Document ID: EPA-HQ-OAR-2004-0500-0090
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2018-05-03T04:00Z

SUPPORTING STATEMENT FOR
                INFORMATION COLLECTION REQUEST NUMBER 2193.04:
        "EPA'S ENERGY STAR[(R)] PROGRAM IN THE RESIDENTIAL SECTOR"
                                       
                                       
                                       
                                       
                                       
                                March 12, 2018

                                 Prepared by:
                                       
                                       
                   Climate Protection Partnerships Division
                          Office of Air and Radiation
                     U.S. Environmental Protection Agency

                               TABLE OF CONTENTS

1.	IDENTIFICATION OF THE INFORMATION COLLECTION	1
1(a)	Title and Number of the Information Collection	1
1(b)	Short Characterization or Abstract	1
2.	NEED FOR AND USE OF THE COLLECTION	1
2(a)	Need and Authority for the Collection	1
2(b)	Practical Utility and Users of the Data	2
3.	NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA	2
3(a)	Nonduplication	2
3(b)	Public Notice Required Prior to ICR Submission to OMB	3
3(c)	Consultations	3
3(d)	Effects of Less Frequent Collection	4
3(e)	General Guidelines	5
3(f)	Confidentiality	5
3(g)	Sensitive Questions	5
4.	THE RESPONDENTS AND THE INFORMATION REQUESTED	5
4(a)	Respondents and SIC Codes	5
4(b)	Information Requested	6
5.	THE INFORMATION COLLECTED -- AGENCY ACTIVITIES, COLLECTION METHODOLOGY, AND INFORMATION MANAGEMENT	19
5(a)	Agency Activities	19
5(b)	Collection Methodology and Management	20
5(c)	Small Entity Flexibility	21
5(d)	Collection Schedule	21
6.	ESTIMATING THE BURDEN AND COST OF THE COLLECTION	21
6(a)	Estimating Respondent Burden	21
6(b)	Estimating Respondent Costs	21
6(c)	Estimating Agency Burden and Costs	22
6(d)	Estimating the Respondent Universe	22
6(e)	Bottom Line Burden Hours and Cost Tables	45
6(f)	Reasons for Change in Burden	46
6(g)	Burden Statement	49

1.	IDENTIFICATION OF THE INFORMATION COLLECTION
			
	1(a)	Title and Number of the Information Collection
	
	This ICR is entitled "EPA's ENERGY STAR[(R)] Program in the Residential Sector," ICR number 2193.04, OMB Control 2060-0586. This ICR is a reinstatement and a non-rule related ICR.

	1(b)	Short Characterization or Abstract

	ENERGY STAR[(R)] is a voluntary energy efficiency labeling and public outreach program aimed at forming public-private partnerships that prevent air pollution rather than control it after its creation. This ICR covers information collection activities under the ENERGY STAR program within the new residential construction and existing residential construction markets.  ENERGY STAR promotes energy efficient new home construction and cost-effective energy efficiency improvements in existing homes.

2.	NEED FOR AND USE OF THE COLLECTION
		
	2(a)	Need and Authority for the Collection

	Section 103(a) of the Clean Air Act authorizes 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, demonstrations, 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 for 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 preventing 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 relies on voluntary partnerships with stakeholders such as home builders, developers, Home Energy Raters, and utilities to promote energy efficient homes.  The program assists them to build, certify, promote and incentivize homes that meet ENERGY STAR's stringent energy efficiency requirements and helps them improve the efficiency of existing homes. The ENERGY STAR label on a home provides an easy way for consumers to identify energy-efficient homes that save money on utility bills and reduce air pollution. By using less energy, these homes help reduce energy demand, which in turn helps reduce air pollutants such as sulfur oxides and nitrogen oxides that are generated by fossil fuel-burning power plants. ENERGY STAR demonstrates that providing consumers with knowledge and information about energy efficiency and providing public recognition to partner organizations can be used as a non-regulatory strategy to prevent and reduce air pollution. 

	The information collection activities described in this ICR are necessary for EPA to track and assess the market for energy efficient homes.  This allows EPA to establish cost-effective, above-code energy efficiency requirements, design public outreach programs and materials to fit the needs of its partners and their customers.  It also allows EPA to provide public recognition and market differentiation to participating organizations.  Because some of the collection activities involve small businesses, EPA will limit collection activities where a minimum amount of information is sufficient for EPA to complete its work.  	
 								
	2(b)	Practical Utility and Users of the Data
		
	EPA uses information from organizations joining the program as partners to ascertain basic identification and contact information about them and to verify their commitment to the program and the proper use of the ENERGY STAR brand in promotional efforts. For example, ENERGY STAR uses its Partnership Agreement to enforce its brand identity guidelines, which describe how the ENERGY STAR name and logo can be used by partners in public outreach activities. In addition, EPA uses information from organizations joining the program for program implementation purposes, such as maintaining up-to-date public listings of active partners, their program activity and commitments. 

	For example, ENERGY STAR will display a list of currently active home builder partners on its public website. Further, EPA uses information from organizations involved in constructing, verifying, and incentivizing ENERGY STAR certified homes, and involved in installing energy efficiency improvements in existing homes, to evaluate and verify their program participation and accomplishments. For example, EPA offers partners an opportunity to apply and display the ENERGY STAR label on homes if they meet certain energy performance criteria defined by EPA. To be approved to receive the ENERGY STAR label, homes must demonstrate that they meet specific energy efficiency requirements. Lastly, EPA uses information from organizations seeking public recognition for their support of ENERGY STAR. EPA recognition enhances the image of organizations as national leaders in residential energy efficiency.

3.	NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA

	3(a)	Non-duplication

	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

	EPA published a Federal Register notice on January 5, 2018 (83 FR 676). No substantive comments on the ICR were received on this notice.

	3(c)	Consultations

      In February 2018, EPA contacted three partners to request their comments on key burden estimates and statements in this ICR. The purpose of the consultations was to determine if the burden estimates (e.g., for completing a partnership agreement) should be updated or revised in preparing ICR 2193.04. EPA selected one home builder, one verification organization and one energy efficiency program sponsor partner.  They represent the three main partnership programs available within the ENERGY STAR Residential Branch. The table below identifies the points of contact (POCs) and their organizations.

                               Organization Name
                               Organization Type
                            Point of Contact (POC)
                                    E-mail
                                 Feedback Date
                                    KB Home
                                 Home Builder
                                 Jacob Atalla
                              jatalla@kbhome.com
                                  02/01/2018
                              Magrann Associates
                               Home Energy Rater
                                   Ben Adams
                             BenAdams@MaGrann.com
                                  02/02/2018
                          Columbia Gas of Ohio, Inc.
                   Energy Efficiency Program Sponsor (EEPS)
                                  Megan Melby
                              mmelby@nisource.com
                                  02/12/2018

	EPA provided a complete draft of the supporting statement to each organization for review and comment. In addition, EPA asked for responses to three questions. Following is a summary of EPA's questions, POCs' comments, and EPA's responses (e.g., if and how the Agency incorporated the comments into ICR 2193.04):

Question 1: The ICR estimates that an organization applying for partnership with the ENERGY STAR Certified Homes program takes 20 minutes on average to read, complete and submit the online Partnership Agreement. Is this a reasonable estimate? If not, please briefly explain why and provide a more reasonable estimate.
          
          Comments:  The three POCs agreed with EPA's estimate and did not raise any concerns. 
          
          EPA Response: EPA thanked the POCs for their input. EPA did not revise its estimate for home builders and verification organizations. However, EPA notes that energy efficiency program sponsors complete the same Partnership Agreement across all ENERGY STAR programs (e.g., Products, Commercial & Industrial, Homes). ICR 1772, "Information Collection Activities Associated with EPA's ENERGY STAR Program in the Commercial and Industrial Sectors," (OMB Control 2060-0347) currently estimates burden for all energy efficiency program sponsors to complete a Partnership Agreement across all programs. EPA revised the hourly burden for a program sponsor to complete a Partnership Agreement in this ICR 2193.04 to be consistent with the corresponding burden in ICR 1772 and has ensured no duplication between the two ICRs in estimating program sponsors' collective burden, as discussed later in this document.
            
Question 2: The ICR estimates that a Rating Provider organization takes one hour on average to prepare and submit a quarterly report to ENERGY STAR using the Homes Online Submittal Tool (HOST). Is this a reasonable estimate? If not, please briefly explain why and provide a more reasonable estimate.
          
          Comments:  Ms. Melby responded that her organization is not a Rating Provider and is unsure how long it takes to submit a quarterly report to EPA. Mr. Adams and Mr. Atalla both responded that EPA's estimate is reasonable. 
          
          EPA Response: EPA thanked the POCs for their input. EPA did not revise its estimate.
             
Question 3: The ICR estimates that a partner with the ENERGY STAR Certified Homes program takes two hours on average to prepare and submit an application for an ENERGY STAR award using the online awards application and submittal process. Is this a reasonable estimate? If not, please briefly explain why and provide a more reasonable estimate.
          
          Comments:  Ms. Melby responded that her program implementation contractor spent approximately 25 hours in total to prepare and submit an application for a 2018 ENERGY STAR Partner of the Year Award for Energy Efficiency Program Delivery. Mr. Adams responded that, as a program implementation contractor working on behalf of an energy efficiency program sponsor, his organization spent eight hours to prepare and submit an application for a 2018 ENERGY STAR Partner of the Year Award for Energy Efficiency Program Delivery. Mr. Atalla responded that his organization can prepare and submit an application in two hours using minimal data but his organization spends about 12 hours in total to prepare and submit an application for ENERGY STAR Partner of the Year for New Home Builders. 
          
          EPA Response: EPA thanked the POCs for their input. Based on the POCs' feedback, and anecdotal feedback obtained previously from other partners, EPA increased its estimate from two to three hours for home builders, developers and Home Energy Raters and Rating Providers to complete and submit an application, on average. EPA also increased its estimate to eight hours for energy efficiency program sponsors to complete and submit an application, on average. 

	3(d)	Effects of Less Frequent Collection

	EPA has carefully 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. 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 performed 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 requested 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).  In addition, 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 burdens for respondents and EPA. 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. Under the 1995 Paperwork Reduction Act, a person is not required to respond to a collection of information unless it displays a currently valid OMB control number.   

	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 confidentiality.  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

	No questions of a sensitive nature are asked of participants with ENERGY STAR. 

4.	THE RESPONDENTS AND THE INFORMATION REQUESTED

	4(a)	Respondents and NAICS Codes

	Respondents in this ICR include ENERGY STAR partners, including home builders, multifamily high rise developers, manufactured home plants, verification organizations, and energy efficiency program sponsors. Also included are oversight organizations and HVAC contractors. Following are the North American Industry Classification System (NAICS) codes of respondents most likely to carry out the information collections under this ICR.

Industry Sectors
NAICS Code(s)
Utilities
22
Construction
23
Retail Trade
44-45
Transportation and Warehousing
48-49
Finance and Insurance
52
Real Estate and Rental and Leasing
53
Professional, Scientific, and Technical Services
54
Public Administration
92

	4(b)	Information Requested

	This section describes the information collections under this ICR, including data items and respondent activities.  

JOINING THE ENERGY STAR PROGRAM AND RELATED ACTIVITIES

Home Builders, Developers, Manufactured Home Plants, and Verification Organizations

	Organizations in this category include:	

Home builders, including builders of traditional site-built homes such as large production home builders and custom home builders. 
          
Developers, including Multifamily High Rise (MFHR) developers. 
          
Manufactured home plants, including manufacturing plants that produce manufactured homes that, once fully constructed onsite, are eligible for the ENERGY STAR label. 
          
Verification organizations, including Home Energy Raters and Rating Providers, who are responsible for third-party verification that a home meets all of ENERGY STAR's stringent energy efficiency requirements. 

	These participants prepare and submit an online Partnership Agreement. In addition, when a home builder joins, it can commit to build all of its homes to be ENERGY STAR certified (i.e., a "100% commitment"). The builder must annually renew this commitment online. A home builder, Rater, and Provider can also commit to participating in EPA's Indoor airPLUS (IAP) program. These additional commitments can be made within the online Partnership Agreement. 

Data Items

A Partnership Agreement for Home Builder / Multifamily Developer / Factory Builder / Verification Organization.
          
For home builders, selection of 100% commitment (an optional item) and annual renewal.
          
For home builders, Raters, and Providers, selection to participate in Indoor airPLUS program (an optional item).

Respondent Activities

To join ENERGY STAR, organizations are asked to complete and submit the Partnership Agreement online. This process includes the option to select the 100% commitment and participation in the Indoor airPLUS program.

Builder partners can select to renew their 100% commitment option online annually. 

Energy Efficiency Program Sponsor (EEPS) Partners

	Energy efficiency program sponsors (EEPS) are organizations, typically utility companies and national, regional, state, or local government entities or other organizations involved in coordinating and/or administering energy-efficiency programs, that promote ENERGY STAR. This includes Certified Homes EEPS, which are involved in coordinating and/or administering an energy-efficiency program that promotes ENERGY STAR certified homes. It also includes ENERGY STAR Verified HVAC Installation (ESVI) Program Sponsors, which consists of utilities, state and local agencies, and other organizations 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 and ESVI program requirements.  

	EEPS interested in joining ENERGY STAR are asked to complete and submit a Partnership Agreement and an Energy Efficiency Program Sponsor Participation Form. EEPS use the Program Participation Form to indicate which ENERGY STAR program areas they will promote.  EEPS can choose to promote one or more programs (e.g., Commercial & Industrial, Homes, Products). EEPS can only use the ENERGY STAR name and logos to promote program areas that they select on the Participation Form. ESVI Program Sponsors also submit a program design plan to EPA. [Note:  EPA ICR No. 1772 (OMB Control No. 2060-0347) consolidates the burden for all EEPS Partnership Agreements across all ENERGY STAR programs (e.g., C&I, Products). When ICR 1772 is renewed, EPA intends to move this consolidated burden to the Products ICR (EPA ICR No. 2078, OMB Control Number 2060-0528) because the Products program sees the greatest amount of EEPS partnering activity. To avoid duplication, this ICR (No. 2193) does not burden EEPS for their Partnership Agreements.]

 Data Items
			
Energy Efficiency Program Sponsor Partnership Agreement and Participation Form.
          
A written program design proposal (ESVI Sponsors only) describing:
Program design and development;
Building consumer awareness and use of the ESVI brand;
Contractor development and oversight; and
Tracking and reporting.

Respondent Activities

Complete and submit the Partnership Agreement and Participation Form; and
          
Develop and submit a written program design proposal to EPA (ESVI Sponsors only).

Oversight Organizations

	Oversight organizations include independent, third-party organizations recognized by EPA as having the necessary qualifications, capabilities, policies and infrastructure in place for developing, implementing and managing a quality assurance system to oversee the ENERGY STAR-related activities of verification organizations and other organizations who are responsible for verifying that ENERGY STAR's energy efficiency requirements have been met. 

	Organizations in this category include:	

Verification Oversight Organizations (VOOs), which oversee the ENERGY STAR-related activities of Home Energy Raters and Rating Providers in verifying that new homes meet ENERGY STAR requirements. VOOs submit an application to EPA to be recognized by EPA as being qualified to oversee the quality of verification services for ENERGY STAR certified homes. 
          
HVAC Quality Installation Training and Oversight Organizations (H-QUITOs), which are independent, third party oversight organizations that provide required oversight activities for HVAC contractors related to installing HVAC systems in ENERGY STAR certified homes that meet ENERGY STAR requirements. 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 provide credentials to HVAC contractors who want to install HVAC systems in ENERGY STAR certified homes as a condition of participating in the program.
          
Multifamily High Rise Review Organizations (MROs), which are independent, third-party organizations responsible for reviewing and approving multifamily high rise project applications that are submitted by multifamily high rise developers who want their building projects to earn ENERGY STAR certification. These organizations submit an application to EPA to be recognized as an MRO.
          	
Quality Assurance Providers (QAPs), which act as third-party organizations that establish quality assurance criteria and processes for the oversight of manufactured home plants in their production of manufactured homes that are eligible for ENERGY STAR certification. These organizations submit an application to EPA to be recognized as a QAP.

	Oversight organizations do not join as ENERGY STAR partners but rather participate in the program by completing and submitting an application to EPA to request to be an EPA-recognized oversight organization. The application must describe the organization's ability to provide independent oversight over the ENERGY STAR-related activities of participating organizations, including, but not limited to, its criteria for determining whether a participating organization has the necessary training and capabilities, its plan for conducting quality assurance oversight activities of participating organizations, its dispute resolution process, and plans for data management and reporting.

Data Items

An application that includes:
Organization's ability to provide independent oversight of ENERGY STAR-related activities of participating organizations.
Criteria for determining whether a participating organization has the necessary training and capabilities.
Plan for conducting quality assurance oversight activities of participating organizations.
Description of dispute resolution process.
Plan for data management and periodic reporting.

A credentialing application from HVAC contractors (for H-QUITOs only).

Respondent Activities

Complete and submit application materials to EPA; and
          
Review and approve HVAC credentialing applications (H-QUITOs only).

HVAC Contractors

	Similar to oversight organizations, 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 Certified Homes program, contractors seek industry credentials by submitting a credentialing application to H-QUITOs. As part of their participation in the ENERGY STAR Verified HVAC Installation (ESVI) program, contractors electronically complete and submit an ENERGY STAR logo use agreement to EPA, and complete and submit an ESVI program participation agreement with the ESVI Program Sponsor. 

Data Items

Credentialing application to H-QUITOs (for Certified Homes program only).
          
ENERGY STAR logo use agreement to EPA (for ESVI program only).
          
Participation agreement with ESVI Sponsor (for ESVI program only).

Respondent Activities

Complete and submit credentialing application to H-QUITOs;
          
Complete and submit an ENERGY STAR logo use agreement to EPA (for ESVI program); and
          
Complete and submit a program participation agreement with the ESVI Program Sponsor. 

VERIFICATION OF ENERGY STAR REQUIREMENTS

Home Builders, MFHR Developers, Manufactured Home Plants

	Home builders, MFHR developers, and manufactured home plants work with verification and oversight organizations to verify that the homes they construct will meet all of ENERGY STAR's energy efficiency requirements. This process entails the submittal of ENERGY STAR-specific information to verification and oversight organizations. 
	
	Home Builders

Data Items

HVAC Design Report (site-built homes).

Respondent Activities

Complete HVAC Design Report (for site-built homes).

	Multifamily High Rise Developers

	Developers must submit a MFHR Project Application for each multifamily high rise project they would like to have considered for ENERGY STAR certification. The Project Application is submitted to a Multifamily High Rise Review Organization (MRO) and includes basic information about the developer, the third-party Licensed Professional they have chosen to work with, and the building itself. 

	For each home design, multifamily high rise developers submit a Proposed Design Submittal (PDS) 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 submit an As-Built Submittal (ABS) package to ensure that the energy conservation measures chosen by the design team are installed to specification. Both the PDS and the ABS must include the MFHR Testing and Verification Worksheets to document the energy efficiency features in the building in both the design and post-construction phases. Both the PDS and ABS must also include a performance path calculator to summarize modeling results pre- and post-construction, and the MFHR Submittal Validation Form to validate that all of the necessary program documentation is included in each submission. A photo template is also submitted as part of the ABS to visually validate that the completed building meets all of ENERGY STAR's requirements.

Data Items

A project application.
          
A Proposed Design Submittal, which includes:
Performance Path Calculator. 
The Testing and Verification Worksheets.
The ENERGY STAR Submittal Validation Form.

An As-Built Design Submittal, which includes:
Performance Path Calculator. 
The Testing and Verification Worksheets.
Photo template.
The ENERGY STAR Submittal Validation Form.

Respondent Activities

Complete and submit the project application.
          
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 Performance Path calculator (for design and construction phases).
          
Submit photo template (construction phase only).

	Manufactured Home Plants

	As part of the plant certification process, the plant is responsible for ensuring that ENERGY STAR requirements have been incorporated into the plant's home plan designs. In addition, the plant must complete a site installation checklist to verify that a home meets all ENERGY STAR requirements following final on-site installation. This checklist is completed by a plant representative and maintained on file by the plant. EPA does not provide or collect this checklist. 

Data Items

Home plan designs that integrate ENERGY STAR requirements.
          
Site installation checklist including:
Contact information.
Verification that all ENERGY STAR construction requirements have been met, including:
Marriage line seal;
Tears in bottom board material repaired;
Exterior duct installation;
Field installed heat pump; and
Basement heating.
Confirmation of labeling.

Respondent Activities

Integrate ENERGY STAR requirements into plant's home plan designs; and
          
Complete site installation checklist 

Verification Organizations

	Home Energy Raters and Rating Providers

	Both Home Energy Raters and Home Energy Rating Providers perform verification services. These services consist of onsite diagnostic tests to measure the energy efficiency of homes. Home energy ratings are performed as part of a Rater's and Rating Provider's normal business process. For homes earning the ENERGY STAR label, Raters and Rating Providers must check some additional information about the homes that is not a routine part of conducting a home energy rating to verify that homes meet ENERGY STAR requirements. This is documented on two ENERGY STAR checklists by the Rater. Two additional ENERGY STAR checklists are completed by the HVAC designer and installer, respectively.  All checklists are collected by the Rater and none are submitted to EPA. 

Data Items

Rater Design Review Checklist.
          
Rater Field Checklist. 
          
HVAC Design Report.
          
HVAC Commissioning Checklist.

Respondent Activities

Complete the Rater Design Review Checklist.
          
Complete the Rater Field Checklist.
          
Collect the HVAC Design Report and HVAC Commissioning Checklist.
          
Energy Efficiency Program Sponsor (EEPS) Partners

	ESVI Program Sponsors collect and review documentation from participating contractors that demonstrates that HVAC installation projects meet ESVI program requirements. They also keep track of ESVI installations in a database.

Data Items

HVAC installation documentation.
          
Database of ESVI installations.

Respondent Activities

Collect and review installation documentation; and
          
Enter ESVI installation information into database.

Oversight Organizations

	Verification Oversight Organizations (VOOs)

	As part of their quality assurance oversight responsibilities, VOOs must maintain an electronic method of identifying homes earning the ENERGY STAR label. VOOs also conduct periodic reviews of a sample of ENERGY STAR-related documentation. VOOs must also provide information to EPA, upon request, about quality assurance issues related to ENERGY STAR certified homes.

Data Items

Electronic identification of homes earning the ENERGY STAR label.
          
Documents from ENERGY STAR certification activities.
           
Information about quality assurance issues and actions taken to resolve issues.

Respondent Activities

Enter information into electronic database to designate homes that have earned the ENERGY STAR label; 
          
Perform periodic review of a sample of ENERGY STAR certification documentation; and
          
Submit quality assurance-related information to EPA, upon request.

	Quality Assurance Providers (QAPs)

	A Quality Assurance Provider (QAP) collects information related to certifying a manufactured home plant. A manufactured home can earn the ENERGY STAR label by being produced in a manufacturing plant that has been certified by a QAP. Plant certification utilizes plant certifiers, who are accredited by the QAP to certify a manufacturing plant's ability to consistently produce and install ENERGY STAR certified manufactured homes.  Plant certifiers are not ENERGY STAR partners. Plant certifiers complete a manufactured home plant certification form for each plant inspected to demonstrate that the plant is qualified to produce ENERGY STAR certified manufactured homes. This form is provided by and maintained by the QAP. EPA does not provide or collect this form. In addition, as part of their quality assurance oversight responsibilities, QAPs must maintain an electronic method of identifying homes earning the ENERGY STAR label. QAPs must also provide information to EPA, upon request, about quality assurance issues related to ENERGY STAR certified homes.

Data Items

Manufactured home plant certification form, including:
Contact information; and
Verification of plant requirements to qualify for producing ENERGY STAR certified manufactured homes, including:
Method of compliance;
ENERGY STAR design features used;
Homes tested in plant;
Site installation checklist verified;
Homes tested in field; and
ENERGY STAR incorporated in routine operations.
 
Electronic identification of manufactured homes earning the ENERGY STAR label. 
          
ENERGY STAR-related documents.
          
Information about quality assurance issues actions taken to resolve issues.

Respondent Activities

Complete and maintain a manufactured home plant certification form for each plant;
          
Enter information into electronic database to designate manufactured homes that have earned the ENERGY STAR label;
          
Perform periodic review of a sample of ENERGY STAR certification documentation; and
          
Submit quality assurance-related information to EPA, upon request.

	HVAC Quality Installation Training and Oversight Organizations (H-QUITOs)

	HVAC Quality Installation Training and Oversight Organizations (H-QUITOs) are independent, third party oversight organizations that provide required training and oversight activities for HVAC contractors in the installation of systems in ENERGY STAR certified homes. H-QUITOs offer credentials to HVAC contractors that ensure contractors have the required policies, procedures and equipment needed to properly install HVAC systems. Credentialing is required for contractors who install HVAC systems for ENERGY STAR certified homes. H-QUITO oversight activities include reviewing a sample of HVAC installation documentation, either electronically or through site visits. In addition, they also coordinate with EPA on issues related to quality assurance oversight, as needed.

Data Items

HVAC installation documentation. 
          
Information about quality assurance issues and actions taken to resolve issues.

Respondent Activities

Perform quality assurance reviews on a sample of HVAC installation documentation;
          
Enter ESVI installation information in database; and
          
Submit quality assurance-related information to EPA, upon request.
	
	Multifamily High Rise Review Organizations (MROs)

	MROs review and approve project application and supporting materials submitted by MFHR developers, as well as handle questions about ENERGY STAR requirements from developers. They also coordinate with EPA on issues related to quality assurance oversight, as needed, as well as keep track of projects in a database.

Data Items

MFHR project application.
       
A Proposed Design Submittal, which includes:
Performance Path Calculator.
The Testing and Verification Worksheets.
The ENERGY STAR Submittal Validation Form.
             
 An As-Built Design Submittal, which includes:
Performance Path Calculator.
The Testing and Verification Worksheets.
Photo template.
The ENERGY STAR Submittal Validation Form.

Respondent Activities

Review and approve MFHR project application; 
          
Review and approve Proposed Design Submittal;
          
Review and approve As-Built Design Submittal;
          
Respond to questions from MFHR developers;
          
Enter ENERGY STAR MFHR project information into a database; and
          
Submit quality assurance-related information to EPA, upon request.

HVAC Contractors

	HVAC contractors are asked to complete an HVAC Commissioning checklist to verify the installation of each HVAC system in a site-built ENERGY STAR certified home. For some systems, HVAC contractors also complete the HVAC Design Report. Both of these documents are provided to the Rater. HVAC contractors participating in an ESVI program document that the installation project meets ESVI program requirements. 

Data Items

HVAC Design Report.
          
HVAC Commissioning Checklist.
          
HVAC installation documentation (for ESVI).

Respondent Activities

Complete an HVAC Design Report and submit to Rater; 
          
Complete an HVAC Commissioning Checklist and submit to the Rater; and
          
Complete HVAC installation documentation and submit to the ESVI Sponsor.

EVALUATION

	EPA will use information collected from partners and other program participants to provide current information to the public regarding energy efficiency incentives offered by energy efficiency program sponsors (EEPS), as well as to ensure that ENERGY STAR's energy efficiency requirements deliver meaningful, above-code energy savings and are cost-effective. EPA may also collect feedback from partners and others in the new home construction and home improvement sectors to evaluate the impact of ENERGY STAR on the building, selling, and promotion of energy efficient new homes and on energy efficient improvements to existing homes. 

Data Items

Verbal or written responses to EPA's questions or feedback requests regarding:
Current energy efficiency incentives offered by EEPS. 
ENERGY STAR's energy efficiency requirements.
ENERGY STAR's impact on the market for energy efficient new and existing homes. 

Respondent Activities

Partners and other industry stakeholders may provide verbal or written responses to EPA questions or feedback requests.

PERIODIC REPORTING

	EPA asks partners to send periodic updates, usually annually and/or quarterly, on activities and accomplishments under the program.  EPA will use this information to ensure that partners are meeting their program commitments. For example, EPA collects basic information each calendar quarter about the number of ENERGY STAR certified homes that have been built by home builders and verified by Home Energy Raters.  EPA also uses this information to keep the public informed about partners and their current level of program activity.  In addition, EPA uses this information to estimate the ENERGY STAR program's impact on energy consumption and pollution reduction.  Further, EPA uses this information to identify partners whose level of program support is deserving of special recognition. 	
	
Data Items

A quarterly report aggregating the number of:
ENERGY STAR certified homes (for Rating Providers, QAPs).
ENERGY STAR certified MFHR units (for MROs).
HVAC systems installed under the ESVI program (for ESVI EEPS).
          
An annual update (all oversight organizations and ESVI EEPS) summarizing program participation activities and accomplishments, including:
Program administration;
Quality assurance; and 
Dispute resolution activities.

Respondent Activities

Rating Providers, QAPs, MROs and ESVI EEPS electronically prepare and submit quarterly reports to EPA.
          
VOOs, QAPs, MROs, H-QUITOs, and ESVI EEPS prepare and submit annual update 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 STAR awards ceremony.  EPA currently issues awards to ENERGY STAR Certified Homes program partners, which includes home builders, multifamily high rise developers, verification organizations, and energy efficiency program sponsors. 

Data Items

Information provided electronically by home builders and developers:
General information (e.g., contact information, address, signed/dated). 
Description of the following:
Outreach activities (e.g., promoting ENERGY STAR on website);
Training activities (e.g., training construction staff on ENERGY STAR construction features);
Quality and cost control improvements (e.g., decrease in warranty claims); and
Use of innovative technology (e.g., use of LED lighting).
Supplemental documentation (optional) to accompany the application. This may include, but is not limited to, examples of sales and marketing collateral, copies of sales training materials, screen captures of the company website, etc. 

Information provided electronically by verification organizations:
General information (e.g., contact information, address, signed/dated).
Description of the following:
Recruitment activities (e.g., recruitment of new builders);
Technical support (e.g., providing technical assistance to builders);
Innovation (e.g., improvements to verification process); and
Outreach activities (e.g., educating real estate professionals about ENERGY STAR certified homes).

Information provided electronically by energy efficiency program sponsors:
General information (e.g., contact information, address, signed/dated).
Description of the following:
Program design (e.g., strategy for overcoming market barriers);
Outreach activities (e.g., incorporation of ENERGY STAR brand in consumer education materials); and
Market effects (e.g., energy savings achieved through ENERGY STAR incentive programs).

Respondent Activities

Organizations complete and submit the application online, including supplemental materials.

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 perform the following for organizations applying for partnership or participation in ENERGY STAR:
Review and approve Partner Agreements and related materials electronically (e.g., builders making the 100% commitment); 
Review and approve applications from oversight organizations;
Send a welcome email to new partners;
Send confirmation email with username and password information to partners for online access to My ENERGY STAR Account (MESA);
Maintain partner contact and program participation information in an electronic database;
Display a public list of active partners;
Review and approve logo use agreements from HVAC contractors participating in the ESVI program; and
Review and approve ESVI program design proposals from ESVI Sponsors.

VERIFICATION OF ENERGY STAR GUIDELINES

EPA will collaborate with oversight organizations to resolve issues related to ENERGY STAR certification of homes and MFHR buildings, and installation of HVAC systems under the ENERGY STAR Verified Installation program, as needed.

EVALUATION  
	
EPA will perform the following:
Develop questions;
Contact partners and solicit feedback;
Collect feedback; and
Incorporate feedback in program policies and technical requirements, as needed.

PERIODIC REPORTING

EPA will perform the following:
Request, review and approve quarterly progress reports and annual program activity updates;
Maintain a database of partner activity in building, verifying and sponsoring ENERGY STAR certified homes and MFHR buildings and ESVI HVAC installations; and
Display current partner activity on a public website.

ENERGY STAR AWARDS

EPA will perform the following activities for ENERGY STAR awards:
Contact partners to inform them of the annual award application process;
Develop award winner evaluation and selection criteria;
Review award applications and supporting materials;
Summarize application information for all applicants;
Select award winners; and
Notify applicants of their award status.

	5(b)	Collection Methodology and Management

	In collecting and analyzing the information associated with this ICR, EPA will use telephone systems, personal computers, and applicable database software. All submittals to EPA are conducted electronically.  EPA will ensure the accuracy and completeness of collected information by reviewing each submittal.  EPA may enter the information into a database and monitor the progress of participants in improving energy performance.

	5(c)	Small Entity Flexibility

	EPA expects that small businesses 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.    

	5(d)	Collection Schedule

	All information collection activities described in this ICR are either a one-time collection,  occur annually, quarterly, or on an as-needed basis.

6.	ESTIMATING THE BURDEN AND COST OF THE COLLECTION

	6(a)	Estimating Respondent Burden

	Exhibits 1 through 5 estimate the annual 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 5 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 Statistics (BLS).  Specifically, EPA updated the labor rates in the 2012 ICR using the BLS "Employment Cost Index Historical Listing  -  Volume III. Table 1. Employment Cost Index for total compensation1, by occupational group and industry  --  Private Industry Workers."  Rates are current as of the beginning of 2018.  Rates reflect the cost of overhead and fringe benefits where appropriate.  EPA estimates an average respondent hourly labor rate (hourly plus overhead and fringe) of $167.29 for legal staff, $121.00 for managerial staff, $83.01 for technical staff, and $41.79 for clerical staff.  

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

	Operation and 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 purchasing services."   Because all collections are transacted electronically using standard industry equipment and services, there are no O&M costs associated with the information collection activities described in this ICR. 
	
	6(c)	Estimating Agency Burden and Costs
﻿	Exhibits 6 through 10 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 2018 GS pay schedule available from the Office of Personnel Management. EPA estimates an average hourly labor cost of $80.59 for legal staff, $75.36 for managerial staff, $55.26 for technical staff, and $22.19 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, technical labor rates were based on GS Level 12, Step 5, and clerical labor rates were based on GS Level 5, Step 1.  EPA multiplied the 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 partnership database (e.g., iSTAR) and other documentation to understand historical trends in the number of new and existing respondents.  Based on its analyses, EPA has estimated the average number of new and active (i.e., existing) respondents for each of the information collections over the next three years.  As shown in Table, 1, EPA estimates 812 new and 3,235 active participants under the program on average annually over the next three years.  These estimates are discussed in the remainder of this section and reflected in Exhibits 1 through 5.

        Table 1.  Annual Number of New and Active Program Participants*
Respondent Category
                                      New
                                    Active

Home Builders, MFHR Developers, Manufactured Home Plants
Home Builders
                                      600
                                     1,400
MFHR Developers
                                      25
                                      210
Manufactured Home Plants
                                       5
                                      45
Subtotal
                                      630
                                     1,655
Verification Organizations
 
 
Raters
                                      38
                                      319
Providers
                                       2
                                      85
Subtotal
                                      40
                                      404
Energy Efficiency Program Sponsors (EEPS)
Homes Program EEPS
                                       2
                                      112
ESVI Program EEPS
                                       1
                                       5
Subtotal
                                       3
                                      117
Oversight Organizations
 
 
Verification Oversight Organizations (VOOs)
                                     0.33
                                       1
HVAC Quality Installation Training and Oversight Organizations (H-QUITOs)
                                       0
                                       2
Multifamily High Rise Review Organizations (MROs)
                                       1
                                       4
Quality Assurance Providers (QAPs)
                                       0
                                       2
Subtotal
                                     1.33
                                       9
HVAC Contractors
HVAC Contractors Credentialed for ESCH
                                      130
                                     1,000
HVAC Contractors Participating in ESVI
                                       8
                                      40
Subtotal
                                      138
                                     1,040
Respondents to EPA Evaluations
Partners
                                       0
                                       5
Industry Professionals
                                       0
                                       5
Subtotal
                                       0
                                      10
Total
                                      812
                                     3,235
*Table includes minor rounding.

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

Home Builders, MFHR Developers, Manufactured Home Plants and Verification Organizations

	EPA estimates that, during the three-year life of this ICR, on average, 600 home builders will complete and submit the online Partnership Agreement to EPA each year. EPA estimates that 13% of these home builders, or 78 home builders, on average will choose the 100% commitment on their Partnership Agreement each year and that all of these home builders renew their 100% commitment annually. EPA also estimates that, on average, 25 multifamily high rise developers will submit a Partnership Agreement to EPA each year. In addition, EPA estimates that, on average, no more than five manufactured home plants each year will complete and submit an online Partnership Agreement. Further, EPA estimates that 40 verification organizations (Home Energy Raters and Rating Providers) will submit an online Partnership Agreement, on average, each year.  

Energy Efficiency Program Sponsors (EEPS) 

	EEPS are given the opportunity to join one or more programs within ENERGY STAR when they complete and submit their Partnership Agreement (e.g., C&I, Products). EPA ICR No. 1772 (OMB Control No. 2060-0347) consolidates the burden for all EEPS Partnership Agreements across all ENERGY STAR programs (e.g., C&I, Products). When ICR 1772 is renewed, EPA intends to move this consolidated burden to the Products ICR (EPA ICR No. 2078, OMB Control Number 2060-0528) because the Products program sees the greatest amount of EEPS partnering activity.  To avoid duplication, this ICR (No. 2193) does not burden EEPS for their Partnership Agreements.

	Under the ENERGY STAR Verified HVAC Installation (ESVI) program, EPA estimates that one energy efficiency program organization will submit a program design proposal for EPA review on average each year.    

Oversight Organizations

	Verification Oversight Organizations (VOOs)

	EPA estimates that, on average, one new VOO application will be submitted to EPA during the three-year life of this ICR. Note:  Exhibit 1 annualizes this one applicant over the three-year life of this ICR to estimate 0.33 applicants/year.  

      HVAC Quality Installation Training and Oversight Organizations (H-QUITOs)

	EPA estimates that no new H-QUITO will apply to the program during the three-year life of this ICR, on average.  EPA estimates that, on average, each of the two H-QUITOs currently participating in the program will receive 130 credentialing applications from HVAC contractors annually. 

      Multifamily High Rise Organizations (MROs)

	EPA estimates that one new MRO will apply each year during the three-year life of this ICR, on average. 

       - Quality Assurance Providers (QAPs)

	EPA estimates that no new QAPs will submit an application to EPA during the three-year life of this ICR, on average. 

HVAC Contractors

	EPA estimates that, on average, 130 contractors will submit a credentialing application to an H-QUITO annually during the three-year life of this ICR. EPA also estimates that, as part of their participation in the ENERGY STAR Verified HVAC Installation (ESVI) program, eight contractors submit an online logo use agreement to EPA annually and submit an ESVI program participation agreement to an ESVI program Sponsor annually. 

VERIFICATION OF ENERGY STAR GUIDELINES (EXHIBIT 2)

Home Builders, MFHR Developers, Manufactured Home Plants 

	Home Builders (Site-Built Homes) 

	The following four checklists are completed for a home to earn the ENERGY STAR label:  Rater Design Review Checklist, Rater Field Checklist, HVAC Design Report and HVAC Commissioning Checklist. EPA estimates that, on average, 25% of all HVAC Design Reports that are completed during the three-year life of this ICR are completed by the home builder (75% are completed by the HVAC contractor). EPA estimates that home builders apply one HVAC design to multiple home plans and that one HVAC Design Report is completed for every seven site-built certified homes. Given that EPA estimates there will be a total of 90,000 site-built certified homes annually, EPA estimates there will be 12,857 (90,000/7=12,857) total HVAC Design Reports completed annually, and that 25% (3,214) of these will be completed by the builder.   	

      Multifamily High Rise Developers

	EPA estimates that, on average, 23 new multifamily high rise development project applications will be submitted by developers annually during the three-year life of this ICR. EPA also estimates that each project application submitted annually will be accompanied by two Testing & Verification worksheets (design and construction phases), two Submittal Validation forms (design and construction phases), two performance path calculators (design and construction phases) and a photo template (construction phase only).  

	Manufactured Home Plants

	EPA estimates that, during the three-year life of this ICR, five plants will become certified by incorporating ENERGY STAR design details into their home plans each year, on average. EPA estimates that 4,000 manufactured homes will earn the ENERGY STAR on average annually; therefore, there will be 4,000 site installation checklists completed annually by a plant representative when these homes are inspected onsite. 

Verification Organizations

	Home Energy Raters 

	EPA estimates that, on average, 90,000 site-built homes (e.g., single-family and low-rise multifamily homes) will earn ENERGY STAR certification annually during the three-year life of this ICR. EPA also estimates that 75%, or 67,500 of these homes, will be certified via individual home energy ratings using the ENERGY STAR checklists. EPA estimates that the remaining 25% (22,500) represent production homes that share similar floor plans, equipment and other characteristics that will be certified collectively using an analytical sampling protocol developed by the home energy rating industry.  Of these 22,500 certified production homes, one in seven is individually certified; therefore, 3,214 of the 22,500 certified production homes (22,500 / 7 = 3,214) are individually certified.  This means that EPA estimates a total of 70,714 (67,500+3,214) individually certified homes and 19,286 homes certified collectively through sampling each year. 

	There are four checklists used to certify a site-built home for the ENERGY STAR label: Rater Design Review Checklist, Rater Field Checklist, HVAC Design Report, and HVAC Commissioning Checklist. Raters complete the Rater Design Review Checklist and the Rater Field Checklist. Raters collect the HVAC Design Report from HVAC contractors and home builders and the HVAC Commissioning Checklist from the HVAC contractor.  

	EPA estimates that Raters complete one Rater Design Review Checklist for each HVAC Design Report. Since EPA estimates there will be 12,857 HVAC Design Reports (one for every seven certified homes) completed by builders and HVAC contractors and collected by Raters annually, EPA estimates Raters will complete12,857 Rater Design Review Checklists and collect 12,857 HVAC Design Reports annually. EPA also estimates Raters will complete one Rater Field Checklist for each individually certified home (70,714) and will collect one HVAC Commissioning Checklist per certified home (90,000). 

	Refer to Table 2 and the associated text, below, for additional information on these estimates.

Table 2. Estimated Annual Number of Site-built ENERGY STAR Certified Homes
Certification Method
Annual No. of Homes Certified
No. of Rater Design Review Checklists Completed***
No. of Rater Field Checklists Completed
No. of HVAC Design Reports****
No. of HVAC Commissioning Checklists
Individually Certified Homes
70,714*
10,102
70,714
10,102
70,714
Homes Certified via Sampling
19,286**
2,755
0
2,755
19,286
Total
90,000
12,857
70,714
12,857
90,000
* Includes 3,214 individually certified homes from sampling protocol. 
**Includes homes collectively certified via sampling.
***Assumes an average of one Rater Design Checklist for every seven certified homes.
****Assumes an average of one HVAC Design Report for every seven certified homes.

Energy Efficiency Program Sponsor (EEPS) Partners

	To verify that HVAC systems have been installed correctly by contractors, ESVI Program Sponsors conduct periodic reviews of installation documentation.  EPA estimates that, on average, there will be five participating ESVI Program Sponsors annually during the three-year life of this ICR and that each ESVI Program Sponsor will conduct one document review annually. EPA also estimates that each ESVI Program Sponsor will enter ESVI program-related information into a tracking database.

Oversight Organizations
	
	Verification Oversight Organizations (VOOs)

	EPA estimates that, on average, there will be 1.33 participating VOOs annually during the three-year life of this ICR. EPA estimates that, on average, each VOO conducts one periodic review of ENERGY STAR-related documentation annually. Each VOO also maintains ENERGY STAR-related information in a database. EPA also estimates that, on average, each VOO coordinates with EPA four times a year to resolve ENERGY STAR-related verification issues. 

      Quality Assurance Providers (QAPs)

	EPA estimates that, on average, two QAPs will participate annually during the three-year life of this ICR and that each QAP will conduct one review of ENERGY STAR-related documentation each year. EPA also estimates that, on average, each QAP will certify five manufacturing plants each year. EPA also estimates that each QAP will coordinate with EPA four times a year to resolve issues related to ENERGY STAR requirements. 

      HVAC Quality Installation Training and Oversight Organizations (H-QUITOs)

	EPA estimates that, on average, there will be two H-QUITOs participating each year during the three-year life of this ICR. To ensure that HVAC systems are properly installed and tested by contractors, EPA estimates that each H-QUITO will perform one periodic, random review of ENERGY STAR-related documentation on average, annually. Each H-QUITO will also enter ENERGY STAR-related information into a database four times a year, on average. EPA also estimates that, on average, each H-QUITO will coordinate with EPA four times annually to resolve ENERGY STAR-related issues. 

      Multifamily High Rise Organizations (MROs)

	EPA estimates that, on average, four MROs will participate each year during the three-year life of this ICR. EPA estimates that combined, MROs will receive and review a total of 23 project application packages annually. EPA also estimates that an MRO will assist developers five times a year and will coordinate with EPA to resolve ENERGY STAR-related issues three times a year.

HVAC Contractors

	EPA estimates that, on average, there will be 1,000 HVAC contractors credentialed for HVAC installations in ENERGY STAR certified homes each year, and 40 contractors participating in the ESVI program each year during the three-year life of this ICR. EPA estimates that, on average, HVAC contractors will complete 9,643 HVAC Design Reports and 90,000 HVAC Commissioning Checklists annually for ENERGY STAR certified homes. 	EPA also estimates that contractors participating in the ESVI program will submit installation documentation to ESVI Sponsors a total of 25 times annually.

EVALUATION (EXHIBIT 3)

	EPA estimates that, on average, it will seek feedback from partners and other home industry professionals a total of ten times annually regarding ENERGY STAR's technical requirements, its policy and program initiatives and resources, and partners' level of participation in the program. 	

PERIODIC REPORTING (EXHIBIT 4)

Verification Organizations

	EPA estimates that, on average, there will be 85 Rating Providers participating in the ENERGY STAR program annually during the three-year life of this ICR, and each Provider will submit four quarterly reports to EPA each year. 

Energy Efficiency Program Sponsors
	
	EPA estimates that, on average, there will be five ESVI Program Sponsors in existence annually during the three-year life of this ICR, and that each ESVI Program Sponsor will submit four quarterly reports to EPA and one annual update to EPA each year.  

Oversight Organizations

	Verification Oversight Organizations (VOOs)

	EPA estimates that 1.33 VOOs will submit an annual program update each year. 

	Quality Assurance Providers (QAPs)
	
	EPA estimates that, on average, each QAP will submit four quarterly reports to EPA each year and one annual update to EPA each year during the three-year life of this ICR. 

	Multifamily High Rise Organizations (MROs)

	EPA estimates that, on average, each MRO will submit four quarterly reports to EPA each year and one annual update to EPA each year during the three-year life of this ICR. 

	HVAC Quality Installation Training and Oversight Organizations (H-QUITOs)

	EPA estimates that, on average, there will be two H-QUITOs in existence each year during the three-year life of this ICR, and that each will submit one annual update to EPA each year. 

ENERGY STAR AWARDS (EXHIBIT 5)

	Based on previous award applications received, EPA estimates that, on average, 20 home builder partners, three multifamily high rise developers,10 verification organizations, and 20 Program Delivery (EEPS) partners will apply for an ENERGY STAR award each year. 

	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 177,847 hours and $14,747,008. The total bottom-line burden to respondents over three years is estimated to be 533,541 hours and $44,241,024.

      Table 3. Total Estimated Respondent Burden Hour and Cost Summary *
                                   Activity
                             Total Hours Per Year
                          Total Labor Costs Per Year
                         Total Capital Costs Per Year
                         Total O&M Costs Per Year
                             Total Costs Per Year
Joining the ENERGY STAR Program and Related Activities
                                      299
                                    $34,762
                                      $0
                                      $0
                                    $34,762
Verification of ENERGY STAR Guidelines
                                    176,889
                                  $14,656,123
                                      $0
                                      $0
                                  $14,656,123
Evaluation
                                      20
                                    $2,040
                                      $0
                                      $0
                                    $2,040
Periodic Reporting
                                      380
                                    $32,060
                                      $0
                                      $0
                                    $32,060
ENERGY STAR Awards
                                      259
                                    $22,023
                                      $0
                                      $0
                                    $22,023
Total
                                    177,847
                                  $14,747,008
                                      $0
                                      $0
                                  $14,747,008
*Table contains rounding.

(ii)      Agency Tally

	As shown in Table 4, EPA estimates the total annual burden to the Agency to be 1,292 hours and $67,874. The bottom-line burden to the Agency over three years is estimated to be 3,876 hours and $203,622.
                                       
        Table 4. Total Estimated Agency Burden Hour and Cost Summary *
                                   Activity
                             Total Hours Per Year
                          Total Labor Costs Per Year
                         Total Capital Costs Per Year
                         Total O&M Costs Per Year
                              Total Cost Per Year
Joining the ENERGY STAR Program and Related Activities
                                      268
                                    $10,193
                                      $0
                                      $0
                                    $10,193
Verification of ENERGY STAR Guidelines
                                      66
                                    $4,310
                                      $0
                                      $0
                                    $4,310
Evaluation
                                      73
                                    $4,382
                                      $0
                                      $0
                                    $4,382
Periodic Reporting
                                      824
                                    $45,538
                                      $0
                                      $0
                                    $45,538
ENERGY STAR Awards
                                      60
                                    $3,450
                                      $0
                                      $0
                                    $3,450
Total
                                     1,292
                                    $67,874
                                      $0
                                      $0
                                    $67,874
*Table contains rounding.

	6(f)	Reasons for Change in Burden

	EPA estimates a total annual respondent burden in this ICR, 2193.04, of 177,847 hours.  This is a decrease of 6,120 hours from the previously approved burden of 183,967 hours in ICR 2193.03.

	Table 5 explains this 6,120-hour decrease.  Specifically, the table presents the total annual hours estimated in ICR 2193.03 and ICR 2193.04 for each category of collections in these documents (see columns 1-3).  The table then compares their 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 program 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 68,457-hour decrease due to program changes and a 62,337-hour increase due to adjustments resulting primarily from improved data and analysis.  This resulted in a net decrease of 6,120 hours in ICR 2193.04.  

	EPA's program changes include the sun-setting of several programs and collections that were burdened in ICR 2193.03, including the Lender Partnership program, the Designed to Earn program, and the Outreach Partnership. In addition, the Home Performance with ENERGY STAR (HPwES) program was transferred from EPA to the U.S. Department of Energy (DOE) in 2015. EPA also will no longer collect homeowner information related to ENERGY STAR certified homes or other programmatic information under this ICR.

	In addition, EPA reorganized and streamlined a number of the checklists and the documentation process used to verify homes for the ENERGY STAR label and provided for greater independent verification of the results.  This included, among other things, eliminating a water management system builder checklist.  Finally, EPA made other modifications to its collections to improve the program's performance, such as the addition of a new respondent category (Multifamily High Rise Review Organizations or MROs) to oversee MFHR developers and the addition of annual reporting for certain respondent types.

	EPA's adjustments include updating the number of respondents and burdens in ICR 2193.04 based on improved data and analysis. The burden estimates in ICR 2193.04 reflect EPA's program experience gained over the past three years. In particular, EPA adjusted the number of respondents involved in the certification process and homes being certified (e.g., site-built) and their associated burdens. The burden estimates in ICR 2193.04 reflect EPA's expectation for the same general level of participation by home builders and others in site built and low-rise homes certification as ICR 2193.03. EPA also improved its analysis of the proportion of site-built and low-rise homes that will be individually and collectively rated and their respective burdens.  

	See Table 5 for additional information on program changes and adjustments. 
 Table 5. Comparison of Total Annual Hours Under ICR 2193.03 and ICR 2193.04*
                         (1) Information Collections**
                     (2) Annual Hour Burden in ICR 2193.03
                     (3) Annual Hour Burden in ICR 2193.04
         (4) Difference in Hour Burden Between ICR 2193.03 and 2193.04
              (5) Description of Program Change and/or Adjustment

                                Program Change
                                  Adjustment
                                     Total

Exhibit 1 - Joining the ENERGY STAR Program and Related Activities
                                     1,293
                                      299
                                     (406)
                                     (589)
                                     (994)
Key program changes include the sun-setting of the Lender Partnering program and anticipated sun-setting of the Architect and Home Plan Designer partnership program. Also includes the transfer of the Home Performance with ENERGY STAR program (HPwES) from EPA to the U.S. Department of Energy (DOE) in 2015. Eliminating these programs from the ICR resulted in fewer partnering and other submittals. Also modified some applicants' partnership submittals and added a new category of oversight organization (Multifamily High Rise Review Organizations, or MROs). Adjustments include updating the number of respondents and burden estimates based on improved data and analysis. The burden estimates in ICR 2193.04 reflect EPA's program experience gained over the past three years. 
Exhibit 2 - Verification of ENERGY STAR Guidelines 
                                    143,833
                                    176,889
                                   (31,142)
                                    64,198 
                                    33,056 
Program changes include EPA's reorganizing and streamlining the checklists and process used to verify homes for the ENERGY STAR label, and ensuring greater independent verification of the results. Eliminated a water management system builder checklist which accounted for more than 20,000 hours annually in ICR 2193.03. Ended the Designed to Earn program and requested modular home builders to now meet the same requirements as traditional stick-built homes for the ENERGY STAR label. Added some activities for oversight organizations. Adjustments included analyzing and estimating the number of respondents (e.g., home builders) and homes being certified (e.g., site-built) and associated burdens based on updated information. The burden estimates in ICR 2193.04 reflect EPA's expectation for the same level of participation by home builders and others in site built and low-rise homes certification as ICR 2193.03. EPA also improved its estimate of the proportion of site-built and low-rise homes that are individually and collectively rated and the associated burdens. 
Exhibit 3 - Evaluation 
                                    36,658
                                      20
                                   (36,063)
                                     (575)
                                   (36,638)
Program changes include the fact that EPA will no longer collect homeowner information related to homeowners' experience living in an ENERGY STAR certified home or other ENERGY STAR program offerings under this ICR. In ICR 2193.03, homeowner collections accounted for about 36,000 hours. EPA may collect evaluation information from ENERGY STAR partners and other professionals. Adjustments include updating the number of respondents and burden based on improved data and analysis.
Exhibit 4 - Periodic Reporting 
                                     1,737
                                      380
                                     (672)
                                     (685)
                                    (1,357)
Program changes include the addition of annual reporting by QAPs, H-QUITOs, VOOs, ESVI EEPS as well as quarterly and annual reporting by MROs. Eliminated HPwES Sponsor reporting to EPA. Adjustments include updating the number of respondents based on improved data and analysis. The burden estimates in ICR 2193.04 reflect EPA's program experience gained over the past three years.
Exhibit 5 - Awards 
                                      350
                                      259
                                     (79)
                                     (13)
                                     (91)
Program changes include the elimination of the Program Delivery award for HPwES Sponsors and the addition of a new award application for MFHR developers. Also enabled affordable housing builders to now use the same award application as all other home builders. Adjustments include updating the number of respondents and burden estimates based on improved data and analysis. The burden estimates in ICR 2193.04 reflect EPA's program experience gained over the past three years.
Exhibit 6 - Outreach Partnership***
                                      97
                                       0
                                     (97)
                                      0 
                                     (97)
Program changes include EPA's elimination of the Outreach Partnership, which no longer exists. Its burden was estimated in ICR 2193.03 but not in ICR 2193.04.  
Total (rounded)
                                    183,967
                                   177,847 
                                   (68,457)
                                    62,337 
                                    (6,120)
 
* Table includes minor rounding.  Decreases in burden shown in parentheses.						
** The information collections and exhibits in this column reflect those included in ICR 2193.03.						
*** The Outreach Partnership has been terminated and no longer exists.  Its burden was estimated in Exhibit 6 of ICR 2193.03 but not in ICR 2193.04.	

	6(g)	Burden Statement 

	For the private sector, the annual reporting and recordkeeping burden for this collection of information is estimated to average 35 minutes per response.

	For states and locals, the annual reporting and recordkeeping burden for this collection of information is estimated to average 2 hours and 30 minutes per response.  

	There is no reporting or recordkeeping for homeowners.

	Burden means the total time, effort, or financial resources expended by persons to generate, maintain, retain, or disclose or provide information to 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, and 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 collection 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/DC), 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) 566-1744, 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 identified 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-2004-0500 and OMB Control Number 2060-0586 in any correspondence.