9 NYCRR Part 7920 - Executive Department

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9 NYCRR 7920.1 - Purpose and scope

Source version current through May 15, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: May 15, 2022

This Part establishes the rules governing the Not-for-Profit Energy Incentive Program. The program provides rebates to eligible not-for-profit organizations, public and private, not-for-profit schools, colleges and hospitals, units of local government, and public care facilities to implement eligible energy conservation measures.

9 NYCRR 7920.2 - Definitions

Source version current through May 15, 2022

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: May 15, 2022

(a)Commissioner means the Commissioner of the State Energy Office.

(b)Eligible applicant means a: not-for-profit organization; public or private, not-for-profit school, college or hospital; unit of local government; or public care facility, which satisfies the eligibility criteria of section 7920.3 of this Part.

(c)Energy conservation measure means the construction, alteration, repair or improvement to a facility or equipment affixed to, contained in, or on the grounds of a facility, which reduces energy consumption.

(d)Energy office means the New York State Energy Office.

(e)Energy cost savings means the reduction in annual energy costs, expressed in dollars, which is likely to be realized through the implementation of an energy conservation measure. Total energy cost savings is the sum of all energy cost savings which are likely to be realized from a project.

(f)Facility means an entire building or a separate, leased space within a building.

(g)Focused energy analysis means an analysis of a specific energy conservation measure incorporating technical and economic analyses of the equipment and energy use patterns pertinent to the measure.

(h)Generally accepted engineering standard means a specification, rule, guide, or procedure in the field of engineering, or related thereto, recognized and accepted as authoritative.

(i)In-kind services means compensated or uncompensated labor, materials or equipment provided by the applicant, its employees or representatives in connection with the implementation of a project under this program.

(j)Local government means a county, city, town, village, or Indian reservation wholly within New York State. Such term includes free and public libraries, and fire districts established pursuant to article 11 of the Town Law.

(k)Master-metered means the measurement of energy usage in a building occupied by more than one tenant, using a common utility meter.

(l)Not-for-profit organization means an organization which is exempt from Federal income tax pursuant to 26 U.S.C. section 501(c)(3).

(m)Notice of rebate commitment means the document which provides written notification to a rebate applicant approved to receive a program rebate and prescribes the terms and conditions under which the program rebate is made.

(n)Operation and maintenance means general routine repair and upkeep needed to maintain a facility at a nominal level of energy efficiency. Such term includes, but is not limited to, replacing or repairing caulking and weatherstripping, replacing broken windows, and replacing existing lamps with more efficient lamps.

(o)Program means the Not-for-Profit Energy Incentive Program.

(p)Program rebate means the amount of program funds committed to a project by the Energy Office, as identified in an official notice of rebate commitment.

(q)Project means one or more energy conservation measures for which application is made for a program rebate.

(r)Public care facility means long-term health care, rehabilitation and public health center facilities, other than hospitals, which are owned or operated by public or not-for-profit entities. Such term also refers to long-term residential child care facilities, other than foster homes, and long-term residential care facilities for adults.

(s)Rebate recipient means an eligible applicant that has been approved to receive a program rebate.

(t)Simple payback means a figure representing the number of years necessary to recoup the cost (including any in-kind services claimed by the applicant as part or all of its matching share) of an energy conservation measure project through annual energy cost savings. It is calculated by dividing the total estimated cost of implementing the measure by the estimated annual energy cost savings.

9 NYCRR 7920.3 - Program eligibility

Source version current through May 15, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: May 15, 2022

(a)General.

To be eligible to receive a program rebate, an applicant must:

(1)be a:

(i)not-for-profit organization;

(ii)public or private, not-for-profit school, college or hospital;

(iii)unit of local government; or

(iv)public care facility; and

(2)own or lease the facility for which a program rebate is requested.

(b)Tenants.

In addition to the requirements of subdivision (a) of this section, an applicant which leases a facility must satisfy the following conditions:

(1)the applicant must occupy the facility pursuant to a written lease;

(2)the applicant must obtain the landlord's written consent to implement the energy conservation measures included in the rebate application;

(3)the applicant must be responsible for the purchase of the type(s) of energy which the project is intended to save; and

(4)the applicant must obtain the written agreement of the landlord not to impose any increases in rent as the result of implementation of the energy conservation measure project for a period of 12 months following work completion.

9 NYCRR 7920.4 - Program rebates

Source version current through May 15, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: May 15, 2022

(a)General.

To be eligible for a program rebate, the total cost of the project, including any in-kind services being claimed as part or all of the applicant's matching share, must not exceed $50,000. The rebates shall be available for 50 percent of the total project cost up to a maximum rebate of $25,000. Rebates shall be awarded on a first-come, first-served basis until all funds allocated for rebates are exhausted.

(b)Per-facility limitations.

Program rebates shall be limited to $25,000 per 12-month period for each facility to be improved.

(c)Per-applicant limitations.

In no event may an applicant which owns or leases more than one facility receive more than $100,000 in rebates in any 12-month period.

(d)Other limitations.

(1)Only one rebate application per facility will be accepted during any 12-month period.

(2)Rebate applications for additional projects at facilities previously awarded a rebate under this program will not be accepted unless the previous project for which a rebate was awarded has been certified as 100 percent complete. The Energy Office may waive such limitation where, despite the due diligence of the applicant, an unanticipated circumstance or event renders compliance impracticable.

(3)An energy conservation improvement that would otherwise exceed the $50,000 limit to implement may not be carried out incrementally to enable portions of the improvement to be eligible for more than one rebate under this program.

(e)In no event shall rebates be available for the installation of energy conservation measures for which an applicant has received financial assistance for such purpose under other Federal or State energy conservation programs.

(f)Joint applications.

A joint application may be submitted by a group of eligible applicants occupying the same building for projects that are mutually beneficial ( e.g., boiler replacements or HVAC improvements). Each of such eligible applicants shall be subject to the limitations set forth in this section.

9 NYCRR 7920.5 - Eligible energy conservation measures

Source version current through May 15, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: May 15, 2022

(a)General.

An energy conservation measure must:

(1)except as provided in subdivision (b) of this section, be clearly identified and recommended in a focused energy analysis which meets the requirements of section 7920.8 of this Part;

(2)result in reduced energy consumption;

(3)have a simple payback of not less than two years nor more than 10 years; and

(4)involve a facility located within the State which is occupied at the time of submission of an application for a program rebate to the Energy Office.

(b)Energy conservation measure list.

(1)The Energy Office shall prepare and make available to the public a list of energy conservation measures which, on the basis of prior energy programs, audits and analyses, have been determined by the commissioner to commonly result in reduced energy consumption and to have simple payback periods of not less than two years nor more than 10 years. The list may reflect the minimum efficiency requirements needed to achieve consistency with utility financial incentive programs, and with other State and Federal programs that promote energy efficiency, as necessary and appropriate to accomplish the objectives of the program. The list may be revised from time to time, as deemed appropriate by the commissioner.

(2)Applicants who propose to implement energy conservation measures which are identified on such list, and who provide any additional data which may be requested by the Energy Office, shall be deemed to have satisfied the requirements of paragraph (a)(1) of this section.

(c)Special provisions.

In addition to meeting the requirements of subdivision (a) of this section, the following special provisions shall apply.

(1)Fuel conversion projects.

(i)Fuel conversion projects, other than conversions from renewable energy resources to fossil fuels, are eligible energy conservation improvements which will be evaluated on their potential for saving Btu's.

(ii)Simple payback calculations for such projects shall be based on the cost of the existing fuel.

(iii)For projects which involve the conversion to a renewable energy resource simple payback calculations shall be based on the quantity and the cost of the fuels to be displaced, utilizing their current energy prices.

(2)The projected annual energy cost savings may include electric demand savings, to be determined based upon the previous 12 months of electric usage.

(d)Ineligible energy conservation measures.

The following energy conservation measures and activities are not eligible for rebates:

(1)any project the cost of which is less than $1,000;

(2)any energy conservation measure for which the simple payback exceeds the estimated life of the measure;

(3)operation and maintenance activities; and

(4)any energy conservation measure commenced prior to the date of submission of a program application to the Energy Office.

9 NYCRR 7920.6 - Calculation of estimated project cost

Source version current through May 15, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: May 15, 2022

(a)General.

The total estimated project cost shall include costs to be incurred by the applicant and the value of in-kind services to be provided. Such costs shall not include administrative expenses, or costs associated with obtaining a focused energy analysis.

(b)Costs incurred by the applicant shall be based on:

(1)contractor estimates;

(2)supplier estimates;

(3)in-kind labor, materials, or equipment estimates if in-kind is claimed as part or all of an applicant's matching share;

(4)estimates of any construction management and design fees, not to exceed 15 percent of the measure(s); and

(5)estimates of any minor repairs, alterations or other activities directly related to the proper installation of an energy conservation measure, not to exceed 20 percent of the cost of such measure.

(c)In-kind services.

The value assigned to in-kind services is not a cost which is eligible for a program rebate. However, such value may be included as part of the applicant's required contributory or matching share of the total project cost.

9 NYCRR 7920.7 - Program application

Source version current through May 15, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: May 15, 2022

(a)Processing.

(1)Completed program applications for rebates will be processed on a first-come, first-served basis. A program application shall be considered complete only when all of the information required under subdivision (b) of this section has been submitted to the Energy Office.

(b)Application contents.

Each program rebate application submitted to the Energy Office shall contain the following materials:

(1)a completed application form;

(2)a signed certification that the application satisfies the eligibility requirements for the program as stated in section 7920.3 of this Part;

(3)where required, a focused energy analysis consistent with the requirements of section 7920.8 of this Part;

(4)documentation of total estimated project cost, including:

(i)two contractors' estimates which detail the cost estimates for each energy conservation measure to be implemented. Cost estimates and schedules must reflect the total installed cost of each measure, including materials, labor, and construction management and design fees; or

(ii)two suppliers' estimates for supplying the materials for those projects to be installed with in-house or uncompensated labor;

(iii)the applicant must designate the contractor(s) and supplier(s) selected. If the contractor(s) and supplier(s) offering the lowest estimates are not selected, the Energy Office may request adequate justification for the selection;

(iv)if in-kind services are included in the total cost of installing a proposed project, a description of such services shall be provided as follows:

(a)for labor, the total value of labor, including the applicable wage rates and projected hours to be worked on the proposed project; and

(b)for materials to be installed or equipment to be used on the job site, a list of such materials or equipment, their proposed use, and the value assigned; and

(v)the Energy Office, in its discretion, may waive the requirements in subparagraphs (i) and (ii) of this paragraph that the applicant submit two contractors' and/or suppliers' estimates where the applicant demonstrates good cause for such waiver and the reasonableness of the proposed cost. As used herein, good cause means an unanticipated circumstance or event which, despite the due diligence of the applicant, renders compliance with program requirements impracticable;

(5)where required, energy savings calculations. All calculations must be based on generally accepted engineering standards;

(6)authorization from the building owner to undertake the energy conservation measures, where the program application is being submitted by someone other than the building owner;

(7)where two or more applicants occupying the same building seek to implement any energy conservation measure which would be mutually beneficial ( e.g., boiler replacement or HVAC improvements that would affect more than one applicant in a building), such applicants may submit a single program application. Such application shall include a designation of one of the applicants as the project manager;

(8)certification that any required approvals from organizations having oversight authority for the applicant's activities have been obtained; and

(9)such additional information as may be required by the Energy Office.

9 NYCRR 7920.8 - Focused energy analyses

Source version current through May 15, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: May 15, 2022

(a)Acceptable analyses.

A focused energy analysis must be performed by a utility company representative, registered architect, or a professional engineer, in accordance with generally accepted engineering standards.

(b)Contents.

A focused energy analysis must contain the following information:

(1)a general description of the facility, its operating hours, and information on its representative annual energy costs by fuel type;

(2)a description of the equipment or building system(s) and the proposed energy conservation measure relating to such equipment or building system(s);

(3)energy savings (in either Btu or kWh) and energy cost savings specific to the proposed measure. All calculations, including input data and pertinent assumptions, must be clearly shown. Energy cost savings shall not include cost savings from taxes and those savings due to switching to lower cost fuels; and

(4)a calculation of simple payback.

(c)Where a measure recommended in a focused energy analysis also appears on the list of eligible measures prepared by the commissioner pursuant to section 7920.5(b) of this Part, the energy efficiency of such measure shall be no less than the minimum efficiency, if any, specified for that measure on such list.

9 NYCRR 7920.9 - Notice of rebate commitment

Source version current through Jun 30, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jun 30, 2022

(a)General.

The Energy Office shall provide written notification to each applicant approved to receive a program rebate. Such notice shall set forth the terms and conditions under which the program rebate is to be made.

(b)The commitment shall remain in effect for a maximum of 12 months following its issuance, during which time the project must be completed. The Energy Office for good cause may extend the term of the commitment. As used herein, good cause means an unanticipated circumstance or event which, despite the due diligence of the applicant, renders compliance with such 12-month term impracticable.

(c)Availability of funds.

Rebate commitments generally or with respect to specific categories of applicants shall be subject to the availability of program funds appropriated by the New York State Legislature.

(d)Changes in scope of work.

The rebate recipient is expected to adhere to the scope of work for the project as reviewed and approved by the Energy Office. The rebate recipient shall promptly provide written notice to and obtain written approval from the Energy Office for any changes in energy conservation improvements to be implemented which differ from the notice of rebate commitment issued by the Energy Office. Under no circumstances will payment be made by the Energy Office for work not approved by the Energy Office.

9 NYCRR 7920.10 - Payment of program rebates

Source version current through May 15, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: May 15, 2022

(a)General.

Following completion of the entire project as described in the notice of rebate commitment, the rebate recipient must apply for payment by submitting a standard request form together with a project completion certificate, a copy of an invoice from the contractor and/or material supplier, information regarding any financial assistance received from the applicants' utility company, documentation of in-kind expenses such as wage schedules and time sheets, if applicable, and/or proof of payment in the form of a receipt or copy of a cancelled check.

(b)Amount of rebate.

Except as provided in subdivision (c) of this section, the amount of the rebate paid to the recipient by the Energy Office shall be the lesser of the amount stated in the notice of rebate commitment or 50 percent of the actual costs incurred in implementing the project.

(c)Utility financial incentives.

Where an applicant has sought or received a financial incentive from its utility company for the same measures identified in the notice of rebate commitment, the amount of the Energy Office rebate shall be reduced to limit the combined payments to no more than 100 percent of the completed project cost.

9 NYCRR 7920.11 - Rescission, withholding, and adjustment of program rebates

Source version current through May 15, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: May 15, 2022

The Energy Office, in addition to any other rights and remedies it may have pursuant to law, may withhold, rescind, or adjust payment of a program rebate or any portion thereof for failure to comply with the requirements of this Part or the terms and conditions of the notice of rebate commitment.

9 NYCRR 7920.12 - Duties of program rebate recipients

Source version current through May 15, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: May 15, 2022

(a)Access to site and records.

The rebate recipient shall provide Energy Office personnel or its designated agents with reasonable access to the project site and to records relating to such project, including energy consumption records, for purposes of inspection.

(b)Record retention.

Records relating to the project must be retained by the rebate recipient for a period of six years from the date of issuance of the rebate payment.

9 NYCRR 7920.13 - Earlier source heading: 7920.13 to 7920.16 [Repealed]

Source version current through May 15, 2022

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: May 15, 2022

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