Home Performance with ENERGY STARฎ
Sponsor Guide
HOME PERFORMANCE WITH
W? ENERGY STAR
Version 1.0
September 2008
Home Performance with ENERGY STAR
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Table of Contents
Acknowledgements 4
Introduction 5
EPA and DOE Support 7
Acronyms and Abbreviations 8
Section 1: Program Planning 9
1.1. Introduction 9
1.2. Required and Recommended Elements 9
1.2.1 Program Design 12
1.2.2 Program Evaluation 15
Section 2: Home Performance Assessment (HPA) 15
2.1. Introduction 15
2.2. Required and Recommended Elements 16
2.3. Estimating Energy Savings 23
2.4. Example HPA Intake Form Template 24
2.5 Example Homeowner Summary Report 26
Section 3: Post-installation Test or "Test-out" Protocols 28
3.1. Introduction 28
3.2. Required and Recommended Elements 28
Section 4: HPwES Summary Certificate 31
4.1. Introduction 31
4.2. Required and Recommended Elements 31
4.3. Example Certificate 32
Section 5: Quality Assurance Protocols 33
5.1. Introduction 33
5.2. Required and Recommended Elements 33
5.2.1 Job Reporting Review 33
5.2.2 On-site Inspection Protocols 34
5.2.3 Customer Feedback 37
5.2.4 Contractor Feedback and Corrective Actions 38
5.3. Example Job Report Review Evaluation 39
5.4. Example On-site Inspection Scoring Methodology 40
5.5. Example Contractor Feedback and Corrective Action Levels 42
Appendix A
HPwES Partnership Agreement
Appendix B
HPwES Program Plan Outline
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Acknowledgements
The Home Performance with ENERGY STAR Sponsor Guide would not be possible without the input of
EPA and DOE's partners in the industry. This group includes the Home Performance with ENERGY
STAR sponsor partners and stakeholders listed below. These individuals contributed their time and
expertise to review and provide comments, which was invaluable to the creation of this Guide.
Technical Reviewers
Steve Baden, Residential Energy Services Network
Andrew Fisk, New York State Energy Research and Development Authority
Jim Fitzgerald, Conservation Services Group
Asa Foss, SENTECH
Jerry Hannah, National Grid
Sue Hanson, Wisconsin Energy Conservation Corporation
Bruce Harley, Conservation Services Group
John Jones, New York State Energy Research and Development Authority
Pat Justis, Missouri Department of Natural Resources
Joe Kuonen, Building Performance Institute
Emily Levin, Efficiency Vermont
Michael L'Ecuyer, ICF International
Jim Maletta, North Star Energy Consulting
Marc Milin, ICF International
Paul Norton, National Renewable Energy Laboratory
Bob O'Brien, National Grid
William J. Parlapiano III, BP Consulting
Bob Pfeiffer, Wsconsin Energy Conservation Corporation
Patricia Plympton, Navigant Consulting
Ed Schmidt, Northeast Energy Efficiency Partnerships, Inc.
Greg Thomas, Performance Systems Development
David Weitz, Conservation Services Group
Larry Zarker, Building Performance Institute
Bill Zwack, SENTECH
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Introduction
Home Performance with ENERGY STAR (HPwES) offers whole-house solutions to increasing the energy
performance and comfort of existing homes while improving the environment. The program is delivered
by local Program Sponsors that recruit and train home improvement contractors and consultants (here
after referred to as "contractor") who are qualified to perform home performance assessments (also called
comprehensive home energy audit). The assessment includes the heating and cooling systems,
windows, insulation, flow of air into and out of the house, as well as a safety check of combustion
appliances. Based on this assessment, participating contractors offer solutions to solve home comfort
problems and reduce energy usage while decreasing the carbon footprint of the home. Another important
element of HPwES is that, upon project completion, the contractor assesses the home's performance
again to document that specified improvements were properly installed to achieve the promised energy
savings. Finally, all participating contractors are subject to quality assurance (QA) reviews by the third-
party sponsor to ensure that projects meet program standards and homeowners receive high-quality
work. The goal of HPwES is to turn building science based recommendations into improved homes.
The first step of starting a HPwES program is to develop an implementation plan that explains the scope
and objectives of the program. The implementation plan includes the policies and procedures that will
ensure the success of the local program and compliance with National ENERGY STAR requirements.
This Guide was developed to provide guidance on the development of an implementation plan. It is
organized into five sections, each of which addresses a key step in the delivery of HPwES to the market.
Each Section of this Guide covers the following topics:
Introduction with a general overview of the topic.
Required and recommended elements that highlight key elements that a sponsor will address
and those that are optional.
Examples or templates that provide a visual illustration of required or recommended elements.
These examples and templates are available for Program Sponsor use and customization by
request.
This Guide is not meant to be a 'one-size-fits-all' manual for developing a successful HPwES
Program, as regional factors and organizational preferences are important and vary. This Guide
does provide perspective on the major components of program design and delivery that are
required and those that are recommended for local sponsors to implement.
This Guide covers the following topics:
1. Program Planning - Provides general guidance to develop a HPwES Program Plan. Each plan will be
different, but the planning process includes common elements every program must consider.
2. Home Performance Assessment (HPA) or "Test-in" - Defines the minimum requirements and
recommendations for assessing a home's energy performance under the HPwES program. The local
HPwES program can either meet or exceed National HPwES requirements.
a. HPA Intake Form - a template to facilitate the delivery of an HPA and can be used by
Program Sponsors as a template / tool to provide to their participating contractors.
b. Homeowner HPA Summary Report Form -an example of how to summarize HPA information
and recommendations for the customer in an easily understandable and compelling manner
that could assist the participating contractor sell energy improvements. The Homeowner
Summary Report can also be used to report information to the Program Sponsor for QA
tracking.
c. Estimating Energy Savings (under development).
3. Post-Installation Tests or "Test-out"- Defines the minimum level of diagnostic and visual inspections
to be completed by participating contractors at the conclusion of a job.
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a. Test-out Report Form - a form for the test-out data and installed measures which is provided
to the local Program Sponsor for QA tracking.
4. HPwES Summary Certificate - recommendations on issuing a summary certificate that lists the work
completed and organizations involved. This certificate is presented to the homeowner by the local
program sponsor after receipt of the Test-out Report Form and completion of the QA review process.
This guidance explains the required and optional elements that a Program Sponsors can adopt.
a. HPwES Certificate Template - an example template that Program Sponsors can customize
for their use.
5. Quality Assurance Protocols - defines the minimum requirements for program QA that applies to
participating contractors.
a. Job Reporting Review- defines requirements and provides recommendations for developing
program policies and procedures to perform QA reviews. The job reporting review focuses on
the Homeowner HPA Summary and Test-out Reports, and the contracted scope of work. It
provides guidance on what to look for in the paperwork review process and next steps to
follow if issues with paperwork indicate further investigation is warranted.
b. On-site Inspection Protocols - defines requirements and provides recommendations for
developing program policies and procedures for performing on-site inspections on
participating contractors' completed jobs. Provides guidance on the on-site inspection
process, sampling rates, and a contractor performance scoring methodology.
c. Customer Feedback - defines and provides guidance on meeting the requirement of
obtaining customer feedback on participating contractor's work completed through the
development and use of customer surveys.
d. Contractor Feedback and Corrective Action - provides recommendations for how to provide
feedback to participating contractors on the results of a QA review (including paperwork, on-
site, and customer survey). This guidance provides recommended corrective action levels
and contractor de-listing procedures.
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EPA and DOE Support
At the National level, EPA and DOE offer a variety of tools for program development and design,
recruiting contractors, marketing to homeowners, and sales training for contractor participants.
These tools are offered free-of-charge to Program Sponsors and discussed further
below:
Consumer-recognized brand
Program Sponsors can download and use this logo in promotional materials, including
Web sites and advertisements.
Program start-up assistance
HOME
PERFORMANCE
ENERGV STAR
EPA and DOE provide assistance to sponsors and utilities interested in exploring and planning a HPwES
Program.
Program Development Fact Sheets
Program Sponsors can download program development fact sheets covering key program elements
including contractor recruiting, contractor and consultant business models and quality assurance.
Home Energy Yardstick
Program Sponsors can host ENERGY STAR'S Home Energy Yardstick on their web site to help
homeowners take the first step toward HPwES. The Yardstick can be a great screening tool to determine
how serious a homeowner may be regarding improving the performance of their home.
Utility Bill Disaggregating Tool
Program Sponsors can provide this tool to their contractors to disaggregate utility bills of their prospective
customers to better determine how energy is used in their homes.
Best Practices for Implementing a HPwES Program
This Guide is a starting point for program planners to develop an implementation plan. Each section
highlights important considerations and options for the development of a HPwES implementation plan.
Contractor Business Development Guide
This special edition of Home Energy Magazine includes several contractor business success stories that
can help Program Sponsors educate contractors about the whole-house contracting business model.
Sales training for contractors (half-day)
Since home performance contracting is significantly different than other home improvement services due
to its comprehensive nature, program sponsors recognize that participating contractors are more
successful if they educate their homeowners and change their sales tactics accordingly. This training
focuses on teaching in-office and in-home strategies to help participating contractors educate
homeowners on the benefits and therefore sell comprehensive home performance improvements.
Marketing Toolkit
This online tool allows sponsors and participating contractors to create customized marketing materials,
such as ads, fact sheets, and direct mail pieces, to promote HPwES.
Consumer Brochure
Program Sponsors and participating contractors can use this brochure to educate homeowners about the
benefits of HPwES.
Case-by-case program development support
Program Sponsors may request additional support from EPA and DOE beyond what is listed above.
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Acronyms and Abbreviations
ACCA - Air Conditioning Contractors of America
AFUE- Annual Fuel Utilization Efficiency
ANSI - American National Standards Institute
ARI - Air Conditioning and Refrigeration Institute
ASHRAE - American Society of Heating, Refrigerating, and Air Conditioning Engineers, Inc.
ASTM - American Society for Testing and Materials
BP/- Building Performance Institute
CAZ - Combustion Appliance Zone
CFL - Compact Fluorescent Lamp
CO - Carbon Monoxide
DOE - Department of Energy
DHW- Domestic Hot Water
EER - Energy Efficiency Ratio
EF- Energy Factor
EPA - Environmental Protection Agency
GAMA - Gas Appliance Manufacturers Association
HPA - Home Performance Assessment
HPwES - Home Performance with ENERGY STAR
HVAC - Heating, Ventilation, and Air Conditioning
NFPA - National Fire Protection Association
SEER - Seasonal Energy Efficiency Ratio
SSE - Steady State Efficiency
QA - Quality Assurance
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Section 1: Program Planning
1.1. Introduction
One of the best ways to start a Home Performance with ENERGY STAR (HPwES) program is to begin
with setting goals for your program to achieve, assessing the barriers that inhibit energy efficiency retrofits
in your chosen target market and preparing a plan to overcome those barriers. Some prospective
program sponsors have requested a template for a HPwES program plan, but every market is different
and will need a plan tailored to the specific market conditions. This section highlights the key ingredients
needed to develop a HPwES Program Plan. For a simplified outline of suggested sections to include in
your plan, please refer to HPwES Program Plan Outline in Appendix B.
1.2. Required and Recommended Elements
Organization Background
A HPwES Sponsor is responsible for overseeing the program's implementation and work completed by
participating home performance contractors. Typical sponsor organizations include utilities, state energy
agencies, municipalities or non-profit organizations that promote energy efficiency. These organizations
commit to providing third-party oversight of improvements completed by participating home performance
contractors, protecting the ENERGY STAR brand, and serving the public's interest. The Sponsor
organization funds the program, but may decide to contract with other organizations (i.e. program
implementation contractor) to assist with planning and day-to-day implementation or the program. A
Program Sponsor is responsible for:
Developing the program standards, policies and procedures,
Submitting a Program Plan and signing the HPwES Partnership Agreement (Appendix A)
Recruiting contractors to participate,
Marketing the benefits of the program to homeowners,
Verifying that work completed under the program meets program standards (i.e. quality
assurance),
Monitoring contractor use of Home Performance with ENERGY STAR logo, and
Evaluating program success
The Program Plan will identify the sponsoring organization and describe the relationship with other
organizations that may assist with program implementation.
Some Program Sponsors have created an advisory board that includes key stakeholders, to provide
guidance in developing the program's design. The group, typically 8-12 people, may include building
science experts, technical educators, contractors, HVAC distributor or building supply representatives,
and city, state or utility officials. This group can be an important bridge of communication to several
constituencies.
Goals and Objectives
Designing a HPwES program starts with defining the goals and objectives the Program Sponsor want to
achieve. Achieving energy savings from home retrofits tends to be the primary goal driving Sponsor
interest in HPwES. How much energy, and how soon it needs to be achieved will be key questions that
will direct your program design. Once you can establish how much energy you plan to save you can
break it down into more discreet objectives such as how many homes will need to be improved? What
type of improvements will achieve these results; and how many contractors will be needed?
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Table 1 shows the potential per home energy savings for different regions of the country. You will
want to conduct your own analysis to determine what is possible in your market.
Table 1 - Potential Per Home Energy Savings
Census Region
Northeast Midwest Soi
South
West
Electricity (kWh)
Natural Gas (Therms)
1400
400
1700
400
4600
200
1400
200
Peak Demand (kW)
Typical Improvements
Summer
1.6
Winter
0.9
Increase attic insulation; insulating crawl spaces or rim joists: duct
sealing, repair and insulation; air sealing; and installing programmable
thermostat, energy-efficient heat pump, air conditioner, furnace, boiler,
lighting or windows.
Target Market
Every market has different challenges and opportunities that will shape the program design and
implementation strategy. An evaluation of local market conditions can provide useful background
information. This information may include:
Local energy issues, such as projected cost of energy, utility deregulation activities, air pollution
and energy delivery and supply capacity;
Population and housing stock demographics, including predominant age and style of homes,
average homeowner income, average homeowner buying habits, average energy consumption
and cost-effective energy improvements;
Local contractor environment, including number of contractors skilled in residential energy
assessment, local licensing requirements, and contractor training and education opportunities.
After evaluating the market conditions, consider selecting one pilot location for the initial launch of the
program. Pilots typically set a goal to improve 50-100 homes. Selecting a pilot location to launch the
program can help focus available resources, allow for testing of ideas and refining the program's design
and delivery, and increase the overall likelihood of program success. Once the program has
demonstrated success in the pilot phase, consider how to increase the scale of the program and expand
to additional markets.
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Implementation Schedule
An implementation schedule is a useful tool for a program sponsor to prioritize activities, and assist in
planning and implementing a program. The schedule identifies, for all stakeholders, the key tasks and
when they must begin and be completed.
Table 2 shows an example schedule for implementing a HPwES program.
Table 2 - Example Implementation Schedule
Activity
Months in Year One
Months in Year Two
Years 3+
1 2 3 4 5 6 7 8 9 10 11 12
1 2 3 4 5 6 7 8 9 10 11 12
1-12
Notify ENERGY STAR of intent
Establish advisory board
Establish goals and objectives
Perform market assessment
Review draft plans with ENERGY
STAR
Select pilot/expansion markets(s)
Select program design
Define home performance delivery
Develop contractor recruitment
Plan
Develop results tracking system
Develop Marketing Plan
Develop incentive/financing Plan
Develop quality assurance Plan
Identify/Develop Training
Prepare implementation Plan
Send Plan to ENERGY STAR
Identify/recruit contractors
Train/equip contractors
Launch marketing campaign
Implement quality assurance
protocols
Implement results tracking
Explore program expansion
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Estimated Budget
Sponsoring a HPwES program is a significant commitment and requires a long-term investment of
substantial financial resources and time. Therefore, organizations should consider the costs before
making a commitment to sponsor a program. A budget will help Program Sponsors estimate what a
program will cost and how to prioritize activities based on goals and available resources.
Table 3 shows an example budget. Actual costs will vary depending on the size and scope of the
program, goals and geographic range.
Table 3 - Example Budget
Budget Category
Pilot Phase*
Yearl
Year 2
Year 3
Year 4
Year 5
Management
$156,000
$160,000
$225,000
$242,000
$259,000
$276,000
Program Development
$52,000
$53,000
Contractor Recruitment
$65,000
$323,000
$323,000
$323,000
$323,000
$323,000
Training/Certification
$29,000
$59,000
$88,000
$88,000
$88,000
$34,000
Mentoring
$13,000
$25,000
$38,000
$38,000
$38,000
$14,000
Marketing
$78,000
$191,000
$305,000
$467,000
$627,000
$770,000
Contractor Job Incentives
$39,000
$117,000
$234,000
$351,000
$468,000
Homeowner Incentives
$216,000
$647,000
$1,295,000
$1,942,000
$2,589,000
Infield Inspections (QA)
$18,000
$40,000
$68,000
$83,000
$98,000
Evaluation
$25,000
$40,000
$40,000
$40,000
$40,000
$40,000
Total
$418,000
$1,124,000
$1,823,000
$2,795,000
$3,751,000
$4,612,000
Contractor Goal
10
31
63
94
125
136
Job Goal
0
250
750
1500
2250
3000
*Pilot Phase is typically 6 months to 1 year focused on contractor infrastructure building
1.2.1 Program Design
The design of every HPwES program will be slightly different, but all programs must meet the
requirements of the Partnership Agreement (See Appendix A).
Some common program design elements include:
Home Performance Protocols
Contractor Recruitment Plan
Contractor Training
Contractor Participation Requirements
Marketing/Media Plan
Incentive/Financing Plan
Quality Assurance Plan
Home Performance Protocols
The Program Plan describes how HPwES will be delivered to homeowners. It explains how contractors
deliver a Home Performance Assessment (also called a comprehensive energy audit), and summary
report; follow best practice work standards and post-installation tests after work is completed. (See
Section 2 and 3 for guidance on defining these protocols.
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If HPwES will be delivered as a second tier of an existing rebate or audit program or as a replacement of
a previous program, provide details on how the integration or transition will occur.
Contractor Recruitment Plan
A common market barrier to improving home energy performance is a limited supply of qualified home
performance contractors. Even if homeowners get recommendations from an energy audit to improve
their home, they typically don't know who is qualified to make the improvements. Developing a strong
network of professionals, skilled in whole-house assessment, diagnostic testing, and installation best
practices, is essential to a successful HPwES program.
Successful Program Sponsors have developed a contractor recruitment strategy that identifies and
recruits highly motivated and successful contractors to participate in the program. Activities may include
speaking at NARI or ACCA Chapter meetings, cold calling reputable contractors, or hosting a Profit from
Home Performance workshop to introduce the business opportunity. Networking with utility, state,
municipal, distributor, and contractor stakeholders can help identify and recruit likely candidates.
Some Program Sponsors offer contractors incentives to participate such as discounts on training or
financing to purchase equipment. Subsidizing training, certification, or equipment will encourage
contractor participation, but should be contingent on completing specific milestones, such as passing
certification tests and reporting test-out information (for completed home improvement projects). Another
idea is to provide incentives for completed jobs to encourage quality assurance reporting. However, the
incentives needs to be big enough to get a contractor's attention ($100-$300) and will not always work.
Sometimes a tiered incentive or caps may be appropriate so all contractors are motivated and not just
one large contractor. In some markets these incentives may not be necessary to spur contractor
participation and interest in the program. Program Sponsors should evaluate their market and survey
contractors before designing their incentive offerings.
Contractor Training
Contractor training that describes the principals of building science, how to perform energy assessments,
elements of a successful home performance contracting work practice and effective sales techniques will
all help to build and support an infrastructure of qualified contractors. Program Sponsors need not spend
resources developing training, since many local, regional and national organizations already offer training
for weatherization or home energy ratings.
Mentoring contractors on-the-job through the home performance assessment, home improvements and
test-out has become a common and valuable addition to training. Mentoring reinforces training, helps to
verify the contractor is proficient and provides an opportunity to suggest ways to streamline the process to
make quality assurance inspections efficient and productive. Mentoring is recommended on at least 3 of
the first 5 home performance jobs a contractor completes.
Sharing training and mentoring costs with participating contractors is recommended. Sponsors who
offer free training do not help to establish a sustainable training infrastructure. Instead, they reinforce a
belief that training is not a necessary business expense and set an expectation that will be difficult to
change in the future.
Some program sponsors may decide to sub-contract training, mentoring, and quality assurance
services. This is common, but program sponsors are well served to try to avoid situations where quality
assurance activities are performed by the same person that delivers training and mentoring.
Because some contractors have high employee turnover rates, contractors will need to be re-trained
periodically and successful program sponsors provide refresher courses. A continuing education
requirement is one way to reinforce training as a business expense.
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Contractor Participation Requirements
Participation in the program provides benefits and privileges to contractors, and requires a commitment
from the contractor to follow program requirements. In order to maintain a good relationship with
participating contractors, the expectations of both parties must be documented in a voluntary participation
agreement. This agreement will specify the contractor's commitment to follow program requirements as
well as the sponsor's obligations to the participating contractors.
We recommend that the contractor participation agreement be renewed annually to confirm the
contractor's commitment and document any program changes and include the following commitments:
Comply with local business license requirements;
Covered by general liability and workers compensation insurance;
Follow program specified homeowner complaint/dispute resolution procedures;
Follow program specified whole-house assessment process and provide homeowner with a
summary report;
Propose home improvements that will result in a savings of 20% of total energy use;
Follow program specified standards for all work performed;
Follow program quality assurance procedures;
Train staff to respond to customer inquiries about Home Performance with ENERGY STAR;
Follow Home Performance with ENERGY STAR'S logo use guidelines; and
Complete and report a minimum number of jobs annually to continue partnership.
Marketing/Media Plan
Although many homeowners have heard of ENERGY STAR, most have not heard about Home
Performance with ENERGY STAR. Program Sponsors play a very important role in educating consumers
about the process and benefits of HPwES. The Program Sponsor's public reputation and credibility are
very valuable in persuading homeowners to consider making whole-house energy efficiency
improvements.
A marketing and media plan that explains how the Program Sponsor will promote the program to local
homeowners is essential. Even though contractors are responsible for marketing their company and
selling renovations, a program sponsor should promote the program and the value of a whole-house
approach using a variety of tactics including: advertising, public relations campaigns, bill inserts, Web
sites, media interviews, and special promotional events. The plan should include specific examples of
how HPwES will be used in sales and marketing materials and web sites.
ENERGY STAR provides marketing materials such as brochures and a marketing toolkit to help
program sponsors and participating contractors educate homeowners about Home Performance with
ENERGY STAR.
An Energy Makeover Contest is a new and creative way to promote energy efficiency. Contest
organizers award a major energy efficiency retrofit to the winning contest participant in a highly visible
demonstration. The home, chosen for its inefficiency, produces dramatic energy savings. Because the
Energy Makeover Contest can be designed to specifically attract consumers to a whole-house
approach, it is a promising promotional tool for existing Home Performance with ENERGY STAR
programs. The contest also can be used as a tool to launch a Home Performance with ENERGY STAR
program.
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Incentive/Financing Plan
Because home performance projects typically include comprehensive renovations, costs frequently rise
above the level that homeowners are able to pay out-of-pocket. To encourage homeowners to make
improvements Program Sponsors may consider offering financial incentives or a financing solution with
an attractive interest rate.
Three general principals are recommended for any HPwES incentive plan. First, incentives are only
awarded for the completion of energy efficiency improvements recommended in a home performance
assessment by a participating contractor. Second, increase the incentive amount such that
comprehensive improvements are encouraged. One way to achieve this is to define categories of
improvements and base the incentives on the category and number of improvements completed. Thirdly,
offer incentives to both the participating contractors and the homeowners who are improving the energy
performance of their homes; this facilitates participation and retention of quality contractors.
Quality Assurance Plan
Quality assurance is an essential component of Home Performance with ENERGY STAR and a program
sponsor is responsible for developing and implementing a Quality Assurance Plan. Quality assurance
protects homeowners by providing an independent review of the work performed by participating
contractors to ensure that it meet program standards. Quality assurance also protects the reputation of
the Program Sponsor.
The Program Sponsor must identify who will be responsible for quality assurance and provide clear
direction on what activities they are expected to complete. (See Section 5 for guidance on developing
quality assurance protocols) Protocols that need to be defined include:
Job Reporting Review
On-field inspection
Customer Feedback
Contractor Feedback and Corrective Actions
1.2.2 Program Evaluation
Program Sponsors must track the number of contractors participating, the homes improved and on-site
quality assurance inspections completed. This information must be reported to EPA and DOE quarterly
for the purpose of national program evaluation. In addition, Program Sponsors are encouraged to
evaluate their program accomplishments annually and a complete a detailed review every three years.
An electronic system for reporting and tracking program results will help streamline this process and
should be developed before the program is launched.
Section 2: Home Performance Assessment (HPA)
2.1. Introduction
One of the most important and differentiating aspects of home performance contracting is the home
energy audit. In order to offer the homeowner the opportunity to increase the energy performance and
comfort of their home, all of the home's systems are holistically assessed to recommend improvements
that work together to improve their home.
The HPA (also called Comprehensive Home Energy Audit) includes the activities (i.e. inspections, tests,
etc.) that are completed to assess a homes performance, and prepare a recommended scope of work.
Contractors that agree to participate in a HPwES program need to have clear direction on what services
they are expected to deliver. Therefore, Program Sponsors will have policies and procedures explaining
the minimum requirements of the HPA. These policies and procedures are intended to establish a
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minimum level of service that can be marketed to homeowners by a broad group of stakeholders. This
guidance identifies which elements of the HPA are required by the National Program and optional steps
that are recommended because they represent best industry practices or help the contractor understand
the homeowner's needs and motivate them to improve their home. Program Sponsors may choose to
adopt additional requirements. The required elements of the HPA do not have to be completed in one
home visit but must be completed prior to the commencement of home improvements. The HPA
guidance below is sequenced but it is not required that contractors deliver the components of the HPA in
the order provided.
2.2. Required and Recommended Elements
2.2.1 Homeowner Interview
The contractor is required to conduct an in-person interview to collect information about the home and
homeowner's concerns, motivations and goals. The information gathered can vary based on climate,
housing type, site layout, etc.; the objective is to begin to establish a good base of information from which
to address the homeowners' concerns. Information that may be valuable includes:
Age of home, years that family has lived there, number of occupants.
Remodeling, additions, window replacement, bonus rooms.
Basic information about HVAC system(s), type of fuel, age of systems (if known).
Use of unvented fireplaces and space heaters (if used, educate homeowner on moisture, carbon
monoxide and fire risks, and inform them that envelope improvement cannot be performed unless
they are removed or vented with a retrofit kit, if applicable).
Swimming pool - dates and hours/day of pump operation, heated or not, heating source(s) and
location(s), ventilation strategy if indoors.
Utility bills
Comfort complaints (cold rooms/hot rooms, drafts, moisture and humidity).
Ice damming, wet crawlspaces or other common climate-specific problems.
Optional Steps for the Homeowner Interview
Pre-Assessment Telephone Interview
When scheduling the HPA, some participating contractors conduct a quick telephone interview with the
homeowner to collect basic information on the home and the homeowner's concerns and motivations, so as to be
more prepared, focused and time efficient during the home visit. A lead screening tool is available for participating
contactors to use.
Disaggregate Energy Bills and Discuss Analysis with Homeowner
If energy consumption history is available, it can be extremely valuable for the participating contractor in building
an understanding of the home's energy performance and motivating the homeowner to invest in recommended
measures.
By breaking down the energy use, the contractor can more effectively identify the best energy improvement plan,
educate the homeowner on the benefits of core air sealing, insulation, high-efficiency HVAC, water heating, and
electric base-load measures such as lighting and appliances. A utility bill disaggregation tool is available for
participating contractors to use.
Quick Walk-Through with Homeowner
Conduct a walk-through with the homeowner to ascertain additional information (homeowner has opportunity to
bring up any issues or concerns that s/he has with any major items in the assessment). The contractor can take
this opportunity to inspect major appliances and lighting with the customer and educate them on the benefits of
replacing older appliances and lighting with ENERGY STAR qualified products.
2.2.2 Building Envelope Inspection
The building envelope offers many opportunities for energy efficiency improvements. Therefore,
participating contractors are required to conduct an inspection of the building envelope:
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DRAFT September 2008
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1) Collect basic information on the envelope of the home:
Record house type, age and condition.
Note key features of home typical of house type (porch roof, multiple roof lines, cantilevers, bay
windows, dormers, kneewall attics, attic access, crawlspaces, basements, attached garages).
Note configuration of home additions, if any.
Sketch house floor plan with orientation and exterior
measurements; calculate floor area, and volume.
2) Note condition of external building envelope features
(siding, trim, fascia, soffit areas, etc.):
Look for signs of moisture or ice dam damage (if
applicable) on walls and soffits that may have
resulted from building performance problems.
Check for roof moisture damage (stains, soft or
rotted deck or rafters, wet or moisture-damaged
insulation) from roof leaks or inadequate ventilation.
Note any issues with shading or exposure to sun (linked to issues with hot/cold rooms and can
help prioritize window-related measures).
Note any grading features, downspout terminations, or sprinklers that may direct water towards
the foundation or affect the performance of an exterior wall.
3) Envelope Thermal Characteristics
Determine the thermal boundary of the home and identify thermal bypasses.
Record type(s), amount and condition of
insulation in all components of the thermal
boundary. For guidance on default and de-rated
R-values, see Building Performance Institute
(BPI) Technical Standards1.
o Attic flats, slopes, knee walls, knee wall
flats, dropped soffits, etc., as
appropriate for type of home and per
configuration of additions,
o Basement and crawlspace walls or
ceilings,
o Rim joists,
o Attic staircase walls.
Window inspection: Note condition of windows,
type, age, signs of moisture damage and air
infiltration around windows.
Door inspection: Note type and condition of all
doors to exterior (including garage) - especially
note if doors are un-insulated, in poor condition,
or if they are leaky and in need of weather-
stripping or door sweeps.
4) Envelope air leakage characteristics
Visual Inspection of attic and basement to identify paths of air leakage
Optional Step for Basic
Building Envelope Inspection
Renewable Energy Opportunities
Record house orientation, observe
site layout and look for opportunities
for renewable energy technology
(e.g., access to sunlight on south
and west sides)
Optional Steps for Envelope
Thermal Inspection
Exterior Wall Insulation Levels
An optic probe can often be used to
determine wall insulation levels. It is
usually inserted next to electrical outlets or
behind wall hangings. This tool can also be
used to inspect potential moisture problems
found with an infrared camera
Window Details
Some energy savings tools in particular
require some details regarding window
area and orientation, framing type, number
of panes and/or presence of storm
windows. Otherwise, such information is
most important if it is known that
replacement windows are to be included in
the scope of work.
1 BPI Technical Standards are currently being modified and this Guide will be updated to reflect any
revisions.
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Attic: openings in wall top plates, electrical and plumbing runs, open areas around flues
and chimneys, recessed light housings, around exhaust fans, open framing cavities,
dropped soffits and ceilings.
Basement: openings around electrical and plumbing runs and around flue pipes and
chimneys, accessible sill plate areas, basement windows, exterior doors, and accessible
rim/band joist areas.
Blower door test: This test is an effective way to locate air leaks
and educate the customer on air leakage issues. When the
recommended work scope includes air sealing, attic
insulation, enclosed cavity insulation representing 15%
of the total building envelope area, sealing of the
ducts outside the thermal envelope, or replacing
atmospherically vented combustion appliances with
sealed combustion appliances, follow ASHRAE 119
standard on blower door test procedures.
o With blower door depressurizing the home,
identify major leakage areas in living area
(e.g. window trim, baseboards, upper trim,
cabinets, dropped soffits, pocket doors,
recessed lighting, duct chases/plenums, band
joists, transitions between porch roof and
exterior walls, fireplaces, cantilevered floors, etc.).
o Identify any significant misalignments of the pressure
and thermal boundaries and ways to correct them,
o Inspect walls or ceiling between an attached garage and
the living space for air leakage.
Blower Door Test
Caution:
Do NOT conduct this test if fireplace
or wood stove has recently been
used.
Do NOT conduct this test if there is
evidence of exposed and/or friable
contaminants (asbestos, lead dust,
bio-aerosols or other dangerous
materials) that might become
airborne or otherwise be introduced
into the living space by conducting
the test.
Optional Steps for Inspections during Blower Door Test
Use of Infrared Camera
Some of the more successful home performance contractors have learned that using an infrared camera during a
blower door test is an effective way to identify where insulation and air sealing are needed. It is also an effective
sales tool when the contractor has the customer(s) involved in the assessment. Showing the infrared images to
the customer(s) and relating them to problems that were identified during the homeowner interview demonstrate
expertise and builds trust, leading to higher customer motivation and stronger sales.
Zonal Pressure Differential Tests
Using the blower door and a manometer, conduct zonal pressure differential tests if needed to diagnose particular
problem areas within the building (e.g., to determine how much an attic or garage is communicating with the living
space compared to the outside). This test can help focus the inspection and speed up the diagnostics tests.
2.2.3 Heating, Ventilation, and Air Conditioning (HVAC) and Domestic Hot Water (DHW) Systems
Visual Inspection
The HVAC and DHW systems can offer dramatic comfort and energy savings opportunities. Therefore,
participating contractors will perform a basic visual inspection of the HVAC and DHW systems in the
home as follows:
1) Determine number and type of thermostats:
Note number of heating and/or cooling zones.
Note whether thermostats are programmable or manual.
o If programmable, check status of setback periods and, if not being used, educate
homeowner on the benefits of scheduled setbacks based on their lifestyle.
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DRAFT September 2008
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2) Visually inspect heating system:
Verify system information: age, model, heat in/out, general condition and maintenance history.
Check for evidence of back draft/flame roll-out.
If boiler, verify that pressure relief valve is present and not obstructed.
If condensing unit, check the condensate line for signs of blockage or leaks.
Check exhaust vent for proper fitting and termination.
3) Visually inspect air conditioning system:
Verify system information: age, model, capacity (sometimes available on nameplate).
Check condensate line(s) for blockage or leaks.
Note any issues around compressor/fan unit in yard, such as recirculation/air flow obstruction
from built features or plantings or problems with coil blockage from leaves, twigs or other debris.
Record number of window or wall units, model and EER if available.
Check for insulation on refrigerant line set.
4) Visually inspect distribution systems:
Inspect air filter(s) and ask homeowner how frequently they are replaced.
Verify presence of secondary overflow pans when air handling unit is within, above or adjacent to
finished living space and verify presence of condensate drain line or float disconnect switch.
Note the presence of any ducts or air handlers in garages (this requires a recommendation to re-
locate or create air-tight enclosures to isolate them from garage and prevent transportation of
carbon monoxide and other fumes from the garage to the living space).
Record insulation level of ducts in unconditioned spaces.
Check for ductwork leaks, disconnects, crimps, signs of moisture presence, return leaks near
combustion equipment, damage or other atypical conditions (inspection will include inaccessible
ducts to extent possible).
For hydronic systems, record insulation levels and note opportunity for pipe insulation if practical,
especially on long pipe runs if there are comfort issues.
For baseboard systems, check for condition and positioning of covers and for presence of dust,
webs and other material on the fins.
5) Visually inspect DHW system:
Record approximate age, model, capacity, condition.
Check for evidence of back draft/flame roll-out.
Verify that pressure relief valve is present and not obstructed.
Note temperature setting on water heater. This is a good opportunity to educate homeowner on
standby losses and scalding threats if it's above 120 degrees F, and reduce the setting if
homeowner approves.
Check for signs of leakage from water heater tank vessel.
Conduct visual inspection of water heater and hot water pipes for efficiency improvements
(presence or lack of insulation, convective loop, and feasibility of retrofitting insulation on tank
and/or pipes.
6) Combustion appliance zone (CAZ) safety inspection:
Make sure that there are no flammable or explosive materials near any combustion source. This
is a good opportunity to recommend moving them to a safe place.
7) Living space safety inspection:
Note number, location and operability of CO detectors and smoke detectors in living space.
Codes in some jurisdictions may require them.
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Note presence of unvented gas fireplaces and propane or kerosene space heaters and discuss
with and educate the homeowner - explain that envelope work cannot be performed unless they
are removed or vented with a retrofit kit.
8) Inspect mechanical exhaust ventilation:
Check whether mechanical exhaust venting systems in bathrooms and kitchen, if present, are
designed, installed and terminated properly.
If garage is attached, note whether exhaust fan is present and operable in garage.
Note presence and operability of power attic or whole-house exhaust fans and inform homeowner
of correct operation.
Determine required ventilation rate per ASHRAE 62.2-2007 or BPI Technical Standards2.
2 BPI Technical Standards are currently being modified and this Guide will be updated to reflect any
revisions.
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Optional Steps forHVAC System Inspection
In addition to a basic visual inspection of the HVAC system, there is additional information that may be needed in
order to produce energy savings estimates for replacement measures. This information can include:
Thermostat Settings:
Ask the homeowner about average thermostat settings for both summer and winter (this information can be important
for analyzing energy consumption and savings).
Heating and Cooling Systems:
1) Review maintenance records and/or ask homeowner about frequency, type and last occurrence of maintenance.
2) If the heat pump or air conditioner is more than 10 years old or the furnace or boiler is more than 15 years old
consider recommending replacement with ENERGY STAR qualified equipment.
3) Estimate AFUE of heating system and HSPF/SEER of heat pump/cooling system via product nameplate
information, looking product up in Gas Appliance Manufacturers Association (GAMA) or Air Conditioning and
Refrigeration Institute (ARI) directories, instrumented testing (see next section) or a combination thereof. Having a
good understanding of operating efficiency helps the contractor produce a more accurate estimation of energy
savings. Some energy modeling software will require a good estimate of AFUE, HSPF and SEER in order to predict
accurate energy savings.
4) Check central air conditioning systems for proper refrigerant charge and airflow across the indoor coil to determine
if they are in balance to operate as efficiently as possible. EPA refrigerant certification is required to handle
refrigerants and most jurisdictions may require this be completed by a licensed HVAC contractor.
Air Handlers and Ductwork:
1) Determine condition of air handler and coil and need for cleaning.
2) Conduct a test to determine adequacy of air flow, using one of the following methods: Duct Blasterฎ or other
plenum pressure-matching air flow test, flow plate, flow hood, static pressure test, and/or temperature rise/drop tests.
3) If ducts or an air handler are located outside of home's pressure boundary and cannot be relocated inside, conduct
a test to determine duct leakage, using a metered and calibrated duct pressurization device.
4) Inspect for condensation moisture or damage from condensation on exterior of duct liner (in hot humid climate) or
interior ofA/C only ducts (in cold climate) for ducts outside conditioned space.
5) Check air return grills are properly sized.
Water Heater:
Estimate Energy Factor (EF) of water heater based on model number. Most energy modeling software will ask for EF
for the purpose of estimating energy consumption.
Mechanical Ventilation:
Educate homeowner on the benefits of a timer-operated or humidity controlled bathroom exhaust fan.
2.2.4 Instrumented Tests on Combustion Appliances, Combustion Appliance Zone (CAZ) and
Living Space
1) Combustion appliance and CAZ tests.
Performing these tests can help identify problems that affect the health and safety of the customer.
Therefore, participating contractors will perform diagnostic tests on combustion equipment including
vented heating systems, water heaters and ovens, in accordance with the BPI Technical Standards3 or
an equivalent method developed by the HPwES Program Sponsor in accordance with their Partnership
Agreement and approved by EPA and DOE. This inspection includes:
Carbon monoxide measurement at each appliance.
Draft measurement and spillage evaluation for atmospherically vented appliances.
3 BPI Technical Standards are currently being modified and this Guide will be updated to reflect any
revisions.
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Worse-case negative pressure measurement for each CAZ.
Examples of acceptable alternative diagnostic testing standards that cover a portion, but not all, of the
diagnostic testing covered by BPI include:
ASTM Standard E1998-02, "Standard Guide for Assessing Depressurization-lnduced
Backdrafting and Spillage from Vented Combustion Appliances".
Canada General Standards Board 51.71-95, "The Spillage Test Method to Determine The
Potential for Pressure Induced Spillage from Vented, Fuel-fired, Space Heating Appliances,
Water Heaters and Fireplaces".
National Fuel Gas Code (ANSI Z223.1/NFPA 54, Annex H).
Note: Vented appliances that are going to be replaced with direct vent or power vented equipment as
part of the work scope do not have to be tested, except as an interim test if the home is air sealed as part
of the work scope prior to installation of the new equipment (having the heating equipment installed first
would prevent the need for such a test).
2) Ambient carbon monoxide readings.
The contractor will take ambient carbon monoxide readings in CAZ zones and in main living spaces and
continuously monitor carbon monoxide levels in the ambient air around technician during combustion
tests.
Optional Steps for Instrumented Tests
Steady State Efficiency (SSE) Test
This test can be performed relatively quickly while conducting other combustion tests on a furnace or boiler. It
can provide good information for the contractor in evaluating the condition and operation of the equipment. Some
energy modeling software will use the SSE as an input in order to estimate baseline energy consumption.
Gas Leak Test
Small gas leaks present a health and safety threat, waste energy, and emit methane, a greenhouse gas 22 times
more powerful than carbon dioxide. Using gas leak detection equipment, check for gas leaks at all accessible
gas pipe connections, T's, elbows, unions, and fittings, from the gas meter to the inlet to each combustion
appliance. Any gas leak discovered with detection equipment will be verified with a commercial soap solution
before making repairs.
2.2.5 Moisture Inspection
Check basement and crawlspace for moisture deposition or damage on basement floors, walls,
sill plate area, around basement windows and bulkhead doors.
Determine whether there is continuous moisture barrier in the crawlspace.
Check around exterior of foundation for signs of moisture deposition from such sources as faulty
gutters or watering too close to the foundation.
Check attic for moisture deposition or damage on roof deck, rafters, joists, and insulation (wet or
moisture-compacted insulation).
Inspect condition of windows and look for signs of condensation or other conditions that could
cause damage or affect durability.
If there is evidence of high moisture levels in the living space, check for discoloration on walls
behind headboards, furniture - corners of closets on exterior walls, and other areas of stagnation
and cold temperature for moisture deposition or damage and conditions that promote fungal
growth.
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Optional Appliance and Lighting Inspection
1) Record approximate age, type and condition of major appliances and showerheads. If applicable, determine
number, age and condition of room air conditioners (check with homeowner if the assessment is performed outside of
the cooling season and they could be in storage).
If homeowner has any older (>10 years) appliances, discuss benefits of replacing them with ENERGY STAR
qualified appliances.
Educate homeowner on water and energy savings from low-flow showerheads and toilets.
2) Inspect high-use lighting areas for any obvious opportunities to upgrade to ENERGY STAR compact fluorescent
lamps (CFLs) or fixtures. Check with homeowner to get estimated daily burn-time for lighting to be recommended for
replacement (important for estimating energy savings calculation).
2.2.6 HPwES HPA Summary Report
Reviewing the findings with the customer is the culmination of the HPA process. This is the opportunity to
present the homeowner with the improvement opportunities discovered during the HPA and solutions for
improving the performance of the customer's home. Therefore, the participating contractor will discuss
inspection findings and present a recommended scope of work to the homeowner.
At a minimum, the following elements are required to be included in an HPA Summary Report provided to
a homeowner after the HPA has been completed:
Participating contractor name, contractor contact information, and name of technician completing
the HPA.
Assessed home's address.
Date assessment was performed.
HPwES logo.
Existing conditions:
o Air leakage visual inspection or diagnostic results.
o Insulation levels for walls, attic, rim-joists, and foundation (crawl, basement, or slab),
o Approximate age and condition of HVAC equipment (heating, cooling, and ventilation
fans), water heating equipment, and condition of exhaust flues for HVAC or water heating
equipment that consumes fossil fuel,
o Type and condition of windows and doors,
o Duct system visual inspection findings,
o Approximate age and condition of appliances.
o Any signs of moisture deposition, building performance failures or conditions affecting the
durability of the home,
o Results of tests related to the use of combustion appliances (draft, spillage, carbon
monoxide, combustion appliance zone (CAZ) depressurization and gas leak testing).
A set of recommendations that is reasonably comprehensive in identifying measures that save
energy, address combustion safety, comfort, moisture deposition, durability or other building
performance problems.
Recommendations in the comprehensive work scope must address air leakage between the
house and attached garage due to the potential for infiltration of carbon monoxide and other
fumes.
An estimate of energy savings from recommended improvements and improvement installation
cost.
2.3. Estimating Energy Savings
To be developed.
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DRAFT September 2008
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2.4. Example HPA Intake Form Template
Company
Logo
Home Performance Assessment
[Enter Company Name]
HOME
PERFORMANCE
Customer Name:
Customer Address:
City, State, Zip:
Inspection Date:
Customer Phone Number (h)
Customer Phone Number (w)
Customer Email
Home Performance Analyst
How Did They Hear? Arfecae Referral Web Search Rad o Regional Program Nat'l Program
Type of Home: Colonial Dutch Colonial Cape Splft Level Duplex ~own/Rcwhouse: End Unid?
Foundation/Basement: Slab on Grade Basement: Conditioned / Unconditioned I Partially Conditioned
Other
Y N
Year BuiltiAge
Yrs in Home
ft Occupants
Additions
R oof Age/Con d:
Siding Type/Cond:
Heating Fuel:
Back-Up Elect Heat: Yes
I
Fireplace/Wood Stove: Yes
Confirm no fires for HPA: Yes
DHW Fuel:
Pool Htg Fuel:
No
No
Crawlspace: Vented I Unventec
Pool Open/Close Dts:
Pool Pump Hrs'Day
Pool Pump HP/Watts
Pc ' Area (L x W>
Top Homeowner Priorities I Concerns I Motivations
1.
2.
Energy Consumption History
Electric
Customer Needs S Complaints
Month
Jan
Feb
Mar
Apr
May
Jun
Jul
Aug
Sep
Oct
Nov
Dec
Total
Interviewee:
I. High Bills Yes Nfc
2 Drafts Ye* *'o
3. Hot/Cold Rooms ' tis NG
4. Air Quality Problems es No
5. Odors jJt NqJ
0. Moisture Issues Yes ,j
7. Water Leaks Yes No
8. Wincow Problems Yes No
9. DocrProb1 as ^^LYes No
10. Moist - Issues'Damage Yes No
II. Exci '-ive Dr n Yes No
12 , Yes No
1 3 Yes No
Major Appliances
Refrigerator 1
Refrigerator 2
Freezer
Dishwasher
Wash ng Machine
Dehumidifier
Dryer
Cooking Range I Oven
v
%rv ^
NA
NA
X
i
Lighting
# Bulbs
% CFL
High Use (>3 hrst'day)
Other
Room Air Conditioners
# of Units:
Age:
Estar: Yes No EER (if known):
Dryer Fuel:
# CO Detectors: _
# Smoke Detectors:
Vented Properly? Yes No
Per Floor: Yes No
Per Floor: Yes No
# Thermostats:
# Bathrooms:
Progran fiable?
# of Bat .....
No Heating Setpoint:
Vented Properly? Yes No
Cooling Setpoint:
Low-Flow Showerheads?: Yes
No
Condit: ied Sqft
Avt eilinp jt
Numb. ' .ories
Volume Cond ac
Moisture.'Other Issl.-s:
Outside Temp
House Orientation
Roof Vent Type(s)
Roof Vents Are
Inadequate
Knob & Tube Wiring?: Yes No
Whole House Fan?: Yes No
Unvented Space Htrsi'Fireplaces?: Yes No
Balloon Framing?: Yes No
Attic Flats and Slopes
R- Insulation Insulation Cav Size
Val Type. Amount (e.g. 2x6)
Open or
Enclosed
Surface
Area Isqft.)
# Rec.
Cans
Attic
Access
Attic
Fan
Ope"
Open
Open
Encl
Ope.t Encl
Open
Encl
Attic KneewalliVertical
R- Insulation Insulation Cav. Size
Value Type. Amount (e.g. 2x4}
Surface
Area (sqft)
Customer Name:
[Company Name Here]
Inspection Date:
Home Performance with ENERGY STAR
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DRAFT September 2008
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Sidewsll Sections
R- Insulation Insolation Cav. Size
Value Type. Amount (e.g. 2x4| Aiea (sqft.)
Basement Walls & Sill Plate
Condi-
tioned?
insulation
Location
Wall
Height
Depth
Bel Grd.
SqS or
Linear Fi
Crawispace
Access Vented?
IrsJa'ion
Lcca-icn
Wall
Height
Depth
SeL Grd.
Sqft
Floor
Yes No
Windows {Select typical size)
Exterior Doors
t 2 3
Yes No
W V M
'Id car Pr
X
t 2 3
Yes No
W V M
c-d ra ~ Pr
X
t 2 3
Yes fซo
W V M
Gc Fa - Pr
X
1 2 3
ei vC
^ v m
oc ra" Pr
X
Air Seal Needed
Blower Door Test:
;=K5E> &Z'
. r: e c-es
A r Leakage Locations (check all that apply)
Ventilation Standard:
ฃt*ic W re z oe De~er"?t ens
f 'eซiV3 t M*. Z"3 s
c5^e*C*ปซ5 ^.^eces:
In on I^rf's
Recessed Lights
Ch-mney1 Flues
: ^netratic-s
[sating System 1
Brand:
T s'pS 'FUf-SrS# HPJ
Fe
Model #
A^e ! Coid
Inpui'Output BTJ's
Etf Rating (AFUE, HSPF>:
Steady 5'ate E#
Location (Bs.tU, G&ij
Freq. of Servicing:
ฆsweep CIS
-sweep Cm
Sweep Clk
Sweep C\k
CFM50AC-H
CFM50 i ACH
(cซปs one'}
an"i ece-s
6a# Wrdort1
CooJing System 1
Cooling System 2
Heating Sys em 2
Tonnage
AgeJCond.:
c; SEER JEER:
Air Handl Loc.:
Coils Cond:
Cond. Out Unit:
Loc. Outside Unit:
Condensate Line Issues:
CO ppm
Draft
Sp4l
*9*
Spillage
Oven 1:
Heating System 1:
pa
Pass
Fail
Pass Fas?
Oven 2:
Heating System 2:
Pass
Fall
Psrss Fail
BHW System:
Pa-lwfeFail
= 3ซi
Fail
Pass Fail
Ambient CO t
Other:
V:.. p^r Fail
Pass
Fail
Pass Fail
Ambient CO 2
CO
Wors< *e
Pressu,
FinaJ (Net) CAZ
Depressurization
St
CAZ
andard
Pass or
Fail
Fuel Leaks: O None
CO ppm Yen* Ou*'
Kitchen
* Living
CAZ1:
CAZ 2:
~ Leaki's) setealeฎ - see be'ow:
f "cz-t ' jcse?
Ager press ran!
Airflow "est Result^sp'.icna1'
Duct Efesl BD Subtract Delia Q Press Pan
Notes Field:
Pressure Pan Test -DvCJ. VNRT 4ouse)
House WRT Duet Location pa
Looatio-1 pa Locatio" Pa
1 10
2 11
3 12
4 13
5 14
S 15
7 16
8 17
Home Performance with ENERGY STAR
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2.5 Example Homeowner Summary Report
1 Address Street, City, ST 00000
Phone:000-000-0000
Fax:000-000-0000
sm it hhpc@sm ithhpc. co m
Home Performance Assessment Summary Report
Customer Name:
Customer Address:
City, State, Zip:
Inspection Date:
Customer Phone Nunber (h):
Customer Phone Nrniber (w):
Customer Email:
Home Performance Analyst:
Your Home Performance Assessment identifies opportunities to improve the performance of your home based on our analysis.
This report summarizes the findings, prioritizes recommended improvement^ an d helps you determine the best improvements for your home.
Findings and Recommendations
Priority
Findings on Existing Conditions
Recommendations for Improvements
c
0
1
3
Sฑ
'5
B-
Blower door test:
LU
ca
_cfm50 Tightness std:.
cfm50
Leakage pathways observed:
Basement/crawl celling
SHI plate
Attic floor
Band joist between floors
Major air leakage bypass(es):
Interior baseboard-Top molding/fi replaces
Window and doorframes
Attic hatch(es)
Recessed lights
No recommendations
Exposed sill plate
Top wall ptatesin attic
Open attic stairs/walls
Base and ceiling moldi ng
Aroun d fireplace/mantle
Other:
Duct leakage observed at:
Main trunk connections
Bra nch I ine co nnectio ns
Accessibl e regi ster con nection s
Unable to visually diag nose duct work
No ducts in unconditioned space
Duct disconne-Tts/fellurss at
RValuelr Inst Oon
Above gradewalls
Attic (flat)
Attic {slope)
Kneewall(s)
Floor overuncond.
Rimjoists
Crawl walls
Basement walls
Ductwork (uncond. ipace)
Reduce leaks by %
Air seal the fo""Wth
leakage pathways
Bsmnt crawl penetrations
Attic penetrations
flu e/ch imi! ฆ >v pen etrations
Attic hatch^ui idown
Door and1 indow frames
Weatherstrip: doors windows hatches outlets
Rectssed lights: cavers inserts new housings
Ductsealing: hours Airflowbalancing
Include duct blaster test tor leakage to outside
Repair or reconnect ducts Add return(s)
Replace approx. % of duct system
Duct deaning No recommendations
Insulateln the following locations R-Value/lnches Insul.
Walls
Attic (flat)
Attic (slope)
Kneewall
Floor
Rifnjoist
Foundation wal Is
Ductwork
C No recommendations
Sin gle pane windows
Condition
Good
Fair
Poor
Replace windows with a u-values
Double pane win :
Condition
Good
Fair
Poor
and solar aain ฃ
Double pane low-e
Condition
Good
Fair
Poor
Replace dooris) w/
Storm window's
Condition
Good
Fair
Poor
Solar screens
Other:
Doors
Condition
Good
Fair
Poor
No recommendations
Mali, .atlng system is a
Replace main heating system with new
System efficiency is
and age
with
rated efficiency
Condition; Good
Service
Replace
Replace 2nd heatkig system with
Prog, thermostat Yes
No # of thermostats:
new with
rated efficiency
2nd heatina system is a
Fix/replace condensate line
System effi ciency is
and age
Remove 2nd heating system
Condition: Good
Service
Replace
Install prog, thermostat
Replace fllterfs)
Prog, thermostat Yes
No
Fix/replace condensate line
Rlter condition:
Filter size:
Qty:
Other:
Condensate line: Blocks:
Yes No
Leaks:
Yes No
No recommendations
Other:
Home Performance with ENERGY STAR
Page 26
DRAFT September 2008
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Findings and Recommendations (cont.)
Priority
Findings on Existing Conditions
E
8
*
3
ฃ
d.
Main cooling system is:
System efficiency is
Condition:
2nd cooling system is:
System efficiency is
Condition:
Air hand! er location:
Central
Room
_and age_
Heat pump
Good Service needed
Central Room Heat pump
and age
Good Service needed
Recommendations for Improvements
Replace main cooling system with
Replace 2nd cooing system with
Clean/adjust blower
Clean coils inside/outside
Rx/tepla ce condensate line
Clean/adjust blower
Clean coils
No recommendations
_ SEER system
_ SEER system
Check and adju st charge
Check and adju st ai rflow
Check and adjust charge
Check and adjust airflow
a
S
Water heating system is a
Estimated system efficiency is
Condition: Good
Temperature Setting:
Low flew sh owerhead s Yes
or age_
Replace
.Size:
No
Gallons
Replace water heating system with new
with ratedefficiency
Install soiarhotwater Pipฐinsulation
Install low flow showerhead Insulation jacket
Other: No recommendations
ฆa ,
So
3
i*
P
Refrigerator Age: _
Dishwasher Age: _
Clothes washer Age:_
Dryer Age:_
Other:
High-use lighting % CFL bulbs
All lighting %CFL bulbs
Renewable opportunities:
ENERGY STAR
ENERGY STAR
ENERGY STAR
ENERGY STAR
Replace with ENERGY STAR refrigerator
Replace with ENERGY STARdiittwasher
Repla :ewith ENERGY STAR clothes washer
P-'plact with dryer
Install ENERGY STAR CFL bulbs in high-use fbctures
rjrchase EiitRGY STAR CFLs when replacing bulbs
in "all jiewables:
ฃ
2
2
3
G
"O
s
I
ฃ
*
Heating System Water Heater
CO tests Pass
Fail
Pass
Fail
Draft tests Pass
Fail
Pass
Fail
Spillagetests Pass
Fail
Pass
Fail
Ambient CO in livi ng space
Pass
Fail
Ambient CO in CAZ
Pass
Fail
Oven CO test
Pass
Fail
Gas or oil leaks detected
Yes
No
Locations:
Htg/DHW sysventing issues
Description:
Yes
No
Locations with slg > "*wlstซ t durability Issues:
Windows Crawl/Basement Attic
lO Monitor
Yes No
Smoke Detector
Yes No
Inoperable
Wills
hip roperly vented, ii^n-operable, or needs ventlatlon:
Master bath Jrdbath Dryer Whole-house
2nd bath Range hood Crawl space Other:
We strongly recommend the following course of action(s):
No recommendations
Other:
Fix fuel leaks at:
Fix venting issues at .
Instal ffix smo ke detecto r
Instal 11 ow-level CO monitor
Recommend radon test
Add atttcventilation
Re-grade around foundation
Roof
Soffi
Other:
Sill plate
Install sump pump
Interior:
Other:
Other.
Replace/fix roof
Add gutters
Extend downspouts
Replace/install eschaustfan
Add humidistattimer
Other:
Install dehumidifier
Recom> ended Measures Summary
Estimated Annual kWh Savings
Estimated Annual Therm Savings
Estimated Annual Storage Fuel Savings
Estimated Total Annual Energy Cost Savings
Estimated Package of Improvements Installed Cost
Monthly Payment at %, Yr.Term
Simple Payback (Installed Cost 4- Annual Savings]
Non-Energy Benefits:
Reduced drafts
Improved comfort
Increased durability
Increased home value
Reduced moisture issues
Reduced maintenance
Improved indoor air
Reduced dust
Fteduced odors
Environmental
I understand that the above recommendations do not constitute a binding contract proposal. I am interested in receiving such a proposal as a next step.
Customer Signature: Date:
Home Performance with ENERGY STAR
Page 27
DRAFT September 2008
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Section 3: Post-installation Test or "Test-out" Protocols
3.1. Introduction
One of the features that distinguish HPwES as a value-added service for residential customers is the
series of instrumented tests and inspections that the home performance contractor performs after the
improvements have been made to a home. These tests support the "do-no-harm" principal which is a
hallmark of home performance contracting. While there is no guarantee that any home will operate safely
under all conditions, the home performance contractor is uniquely concerned about health and safety of
the occupants. In addition to addressing health and safety issues that may be directly affected by the
home performance work, some of the tests provide valuable information on the effectiveness of air and
duct sealing measures installed.
3.2. Required and Recommended Elements
3.2.1 Program Oversight of Post Installation or "Test-out" Requirements
To ensure that the "test-out" is performed adequately by participating contractors, Program Sponsors
need to adopt "test-out" requirements in their program policies and procedures that meet or exceed the
guidance in this document. The following guidance and test-out template are offered to assist Program
Sponsors with the development of their "test-out" procedures. When a participating contractor completes
home performance improvements for a customer, they will perform the post-installation tests and
inspections described in this section, and enter the results in a "Post-Installation Tests and Inspections"
Form (the National Program offers a template form that can be used or modified by Program Sponsors).
If any of the tests or inspections show the need for corrective action, the contractor can record the action
item(s) in the document or postpone completing the Form (including having the customer sign it) until
those corrective actions have been made. The job will not be considered complete until the Program
Sponsor has received a signed Post-Installation Tests and Inspection Form that indicates that all
standards have been met (i.e., all tests and inspections have been passed successfully) and that no
further actions are required.
Optional Elements for Program Test-Out Requirements
Two-Part or Duplicate Forms for Customer Copy
While it raises program cost overheads slightly, providing the customer with a copy of the post-installation test
form is recommended, because it provides the customer with a record of the test-out details, as well as a record
that they signed off on the completion of the job, in case any subsequent issues arise.
Additional Information
Programs may find it valuable as a customer information piece to include additional details on the test-out form,
such as summary information on the projected energy savings to be expected from the measures installed and/or
environmental emissions prevented. Alternatively, this information could be included on a program-generated
certification of completion that is sent to the customer after a completed job has been reported to the Program
Sponsor (see Section 4: HPwES Summary Certificate).
3.2.2 Post Installation Test or "Test-out" Requirements
The required post-installation tests depend upon the scope of work:
1) Confirmation of measures installed, can be a simple check-off list that the participating contractor uses
to confirm that all contracted measures have been installed. The customer would also sign the test-out
form signifying their agreement that the job has been completed.
2) Blower Door test will be completed after installation of any of the following measures:
Enclosed cavity insulation representing more than 15% of the total building shell area.
Air sealing.
Home Performance with ENERGY STAR
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DRAFT September 2008
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Sealing of ductwork outside the building envelope.
Replacement of atmospherically vented combustion appliance with sealed combustion appliance
(due to removal of an exhaust appliance from the home).
3) Minimum house ventilation requirement calculation will be performed whenever changes to the building
shell requiring a blower door test have occurred to ensure that the home is receiving adequate outside air
per BPI Technical Standards4.
4) Combustion appliance tests on all combustion equipment including vented heating systems, water
heaters, and ovens, in accordance with BPI Technical Standards, will be completed whenever changes to
the building envelope and/or heating system have occurred. This inspection includes all of the following
tests:
Carbon monoxide measurement at each appliance (including ovens).
Draft measurement and spillage evaluation for atmospherically vented appliances.
Worst-case negative pressure measurement for each CAZ.
5) Inspection and testing of orphaned water heaters: water heaters may not be left venting alone into a
previously shared chimney without ensuring the chimney meets appropriate NFPA requirements under
the new condition and the water heater has been tested and passed all required combustion safety tests
(spillage, draft, CAZ depressurization).
6) If a new central air conditioner, heat pump, or furnace is installed then installation contractor will
provide a commissioning report documenting that the installation met the ACCA HVAC Quality Installation
Specification.
Optional Post Installation Test or "Test-out" Requirements
Gas Leak Detection
Check all accessible gas/propane lines for leaks using a combustible gas detector.
Radon Testing
Perform a radon test at the finish of any job including air sealing in the scope of work.
4 BPI Technical Standards are currently being modified and this Guide will be updated to reflect any
revisions.
Home Performance with ENERGY STAR
Page 29
DRAFT September 2008
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Sponsor or
Contractor Logo
Here
Home Performance with ENERGY STAR
Post-Installation Tests and Inspections
[Enter Company Namel
Customer Name:
Customer Address:
City, State. Zip:
Inspection Date:
Customer Phone Number (h)
Customer Phone Number (w)
Customer Email
Home Performance Analyst
Blower Door Test and Ventilation Compliance
Method UB3d to Determine Building LeaKage Standard ichech onei:
O Whole Building Mechanical Ventilation per ASHRAE 62.2 - 2007
G Ventilation Credit for Air Leakage [indicate software used|:
a TECTITE n ZIpTest Pro2
~ Ventilation Exemption for Existing Homes per ASHRAE 62.2 -2007
O BPI Legacy Building Air Tightness Std per ASHRAE 62.2 - 19B3
ti Other:
3 eg Leakage
(Test-ln):_
3 eg LeaKage
(Test-Out)
CFM50 t ACH
(circle one)
CFM50I ACH / Mech. Ventilation CFR
(circle one)
~ P3bs J Paee wf ventilation Recommended
~ Fall - Action Required:
_ CFM50! ACH
(circle one)
Combustion Equipment Testing I Combustion Appliance Zone Testing
Heating System 1:
Heating Systsm 2:
DHW System 1:
Other:
Worst Case Teat Results
Spuiage
Natural Condition Test Results
Spillage Draft
Flue Inspection
Pass Fan
Pass Fan
a Action equlrad
Action R.
ฆred
Fass Fa u Ad' Required
Fas& Fa
jllon Required
Base Worst Case NetCAZ
Pressure Pressure Depress
Limit for
CAZ
caz i:
CAZ 2:
Gas Leak Testing: c Ho Leaks Detected u Leaks Detected as Noted-
-j -5(cn_Rf -red:
~ Ac. . iRf .tred:
CO ppm
yen ut?
N L
I D Action Req jlred
~ Electric
~ Gas Properly Vs
"as Improperly Vented Action Required:
Distribution System Air Flow (required if ducts w
Airflow Test Result: u Pass
If fall, action to be taken:
^alet ^s pa t of projectl and Leakage Test
Duct LeaKage Test djo: Biaster
Duct Test Result ienar he?e or atacfi separate formi:
Pressure Pan Average {Test-In}: _
Pressure Pan Average (Test-Out): _
Verification of Measures Installed:
ฃ] Basement Air Sealing
ฃj Attic Air Sea tng
Cj Basefird Wolf jAJr Sealing
ci Windows Ir jts Air S' ,ng
Q Ext Wall to t* qp .i Sealing
Ci Attic Flat InsL ali,
a Attic SkjpelnBuiaboi.
CJ Attic Kneewall Insulation
O Exterior 'Wall Insulation
~ At Stairs insulation
Q Alt)., ent
Hi... dow ReplacementRepair Qty:
D Window Film I Solar Screen Qfy:
~ Door Replace i Repair Qฃy:
D Heating System Replace I Repair
~ Central Air Conditioner ReplaceRepair
~ Htg i DHW Rue RepasB f Repair
~ Air Handler Replace / Repair
Q Duct Sealing! insulation / Replacement
D DHW System Replace Repair
p DHW Blanket f Pipe Insulation
D Exhaust Fans - Ofy / HRV
D Exhaust Vents Reroute I Insulate
~ Attic Vents Gty:
~ Appliance:
D Appliance:
~ Appliance:
~ Healtfi & Safety :
~ tectsBiltsms Requiring Follow-Up:
~ Ltghbng:CFL's'Fixt Qty:
D Renewable Energy Syst:
Contractor Statement and Signature:
I attest that all of the information entered above & correct to Ihe test of try inowiecge. I agree to complete any items noted above for follow-up corrective action, and will submit an adef tional
Post-lnBtallatlon Tests and inspections form that ventres ire successful completion of those terns and recoras required follow-up tests or Inpsectlons:
Contractor signature: Date
Customer Statement
I attest Ihst i arr the owner o' tne property specified above, and that all niatertais and equipment maufled my heme improvement contract with the above Contractor nave been 'finished
and installed by tne Contractor, and tn3t the work has been completed pursuant to tfe contract.
Customer Signature:
Page 1
Home Performance with ENERGY STAR
Page 30
DRAFT September 2008
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Section 4: HPwES Summary Certificate
4.1. Introduction
Homeowners who choose to invest in upgrading the energy performance and comfort of their home are
often interested in having a "Summary Certificate" that documents the improvements, as well as the
organizations and companies involved in their home performance improvement. This "Summary
Certificate" is recommended when an estimated energy savings of 20% or more is achieved through
improvement measures.
Local Program Sponsors who want to develop their own "Summary Certificate" must ensure that it
includes the required elements specified below and is submitted to the National Program for approval
prior to being distributed.
4.2. Required and Recommended Elements
The required elements of the "Summary Certificate" are:
ฆ The National HPwES logo mark and mission statement.
ฆ Address of home where improvements were completed.
ฆ Names of companies performing and verifying improvements.
ฆ Date of improvements completion.
ฆ Specific home improvements completed (e.g., attic insulation increased to R-30, SEER 14 air
conditioner installed, air sealing performed).
Optional Elements for the Summary Certificate Include:
Estimated energy savings or home performance results achieved, (e.g. HERSฎ Index)
Estimated environmental impacts of improvements.
Local Program Sponsor logo mark and mission statement (if applicable).
Program representative signature block.
Home Performance with ENERGY STAR
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DRAFT September 2008
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Home Performance with ENERGY STARฎ
Summary of Energy Improvements Performed
Efficiency Vermont
Home Address;
OWNER NAME
Address
City, Stale, Zip
Work Performed by:
Compary Name
Work Verified by:
Company Name
Work Completed on:
Month 00, Year
Prcgrarn RcpnsEcntaavG {Signature Qp&onalJ
Home Performance Improvements:
(Sample List)
ฆ Air Sealing Performed
Attic Insulation Incraas-ec to R-30
Wall Insulation Acded
Ducts Sea eti
Seer 14 Air Condilionng Installed
ฆ 80% AFUE Furnace Installed
H gh-Performance Windows Installed
ENERGY STAR Qualified Disbwasner and
Refrigerate-' Installed
5 ENERGY STAR Qualified CFLs Installed
Environmental Impact of Improvements:
(Optional}
ฆ CO; Emissions reduced by: 13GG lbs
Home Performance Results Achieved:
(Optional)
Home energy use before improvements
Home ene'gy use after improvements (estimated)
Hditib Performance with ENERGY STAR* offers a comprehensive, whole-tie use approach to homa
improvement that results in better energy efficiency, greater comfort, and lower energy bills.
ENERGY STAR is a voluntary partnership sponsored by the U.S. EPA and U.S. DOE to protect the
environment through superior energy efficiency.
HOME PERFORMANCE WITH
ENERGYSTAR
-------
Section 5: Quality Assurance Protocols
5.1. Introduction
In accordance with the terms and conditions of using the ENERGY STAR logo mark, and to maintain
HPwES's reputation for quality and value all Program Sponsors are required to implement a QA plan.
This plan will include strategies to ensure that participating contractors are qualified and that completed
improvements meet program standards. QA plans will explain:
Reporting process that requires participating contractors to report jobs that are promoted to
homeowners and performed under the HPwES logo.
Job report review process that ensures program compliance and provides for follow-up with the
contractor when necessary.
Customer feedback mechanism which allows customers to provide feedback directly to the
Program Sponsor.
On-site inspection protocols including a sampling rate set at a minimum of 5% (1 in every 20 jobs)
for all participating contractors.
Conflict resolution mechanism for responding to and resolving customer complaints.
Record keeping and tracking of results from on-site inspections, customer surveys, and corrective
actions. Records must be available for review upon request from the National HPwES Program.
5.2. Required and Recommended Elements
Program Sponsors are required to implement a QA program that evaluates whether participating
contractors have:
Performed a HPA and made comprehensive recommendations for improving the performance of
the home.
Installed improvements which will reduce energy use in the home, improve comfort, or address
specific building performance problems, such as failures on combustion tests.
Satisfactorily completed the contracted scope of work.
Performed required diagnostic tests and inspections upon completing the improvements.
5.2.1 Job Reporting Review
This guidance has been developed to help clarify the job report review process and provide
recommendations for Program Sponsors to consider while developing program policies. While the
Program Sponsor may choose to consolidate reporting of all information into one submittal, this section
describes the report review process as three separate document reviews which are supplemented by a
periodic review of a contractors performance history across a period of time. An example of questions to
be answered during the job report review process is in Section 5.3.
This guidance has been divided into the following areas:
HPA Summary Report (Findings and Recommendations).
Scope of Work Review.
Test-out Report Review.
Home Performance with ENERGY STAR
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DRAFT September 2008
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Optional Report Review Process
The required paperwork reporting associated with completed jobs may be reported to the Program Sponsor at
set intervals or at the completion of the job. Providing incentives to encourage contractor reporting is
recommended.
HPA Summary Report (Findings and Recommendations)
The HPA summary report will include findings of existing conditions and recommendations to improve the
performance of the home. Many Program Sponsors may choose to receive this report with the scope of
work contracted by the homeowner. This review would verify that:
Compliance with HPA delivery requirements.
Recommendations provided to the homeowner are reasonably comprehensive and consistent
with the findings of the HPA.
Recommendations include an estimate of energy savings from the proposed improvements.
Scope of Work Review
Some programs may require a review of the scope of work before approving financing or incentives for
eligible measures.
Test-out Report Review
The review of test-out information must be included in the report review process. This is a review of all
required post-completion test-out data and will include a customer's signature signifying that the work is
complete (and meets their reasonable expectations). The test-out report may be compared to the
contracted scope of work and other pre-installation reporting data for consistency and accuracy of the
completed job. The HPA findings, test-out report and installed measures will provide the basis for the on-
site QA inspections. If corrective action is needed, based on results of an on-site QA inspection, then an
additional test-out report will be submitted to document the corrective action completed with a customer
signature.
Optional Report Review Process
Summary and Trends Review
It is recommended that Program Sponsors not only look for clear examples of noncompliance, but also look for
patterns of potential non-compliance over many jobs (for instance, a heating contractor demonstrating a habit
of failing to recommend attic insulation in the Homeowner Summary Report). For this reason, it is
recommended that all reviews be tracked and trend analysis be completed quarterly.
Follow-up
If reviews indicate that a contractor's reported jobs do not meet program policies and procedures then the
Program Sponsor will consider conducting an on-site inspection on the job being reported.
5.2.2 On-site Inspection Protocols
Local Program Sponsors' QA protocols are required to explain how on-site inspections will be conducted.
The on-site inspections will be delivered by individuals that meet or exceed the local program's minimum
technical requirements for a participating contractor.
Home Performance with ENERGY STAR
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The protocols for performing on-site inspections
Job Selection Protocol
Customer Discussion
Visual Inspection and Diagnostic
Tests
Job Selection Protocol
been divided into the following areas:
Contractor Performance Record
Inspection Documentation
Program Sponsors are required to perform on-site inspections at a minimum sampling rate of 5% on each
participating contractor's completed jobs. On-site inspections focus on evaluating a participating
contractor's ability to perform a HPA, develop a scope of work of eligible improvements, and properly
install the improvements selected by the customer.
Jobs will be selected through a random sample in order to obtain a representative sample of each
contractors work. However, the sample is not expected to be purely random. Some homeowners will not
be willing to schedule the inspection; other customers may request an inspection due to issues or
concerns about the work performed; and some inspections may be conducted as a result of issues raised
in the job report review process.
All on-site job inspections will occur after improvements have been installed. However, the on-site
inspection may be scheduled during the contractor's test-out and prior to the job completion being
reported to the Program Sponsor. On-site inspections will be made on a continuous basis and not
completed in bulk (e.g., do not wait until a contractor has completed their first 20 jobs to start performing
on-site inspections). Contractors with multiple offices or locations across wide geographic areas will be
treated as separate participants for the purpose of determining their on-site inspection rate.
Optional Tiered Sampling Rate
It is recommended that a greater sampling rate be applied to participating contractors who are new to the program
and/or are not fully meeting program requirements. The following is an example of a tiered approach to sampling
rates for on-site inspections:
Tier 1 In-field inspection or mentoring on 3 of the first 5 jobs completed by a new contractor participant.
Tier 2 After the first 5 jobs are completed, 20% of the next 20 jobs would receive in-field inspections.
Tier 3 After completion of their first 25 jobs, the Program Sponsor would begin inspecting jobs at a lower
sampling rate while maintaining an overall rate that is above or equal to 5% of total completed
jobs (minimum required sampling rate).
The specific sampling rate can vary as long as overall a 5% inspection rate is maintained. In this tiered approach, a
Program Sponsor would typically not reduce a contractor's inspection rate until the contractor is making satisfactory
progress toward meeting program standards. For example, a Program Sponsor may use the Tier 1 sampling rate
for a new contractor beyond the contractor's first five jobs if the initial in-field inspections indicate significant
difficulties in meeting program requirements.
Customer Discussion
It is required that the on-site inspection begins with the inspector (acting on behalf of the Program
Sponsor) introducing themselves, their organization affiliation, and their purpose: to verify the work meets
program guidelines. The inspector should address any questions that the customer has about the
inspection and determine if the customer has any specific concerns about the installed work. However, it
is very important the inspector present a positive and objective attitude during all conversations with the
homeowner.
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Optional Customer Discussion Items
The inspector may interview the customer about their experience with their home performance consultant and/or
contractor to gain valuable insights that may enhance the program. This discussion could include:
Verifying that the customer received program information explaining the HPA process and what to
expect from the program (if providing this program information is required by program.
Confirming that the customer received an HPA report and recommendations for comprehensive
improvements.
Verifying the important pre-existing conditions (if appropriate) and installation of contracted
measures.
Verifying who installed the measures and when the improvements were completed.
Inquiring as to whether the customer has utility bill data available, if the utility bills were requested
by the contractor and, if so, whether the customer provided the utility bills to the contractor.
Verifying completion of diagnostic test(s) before and after installation of measures (e.g. blower door
test prior to beginning installation of shell measures and again after they were complete).
Discussing the customer's satisfaction with: the participating contractor's assessment, the
installation; and their overall experience with the HPwES program.
Encouraging customers to refer friends and family to the program.
Visual Inspections and Diagnostic Tests
After completing the introductory discussion with the customer, the inspector will begin the required visual
and diagnostic inspection. The visual and diagnostic inspections are derived from HPA requirements
(see Section 2.2.) and required test-out diagnostic tests and inspections based on the installed scope of
work (see Section 3.2. of this Guide).
The following list describes the areas the inspector will examine:
Obvious missed opportunities for improving home performance that were not reflected in the HPA
findings and recommendations.
Proper installation of measures installed by the contractor.
Verify test-out inspections and diagnostic results completed by the participating contractor.
Results of these visual and diagnostic inspections will be compared to the documentation (HPA summary
report, recommended improvements, installed improvements, and test-out data) reported to the program
by the contractor to evaluate their performance.
The inspector will not make judgments about the contractor's professional integrity or service to the
customer. Any communication about the contractor's performance will always follow program protocols
for contractor feedback and corrective action.
Inspection Documentation
Program Sponsors are required to keep a record of all inspections performed including on-site QA
inspection form(s), and any follow-up actions with the contractor and/or customer. Program Sponsors will
document:
On-site inspection report including contractor performance (e.g. scoring protocol, see example in,
Section 5.2.).
Follow-up with contractor, if required. This includes a record of any remedial actions, such as
corrective measures in the home by the contractor; assignment of program technical or
administrative assistance to address a particular contractor need; or, in more serious cases,
program disciplinary actions. If corrective measures in the home are requested and installed, the
Home Performance with ENERGY STAR
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DRAFT September 2008
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program must receive additional documentation with appropriate test-out information and a
customer signature.
Contractor Performance Record
It is required that the performance of contractors be evaluated as part of the on-site inspection process.
Program Sponsors are required to develop a methodology for tracking a contractor's performance across
their completed jobs. This methodology will be explained in the Program Sponsor's implementation plan.
Optional Contractor Performance Methodology
Scoring Protocol
A scoring methodology may be helpful to document a contractor's performance history provide contractor feedback,
and provide an objective basis for increasing the on-site inspection rate or removing a contractor from HPwES
program. Program Sponsors may develop a scoring protocol and submit to EPA and DOE as part of their
implementation plan. An example of a job scoring protocol is in Section 5.4. of this guide.
5.2.3 Customer Feedback
Receiving direct feedback from homeowners (participating contractor customers) is an important part of a
HPwES QA program. Local Program Sponsors are required to have a mechanism for customers to
provide feedback. Direct customer feedback can reduce risks and costs by helping to:
Determine customer satisfaction.
Check for program compliance.
Identify high performing and low performing contractors.
Focus marketing efforts.
Optional Elements for Receiving Customer Feedback
The National HPwES Program recommends the use of customer surveys as the principle means for collecting
customer feedback. The local Program Sponsor can use these guiding principles when developing a customer survey
or other customer feedback mechanism:
Survey should be short and easy to do (5-10 questions maximum).
Survey should be done routinely on every job or on an established sampling interval.
Survey should be sent or performed directly by the Program Sponsor or independent representative.
Survey should be sent directly back to the Program Sponsor or independent representative.
Survey should include, at a minimum, questions on the following topics:
o Customer satisfaction with the quality of the work done,
o Was a HPA performed at the beginning of the job?
o Customer satisfaction with the contractor who did the HPA and those who did the work,
o How the customer found out about the HPwES Program.
Survey should be anonymous, but allow the customer to provide contact information.
Survey should include information on how to contact the program sponsor for additional feedback (phone
number and/or e-mail).
Survey results should be saved, compiled, and analyzed on a routine periodic basis.
For the best survey success (highest return rate), customers should be actively asked to provide feedback. This can
be done by several methods:
Calling customers to do the survey over the phone.
Directly mailing or e-mailing customers the survey.
Completing the survey during on-site inspections.
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Contractor Follow-up
If either positive or negative feedback is received from a customer, that information will be recorded as
part of a contractor's performance history. An on-site inspection will be scheduled if customer feedback
warrants additional investigation to verify that the contractor is meeting program policies and procedures.
5.2.4 Contractor Feedback and Corrective Actions
This QA component of the HPwES program serves a dual purpose: first to ensure that contractors are
meeting all program guidelines and technical standards and second to provide a mechanism for
constructive feedback intended to improve their diagnostic capabilities, comprehensiveness and quality of
work and customer relations. Contractor feedback is a key to maximizing program benefits, ensuring their
persistence overtime and providing a pathway to successful market transformation. Since HPwES
programs are voluntary, it is recommended that QA communications be delivered in a positive spirit of
assistance, education and continuous improvement.
Providing feedback to contractors on delivering effective HPA's, following technical standards, and
installing improvements using best practices can be the most important and valuable service that a
Program Sponsor can provide to new participating contractors. For this reason, it has been
recommended to have a tiered sampling rate (see Section 5.2.2.) to assist new participants.
At the same time, contractor feedback on performance ensures a "level playing field" for all participating
contractors, a feature that can be critical to retaining them as program participants, as well as critical
brand protection for the National Program and local Program Sponsor.
Program Sponsors will formalize a process for managing contractors that do not meet program policies
and procedures. This process will be clearly explained in a contractor participation agreement. When
issues are discovered as a result of job reporting reviews, customer surveys, customer inquiries and
concerns, or on-site inspections the first step is to contact the contractor and try to resolve the issue in a
positive way. Because issues can not always be resolved in a constructive way it is best to document all
QA findings and inform participating contractors of any significant or serious deficiencies and any
corrective actions that need to be taken immediately. Examples of program job report review evaluation
forms, on-site inspection scoring forms, and contractor feedback and corrective action scenarios on
individual projects can be found in Sections 5.3., 5.4. and 5.5., respectively.
A Program Sponsor's process for evaluating and managing contractor performance will include the
following:
Written field reports followed by contractor performance feedback discussion.
If required, corrective action work scopes and completion verification.
Written notification of recurring, systematic or otherwise serious non-compliance with program
policies, standards behavior or applicable laws or regulations.
Provisions for disciplinary action, such as probation or suspension.
Provisions for contractor to appeal a disciplinary action.
Optional Corrective Actions
Re-training and Mentoring
If contractor performance fails repeatedly, it is recommended that the program consider additional program action
beyond the corrective action measures in the home. Additional training or job mentoring can be offered or required
to address the deficiencies in performance, if deemed necessary by the QA inspector.
Increased On-site Inspection Rate
It is also recommended that the program increase the on-site QA inspection sampling rate until the contractor
demonstrates improvement.
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Maintaining the integrity of the program should be a Program Sponsors primary concern. Therefore,
contractors who consistently fail to follow program policies and procedures, or existing laws and
regulations should be removed from the HPwES Program. If this situation occurs Program Sponsors are
strongly encouraged to make a good faith effort to work with the contractor to overcome any
shortcomings confidentially. If a contractor is removed from the HPwES Program, the Program Sponsor
must notify EPA and DOE of the action.
5.3. Example Job Report Review Evaluation
HPA Summary Report Review
HPA Summary Report Review
Yes
No
All required diagnostic tests have been performed and information
provided is consistent with program policies and procedures.
Findings reflect strong adherence to the technical guidelines and
local program requirements
Combustion equipment tests have been completed and appropriate
recommendations have been made to mitigate any failures in the
Recommendations are comprehensive and consistent with program
policies and procedures and with HPA findings
Estimated savings for proposed improvements have been provided
as part of the summary report
Notes:
Scope of Work Review
Contract Scope of Work of Contract Review
Yes
No
Any findings of combustion safety issues have been included and
addressed in the scope of work
The scope of work is consistent with the recommendations in the
HPA Summary Report and program policies (cost effectiveness or
allowed measures and installation specifications).
The scope of work is comprehensive in nature and includes the
replacement of more than one system (e.g. Not just an HVAC
replacement or window replacement job)
Notes:
Test-out Report Review
Test-out Report Review
Yes
No
All appropriate post diagnostic and visual inspections have been
recorded per the contracted scope of work.
All installed measures in the contracted scope of work have been
verified as installed.
Airflow tests have been completed on the HVAC system if work on
ducts or an HVAC system was replaced in the scope of work. Is the
airflow within the acceptable range? Refrigerant charge was check
for AC or HP replacements
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Combustion equipment testing and combustion appliance zone
testing has been completed and results recorded. No corrective
action is needed based on results
Building air- tightness standards have been calculated and
appropriate recommendations for ventilation or required corrective
action has been installed
The contractor and customer have signed the test-out reporting form
attesting to the completeness of work
Notes:
5.4. Example On-site Inspection Scoring Methodology
The following is a proposed methodology to use during on-site inspection to evaluate a contractor's work
or can be used by Program Sponsors to design their own scoring methodology. The scoring tables below
provide a conceptual basis for a programmatic scoring system that would be based substantially on a
Program Sponsor's adopted technical standards (e.g. BPI Technical Standards5).
In this example a contractor would receive the lowest score for which they received a "Yes" on an
inspection finding. The scoring protocol presents a set of statements that characterize a contractor's
work performance. The inspector would begin with the first set (Score 0) and answer each question
either "Yes" or "No". If the contractor receives a "Yes" answer to any question, they receive a score of 0.
If not, they proceed to the next set of questions and repeat the process. The scoring is on a scale of 0 to
4, with the 0-2 scores in the "Fail" range and 3-4 in the "Pass" range.
Score: 0 - Contractor's performance does not meet technical standards or program requirements and
the home requires immediate corrective action:
On-site Inspection Findings
Yes
No
Combustion appliance testing (including carbon monoxide test, draft
measurement, spillage evaluation, and worse-case depressurization
of combustion appliance zone) results do not meet BPI Technical
Standards or relevant equivalent program standard
Measures in contracted scope of work not installed (e.g. attic
insulation not installed or duct sealing work not completed)
Minimum standards for building ventilation are not being met (e.g.
BPI Technical Standards)
Unsafe conditions resulting from installed work and posing an
immediate risk to occupants are found (e.g. greater than 35 ppm
recording during combustion appliance testing)
Notes:
Score: 1 - Contractor's performance does not meet technical standards or program requirements and
the home requires corrective action:
On-site Inspection Findings
Yes
No
Serious moisture issues have gone unaddressed and have not been
included in recommendations per Program Sponsor requirements
5 BPI Technical Standards are currently being modified and this Guide will be updated to reflect any
revisions.
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Health and safety issues present, but do not pose an immediate risk
to occupants
Measures were not installed correctly (Airflow or refrigerant charge
associated with a new AC system does not meet program
requirements (e.g. ACCA HVAC Ql Specification or BPI Technical
Standards)
Customer did not receive HPA report or did not receive
comprehensive recommendations
Notes:
Score: 2 - Contractor's performance meets all combustion safety requirements but several technical
deficiencies were observed that require corrective action:
On-site Inspection Findings
Yes
No
Below standard installation of insulation (e.g. significant gaps or
voids in installation of attic insulation or attic insulation levels do not
meet specifications in the contracted scope of work)
Air sealing work did not address significant pathways for infiltration
(e.g. large attic bypasses into the living space around duct work
penetrations, dropped soffits ceilings, etc...)
Windows installed did not meet program requirements (e.g.
specified performance for u-value and solar heat gain co-efficient)
Garage to living space leakage found and not addressed in the HPA
findings and recommendations nor the scope of work
HVAC equipment not installed to program guidelines or not
operating properly (e.g. flame interference found in gas furnace,
indoor evaporator coil not matched to the outdoor coil for AC system
replacement, or furnace temperature rise test not within
manufacturer specified range)
Recommended measures on HPA report were not comprehensive;
inspection found several cost effective improvements that were not
recommended to the customer (e.g. blower door test results indicate
considerable opportunities for air sealing that were not included in
HPA findings and recommendations)
Test-out reporting does not match on-site QA inspection (inaccurate
testing results)
Notes:
Score: 3 - Contractor's performance meets all technical standards and program requirements but
some areas of technical performance need improvement and may require corrective action:
On-site Inspection Findings
Yes
No
Installed measures did not meet all technical installation standards,
but no serious deficiencies and contractor corrected items, (e.g. use
of sealant on ductwork that does not meet UL 181, UL 181 A, or UL
181B
Some incorrect data gathered and provided to customer but with no
significant impacts on the work completed or effectiveness of the job
Recommendations in customer report are fairly, but not completely
comprehensive (e.g. did not address minor moisture issues like
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downspout extensions or some air sealing opportunities were
missed)
Notes:
Score: 4 - Contractor's performance meets all technical standards and program requirements
On-site Inspection Findings
Yes
No
All technical standards for installation have been met (e.g. BPI
Technical Standards)
Work comprehensive in nature, and high priority items have been
installed.
Recommended and installed measures were consistent with
program requirements; work not performed was by customer
decision
Test-out reporting verified to be accurate
Notes:
5.5. Example Contractor Feedback and Corrective Action Levels
The following list shows 5 potential scenarios from the QA process and contractor feedback and/or
corrective actions that could be taken:
1. If there are no deficiencies in performance found and the contractor has provided comprehensive
recommendations, fulfilled the work scope, and installed measures that meet all technical
standards, it is recommended that the program provide positive feedback to the contractor on
their performance. Exemplary performance should also be documented and, if consistent, it is
suggested that contractors be recognized for their contributions to the program.
2. If the customer is satisfied with the work, program and technical standards have generally been
met, but there are relatively minor deficiencies or opportunities to improve a contractor's
performance such as a non-comprehensive set of recommendations in the homeowner report,
evidence of repeatedly non-comprehensive job scopes (suggesting a lack of desire or success in
selling comprehensive work) or an indication of minor inaccuracies in tests performed, then
constructive feedback should be provided to the Contractor. This feedback would encourage
performance improvement in the future and to reinforce positive aspects of their job performance.
3. If the customer is satisfied with the work and program standards have generally been met, but
deficiencies are present in the completeness, compliance with the contract or quality of the work
performed, the QA inspector is required to contact the Contractor to discuss findings and
corrective actions to be taken. The QA inspector will provide a work scope of corrective actions
to the contractor and require the contractor to correct deficiencies within a specific period of time
(recommended to not exceed 30 days). Contractor is required to provide written documentation
with the customer's signature after completing the corrective actions. Program evaluates whether
additional training or job mentoring is necessary to improve the contractor's performance and a
higher on-site inspection rate is applied to future jobs.
4. If the customer is dissatisfied and the QA inspector verifies that deficiencies are present but are
not an immediate health or safety threat to the home's occupants, the QA inspector is required to
document findings and contact the Contractor / Field Supervisor to discuss the findings and
corrective actions that will be taken. The QA inspector will provide a list of corrective actions to
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the contractor and require the contractor to correct deficiencies within a specific period of time
(recommended to not exceed 30 days). Contractor is required to provide written documentation
with the customer's signature after completing the corrective actions. The program evaluates
whether additional training or job mentoring is necessary to improve the contractor's performance
and a higher on-site inspection rate is applied to future jobs.
5. If any serious condition is found through the QA process (typically on-site inspection) that must be
addressed immediately because of imminent health and safety threats, it is required that the QA
inspector contact the contractor without delay and inform the homeowner of the condition. The
QA inspector will take remedial action, as appropriate, which may include educating the
homeowner, calling the fire department, or shutting off appliances. The QA inspector will ensure
to the maximum extent possible that the condition has been addressed in the short term and
provide the contractor with a list of corrective actions. The contractor will provide the program
with written documentation that the customer has signed, to verify completion of the corrective
actions. Program evaluates whether additional training or job mentoring is necessary to improve
the contractor's performance and a higher on-site inspection rate is applied to future jobs.
Home Performance with ENERGY STAR
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Appendix A
HPwES Partnership Agreement
Home Performance with ENERGY STAR
DRAFT September 2008
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OMB Control No. 2060-0586
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Program Sponsor Partnership Agreement For
Home Performance with ENERGY STARฎ
HOME
PERFORMANCE
WITH
ENERGY STAR
Return this form to ENERGY STAR:
HomePerformance@EnergyStar.gov
US EPA (Mail Code 6202J)
1200 Pennsylvania Ave, NW
Washington, DC 20460
FAX: 202-343-2200
Eligible Organizations: Organizations that implement a residential home improvement program that
meets the criteria for Home Performance with ENERGY STAR, a joint U.S. Environmental Protection
Agency and U.S. Department of Energy program.
Through this agreement, ENERGY STAR and
(hereafter "the Partner") agrees to work in cooperation to promote Home Performance with ENERGY
STAR under the program name (hereafter "the program").
Organization Name:
Contact Name: Email:
Address: City/State/Zip:
Telephone: Fax: WebSite:
Major Metro Area(s) Served:
Partner Commitments
The following are the terms of the ENERGY STAR Partnership Agreement for Home Performance with ENERGY STAR
(HPwES) Program Sponsors. Guidance on this agreement is available at: www.energystar.gov/hpwessponsors.
A. ENERGY STAR Brand Requirements -The partner agrees to comply with ENERGY STAR branding requirements
1. Comply with current ENERGY STAR Identity Guidelines, (available at www.enerqvstar.gov) which describe how
the ENERGY STAR marks, marketing graphics, and name may be used. The Partner is responsible for adhering
to these guidelines and for ensuring that its authorized representatives, such as implementation contractors,
advertising agencies, and participating contractors are also in compliance. In order for the Partner to ensure
compliance, the Partner must maintain a current list of authorized representatives which ENERGY STAR may
request to verify compliance.
2. The Partner is responsible for the proper use of the ENERGY STAR marks, as well as the proper use of the
Home Performance with ENERGY STAR marketing graphic used by participating program contractors.
3. Feature the appropriate ENERGY STAR marks(s) on Partner's Web site and in other promotional materials. To
link to the Partner on the ENERGY STAR web site, the Partner must first comply with the ENERGY STAR Web
Linking Policy found on the ENERGY STAR Web site.
4. Submit all Web site designs, and marketing materials, developed for the Partner's Home Performance with
ENERGY STAR promotions to ENERGY STAR (using the address listed above) for review to ensure accuracy of
ENERGY STAR marks used and consistency of the ENERGY STAR message. The Partner will allow a minimum
of five full working days for ENERGY STAR to review and approve Web site designs and marketing materials.
5. Provide Home Performance with ENERGY STAR training to all employees who provide customer service. This
training shall include: a) a description of Home Performance with ENERGY STAR, b) tips for answering
questions about Home Performance with ENERGY STAR, and c) information on the economical and
environmental benefits of energy efficiency.
6. Notify ENERGY STAR (using the address listed above) of a change in the designated responsible party or
contacts for this agreement within 30 days.
as follows:
EPA Form 5900-17 1 of 4
The government estimates the average time needed to fill out this form is 1.25 hours and welcomes suggestions for reducing this effort.
Division, U.S. EPA (2822T), 1200 Pennsylvania Ave., NW, Washington, D.C. 20460.
8/27/2008
Send comments (referencing OMB Control Number) to the Director, Collection Strategies
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OMB Control No. 2060-0586
B. Program Plan Requirements - The Partner agrees to develop and submit a Program Plan to HPwES as follows:
1. Develop and submit a program plan to implement HPwES using the Program Plan Guidance available at
www.energystar.gov/hpwessponsors.
2. After the Partner submits a program plan along with a signed Partnership Agreement, ENERGY STAR will
review them for approval. Once approved, the Partner will be listed as an ENERGY STAR Partner.
3. The Program Plan shall be updated annually to reflect the current practices of the program.
NOTE: Help on Program Plan development is available directly from HPwES support staff. To request assistance
contact HomePerformance@.EnerqyStar.qov.
C. Program Requirements - The Partner agrees to promote whole-house evaluation and building science-based energy
improvements to existing homes. The goal of HPwES is making cost-effective, energy-efficient improvements to
homes. The program shall consist of the following components:
1. Home Performance Assessment or "Test-in". An energy specialist trained in building science principles will
perform a Home Performance Assessment (HPA) which will include a visual and diagnostic energy inspection of
the home using a form standardized for the program. See HPwES Sponsor Guide at
www.energystar.gov/hpwessponsors for HPA details.
2. Inspection Results and Recommended Improvements. Improvements to the home will be recommended
based on the initial inspection and homeowner interview. The homeowner will be given a review of the findings
and provided with a summary report including:
a. A summary of HPA findings
b. Improvement recommendations
c. An estimation of costs for the improvements
d. An estimation of energy savings from implementing the recommendations.
NOTE: Recommendations for improvements will be on a fuel-neutral basis.
NOTE: See HPwES Sponsor Guide at www.energystar.gov/hpwessponsors for details.
3. Installation of measures. The program will help homeowners identify qualified contractors able to implement
the HPA recommendations. This can either be the participating contractor providing the inspection and
recommendations or other contractors qualified in home energy inspection, building science, and proper
installation techniques. All installed measures will be in accordance with industry best practices. See HPwES
Sponsor Guide at www.energystar.gov/hpwessponsors for details.
4. Post-Installation Tests or "Test-out". Documentation of improvements and diagnostic testing (test-out) will be
used to verify the performance of installed measures as well as to meet health and safety standards. A summary
of the final tests will be given to the homeowner. The results may be in the form of a "Summary Certificate". See
the HPwES Sponsor Guide at www.energystar.gov/hpwessponsors for details.
D. Program Quality Assurance (QA) Requirements -The Partner, either directly or through it's implementation
contactor, will administer a quality assurance (QA) program that meets the following minimum requirements (See
HPwES Sponsor Guide at www.energystar.gov/hpwessponsors for additional guidance on program QA):
1. All participating contractors will agree to the terms of a participation agreement established by the Partner. The
terms of the contractor participation agreement will include a requirement to comply with the current ENERGY
STAR Identity Guidelines and properly use the HPwES logo. All jobs performed by contractors who agree to
these requirements and sign the agreement (i.e. "participating contractor") must be reported to the Partner after a
Home Performance Assessment is completed and some recommended improvements are completed.
2. All job reports will be reviewed by the Partner based on protocols established by the Partner to identify quality of
service problems associated with jobs completed by participating contractors. If needed, the Partner may follow-
up with a contractor or conduct an on-site inspection to verify the quality of the service provided.
EPA Form 5900-17 2 of 4
The government estimates the average time needed to fill out this form is 1.25 hours and welcomes suggestions for reducing this effort.
Division, U.S. EPA (2822T), 1200 Pennsylvania Ave., NW, Washington, D.C. 20460.
8/27/2008
Send comments (referencing OMB Control Number) to the Director, Collection Strategies
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OMB Control No. 2060-0586
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3. In addition to the above, the Partner will conduct on-site inspections, at a set inspection rate, of the work of all
participating contractors. The minimum on-site job inspection rate is set at 5% (1 in every 20 jobs).
NOTE: It is recommended that the Partner establish an adjustable on-site inspection rate for contractors based
on job experience and performance. This inspection rate reduces as the contractor gains experience in the
program and as on-site inspections show the contractor is performing well. Contactors may drop down a tier if
performance slips. Here is the recommended set of tiers:
a. Tier 1 Contractor - The first 3-5 jobs will be inspected on-site or mentored.
b. Tier 2 Contractor - 20% of the next 20 jobs are inspected on-site (4 out of 20).
c. Tier 3 Contractor - 5% of all jobs inspected on-site (1 in 20).
4. All Partners are required to have a systematic customer feedback mechanism which allows customers to provide
feedback directly to the Partner. Negative feedback must be addressed.
5. All Partners must record and track their inspections, rate of inspections, findings, and corrective actions. Records
must be available for review when requested.
NOTE: HPwES is a voluntary program and QA communications with participating contractors should be delivered in a
positive spirit of assistance, education and continuous improvement.
NOTE: Partners may authorize an independent entity to review reports, initiate customer feedback, follow-up on
problems, perform on-site inspections, and document actions.
E. Program Data Reporting Requirements -The Partner, either directly or through it's implementation contractor,
will provide ENERGY STAR (using the address listed above) with data to assist in determining the effects of the
program and to ensure that QA is being performed by all Partners. (See HPwES Sponsor Guide at
www.energystar.gov/hpwessponsors for additional guidance on data reporting requirements.)
1. Provide to ENERGY STAR, on a quarterly basis and in electronic format, the following minimum data:
a. Number and names of participating contractors
b. Number of completed jobs per contractor
c. Number of on-site inspections completed per contractor
This information is due by April 30th for the first quarter, July 31 st for the second quarter, October 31 st for the
third quarter, and January 31 st for the fourth quarter.
*NOTE: Partners that do not submit quarterly reports will be considered inactive and removed from the
ENERGY STAR web site. In addition, to remain active, the Partner must report a minimum of 50 jobs per
year. A new program has 2 years to meet this requirement.
2. In addition to quarterly reporting, an annual summary report (due by December 15th for the current calendar
year) is required. This annual report will include at a minimum:
a. An annual summary of contractor recruitment/training activities,
b. Quality assurance activities,
c. Marketing activities, and
d. Future program plans.
This report should be less than three pages and can be used in a Partner's application for an ENERGY STAR
Award.
ENERGY STAR Commitments to Partners:
1. Increase awareness of HPwES by distributing key messages on the benefits of a whole-house approach to
improving energy efficiency.
2. Provide current HPwES news, information, and reference documents (via the ENERGY STAR Web site, Hotline,
e-mail or other means).
3. Provide ENERGY STAR Partners with public recognition for their involvement in HPwES.
4. Respond swiftly to any Partner request for information or clarification on HPwES policies.
EPA Form 5900-17 3 of 4
The government estimates the average time needed to fill out this form is 1.25 hours and welcomes suggestions for reducing this effort.
Division, U.S. EPA (2822T), 1200 Pennsylvania Ave., NW, Washington, D.C. 20460.
8/27/2008
Send comments (referencing OMB Control Number) to the Director, Collection Strategies
-------
OMB Control No. 2060-0586
General Terms and Disclaimers:
1. The Partner will not construe, claim or imply that its participation in ENERGY STAR constitutes federal
government approval, acceptance, or endorsement of anything other than the Partner's commitment to ENERGY
STAR. Partnership does not constitute federal government endorsement of the Partner or its services.
2. The Partner understands that the activities it undertakes in connection with ENERGY STAR are voluntary and not
intended to provide services to the federal government. As such, the Partner will not submit a claim for
compensation to any federal agency.
3. The Partner and ENERGY STAR will assume good faith as a general principle for resolving conflict and will seek
to resolve all matters informally, so as to preserve maximum public confidence in ENERGY STAR.
4. This agreement is voluntary and can be terminated by either party at any time for any reason. Failure to comply
with any of the terms of this partnership agreement can result in its termination. Termination of the partnership will
result in the termination and cessation of access to the benefits of ENERGY STAR, including allowance to use
any ENERGY STAR marks.
5. ENERGY STAR will actively pursue resolution of noncompliance related to the use of the ENERGY STAR marks.
To be completed by Partnering Organization
Representative with authority to commit partnering organization to the terms of this agreement
(printed name):
Title: E-mail: Phone
Signature: Date:
To be completed by ENERGY STAR representative:
Kathleen Hogan, U.S. EPA
Signature: Date:
David E. Rodgers, U.S. DOE
Signature: Date:
EPA Form 5900-17 4 of 4
The government estimates the average time needed to fill out this form is 1.25 hours and welcomes suggestions for reducing this effort.
Division, U.S. EPA (2822T), 1200 Pennsylvania Ave., NW, Washington, D.C. 20460.
8/27/2008
Send comments (referencing OMB Control Number) to the Director, Collection Strategies
-------
Appendix B
HPwES Program Plan Outline
Home Performance with ENERGY STAR
DRAFT September 2008
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06/30/08
Home Performance with ENERGY STAR
Program Plan Outline
This outline is designed to assist potential and current Home Performance with ENERGY STAR
(HPwES) program sponsors in developing and refining program implementation plans. Each
section highlights important considerations and questions that sponsors need to address. The
HPwES Sponsor Guide and the HPwES Partnership Agreement provide additional clarification
on program requirements.
si ggi sted program pi.an oi ti.im:
1) Introduction
a) Organization Background
b) Goals and Objectives
c) Target Market
d) Implementation Schedule
e) Estimated Budget
2) Program Design
a) Home Performance Protocols
b) Contractor Recruitment Plan
i) Training
ii) Participation Requirements
c) Marketing/Media Plan
d) Incentive/Financing Plan
e) Quality Assurance Plan
3) Program Evaluation
a) Evaluation Plan
PROGRAM PLAN Gl ll>A\(T.
1) Introduction
Organization Background
Who is the sponsoring organization?
Type of organization (e.g. Utility, State Energy Office, Non-profit, etc)
Describe relationship between program sponsor and other organizations
that assist with program implementation
Goals and Objectives
What are the programs goals and objectives?
Number of contractors participating by year
Number of jobs completed by year
Projected electricity and heating fuel savings (if appropriate)
Target Market
Where will the program be delivered?
Describe initial target market(s) conditions.
o Utility rates, housing and population demographics, average energy
use, typical improvement measures
o Identify market influencers, stakeholders, and advisory group.
o Gas and electric utility territories, (propose strategies for cooperation)
Implementation Schedule
What is the schedule for implementation?
Timeline for delivery (e.g. program launch, contractor recruiting,
contractor training, marketing kickoff)
Budget
What is the budget?
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2) Program Design
Home Performance Protocols
How does the program meet ENERGY STAR requirements for Home
Performance with ENERGY STAR?
Describe the home energy audit and any required modeling tool/software
Describe the standard operating procedures and/or protocols
Contractor Recruitment Plan
How will the program recruit contractors?
Process for identifying and recruiting contractors
o Are there key local organizations to assist in recruiting?
Describe contractor incentives (consider performance-based incentives)
What are the contractor requirements and process for participation?
Describe required training / certifications
o Will BPI certification and accreditation be required or encouraged?
o Contractor mentoring period
Contractor Participation Agreement
o Participation criteria, participant and sponsor roles, expectations, etc.
o Procedures for terminating participation if necessary
Marketing /Media Plan
How does the sponsor plan to market the program to homeowners?
Describe how HPwES will be used in sales and marketing materials,
including Web sites.
o Consider use of materials and tools available from EPA and DOE
(www.enersvstar.sov/hpwessponsors )
o Consider special events like Home Energy Makeover Contests
Explain how consumer inquiries will be managed
Incentive/Financing Plan
What financing or financial incentives will be offered to homeowners?
Describe what consumer incentives or financing will be available
o Consider financing with interest rate buy-down
o Consider incentives for comprehensive improvements
Quality Assurance Plan
How will the program verify that participating contractors are meeting
program standards?
Identify the organization or individuals responsible for quality assurance.
Describe the quality assurance protocols that will be followed including
details on project file review and on-site inspections.
Describe how the program will measure homeowner satisfaction.
Describe the protocols that will be followed to provide feedback about a
contractor's performance in the program and corrective actions.
What is the reporting process for improvements completed by
participating contractors?
Explain reporting and record keeping protocols.
o Consider using contractor incentives to encourage reporting.
Will a "Completion Certificate" be issued after work is completed?
Consider using certificate to encourage QA reporting and promote
referrals.
3) Program Evaluation
Evaluation Plan
How will program success be evaluated?
Identify what information and metrics to collect for evaluation.
Develop system to report and track program results.
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