a Partnership Agreement. They do sign a participation agreement with a sponsor that ensures they are qualified to install energy ef ficiency measures according to program guidelines. This agreement describes the program’s requirements and terms of participation.

(i) Data Items

 Participation agreemen t.

(ii) Respondent Activities

 Contractors complete and submit a participation agree ment to sponsors

.

VERIFICATION OF ENERGY STAR GUIDELINES

Home Builders

Builders of Site

- Built Homes (General)

Home Builders complete a Water Management Checklist for each home built, including

site

- built and manufactured and modular homes. In addition, home builders can choose to fill out

a number of items in the Thermal Enclosure Checklist before providing it to Home Energy

R aters for completion.

i) Data Item s

 Water Management Checklist , for both site

- built and manufactured and

modular home s; and

 Thermal Enclosure Checklist (optional)

.

ii) Respondent Activities

 Home builders perform the following:

 Complete a Water Management Checklist for each home built; and

 If desired, complete certain data points on the Thermal Enclosure

Checklist and provide to the Home Energy R a ters for completion.

Manufactured and Modular Plants

To receive an ENERGY STAR label for homes manufactured at the pl ant, the plant must30

integrate ENERGY STAR standards into home design plans. These plans are kept on site and are not collected by EPA. An internal plant coordinator is responsible for ensuring that program standards have been incorporated into plant operat ions. This plant coordinator is responsible for the manufacturing as well as quality installation of the homes onsite

. The coordinator addresses

any issue s regarding manufactured and modular ENERGY STAR homes. As part of this responsibility, the plant coordinator collects and retains the four ENERGY STAR checklists completed by other parties when homes are inspected onsite : the Thermal Enclosure Checklist

, Wa ter Management Checklist

, HVAC Rater Checklist , and HVAC Contractor Checklist s.

(i) Data Items

 Home plan designs that integrate ENERGY STAR standards

.

 Four ENERGY STAR verification checklists.

 Homeowner issues

.

(ii) Respondent Activities

 Plants integrate ENERGY STAR s tandards into home plan designs;

 Plant coordinators collect and retain the four ENER GY STAR verification checklists; and

 Plant coordinators address homeowner issues , as necessary.

Multifamily High Rise Developers

For each home design, multifamily high rise deve lopers submit a Proposed Design Package to ensure that the project design meets program requirements and that they have been included in the construction documents. Upon completion of the construction phase, developers

su bmit an As

- Built Design Package to ensure that the energy conservation measures chosen by the design team are installed to specification.

(i) Data Items

 A Proposed Design Submittal, which includes:

 The Proposed Building Reporting Summary;

 The Testing and Verification Worksheets; and

 The ENERGY STAR Submittal Validation Form

.

 An As

- Built Design Submittal, which includes:

 The As

- Built Building Reporting Summary;

 The Testing and Verification Worksheets;

 Photo Template; and

 The ENERGY STAR Submittal Vali dation Form

.31

(ii) Respondent Activities

 Multifamily high rise developers perform the following:

 Complete and submit the Testing and Verification Worksheets (for design and construction phases);

 Complete and submit Validation Form (for design and construction phases);

 Complete and submit the Proposed Design Summary Report;

 Complete and submit the As

- Built Building Reporting Summary; and

 Complete and submit the photo template.

Verification Organizations

Home Energy Raters and Providers

Both Home Energy Rating Providers and Home Energy R aters perform verification services, also known as home energy ratings, on homes by conducting onsite diagnostic tests to measure the energy efficiency of homes. For homes earning the E NERGY STAR label , Rating

Providers and R aters must check some additional information about the homes that is not a usual part of conducting a home energy rating to verify that the homes meet ENERGY STAR requirem ents. Home Energy Rating P roviders provide a layer of quality control by overseeing the work of the Home Energy R aters and submitting quarterly reports t o EPA on behalf of Home Energy Raters. Home Energy Raters and P roviders also assist in verifying the energy efficiency of homes built in manufacturing plants, including manu factured and modular homes. They are involved in verifying that these homes meet ENERGY STAR requireme nts by checking that

ENERGY STAR

- related measures and requirements are installed and met both while in production in the plant and during onsite construct ion.

As part of inspecting site

- built homes and manufactured/modular homes onsite , Raters complete two checklists: the Thermal Enclosure Checklist and the HVAC QI Rater Checklist. They also collect two checklists from other parties: the Water Management Checklist and the HVAC QI Contractor Checklist. The Rater submits all four checklists to the Provider. For manufactured and modular homes, Raters also complete a separate manufactured or modular home completion report, which is submitted to the MVOO.

I n addition, A rchitects/Home Plan Designers contract with verification organizations to verify the energy efficiency criteria o f each home plan for which they are seeking the Designed

to Earn the ENERGY STAR label . These Raters review plans, complete the four checklists as well as the Designed to Earn the ENERGY STAR Review Checklist. Once the Rater has approved the project, they issue the label

.

(i) Data Items

 Thermal Enclosure Checklist

.32  HVAC QI Rater Checklist

.

 Water Management Checklist

.

 HVAC QI Contractor Checklist

.

 For manufactured and modular homes, a home completion report

 For the Designed to Earn Program, the following d ata items are collected:

 Projected HERS rating or appropriate prescriptive path;

 The four ENERGY STAR checklists;

 Designed to Earn the ENERGY STAR Review Checklist; and

 Additional information on the plan, including floor plan, specifications (e.g. window and insulation specifications) and other details.

(ii) Respondent Activities

 Home Energy Raters prepare the Thermal Enclosure and HVAC QI Rater checklists, collect two checklists (Water Management and HVAC QI

Contractor Checklist s) from other parties, and submit them to the Rating

Providers.

 For manufactured and modular homes, Rater s also complete a home completion report and submit the report to the MVOO.

 Verification organizations contracted by architects/home plan designers verify energy efficiency on each plan by completing the following activities:

 Review the blueprint and enter data into modeling software to estimate the

as

- built home’s energy use;

 Complete three checklists (the Thermal Enclosure Checklist , the Water Management Systems checklist, and the HVAC Rater Checklist) and work

with HVAC cont ractors to complete the HVAC Contractor Checklist ;

 Complete the Designed to Earn checklist with details and specifications on plans, if necessary ;

 If the Architect/Home Plan Designer is submitting the home plan to EPA for the first time, submit all the ma terials listed above to EPA for review and approval ; and

 Stamp and label the home plan with the Designed to Earn logo

.

Manufactured and Modular Plant Certifiers

The manufactured and modular home industry utilizes third

- party consultants called plant certifiers who certify a manufacturing plant’s ability to consistently produce and install

ENERGY STAR certified manufactured and modular homes. Plant certifiers are not ENERGY

STAR partner s. Plant certifiers complete a manufactured or modular home plant qualification33

form for each plant inspected to demonstrate that the plant is qualified to produce ENERGY STAR certified manufactured and/or modular homes. Once a plant is approved, the plant certifier returns to the plant every six months to ensure continued adherence to ENERGY STAR guidelines.

(i) Data Items

 Modular plant qualification form.

 Manufactured plant qualification form.

ii) Respondent Activities

 Plant certifiers complete and submit a manufactured or modular home plant qualification form for each plant

.

H

- QUITOs

HVAC Quality Installation Training and Oversight Organization s (H

- QUITOs) are independent, third party oversight organizations that provide required oversight activities for

HVAC contractors. H

- QUITOs oversee HVAC contractors by performing quality assurance on a sample of systems installed through periodic site visits and verification of checklists

.

(i) Data Items

 HVAC checklists submitted by contractors for a sample of installations.

(ii) Respondent Activities

 Perform quality assurance of systems installed by HVAC contractors through periodic site visits and verification of checklists

.

HVAC Quality Installati on Sponsors

HVAC Quality Installation Sponsor s perform quality assurance on HVAC systems installed by contractors. To verify that HVAC systems have been installed correctly by

contractors, Program Sponsor s collect and review a commissioning report for each installation. Quality assurance also includes field verification of a small sample of installations by each

contractor.

(i) Data Items

 Commissioning report completed by HVAC contractor s

.34

(ii) Respondent Activities

 HVAC QI Sponsors perform the following activities:

 Collect and review commissioning report from HVAC contractor s ; and

 Perform field verification of a sample of installations to ensure quality assurance by contractor.

HVAC Contracto rs

HVAC contractors are asked to complete an HVAC QI Contractor Checklist for each

site

- built home verified and provide it to the Rater. HVAC c ontractors that choose to participate in an ENERGY STAR HVAC Q uality Installation Program are asked to submit a commissioning report to an HVAC Quality Installation Program Sponsor for each HVAC installation verified. This commissioning report includes details on the HVAC equipment (e.g. make, model), design specifications specific to the installations, an d results of tests (e.g. air flow, refrigerant tests).

(i) Data Items

 HVAC QI Contractor Checklist.

 Commissioning report

.

(ii) Respondent Activities

 HVAC c ontractors perform the following:

 Complete an HVAC QI Contractor Checklist for site

- built homes and provide it to the Rater

.

 C omplete a commissioning report for each HVAC ins tallation and submit to Program Sponsor s.

EVALUATION

EPA utilizes information collected from ENERGY STAR Program partner s and other organizations to evaluate the impact of ENERGY STAR Residential Program s in the new home construction and home improvement market sectors. These activities help EPA to ensure that ENERGY STAR maintains its unique value in the marketplace as the symbol for energy efficiency in new and existing homes and maximizes its ability to transform the market through construction of energy efficient homes and improvements to existing homes to enhance efficiency.35

Partners

EPA collects information from partner s to evaluate the value and impact of ENERGY STAR in the marketplace, and in the building and selling of efficient homes. EPA also periodically contacts partner s to gather feedback about their experience with the program, and provide technical suppo rt, if necessary. EPA also may ask partner s to make presentations during

Web inars or provide information in connection with Web inars

.

(i) Data Items

 Verbal or written responses to EPA’s questions or requests regarding:

 Sales and marketing;

 Technical issues;

 Feedback on the ENERGY STAR Program and outreach efforts; and /or

 ENERGY STAR in the marketplace.

(ii) Respondent Activities

 Partners would be asked to provide verbal or written responses to EPA questions or requests

.

Other Home Industry Professionals

EPA may contact other professionals in the residential sector such as realtors, appraisers, product manufacturers, and retailers, for their feedback on developing building science/energy efficiency concepts for the ENERGY STAR Prog ram , its outreach efforts, and its impact on the market for energy efficient new and existing homes.

(i) Data Items

 Verbal or written responses to EPA’s questions regarding building science/energy efficiency concepts or other issues

.

(ii) Respondent Activities

 Home industry professionals would r espond to EPA questions or requests

.

Homeowners

This participant group includes all homeowners and organizations that choose to use

EPA’s on

- line home assessment tools, such as the Home Energy Yardstick , Home Energy Advisor, Home Energy Profile and other available resources to benchmark and monitor their

homes’ energy performance. Some h omeowners may be featured in case studies on the

ENERGY STAR Web site to encourage others to take similar actions

.36

T o validate environmental benefits of homes earning the ENERGY STAR label , EPA

may request permission from a number of homeowners (less than 500 in any one market) to obtain energy use and cost information from utilities and energy suppliers by completing a Utility Bill Release F orm

. Respondents would need to complete, sign, and return the permission

form.

(i) Data Items

 Information requested in EPA’s online tools (e.g., characteristics of home heating and cooling system).

 Home Improvement Profile Form

.

 U tility B ill Release F orm

.

(ii) Respondent Activities

 To use the Home Energy Yardstick , Advisor, or Profile tools, homeowners

visit the ENERGY STAR Web site and enter data online.

 To be featured in case studies on the ENERGY STAR Web site

, homeowne rs compl ete a Home Improvement P rofile fo rm.

 If requested, homeowners would complete and mail U tility B ill R elease F orm.

PERIODIC REPORTING

In order for EPA to track partner s’ level of activity and give them credit for the ENERGY

STAR certified homes they build and verify , EPA collects basic information each calendar quarter about the number of certified homes that partner s have built and verified

.

Verification Organizations

Rating Providers are asked to submit a report to EPA every quarter describing the ir

ENERGY STAR certified homes.

(i) Data Items

 A quarterly repor t aggregating the number of ENERGY STAR certified

homes

.

(ii) Respondent Activities

 Rating Providers p repare and submit quarterly reports to EPA using an online reporting tool

.37

Oversight Organizations

Manufactured and Modular Home Oversight Organizations (MVOOs)

MVOOs are asked to collect and enter ENERGY STAR

- related information into a database as verification organizations confirm that homes meet ENERGY STAR requirements.

E ach calendar quarter MVOOs generate a spreadsheet from their database containing the

ENERGY STAR

- related information that EPA asks for. The MVOO submits the spreadsheet via email. There is a spreadsheet containing ENERGY STAR manufactured home information and a separate spreadsheet containing ENERGY STAR modular home information.

(i) Data Items

 A quarterly report containing ENERGY STAR

- related information (e.g., number of certified homes).

(ii) Respondent Activities

 MVOOs p repare and submit quarterly reports to EPA.

H

- QUITOs

As part of their participation in the program, H

- QUITOs agree to share information as requested by EPA regarding their oversight of HVAC contractors qualified to work on ENERGY

STAR Certified Homes

.

(i) Data Items

 I nformation as requested by EPA.

(ii) Respondent Activities

 H

- QUITOs provide information as requested by EPA.

Energy Efficiency Program Sponsors (EEPS)

Home Performance with ENERGY STAR Sponsors

Home Performance with ENERGY STAR Sponsors are asked to submit quarterly reports

on projects completed by contractors. As the final quarterly report, Program Sponsor s submit an

end

- of

- year report to EPA that, among other things, describe s strategies and ch allenges in implementing program requirements.38

(i) Data Items

 Q uarterly report s describing Home Performance with ENERGY STAR

related activities (e.g., number of projects completed).

(ii) Respondent Activities

 Home Performance with ENERGY STAR Sponsors p repare and submit quarterly reports

.

HVAC Quality Installation Sponsors

HVAC Quality Installation Sponsor s are asked to submit quarterly reports on the number of completed projects or verified HVAC installations

.

(i) Data Items

 Q uarterly report s

.

(ii) Respondent Activities

 HVAC Quality Installation Sponsor s p repare and submit quarterly reports to

EPA.

ENERGY STAR AWARDS

Organizations interested in receiving recognition for their efforts in building, certifying

, and/or sponsoring ENERGY STAR certified homes may submit an application for an ENERGY

STAR Award. These awards are given out annually by EPA during the annual ENERGY ST AR awards ceremony. EPA is currently issuing the following homes

- related awards under the

ENERGY STAR Program : New Ho me Builders, Home Energy Raters and Providers, Excellence in Affordable Housing and Program Delivery (including New Homes and Home Performance with ENERGY STAR)

.

(i) Data Items

 An application package that is submitted online through a module in EPA’s

iStar d ata system. Information requested in the module includes the following:

 Organization’s name, address, Web address, primary contact’s name, title,

e

- mail, phone, and fax;

 Communications contact person’s name, phone, e

- mail, and fax;

 Organization’s headquarters address if different than organization;

 Partner type;

 Market penetration of certified homes and expected growth rate ;

 Total number of certified homes label ed and expected growth rate ;39  Percentage of homes built that are ENERGY STAR;

 Percentage of housing starts in market area that earn the ENERGY STAR

label ;

 A description, in both qualitative and quantitative terms, of the organization’s contributions in promoting ENERGY STAR in the residential sector. This includes examples of how t he ENERGY STAR logo has been used, examples of how the organization has measured the impact of ENERGY STAR on their business, how it has used ENERGY STAR in other areas if applicable , and examples of marketing impacts ;

 Supporting documentation that illustr ates the organization’s level of activity in promoting ENERGY STAR. This may include photos, CD

ROM, video , ads ; and

 Trainings being offered, as appropriate, and number of participants;

 Total number of Home Performance with ENERGY STAR jobs completed by c ontractors, if applicable;

 Total number of onsite quality assurance inspections by program contractor and third party inspectors (for Home Performance with ENERGY STAR Program only);

 Testimonials from H ome E nergy Raters and home builders, as appropriate; a nd

 Dated signature o f organization’s representative.

(ii) Respondent Activities

 Organizations c omplete and submit the application package and supporting

materials electronically.

OUTREACH PARTNERSHIP

Partners have the option of participating in an outreach partnership, whereby they contribute resources to the development and distribution of a public outreach and education campaign about ENERGY STAR certified homes. A one page Commitment For m is complet ed by the partner s and submitted to EPA. This form requests partner contact information

, as well as the amount of resources to be provided and details about the type of media to be used for the outreach campaign.

The outreach partnership involves coordi nation and implementation by local partners to develop and distribute the outreach materials

. EPA works closely with partners in interested markets to help facilitate a successful outreach campaign.

(i) Data Items

 A Commitment Form

.

(ii) Respondent Activities40  To apply for the outreach partnership, respondents are asked to:

 Complete and submit the Commitment Form to EPA; and

 Coordinate with other participants and EPA in developing and distributing the outreach campaign

.

5. THE INFORMATION COLLECTED

—AGENCY ACTIVITIES, COLLECTION METHODOLOGY, AND INFORMATION MANAGEMENT

5(a) Agency Activities

This section describes EPA’s activities associated with the information collections

described in this ICR. Where possible, EPA activities that apply across different partner categories (e.g., home builders, verification organizations) have been grouped together and described as one activity.

JOINING THE ENERGY STAR PROGRAM AND RELATED ACTIVITIES

 EPA will per form the following for organizations applying for partnership or participation in ENERGY STAR :

 Review Partner A greements and related materials (e.g., 100% commitment renewals) ;

 Review applications from oversight organizations;

 Send a welcome email to partner s;

 Send confirmation email with username and password information; and

 Review and approve MFHR Project Application

.

VERIFICATION OF ENERGY STAR GUIDELINES

 EPA will perform the following for multifamily high rise developers :

 Review and approve Proposed and As

- Built Design Submittals; and

 M aintain a list of certified MFHR building s

.

 For Home Energy Raters and Providers, EPA will review and approve five checklists and model results when reviewing home plans verified by Raters new to the Designed

to Earn program.

EVALUATION

 EPA will perform the following activities when obtaining feedback from partner s and other home industry professionals :

 Develop questions;

 Contact partner s and solicit feedback; and

 Collect feedback.

 EPA will perform the following when obtaining feedback from homeowners:41  Request and review Home Improvement Profiles ; and

 Request and review Utility Bill Release Forms.

PERIODIC REPORTING

 EPA will perform the following activities with regard to periodic reports:

 Provide training to Home Performance with ENERGY STAR Program Sponsors on the use of electronic reporting system;

 Re quest, review and approve quarterly reports; and

 Request and review information on as

- needed basis from H

- QUITOs

.

ENERGY STAR AWARDS

 EPA will perform the following activities for ENERGY STAR awards:

 Contact key partner s to inform them of the annual award application process;

 Develop award winner selection criteria;

 Review award applications and supporting materials;

 Summarize application information for all applicants

 Select winners; and

 Contact winners and non

- winners.

OUTREACH PARTNERSHIP

 EPA must perform the following activities with regard to the outreach partnership:

 Contact partner s to solicit applications for the outreach partnership;

 Review partner applications and select participations;

 Contact partner s to coordinate outreach development efforts;

 Review outreach materials; and

 Coordinate with partner s in placing outreach materials in mass media.

5(b) Collection Methodol ogy and Management

In collecting and analyzing the information associated with this ICR, EPA will use a telephone system, personal computers, and applicable database software. EPA will ensure the accuracy and completeness of collected information by reviewing each submittal. EPA will enter the information obtained into a database and will aggregate data obtained to monitor the progress of participants in improving energy performance.

5(c) Small Entity Flexibility

EPA expects that small b usinesses will participate in the ENERGY STAR Program. EPA has designed its report forms to minimize respondent burden while obtaining sufficient and accurate information. In addition, the initial agreement to participate in the Program is voluntary.42

5(d) Colle ction Schedule

JOINING THE ENERGY STAR PROGRAM AND RELATED ACTIVITIES

 EPA col lects Partnership Agreement s, Commitment Form s and related materials (e.g., implementation plans, Web content) on a one

- time basis from organizations applying to be partner s

.

 EPA collects applications on a one

- time basis from organizations seeking to be an Oversight Organization.

 EPA collects the project application for each multifamily high rise building/development project before design of the project phase

.

 EPA collects renewals of 100% commitments from builder partners each year.

 Sponsors collect participation agreements from contractors under the Home Performance with ENERGY STAR program on a one

- time basis.

VERIFICATION OF ENERGY STAR GUIDELINES

 The Water Managemen t Checklist, Thermal Enclosure Checklist, HVAC Rater Checklist, and HVAC Contractor Checklist are completed when a home is built and

verified for the ENERGY STAR ; these forms are submitted to a Home Energy Rater

. For modular and manufactured homes, a sepa rate manufactured or modular home completion report is prepared and submitted to the MVOO.

 A manufacturing plant is asked to integrate ENERGY STAR standards into home design plans in order receive an ENERGY STAR label for homes manufactured at the plant.

 Multifamily high rise developers submit a Proposed Design Package after the design phase and an As

- Built Design Package after completion of the construction phase of a development project.

 Verification organizations contracted by architects and home plan designers verify the energy efficiency of each home design by completing specified activities before issuing a label

.

 Plant certifiers complete a manufactured or modular home plant qualification form for each plant inspected to demonstrate that the plant is qualified to produce ENERGY STAR certified manufactured and/or modular homes. Once a plant is approved, the plant certifier returns to the plant every six months to ensure continued adherence to ENERGY STAR guidelines.

 H

- QUITOs oversee HVAC contractor s by performing quality assurance on a sample43 of systems installed through periodic site visits and verification of checklists.

 To verify that HVAC systems have been installed correctly by contractors, Program Sponsors collect and review a commissioning r eport for each installation. Quality assurance also includes field verification of a small sample of installations by each

contractor.

 HVAC contractors are asked to complete an HVAC QI Contractor Checklist for site

built homes and provide it to the Rate r. HVAC contractors that choose to participate in an ENERGY STAR HVAC Quality Installation Program are asked to submit a commissioning report to an HVAC Quality Installation Program Sponsor for each

HVAC installation verified.

EVALUATION

 EPA expects to periodically contact partner s to gather feedback about their experience with the program, and provide technical support, if necessary. EPA may also contact other home industry professionals on an as

- needed basis for information. Finally, EPA may ask organ izations to make presentations as needed during Webinars or provide information in connection with Webinars.

 There is no collection schedule for homeowners to use the online assessment tools.

 EPA may contact some homeowners on an as

- needed basis to feature them in case

studies on the ENERGY STAR Website

.

 T o validate environmental benefits of homes earning the ENERGY STAR label , EPA

may request permission from a number of homeowners, on an as

- needed basis, to obtain energy use and cost information fr om utilities and energy suppliers by completing a Utility Bill Release Form

.

PERIODIC REPORTING

 EPA collects basic information each calendar quarter about the number of certified

homes that partner s have built and verified.

 H

- QUITOs may be asked to s hare information as requested by EPA.

ENERGY STAR AWARDS

 Partners interested in receiving recognition for their performance in promoting ENERGY STAR in the residential sector may submit an award application each year.44

OUTREACH PARTNERSHIP

 Partners seeking to participate in the outreach partnership are asked to submit a one page Commitment Form on a one

- time basis.

6. ESTIMATING THE BURDEN AND COST OF THE COLLECTION

6(a) Estimating Respondent Burden

Exhibits 1 through 6 estimate the annua l respondent burden hours for information

collection activities associated with the ENERGY STAR Program in the certified homes and existing homes sectors.

6(b) Estimating Respondent Costs

Exhibits 1 through 6 present the annual respondent costs for information collection

activities associated with the ENERGY STAR Program in the certified homes and existing homes sectors. Specific cost assumptions are discussed below.

(i) Estimating Labor Costs

The labor rates used to estimate costs to respondents were obtained from the U.S. Bureau

of Labor Statistic s. Rates are current as of 2012 . Rates reflect the cost of overhead and fringe benefits where appropriate. EPA estimates an average respond ent hourly labor rate (hourly plus overhead and fringe) of $148.97 for legal staff, $107.75 for managerial staff, $73.92 for technical staff, and $37.21 for clerical staff.

(ii) Estimating Capital and Operations and Maintenance (O&M) Costs

Operation an d maintenance (O&M) costs are those costs associated with a paperwork requirement incurred continually over the life of the ICR. They are defined by the Paperwork Reduction Act of 1995 as ―the recurring dollar amount of costs associated with O&M or purcha sing services.‖ This ICR includes O&M costs for postage (i.e., $0.4 5 for first class mail)

, as appropriate. There is an estimated annual O&M cost of $ 5 .00 for express mailing of time

sensitive print materials for the annual outreach partnership.45

6(c) Estimating Agency Burden and Costs

Exhibits 7 through 12 present the annual Agency burden and costs for information

collection activities associated with the ENERGY STAR Program in the certified homes and existing homes sectors. The hourly labor rates used in this ICR were obtained from the 20 12 GS pay schedule available from the Office of Personnel Management. EPA estimates an average hourly labor cost of $ 76.64 for legal staff, $71.67 for mana gerial staff, $52.55 for technical staff, and $21.10 for clerical staff. The labor costs are based on the following GS levels and steps: legal labor rates were based on GS Level 15, Step 1, managerial labor rates were based on GS Level 14, Step 4, technic al labor rates were based on GS Level 12, Step 5, and clerical labor rates were based on GS Level 5, Step 1. To derive hourly estimates, EPA divided annual compensation estimates by 2,080, which is the number of hours in the Federal work

- year. EPA

then m ultiplied hourly rates by the standard government overhead factor of 1.6. Total annual Agency burden and costs are presented in Table 4

.

6(d) Estimating the Respondent Universe

In this section, EPA describes its estimates of the number of respondents carrying out the

information collections under the ENERGY STAR Program in the certified homes and existing homes sectors. In developing its estimates, EPA referred to its partnershi p database (e.g., iSTAR) and other documentation in order to understand historical trends in the number of new and existing respondents. Based on this understanding, EPA has estimated the average number of respondents associated with each of the informati on collections under the Program. These estimates are explained below and reflected in Exhibits 1 through 6.

JOINING THE ENERGY STAR PROGRAM AND RELATED ACTIVITIES (EXHIBIT 1)

Home Builders

EPA estimates that

, during the three

- year life of this ICR, on average, 1

, 5 00 home builders will submit Partnership Agreements and related materials to EPA each year.

EPA also estimates that 100 multifamily high rise developers will submit Partnership Agreements to EPA

. In addition, EPA estimates that no more than five manufactured home plants and five modular home plants each year will become partner s and that no more than ten builders and installers/retailers of manufactured or modular homes each year will become

partne r s. This equates to 1,620 organizations annually.

EPA estimates that 30% of these partners (486) will choose a 100% commitment and renew their commitment annually online.

EPA estimates that 40 multifamily high rise developers will submit a project application each year.

These assumptions are reflected in Exhibit 1.46

Architect/Home Plan Designer Partners

EPA estimates that

, during the three

- year life of this ICR, on average, 3 0 architect/home plan designers in the certified homes sector will submit Partnership Agreements to EPA each

year. This assumption is reflected in Exhibit 1.

Verification Organization Partners

EPA estimates that, during the three

- year life of this ICR, 180 verification organizations will submit Partnership Agreements to EPA, on average, each year. This assumption is reflected

in Exhibit 1.

Oversight Organizations

VOOs

EPA estimates that one new VOO will join the program on average each year. In addition, VOOs participating in ENERGY STAR agree to address issues from owners of ENERGY STAR homes regarding Home Energy Raters and Providers. EPA estimates that VOOs respond to five issues on average each year. These assumptions are reflected in Exh ibit 1.

MVOOs

EPA estimates that one new MVOO will join the program each year. This assumption is

reflected in Exhibit 1.

H

- QUITOs

EPA estimates that one new H

- QUITO will apply to participate in the program during the

three

- year life of this ICR. No te : E xhibit 1 annualizes this one applicant over the three

- year life of this ICR to estimate 0.33 applicants/y ea r.

EPA also estimates that, on average, H

- QUITOs participating in the program will receive

1

, 00 0 requests to be credentialed from HVAC contractors annually

.

Lenders

EPA estimates that three lenders will join the program to promote energy efficient mortgages (EEMs) each year on average

. Th is assumption is reflected in Exhibit 1.47

Energy Efficiency Program Sponsor s (EEPS)

Certified Homes EEPS

EPA estimates that, during the three

- year life of this ICR, seven regional energy efficiency program organizations will submit Partnership Agreements to EPA, on average, each year. This assumption is reflected in Exhibit 1.

Home Per formance with ENERGY STAR Sponsors

EPA estimates that, during the three

- year life of this ICR, eight organizations in the home improvement sector will submit Partnership Agreements to EPA to join the ENERGY STAR Program , on average, each year.

Program Sponsor s that are already implementing a home improvement program and would like to make use of ENERGY STAR resources and logos submit an implementation plan. EPA estimates that eight organizations annually will complete and submit an implementation plan.

Program Sponsor s also agree to promote the ENERGY STAR Program by developing and submitting Web designs and marketing materials to EPA.

In addition, EPA estimates that Program Sponsors will review 100 participation

agreements annually from contractors participating under the Home Performance with ENERGY STAR program.

These assumptions are reflected in Exhibit 1.

HVAC Quality Installation Sponsors

EPA estimates that, during the three

- year life of this ICR, five organizations in the home improvement sector will submit HVAC Quality Installation Partnership Agreements to EPA, on average, each year. They also will submit program plans and Web designs for EPA review. These assumptions are reflected in Exhibit 1.

HVAC Contractors

In order to particip ate in the ENERGY STAR Certified Homes Program , contractors submit a credentialing application to H

- QUITOs to demonstrate that they are qualified to install residential HVAC equipment to meet ENERGY STAR specifications. EPA estimates that 1,000

contractors will submit an application annually.

As part of their participation in the HVAC Quality Installation Progra m, contractors agree to submit Web designs and materials to HVAC QI Sponsor s for program promotion. EPA estimates that an average of 95 contractors will submit this information annually.48

These assumptions are reflected in Exhibit 1.

Home Performance with ENERGY STAR Contractors

Contractors participating in a Home Performan ce with ENERGY STAR program perform energy efficiency improvement projects in existing homes. These contractors are asked to complete a participation agreement and provide it to the program sponsor. This agreement describes the programs requirements and te rms of participation. EPA estimates that 100 contractors will submit an application annually. This assumption is reflected in Exhibit 1.

VERIFICATION OF ENERGY STAR GUIDELINES (EXHIBIT 2)

Home Builders

Builders of Site

- Built Homes

EPA estimates that, on average, 90,000 traditional site

- built homes will qualify for the

ENERGY STAR label annually

, with one

- third, or 29,700

, of these homes verified via individual energy ratings using the checklists

. (In this document, the term ―tradit ional site

- built home‖ refers to a home that is not a factory

- built home such as manufactured or modual homes.) EPA

estimates that the remaining two

- thirds (60,300) represent production homes, of which those that have the same floor plan, equipment and ot her characteristics will be verified collectively using an analytical protocol developed by the rating industry. In collective ratings, one in seven homes is directly verified using the checklists ( 60,300 / 7 = 8,614). Hence, EPA estimates 38,314

traditi onal site

- built homes will be directly verified using the checklists

. In addition, EPA expects home builders to verify 2,200 modular and manufactured homes annually. This equates to 40,514 directly verified homes in total. For each home bui lt, home builders complete the Water Management Checklist

.

In addition, EPA estimates that some home builders, at their option, will partially complete the Thermal Enclosure Checklist to verify that traditional site

- built home s ha ve been built according to ENERGY STAR standards. EPA estimates that 85% of Thermal Enclosure

Checklist s will be partially completed for traditional site

- built homes ( 38,3 14 homes x 85% = 32,567 )

.

Refer to Table 1 and the associated text, below

, for add itional information on these

estimates.

These assumptions are reflected in Exhibit 2.

Manufactured and Modular Plants

To receive an ENERGY STAR label for homes manufactured at the plant, the plant must integrate ENERGY STAR standards into home design plans. EPA estimates that 10 plants will join the ENERGY STAR Program each year, on average.49

EPA estimates tha t 2,000 manufactured homes and 2 00 modular homes will earn the ENERGY STAR on average annually. An internal plant coordinator collects and retains the fo ur ENERGY STAR checklists (the Thermal Enclosure Checklist

, Water Management Checklist

, HVAC Rater Checklist, and HVAC Contractor C hecklists) com pleted when homes are inspected

onsite . These documents may be used to resolve any issue s regarding manufactured and modular

ENERGY STAR homes. EPA estimates that four issues per year will be related to ENERGY

STAR.

These assumptions are reflected in Exh ibit 2.

Multifamily High Rise Developers

EPA estimates th at 40 new high rise development projects will ap ply for certification annually. Developers can follow the performance path (meeting ENERGY STAR standards as modeled) or prescriptive path (in accordance with set ENERGY STAR criteria)

. EPA estimates that 80% of development projects will take the perf ormance path (i.e., 32 ).

All m ultifamily high rise developers submit a Testing & Verification worksheet, accompanied by a Submittal Validation for m twice : after each building is designed and after

construction (i.e.

, 80 submittals in total) . Developers following the performance path also submit a Proposed Design Reporting Summary to ensure that the building design satisfies ENERGY STAR standards, as well as an As

- Built Reporting Summary to verify that the building has been built efficiently. A photo template is submitted after each development project is constructed.

These assumptions are reflected in Exhibit 2.

Verification Organizations

Home Energy Raters and Providers

EPA estimates that, on average, 90,000 traditional site

- built homes will be certified primarily for the ENERGY STAR label . One third of site

- built homes (i.e. 29,700 homes) are unique and therefore individually verified. EPA es timates that the remaining two thirds of site

built homes ( i.e. 60,300 homes) represent production homes. Of these batches of homes that have the same floor plan, equipment and other c haracteristics, one in seven is sampled (i.e. 60,300

homes / 7 = 8,614 h omes) for verification.

Homes are verified through the completion of four checklists. To certify individually rated homes, Ra ters complet e the Thermal Enclosure Checklist as well as the HVAC QI Rater checklist, and collect the Water Management Checklist from home builders and HVAC QI

Contractor Checklist s from the HVAC contractor s

. Note that home builders may choose to fill

out certain items in the Thermal Enclosure Checklist . It is estimated that 8 5% of builders will choose to fill out the optional items for traditional site

- built homes

.

EPA also estimates that there will be on average 2,000 manufactured homes and 200

modular homes that are certified for the ENERGY STAR label on an annual basis during the50

three

- year life of this ICR. To verify a ma nufactured or modular home, Raters complete the two standard ENERGY STAR checklists, and collect the other two checklists, as well as complete a home completion report for each home.

These assumptions are reflected in the table below.

Table 1

. Estimated Number of Site

- Built Homes Verified using 4 Checklists Annually

Type of Home Total Annual

No. of Homes

Built Total No. of

Homes Directly

Verified using 4

Checklists Total No. of

Homes Verified

with Builder

Involvement in

Thermal Checklist (85%) Total No. of

Homes Verified

without Builder

Involvement in

Thermal Checklist (15%)

Traditional Site

- Built Homes Individually

Rated 29,700 29,700 25,245 4,455

Collectively

Rated 60,300 8,614* 7,322 1,292

Modular and

Manufactured

Homes 2,200 2,200 Not applicable ** Not applicable **

Total 92

, 2 00 40,514** * 32,567 5,747
*1 in 7 homes is directly verified using the checklists

. **The Thermal Enclosure Checklist is incorporated into the manufacturing plant’s home designs at the time the plant is becoming certified; therefore this checklist is verified as part of the manufacturing process in the plant.

* ** This is the number of homes for which the four checklists are prepared by home builders, verification organizations, and HVAC contractors.

In addition, EPA estimates that, on average, 41 home plans will be submitted to Home Energy Raters to earn the Designed to Earn ENERGY STAR label . To issue the label , Raters must model and verify energy efficiency criteria through five checklists, including the Designed to Earn checklist. EPA estimates that five of these Raters will submit these home plans to EPA.

These assumptions are reflected in Exhibit 2.

Manufactured and Modular Plant Certifiers

EPA estimates that five modular plants and five manufactured plants will join the program each year. Plant certifiers will submit a plant qualification form for each new plant. These assumptions are reflected in Exhibit 2.

H

- QUITOs

To ensure that HVAC systems are properly installed and tested by co ntractors, EPA

estimates that H

- QUITOs will perform periodic, random quality assurance on 300 contractor jobs annually. These assumptions are reflected in Exhibit 2.51

HVAC Quality Installation Sponsors

To verify that HVAC systems have been installed correctly by contractors, Program Sponsor s collect and review a commissioning report for each installation. EPA estimate s that 15 Program Sponsor s will spend 25 hours annually reviewing reports. Quality assu rance also includes field verification of a small sample of installations by each contractor. EPA estimates

that these 15 Program Sponsor s will spend half an hour performing ENERGY STAR

- specific

tests. These assumptions are reflected in Exhibit 2.

HVAC Contractors

HVAC contractors prepare an HVAC QI Contractor Checklist for site built homes. EPA estimates that they will prepare 40,514 checklists each year. This includes 38,314 checklists for

traditional site

- built homes and 2,200 checklists for modul ar and manufactured homes.

A commissioning report is completed by contractors and submitted to Program Sponsor s for each HVAC system installed. EPA estimates that contractors will submit 25 reports to each

of the 15 HVAC QI Sponsor s (i.e. 25 reports x 15 Program Sponsor s = 375 reports)

.

These assumptions are reflected in Exhibit 2.

EVALUATION (EXHIBIT 3 )

Partners and Other Home Industry Professionals

EPA expects to ask partner s and other home industry professionals for feedback or other

information in connection with the ENERGY STAR Program. For example, EPA periodically

contacts partner s to gather feedback about their experience with the program and provide technical support, if necessary. EPA also may ask organi zations to make presentations during

Web inars or to provide information in connection with Web inars. In total, EPA estimates that 645 requests to organizations will be made annually. These assumptions are reflected in Exhibit

3

.

Homeowners

Based on its experience EPA estimates that 10 0,000 homeowners will enter data into ENERGY STAR’s online Home Energy Yardstick tool annually.

EPA estimates that 20,000 homeowners will enter their home energy characteristics into

ENERGY STAR’s online Home Energy Advisor/Home Energy Profile tool annually, beginning

in 2014.

To be featured in case studies on the ENERGY STAR Web site, homeowners complete a Home Improvement profile form. EPA estimates that 25 homeowners will complete the Profile

form.52

EPA a nticipates that 1,000 owners of ENERGY STAR certified homes will complete and mail a utility bill release form.

These assumptions are reflected in Exhibit 3

.

PERIODIC REPORTING (EXHIBIT 4 )

Verification Organization Partners

EPA estimates that 110 Providers will submit a report each calendar quarter. Each report is estimated to take 2 hours to complete and submit, on average. Therefore, it is estimated that Providers will spend 8 hours annually submitting quarterly reports to EPA. These assumptions

are reflected in Exhibit 4

.

Oversight Organizations

MVOOs

Information on the number of ENERGY STAR manufactured and modular homes produced each year is submitted by manufacturing plants to their ENERGY STAR manufactured

and modular verification oversight organization (MVOO), who in turn electronically submits this information to EPA once each quarter. Based on past experience, EPA estimates that three MVOOs will submit quarterly reports each year. Th is assump tion i s reflected in Exhibit 4

.

H

- QUITOs

EPA estimates that three H

- QUITOs will be in existence, on average, during the three

year life of this ICR. As part of their participation in the program, H

- QUITO s agree to provide information as requested by EPA. EPA anticipates making one ele ctronic req uest annually from

each H

- QUITO

.

Energy Efficiency Program Sponsors

Home Performance with ENERGY STAR Sponsors

Program Sponsor s joining the Home Performance with ENERGY STAR Program attend

a 15 minute call with EPA to be trained on how to submit quarterly reports. EPA estimates that eight Program Sponsor s will join the program each year.

EPA estimates that 58 Program Sponsor s will b e in existence during the three

- year life of

this ICR. EPA estimates that each Program Sponsor spend s an average of three hours each quarter preparing reports for the first three quarters of the year . EPA estimates that 18 Program Sponsor s in the program submit an end

- of

- year quarterly report for the last quarter of the year

. The remaining Program Sponsor s submit an annual summary of program activity through their application for the ENERGY STAR Awards. [Note that this ICR burdens participants for submitting an annual summary in the section

, ― ENERGY STAR Awards

. ‖ See Exhibit 5.]53

These assumptions are ref lected in Exhibit 4.

HVAC Quality Installation Program Sponsors

EPA estimates that 15 HVAC Quality Installation Program Sponsors will be in existence during the three

- year life of this ICR. Based on past experience, EPA estimates that 90 percent will submit quarterly reports on the effects of their programs (i.e., 15 x 90% = 14 partner s each year, on average). These assumptions are reflected in Exhibit 4

.

ENERGY STAR AWARDS (EXHIBIT 5 )

Bas ed on previous award applications received, EPA estimates that 25 home builder

partner s, 10 verification organization s
, five affordable housing partner s, and 40 Program Delivery partner s, including ENERGY STAR Certified Homes and Home Performance with

ENER GY STAR Sponsor s
, apply for an ENERGY STAR Award each year.

Of the 40 partner s applying for a Program Delivery award, EPA estimates that 50% (20

partner s) will apply for the Home Performance with ENERGY STAR award, while the other

50% of partner s will apply for two program awards (ENERGY STAR Certified Homes and Home Performance with ENERGY STAR).

These assumptions are reflected in Exhibit 5

.

OUTREACH PARTNERSHIP (EXHIBIT 6)

EPA expects 15 metropolitan markets to join the outreach partnership in 201 3 and participate each year

. No markets are expected to join in 2014 or 2015. The 15 markets will

submit a Commitment For m to EPA on a one

- time basis

. As shown in Table 2, EPA divided these 15 markets by 3 years to estimate that 5 markets will join and submit the form on average annually during the 3

- year life of this ICR. In addition, EPA estimates that 15 markets will be in

exist e nce on average annually during the 3

- year life of this ICR, as shown in the table. EPA

assumes that each market will inclu de two participants on average; therefore, a total of 30 participants ( 15 markets x 2 = 30 ) will be asked to review the outreach partnership guidelines

and coordinate with other partner s. These assump tions are reflected in Exhibit 6

.

Table 2

. Number of M arkets In Outreach Partnership In Existence

During Three

- Year Life of ICR

Partners 201 3 201 4 201 5 Annual Average

Over 3 Years Existing at beginning of

year 0 15 15 10

New during year 15 0 0 5 *

Existing at end of year 15 15 15 15 **

* 5 markets are expected to join on average annually during the 3

- year life of this ICR

. ** 15 markets are expected to be in existence on average annually during the 3

- year life of this ICR.5455565758596061626364656667686970

6(e) Bottom Line Burden Hours and Cost Tables

(i) Respondent Tally

As shown in Table 3 , EPA estimates the total annual burden to respondents to be 18 3,967 hours and $ 13,5 53,809 . The total bottom

- line burden to respondents over three years is

estimated to be 551,901 hours and $ 40,6 61,427

.

T able 3 . Total Estimated Respondent Burden and Cost Summary *

*Exhibit contains rounding.

(ii) Agency Tally

As shown in Table 4 , EPA estimates the total annual burden to the Agency to be 2, 686 hours and $ 124,158 . The bottom

- line burden to the Agency over three years is estimated to be 8,058 hours and $ 372,474

.

Table 4 . Total Estimated Agency Burden and Cost Summary *

*Exhibit contains rounding.71

6(f) Reasons for Change in Burden

EPA estimates a total annual respondent burden in this ICR, 2193.03, of 183,967 hours. This is an increase of 3, 009 hours from the previously approved burden of 180,958 hours in ICR

2193.02.

Table 5 explains this 3,009

- h our increase. Specifically, the table presents the total annual

hours estimated in ICR 2193.02 and ICR 2193.03 for each category of collections in this

document (see columns 1

- 3). The table then compares t heir respective hours to derive the change in hours and indicates whether this hour

- change resulted from a program change and/or adjustment (see column 4). The table also briefly describes the pro gram change and/or adjustment (see column 5). Finally, the table sums up all hour

- changes to derive the total annual change in hours for all collections (see the bottom row of the table).

The table shows that there was a 112,566

- hour increase due to prog ram changes and a 109,557

- hour decrease due to adjustments resulting primarily from improved data and analysis.

This resulted in a net increase o f 3,009 ho urs in ICR 2193.03

.

The table shows that verification of ENERGY STAR guidelines (Exhibit 2) exper ienced the largest burden increase due to program changes. S pecifically, t his increase resulted primarily

from EPA’s new, more rigorous guidelines for new homes looking to earn the ENERGY STAR. Compared to homes built to the prior guidelines, homes built to the new guidelines are at least 10 percent more energy efficient

. As part of these new guidelines, EPA is asking verification organizations to use four checklists (of which 3 are new) that are necessary for ensuring that critical details and systems th at impact a home’s efficiency, comfort, and durability are not missed or installed incorrectly during the design and construction phases.

The table shows that verification of ENERGY STAR guidelines also experienced the largest burden decrease due to adjus tments. R easons for this de crease include the following :

 EPA refined its analysis in ICR 2193.03 to more accurately account for the fact that the majority of site

- built homes represent production homes, of which those that have the same floor plan, equipment and other characteristics will be verified collectively using an analytical protocol developed by the rating industry. In the collective rating protocol , one in seven homes can be verified using the checklists. As such, collective ratings strea mline the burden on industry in comparison with

individual home ratings. ICR 2193.02 did not fully account for the burden

saving s of collective ratings . This has been addressed in ICR 2193.03.

 The U.S. Offic e of Management and Budget (OMB) regulations at 5 CFR 1320.3 provide that the time, effort, and financial resources necessary to comply with a collection of information that would be incurred by persons in the normal course of their activities (e.g., in co mpiling and maintaining business records) is excluded from the definition of ―burden.‖ In accordance with this provision, ICR 2193.03 more accurately accounts for ENERGY STAR collections that involve usual and customary business practices. For example, h ome energy ratings are72 normally performed according to accepted industry standards that have been developed and are followed independently of ENERGY STAR through standards including the RESNET Mortgage Industry national Home Energy Rat ing

Standards. The EN ERGY STAR P rogram adds a layer of quality assurance and sets efficiency requirements to supplement these industry standards and activities. In addition, utilities that implement home performance and HVAC quality

installation programs normally have relatio nships with their contractors, regardless of whether the program is implemented in connection with ENERGY STAR or not. Many of the collections performed under such programs are usual and customary practices, such as preparing test out reports. In this re spect, EPA refined the burden estimates in ICR 2193.03 to account solely for the burden

a ssociated with the ENERGY STAR P rogram and exclude usual and customary business practices.

 EPA realizes that there is a learning curve associated with use of the proc esses and checklists under the ENERGY STAR P rogram. EPA believes that , over the past three years, respondents have become more familiar and adept in completing

the se processes and paperwork . ICR 2193.03 reflects this greater familiarization and ability to perform activities more efficiently.

In addition, the table shows a relatively significant burden increase due to adjustments for evaluations (Exhibit 3). This increase results primari ly from EPA’s expectation of strong growth

in homeowners’ use of online assessment tools like the Home Energy Yardstick and Home Energy Advisor. These tools greatly benefit homeowners in learning about and improving their homes’ energy efficiency.

Finall y, EPA notes that ICR 2193.02 included an $800 capital cost for e ach manufactured and modular housing plant to modify and retool plant operations to become certified to produce homes that are ready for ENERGY STAR qualification. EPA believes that such cos t s are a usual and customary part of a plant’s business functions. Thefore, ICR 2193.03 does not include these

costs. [Note: Table 5 does not examine these costs because it addresses only hour burden.]

EPA believes that the burden s estimated in this ICR are justified given the significant benefits to participants, the general public, and environment under the ENERGY STAR Program. Through the end of 2011, more than 1.3 million ENERGY STAR certified homes have been built in the U.S. and more than 150,000 have been retrofitted through Home Performance with ENERGY STAR Programs. This is the 20th anniversary of the ENERGY STAR Program. Over the past 20 years, with the help of ENERGY STAR, American families and businesses have saved about $230 billion on util ity bills and prevented more than 1.7 billion metric tons of carbon pollution.

EPA believes collecting information from the public regarding ENERGY STAR in the residential sector is critical to the program’s sustained success in forming and nurturing voluntary agreements with the private sector to build and promote energy efficient homes. Partners view the ENERGY STAR label as a very effective marketing tool for highlighting the energy efficiency of their products, services, and homes to hom ebuyers and homeowners. In73

addition, ENERGY STAR provides partner s with recognition as environmental leaders. Collecting information about partner s and about ENERGY STAR’s impact in the residential marketplace is necessary to ensure that the value of the ENERGY STAR brand is protected and maintained, and to ensure continued success and delivery of valuable benefits to partner s such as market differentiation, competitive advantage, and public recognition.7475

6(g) Burden Statement

JOINING THE ENERGY STAR PROGRAM AND RELATED ACTIVITIES

The average annual reporting burden for joining the ENERGY STAR Program and

related activities is estimated to be 20 minutes per respondent. This includes time for preparing and submitting the Pa rtnership Agreement and related paperwork.

The average annual recordkeeping burden for oversight organizations is estimated to be

about 100 hours per respondent.

VERIFICATION OF ENERGY STAR GUIDELINES

The average annual reporting burden is estimat ed to be 44 hours per respondent. This includes the time for multifamily high rise developers to verify that their proposed and built designs conform to ENERGY STAR standards and for verification organizations to participate in the Designed to Earn Program and verify that manufactured and modular plants meet energy efficiency standards.

The average annual recordkeeping burden is estimated to be 27.5 hours per respondent. This reflects the time primarily for home builders, verification organization s, an d HVAC

contractors to verify that site

- built, modular, and manufactured homes meet ENEGY STAR guidelines.

EVALUATION

The average annual reporting burden for evaluat ions is estimated to be about 1 0 minutes per respondent. This includes time to respond to EPA questions (e.g., via the phone or email ). There is no recordkeeping burden for evaluations.

PERIODIC REPORTING

The average annual reporting burden for periodic reports is estimated to be 10 hours per respondent. This reflects the time primarily for organizations to prepare and submit quarterly reports to EPA. There is no recordkeeping burden for periodic reporting

.

ENERGY STAR AWARDS

The average annual reporting burden for ENERGY S TAR awards is estimated to be 4.5 hours per respondent. This includes time to prepare and submit the application to EPA. There is no recordkeeping burden for the awards.

OUTREACH PARTNERSHIP

The average annual reporting burden for the Outreach Partnership is estimated to be 3.5 hours per respondent. This includes time for part ner s to complete and submit the Commitment76

Form and to work with other participants and EPA to develop, approve, and d istribute a coordinated outreach campaign. The re is no recordkeeping burden for the outreach partnership.

Burden means the total time, effort, or financial resources expended by persons to generate, maintain, retain, or disclose or provide information t o or for a Federal agency. This includes the time needed to review instructions; develop, acquire, install, and utilize technology and systems for the purposes of collecting, validating, and verifying information, processing and maintaining information, a nd disclosing and providing information; adjust the existing ways to comply with any previously applicable instructions and requirements; train personnel to be able to respond to a collection of information; search data sources; complete and review the col lection of information; and transmit or otherwise disclose the information.

To comment on the Agency's need for this information, the accuracy of the provided burden estimates, and any suggested methods for minimizing respondent burden, including the use of automated collection techniques, EPA has established a public docket for this ICR under

Docket ID No. EPA

- HQ

- OAR

- 2004

- 0500, which is available for public viewing at the Air and Radiation Docket and Information Center in the EPA Docket Center (EPA/D C), EPA West, Room 3334, 1301 Constitution Ave., NW, Washington, DC. The EPA Docket Center Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays. The telephone number for the Reading Room is (202) 566

- 174 4, and the telephone number for the Air and Radiation Docket and Information Center is (202) 566

- 1742. An electronic version of the public docket is available through the Federal Docket Management System (FDMS) at http://www.regulations.gov. Use FDMS to submit or view public comments, access the index listing of the contents of the public docket, and to access those documents in the public docket that are available electronically. Once in the system, select "search," then key in

the docket ID number iden tified above. Also, you can send comments to the Office of Information and Regulatory Affairs, Office of Management and Budget, 725 17th Street, NW, Washington, DC 20503, Attention: Desk Office for EPA. Please include the EPA Docket ID No.

EPA

- HQ

- OAR

- 200 4

- 0500 and OMB Control Number 2060

- 0586 in any correspondence.