HomeMy WebLinkAbout06-08-16 Planning & Economic Development Committee Meeting AgendaPEDC Meeting
Planning and Economic Development Committee
Ithaca Common Council
DATE:June 8,2016
TIME:6pm
LOCATION:3rd floor City Hall
Council Chambers
AGENDA ITEMS
Item Voting
Item?
Presenter(s)Time
Start
1) Call to Order/Agenda Review
2) Public Comment and Response from Committee
Members
3) Special Order of Business
a) Residential Energy Score Project
4) Announcements,Updates,and Reports
a) Comprehensive Plan
5) Action Items (Voting to send on to Council)
a) Amendment to City IURA Professional
Services Agreement
6) Discussion
a) Community Investment Incentive Tax
Abatement Program (CIITAP)–Diversity
Requirements
7) Review and Approval of Minutes
a) May 2016 –Sent Under Separate Cover
8) Adjournment
No
No
No
No
Yes
No
Yes
Yes
Seph Murtagh,Chair
Nick Goldsmith,Sustainability Coordinator
Megan Wilson,Planning Staff
Nels Bohn,IURA
Nels Bohn,IURA
6:00
6:05
6:10
6:30
6:50
7:00
7:25
7:30
If you have a disability and require accommodations in order to fully participate,please contact the City Clerk at 274 6570 by
12:00 noon on Tuesday,June 7,2016.
CITY OF ITHACA
108 East Green Street Ithaca, New York 14850-5690
MAYOR’S OFFICE
NICK GOLDSMITH, SUSTAINABILITY COORDINATOR
Telephone: 607-274-6562
Email: ngoldsmith@cityofithaca.org
Fax: 607-274-6558
To: Planning and Economic Development Committee
From: Nick Goldsmith, Sustainability Coordinator
Date: June 2, 2016
RE: Residential Energy Score Project – Second draft of program report
The purpose of this memo is to clarify the goal of the upcoming Residential Energy Score project
presentation at PEDC and to provide additional details concerning the timeline and review process
of this project.
On June 8, we will be giving a presentation to the PEDC regarding the second draft of the
Tompkins Residential Energy Score Program and Implementation Plan. You may remember this
project, a collaboration of five municipalities in Tompkins County, from a PEDC presentation in
December 2015.
The main deliverable of this project will be the report that describes the voluntary home energy
score program and the corresponding implementation plan. The grant contract with NYSERDA
requires our project team to present the final report to the governing boards of each of the five
partner municipalities for “consideration of adoption, including a formal vote.” With your
approval, we are hoping to have a resolution of adoption (or acceptance) considered at the
August 3, 2016 Common Council meeting. A draft resolution is attached here for your reference.
Extensive outreach to the public and to municipal boards guided the creation of the first draft
report of the program. The second draft was informed by more than 250 comments collected from
additional public outreach. The second draft is being presented to PEDC and the governing boards
of the other partner municipalities between May 23 and June 15, with a comment period ending on
June 17, 2016. Comments on the second draft will be incorporated into the final Tompkins
Residential Energy Score Program and Implementation Plan. The June 8 PEDC meeting (and the
subsequent comment period if necessary) will be the best time to provide comments; this
timeline will allow us to prepare a final report, as well as a summary of the changes made between
the second draft and the final report, in time for the August Common Council meeting.
I hope you will have a chance to review the second draft before the June 8 meeting. We have a
fairly short time to present a lot of material, so we won’t have time to go into all of the details of
the project. We look forward to a productive discussion.
The second draft report is attached. There are 10 attachments to the main report that provide
additional background information related to this project. They are by no means essential reading,
but may be useful to answer detailed questions that may come up. These attachments can be
downloaded at the project website: www.town.ithaca.ny.us/resp.
Please feel free to contact me with any questions at ngoldsmith@cityofithaca.org or on my cell at
917-270-1683.
Attached:
1. Draft resolution for adoption/acceptance of Tompkins Residential Energy Score Program and
Implementation Plan final report
2. Tompkins Residential Energy Score Program and Implementation Plan – Second draft report
DRAFT resolution regarding Tompkins Residential Energy Score Program and Implementation Plan
June 8,2016
WHEREAS the City of Ithaca has goals of reducing energy use and greenhouse gas (GHG)emissions,and
according to the March 2016 Tompkins County Energy Roadmap,in order to meet the goal of reducing
GHG emissions 80%by the year 2050,the community will need to achieve at least a 35%reduction in
energy use in existing buildings through retrofits and upgrades;and
WHEREAS the NYS Reforming the Energy Vision initiative has a goal of helping consumers make better
and more informed energy choices;and
WHEREAS a residential energy score program would provide residents with numerous benefits,
including the ability to better understand and reduce energy related living costs and GHG emissions;and
WHEREAS a project team,composed of representatives of the Towns of Caroline,Danby,Ithaca,Ulysses
and the City of Ithaca,with consultation from Cornell Cooperative Extension of Tompkins County and
the Tompkins County Planning Department,was formed in 2013 to work on a residential energy score
project;and
WHEREAS the Town of Ithaca,working on behalf of the project team,submitted and was awarded grant
funding from NYSERDA’s Cleaner,Greener Communities program,and contracted with subject matter
experts Performance Systems Development to develop deliverables for the project;and
WHEREAS the original project proposal was to develop and adopt a local law or ordinance to require a
home energy rating to be disclosed at the time of listing a property for sale,however due to pubic
feedback and the lack of incontestable legal authority to enact such a law,the project team opted to
develop a voluntary program and phased implementation plan;and
WHEREAS extensive public outreach guided the creation of the first draft report of the program and
implementation plan,completed on February 24,2016.The second draft was informed by more than
250 comments collected from additional public outreach,and was presented to the governing boards of
the five partner municipalities between May 23 and June 15,2016,with a comment period ending on
June 17,2016,and comments on the second draft were incorporated into a final report,titled
“Tompkins Residential Energy Score Program and Implementation Plan;”and
WHEREAS the grant contract with NYSERDA requires the project team to present the final report to the
governing boards of each of the five partner municipalities for “consideration of adoption,including a
formal vote;now therefore be it
RESOLVED,that the Common Council of the City of Ithaca [adopts/accepts/endorses]the Tompkins
Residential Energy Score Program and Implementation Plan,dated June XX,2016.
Tompkins Residential Energy Score
Program and Implementation Plan
Second Draft
Prepared for:
New York State Research and Development Authority
Sam Kraemer, Project Manager
Prepared by:
Emelie Cuppernell, Performance Systems Development,
for The Residential Energy Score Project Team
CFA #CGC30040/Contract #39504
Deliverables 7.1 and 7.2
Submitted: 05/13/16
Tompkins Residential Energy Score Program and Implementation Plan SECOND DRAFT 05 13 16
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NOTICE
This report was prepared by Emelie Cuppernell in the course of performing work on the Residential
Energy Score Project for the Town of Ithaca,contracted for and sponsored by the New York State Energy
Research and Development Authority (hereafter “NYSERDA”).The opinions expressed in this report do
not necessarily reflect those of NYSERDA or the State of New York,and reference to any specific
product,service,process,or method does not constitute an implied or expressed recommendation or
endorsement of it.Further,NYSERDA,the State of New York,and the contractor make no warranties or
representations,expressed or implied,as to the fitness for particular purpose or merchantability of any
product,apparatus,or service,or the usefulness,completeness,or accuracy of any processes,methods,
or other information contained,described,disclosed,or referred to in this report.NYSERDA,the State of
New York,and the contractor make no representation that the use of any product,apparatus,process,
method,or other information will not infringe privately owned rights and will assume no liability for any
loss,injury,or damage resulting from,or occurring in connection with,the use of information contained,
described,disclosed,or referred to in this report.
NYSERDA makes every effort to provide accurate information about copyright owners and related
matters in the reports we publish.Contractors are responsible for determining and satisfying copyright
or other use restrictions regarding the content of reports that they write,in compliance with NYSERDA’s
policies and federal law.If you are the copyright owner and believe a NYSERDA report has not properly
attributed your work to you or has used it without permission,please email print@nyserda.ny.gov.
Tompkins Residential Energy Score Program and Implementation Plan SECOND DRAFT 05 13 16
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List of Figures ................................................................................................................................................4
1.Executive Summary ...............................................................................................................................5
2.Background ...........................................................................................................................................6
3.Program Overview ................................................................................................................................8
4.Program Elements ...............................................................................................................................10
4.1.Home Rating................................................................................................................................10
4.1.1 Rating System.............................................................................................................................11
4.1.2 Recommendations .....................................................................................................................12
4.1.3 Timing.........................................................................................................................................12
4.1.4 Recommendations .....................................................................................................................13
4.2.Tompkins Residential Energy Score ............................................................................................13
4.2.1 Recommendations:....................................................................................................................15
4.3.Home Energy Label .....................................................................................................................15
4.3.1 Recommendations:....................................................................................................................18
4.4.Cost .............................................................................................................................................18
4.5.Value ...........................................................................................................................................19
4.6.Program Administration and Design ...........................................................................................20
4.7 Consideration of Concerns ..........................................................................................................21
5.Implementation ..................................................................................................................................24
5.1.Phase One:Secure Funding ........................................................................................................25
5.2.Phase Two:Hire Program Implementer .....................................................................................25
5.3.Phase Three:Complete Program Design ....................................................................................25
5.3.1 Design the Label .........................................................................................................................25
5.3.2 Design Education and Outreach Plan.........................................................................................26
5.3.3 Determine Alignment of HES to HERS Energy Predictions ........................................................26
5.3.4 Set up Database System for recording and tracking data .........................................................26
5.3.5 Data Infrastructure Requirements .............................................................................................26
5.3.6 Creating MLS Data Connection ..................................................................................................29
5.3.7 Infrastructure Deployment ........................................................................................................31
Tompkins Residential Energy Score Program and Implementation Plan SECOND DRAFT 05 13 16
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5.3.8 Staffing .......................................................................................................................................31
5.4.Phase Four:Pilot .........................................................................................................................32
5.5.Phase Five:Voluntary Launch .....................................................................................................33
5.5.1 Start Accepting Ratings ..............................................................................................................33
5.5.2 Begin Marketing and Education Plan Including Label ................................................................34
5.5.3 Evaluation and Adjustments –Policy Optimization ...................................................................34
5.6.Phase Six:Revise Program based on Evaluation .........................................................................34
6.Conclusion ...........................................................................................................................................35
7.Glossary ...............................................................................................................................................36
8.Bibliography ........................................................................................................................................38
9.List of Attachments .............................................................................................................................39
Tompkins Residential Energy Score Program and Implementation Plan SECOND DRAFT 05 13 16
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List of Figures
Figure 1:Residential Energy Score Program as a cyclical process ................................................................5
Figure 2:An energy score provides a simple metric to help understand the energy use and efficiency of a
home.............................................................................................................................................................7
Figure 3:A step by step look at the Home Energy Score Process...............................................................10
Figure 4:The RESNET Home Energy Rating Systems Index vs.the DOE Home Energy Score ....................14
Figure 5:Image of One Label Design Considered in Vermont ....................................................................17
Figure 6:The Home Energy Labeling Information Exchange (HELIX)can facilitate the delivery of the score
from the program database to the multiple listing service ........................................................................29
Figure 7:SEED Platform Concept of Operations .........................................................................................30
Tompkins Residential Energy Score Program and Implementation Plan SECOND DRAFT 05 13 16
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1.Rating
Performed
on Home
2.Label
Generated
3.
Consumers
Fully
Informed
4.Market
Values
Energy
Efficiency
5.Owners
Invest in
Energy
Efficiency
Upgrades
1. Executive Summary
The Residential Energy Score Project (RESP)team1,a consortium of five (5)municipalities in Tompkins
County,received a grant from New York State Energy Research and Development Authority (NYSERDA)
to develop a Home Energy Rating and Disclosure Program.The team is proposing a voluntary,residential
energy score program for homes within Tompkins County.This project is aimed at increasing consumer
and homeowner awareness and understanding of energy use and energy efficiency in homes.The
program is designed to support the region’s energy and greenhouse gas emission reduction goals by
increasing energy efficiency in the housing sector of Tompkins County.
As described in this document,homes in
Tompkins County will have the option to receive
an energy rating that generates a numerical
score.The score,and accompanying information,
will allow homeowners,homebuyers,realtors,
and others to understand the energy use of the
structure,and to compare the energy use of
homes across the county.While there are many
ways to describe the energy efficiency of a house,
some descriptions prove more useful than others.
An asset rating,a key part of the proposed
program,provides one clear metric that removes
the influence of occupant behavior,fuel price and
weather fluctuations.It’s helpful to think of this
as an EnergyGuide Label for a home,similar to
those provided for major appliances.The asset
rating provides homebuyers a way to compare
the estimated energy use of homes they are considering and the estimated annual cost to run them.
This transparency provides homeowners and buyers an opportunity to value energy efficiency in the real
estate transaction,motivates homeowners or sellers to improve their score,and allows greater
opportunities to highlight investments in energy efficiency at time of sale (Figure 1).Policymakers gain
reliable data about status,progress,and target areas for needed assistance and opportunities for
reducing emissions in the community.
This document describes a proposed home energy score program for Tompkins County,including
recommendations for designing a home energy label,phases for implementation of the program and an
evaluation plan for policy optimization going forward.
1 The RESP team consists of representatives from the Towns of Danby, Caroline, Ithaca and Ulysses, and the City of
Ithaca, as well as support from the Tompkins County Planning Department and Cornell Cooperative Extension.
Figure 1:Residential Energy Score Program as a cyclical process
Tompkins Residential Energy Score Program and Implementation Plan SECOND DRAFT 05 13 16
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The recommendations include:
1. Two nationally recognized,industry backed rating systems should be incorporated to allow for
including new and existing homes and multifamily units while still providing the value of one
consistent number for comparison across homes.The team has named this one number the
Tompkins Residential Energy Score.
2. The Score should range from roughly 0 200+in units of energy use per year in MMBtu’s of site
energy.
3. The program should incorporate ratings at any time,but encourage ratings at significant points
in the homeownership life cycle.These points include:time of home energy audit,retrofit,or
renovation;time of home inspection;time of code inspection;and time of real estate
transaction.
Phase 1 involves securing funding for development and implementation to move the program forward.
Funding allows Phase 2,securing an implementer to drive the program forward,to take place.The
Program Implementer will work with the Project team to complete Phase 3,including program design,
marketing,education,and program infrastructure.Rolling out the actual program and allowing
participation starts with a pilot (Phase 4)and then moves to a voluntary program accompanied by heavy
marketing and education (Phase 5).During the transitions from phase 4 to 5,the Implementer should
evaluate progress,data,and public feedback to make appropriate adjustments to the program going
forward.Finally,in Phase 6,we suggest evaluating the program and local readiness or need for a home
energy scoring mandate or law.Here we present these stages in detail for a comprehensive
understanding of the proposed program,implementation,and the ability to manage data and evaluate
effectiveness.
A recent white paper by Better Buildings®identified the invisibility of energy efficiency and the lack of a
standardized data field to incorporate into the Multiple Listing Service (MLS)as the two top barriers to
valuing energy efficiency in residential real estate transactions.(Elizabeth Stuart,November,2015)The
proposed program in this document,with wide spread adoption,would remove these barriers in
Tompkins County.
Other expected outcomes of this project include the following:local job development;reduced
greenhouse gas (GHG)emissions;increased comfort and safety for homeowners;durability of the
housing stock;partnerships with Realtors and other key industry professionals;and increased energy
and economic security.
2. Background
Tompkins County has a goal of an 80%reduction in greenhouse gas emissions from 2008 levels by 2050.
Where will these reductions come from?The U.S.Environmental Protection Agency (EPA)estimates that
roughly 20%of the energy use and greenhouse gas emissions in the United States come from our
homes.According to the March 2016 Tompkins County Energy Roadmap:Evaluating Our Energy
Resources,it will be critical to reduce energy demand in order to meet emissions goals.The Roadmap
Tompkins Residential Energy Score Program and Implementation Plan SECOND DRAFT 05 13 16
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determined that to meet emissions goals by 2050,the community will need to achieve at least a 35%
reduction in energy use in existing buildings through retrofits and upgrades.This project is aimed at
helping meet the region’s energy and greenhouse gas emission reduction goals by increasing energy
efficiency in the housing sector of Tompkins County with a residential energy score program.2 The
practice of providing a metric to represent the relative energy efficiency or energy use of a home is
often referred to as home energy scoring,or labeling.
This project is in line with other efforts across New York State,the Nation,and the Globe.New York
State is currently undergoing huge changes with Governor Cuomo’s comprehensive energy strategy,
Reforming the Energy Vision (REV),which is a major overhaul of the state’s current approach to energy
efficiency and programs.REV is designed to help consumers make better and more informed energy
choices,enable the development of new energy products and services,protect the environment,and
create new jobs and economic opportunity throughout New York State.Very recently on the national
level,the Senate on April 20th 2016 overwhelmingly passed the Energy Policy Modernization Act,which
included language from the SAVE Act and includes many substantial energy efficiency provisions.And
beyond the United States,a Global “Universal Climate Agreement”was reached on December 12,2015
in Paris to support the creation of growth,innovation and solutions for a low carbon world.
A home energy score brings these efforts to homes and the homeowner,buyer,and renter level in a
real,tangible way.The score or rating allows the market to view the estimated annual energy use of a
home in one comparable metric.Scores,or ratings,have become standard practice for many items in
our lives:we have miles per gallon ratings for cars,energy guide information for major appliances,
credit scores for our finances,and cholesterol levels for our bodies.(Figure 2).The value of a score is
that it provides a quick,consistent,and clear way to see where something falls in comparison with
others or with a certain standard or goal.Awareness of a metric often inspires and allows for changing
that metric.Without a home energy score,homes and real estate transactions lack a way to value or
compare the energy efficiency of homes.Energy efficiency often becomes invisible.Home energy
labeling and disclosure programs aim at making this information visible,giving homeowners more
incentive to invest in energy efficiency.
The Residential Energy Score Project (RESP)team,a
consortium of five (5)municipalities in Tompkins County,
received a grant from New York State Energy Research
and Development Authority (NYSERDA)to develop a
Residential Energy Score and Disclosure Program.Current
residential energy disclosure programs around the world
use a range of approaches to evaluate the relative energy
efficiency of a home and make this information available
to relevant parties.A detailed review of these programs
was performed as part of this project,and can be found in
2 Italicized words are defined in the Glossary.
Figure 2:An energy score provides a simple metric to
help understand the energy use and efficiency of a
home.
Tompkins Residential Energy Score Program and Implementation Plan SECOND DRAFT 05 13 16
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Attachment 2.
The momentum of labeling initiatives around the country is growing rapidly.Ratings are currently being
adopted by a dozen or so states either as a regional pilot initiative or in some cases,like Vermont,
Connecticut,and Massachusetts,as part of a state wide home labeling program.While this concept is
relatively new to policies in the United States,in some places like Denmark and the Australia Capital
Territory,residential energy rating disclosure programs have been around for over 15 years.
Prior to completing this report,the Residential Energy Score Project Team completed over a dozen
outreach events including:three (3)formal meetings with the project’s Technical Advisory Committee,
four (4)targeted meetings with representative realtors,two (2)meetings with the Tompkins County
Climate Protection Initiative,one (1)public presentation,one (1)meeting with the County Assessment
Department,and one (1)meeting each with the Ulysses Town Board,the Danby Town Board,the Ithaca
Town Board,and the City of Ithaca Planning Committee.The team had two (2)meetings with the
Tompkins County Council of Governments,one (1)meeting with Northeast Energy Efficiency
Partnerships (NEEP),a presentation to the Northeast Home Energy Rating Systems (NEHERS)Alliance,
and a meeting with Attorney Susan Brock to discuss legal issues surrounding a law or ordinance.Surveys
were sent out following most of these events to solicit additional ideas and feedback.
The Technical Advisory Committee for the RESP is made up of experts from targeted industries of
relevance to this project including realtors,lending officers,builders,raters,home performance
professionals,engineers,brokers,utility representatives,and low income advocates.
After looking at numerous evaluations of existing energy disclosure programs,the following are the key
recommendations for programs to be most effective:
1. Engage with local real estate agents and other stakeholders;
2. Create consistent targeted outreach via public communication,education,and marketing;
3. Rely on existing,nationally recognized rating systems,which ensures quality assurance;
4. Allow disclosure before or at time of listing to allow homeowners and buyers to use the
information more effectively;
5. Link participants to appropriate resources to drive home efficiency improvements
(contractors,incentive programs,do it yourselfers);
6. Create a strong implementation plan for confirming participation ;
7. Have a quality assurance process in place;
8. Create a written plan for evaluating and updating the program;and
9. Work toward wide spread adoption by the majority of homes.
3. Program Overview
In this program,a certified energy rater would visit a home to perform a rating,or a comprehensive
home energy assessment,which often includes diagnostic testing using specialized equipment,such as
a blower door,duct leakage tester,combustion analyzer and an infrared camera,to evaluate the home’s
Tompkins Residential Energy Score Program and Implementation Plan SECOND DRAFT 05 13 16
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energy related assets.A complete list of the data collected during these inspections can be found in
Attachments 4 and 5.The information collected during the rating can be used to not only generate a
score,but also to calculate estimated annual energy costs for the home and provide recommended
energy improvements.This information is delivered to the homeowner,builder,Realtor,or other
interested party,on a report or label.The label provides valuable information on how the home is
operating from an energy use standpoint and where improvements can be made to increase the homes
energy efficiency.When a house is for sale,a label communicates investments made that may not be
visible,such as added insulation,and potential home buyers can anticipate the costs of energy bills and
future efficiency upgrade needs.The label gives Realtors a standard way to discuss the energy features
of a home. Northeast Energy Efficiency Partnerships (NEEP)explains how these policies provide needed
information to consumers,“like miles per gallon ratings on automobiles,or nutritional labels on food,
energy performance disclosure gives consumers the tools to make informed choices and inform
themselves upfront about poor buildings and building components,higher than anticipated energy bills,
discomfort,or unplanned renovation needs.”(Northeast Energy Efficiency Partnerships,2013)
Tompkins Residential Energy Score Program and Implementation Plan SECOND DRAFT 05 13 16
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Figure 3:A step by step look at the Home Energy Score Process
4. Program Elements
At the heart of this program is the use of a home energy rating,specifically an asset rating,which
evaluates the energy efficiency of a home.The rating is intended to provide a simple way for
homeowners and buyers to distinguish between high efficiency homes and lower efficiency homes and
to provide guidance on the savings potential of various improvements.A rating is done by a trained and
certified rater,who will spend roughly two (2)hours in an existing home taking measurements and
performing diagnostic tests,such as the blower door test,to determine the leakiness of the structure.
This information is then entered into computer simulation software to create an energy model of the
home and determine,among many other things,the rating.In addition to the rating,the rating software
may be used for code compliance,estimated annual energy use,and potential savings as a result of
Tompkins Residential Energy Score Program and Implementation Plan SECOND DRAFT 05 13 16
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home performance improvements.Energy efficiency and use in homes is complicated,and there are
many ways to think about and capture energy savings and efficiency of a home,such as behavior change
(turning down the thermostat),embodied energy (looking at the sum total of the energy necessary for
an entire home life cycle),and energy source (coal vs.wind).In this project we focus on the efficiency of
the assets that make up the structure itself,such as insulation,infiltration levels,and heating
equipment,and use this to estimate the average energy use per year,assuming typical fuel prices,
typical occupants,and typical weather3.
Asset ratings create a score by evaluating a home’s actual physical structure and mechanical systems,
and major lights and appliances.The physical structure includes size,window properties,insulation
levels,shading,infiltration,and home location,to name a few.Mechanical systems include the home’s
heating,cooling,and hot water heater,as well as some large appliances.A rating is a similar process to
what most people know of as an energy audit,however,unlike an audit,a rating provides a clear metric
to compare homes to each other and generally involves stringent third party quality assurance and
oversight of the rating data and the individual inspector’s certification.An audit often focuses on a
specific occupant and opportunities for that occupant,whereas a rating focuses more on the structure
itself,independent of the current occupant.A rating requires additional data collection beyond what is
needed for a typical NYSERDA home performance or weatherization program.Homes participating in
NYSERDA’s low rise new construction program already receive a rating,as described below.
An asset rating removes occupant behavior and use patterns from the assessment,allowing the energy
performance of buildings to be easily compared to each other for a prospective buyer.Currently in New
York,the “New York State Truth in Heating Law,”which has been in effect since 1981,requires sellers
and landlords to provide prospective buyers and tenants with the past two years of utility bill
information upon request.This can be informative,but energy use in a particular home can vary
significantly depending on who lives there and how they operate the home.The asset rating removes
this wild card.Asset ratings are used in other national labeling and compliance programs across the
nation,such as ENERGY STAR homes,and come with third party certification and quality assurance (QA).
The nationally accepted rating system used for residential new construction is the Residential Energy
Systems Network (RESNET)Home Energy Rating System Index (HERS Index).More than one million new
homes have been rated using HERS since 1995.The HERS Index is the nationally recognized system for
inspecting and calculating a home’s energy performance.It is the standard used to qualify homes for the
ENERGY STAR,Passive House,LEED,and the DOE Zero Energy Ready Home.A HERS rating is required for
homes participating in NYSERDA’s low rise new construction program.In April of 2016,New York joined
nine other states and adopted the voluntary performance compliance path for the 2015 International
3 Both rating systems use national standard assumptions about the standard or average occupant, weather averages for a
specific area, and usage assumptions. The actual assumptions used can be found in the Mortgage Industry National Home
Energy Rating Systems Standards for HERS: http://www.resnet.us/blog/wp-
content/uploads/2015/11/RESNET_Mortgage_Industry_National_HERS_Standards.pdf or the DOE Home Energy Score
http://energy.gov/eere/buildings/home-energy-score-calculation-methodology
Tompkins Residential Energy Score Program and Implementation Plan SECOND DRAFT 05 13 16
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Energy Conservation Code (IECC)State Energy Code,which will go into effect in October of 2016.
Currently New York is on the 2009 IECC.This Energy Rating Index Compliance Option establishes a new
voluntary performance compliance path for the 2015 version of the IECC.This means that a home can
meet the state’s energy code by obtaining the required HERS Index.The HERS Index can be used on
single family buildings,duplexes,townhomes,and units within multifamily buildings.
While the HERS Index is well suited for very high efficiency homes and new construction,the rating
system used for most existing homes of average to low energy efficiency is the U.S.Department of
Energy’s (DOE)Home Energy Score (HES).HES,launched in 2012,is an asset rating developed to show
energy efficiency and opportunities for improvement in existing homes.As of January 2016,more than
32,000 homes have received the Home Energy Score.HES is currently being adopted by a dozen or so
states either as a regional pilot initiative or,in some cases,as part of a state wide home labeling system.
Connecticut launched the nation’s first statewide Home Energy Score Program in April of 2015.
The team performed considerable research to determine the appropriate rating system(s)to use for the
program.More detailed information on programs across the country that are considering,or have
already implemented,residential energy rating and disclosure programs can be found in the Residential
Energy Score Project’s “Report on Existing Home Energy and Disclosure,”included here as Attachment 2.
The report looks at these programs to see the various ways energy efficiency has been evaluated and
how and when this information has been made available to influence consumers.Based on this
research,the project team recommends generating a “Tompkins Residential Energy Score”from either
of the two national rating systems the Residential Energy Services Network’s Home Energy Rating
Systems Index (HERS Index)and the Department of Energy’s Home Energy Score (HES Score)for this
project.
Both the HERS Index and the HES Score provide a standardized,nationally recognized method for
conveying the energy performance of a home.Using both systems will allow the program to capture
both new and existing homes,single family detached homes,as well as units in multifamily buildings.
These systems come backed with quality assurance oversight,training options for certifying Raters,and
connections to national programs,such as ENERGY STAR and LEED.For detailed information on the data
collected during a Home Energy Score rating see Attachment 4,“Home Energy Scoring Tool Data
Collection Sheet”and for a HERS Index Rating Attachment 5,“RESNET HERS Index Rated Features.”
The program should use both the HERS and the HES rating systems to generate a projected Millions of
British Thermal Units per year (MMBtu/year)value.Using two rating systems is optimal for greatest
participation in the program,while still providing the value of one consistent number for comparison
across homes.
A home rating can take place at any point in time,but to maximize the benefit and limit the interruption
to occupants,the program would encourage ratings at significant points in the homeownership life
cycle.For an existing home,these points include:time of home energy audit;HVAC tune up;retrofit or
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renovation;time of home inspection prior to home sale;time of code inspection for renovations or
additions involving a building permit;and the time of real estate transaction such as listing or sale.For
new construction,the rating often involves at least one inspection during construction and a final
inspection once built.
These all represent times when an outside agent is in the home performing evaluations or work and a
rating could be an added service without a lot of added time or resources.The professionals performing
these other services are also great candidates to become certified raters and expand their business
offerings.These are also times when homeowners are considering home improvement options and
could benefit from information that would help them understand the opportunities for energy related
improvements and influence the rating.Feedback from the project’s Technical Advisory Committee
suggested that soon after a home purchase is the perfect time to offer homeowners a rating because
that is when people are thinking about making home improvements.Many programs across the nation
that are adopting home energy rating and disclosure programs are bundling them with either the real
estate transaction or home performance programs.
The program should incorporate ratings at any time,but encourage ratings at significant points in the
homeownership life cycle.These points include:time of home energy audit;HVAC tune up;retrofit or
renovation;home inspection;code inspection;time of real estate transaction such as listing or sale;and
new construction.
The purpose of the Tompkins Residential Energy Score,or “The Score,”is to provide one metric for
understanding and comparing the energy use of homes and provide some context for where a home lies
in a range of homes.After considering public feedback and research done on this topic,a score based on
millions of British Thermal Units per year,or MMBtu/year,is recommended for this project.MMBtu is
the industry standard for discussing units of residential home energy use,and is in line with other
scoring/labeling efforts,such as the Vermont example (Figure 5).A lower score is associated with lower
MMBtus,indicating lower energy use and anticipated utility costs.Using a score based on an energy
unit is beneficial because it does not change with the changing cost of fuels.Estimated energy costs can
be generated from the rating based on the current or area average fuel rates at the time of the rating
and can be revised later if rates change.While annual energy cost is one of the primary interests of
prospective buyers or renters,the Score based on energy,rather than dollars,is more meaningful for
comparing the energy use of one home to another.If a homeowner generates 100%of the energy used
on site,looking at costs could be very misleading when trying to understand the expected energy use of
the home.
Using MMBtu/year also allows translating different rating systems into a single score.When looking at
the HERS Index (Figure 4,left),a lower number is associated with higher energy efficiency.In contrast,
the DOE Home Energy Score (Figure 4,right)uses a higher number to indicate lower energy use.In
addition,both scores are based on different assumptions and used for different purposes,which makes
comparing one to the other impossible.For example,one cannot say that a HERS Index of X is equal to a
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HES Score of Y.Both rating systems,however,use software that generates estimated MMBtu/year for
the home based on the assets of the home evaluated in the rating.Using an MMBtu/year score allows
the incorporation of either system,and includes all residential housing stock in the program with the
same scoring system.
Energy use in MMBtus can be expressed in two distinct ways:“site energy,”which is the energy used at
the home and measurable by the utility meter or fuel tank,and “source energy,”which includes all
energy used in generating and delivering the energy to the home.Another way to think of source energy
is that it includes where the energy came from (e.g.New York,Canada)as well as what form it was in
(e.g.wind,coal,oil)before it arrived on site.Source energy takes into account transmission losses and
the efficiency of creating that form of energy.For example,electricity use measured at the home (site
energy)does not include the raw energy used to create the electricity in the first place.When we create
electrical power,approximately two thirdsof the power is lost.The inefficiencies involved in producing
and distributing electricity are significant,but electric heat and appliances are nearly 100%efficient at
transferring heat within the home.Source based energy use factors are applied to the site energy,
dependent on fuel type,to account for generation and transmission losses or the energy used to extract
and deliver the fuel.While there are benefits to using each method,the lessons learned by the Vermont
Working Group with their statewide labeling initiative should be considered.They eventually went with
site energy “to keep the explanation of the energy score relatively simple,avoid controversies regarding
which source based factors to use,and in order to give full credit to on site renewables.”(Energy
Futures Group,2013)
Credit for renewables and on site energy generation was identified as an important element during
outreach for this project.The current recommendation for this project is to use estimated MMBtu/year
to include both new and existing home rating systems,and display these in site energy units,unless an
Figure 4:The RESNET Home Energy Rating Systems Index vs.the DOE Home Energy Score
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appropriate alternative way to credit or highlight renewables in the program is identified.The presence
of renewables and onsite power generation can be included on the label,as described later in this
document.
The program should use the MMBtus derived from either the HERS Index or the HES Score to convert
the rating data into one comparable number,creating the home’s Tompkins Residential Energy Score.
The Score would range from roughly 0 200+,and would reflect the projected annual site energy use of
both new and existing homes.
Once a rating is completed on a home,the calculated Score and other relevant information should be
presented on a label or report.While the rating itself,in the absence of a program,can produce a score,
the project team is suggesting a label that would be more relevant and informative than just a number.
A label provides a visual and a descriptive explanation of what the score means in terms of energy use,
estimated energy costs,and where the score falls in relation to other scores in the area.It can also guide
the owner by suggesting cost effective improvements or list the biggest energy uses in the home.A label
would allow for including ratings on the entire range of housing stock in Tompkins County (new and
existing,high and low efficiency),and serve to facilitate home energy improvements.To view more
detailed information on the local housing stock,see Attachment 3,“Review and Analysis of Preliminary
Data in Tompkins County.”A label provides information to help understand the home’s score,and
provides additional relevant information and resources,such as access to local weatherization and
assistance programs,resources for homes in the historic district,or home performance contractors.
While the Score of MMbtu/year is a projected annual energy use,other information such as the
presence of renewables,an efficiency metric such as MMbtu/year per square foot,and size of the house
can be added to the label.
It is envisioned that this label could be used in various ways for instance as a helpful resource for
homeowners considering making investments,or as a document to display on a sign or electrical panel
but that it would be used primarily in the real estate market to share energy information about homes
that are for sale or rent.On the following two pages,Figure 5 shows an example of a label used in
designing the Vermont Home Energy Profile as part of their statewide labeling initiative.Vermont,
Massachusetts,and Connecticut are all creating or already have in place statewide voluntary energy
scoring and labeling programs of existing homes.
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Figure 5:Image of One Label Design Considered in Vermont
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The program should make the Score associated with each address publicly available.All other
information collected could be made available to the public with the written permission of the
participating homeowners.Based on the Residential Energy Score Project’s community outreach and
feedback throughout the project,the label for this project should,at minimum,include the following in
order to be most effective:
1. The home’s Tompkins Residential Energy Score;
2. Where the home falls on a continuum of Scores;
3. Estimated annual home energy costs;
4. The homes efficiency in units of MMBtu/square foot;
5. The presence and source of onsite power generation,such as solar and wind;
6. If the home is located in a historic district;
7. Basic home information collected by the rater (address,square footage,year built);
8. Information on where to access local support to improve a home’s score;and
9. Date when energy score rating was performed.
Along with the date of rating,a disclaimer or language should be included that "this rating represents
the state of the house on date and is subject to change with major home renovations,replacement of
major appliances,and any significant change to the home’s structure."
When generating the annual home energy costs,or costs by fuel type,the fuel price assumption should
be listed on the report.The team should also consider using the state level fuel and electricity rates
available from Energy Information Exchange (EIA)by eGRID subregion.Emissions &Generation
Resource Integrated Database (eGRID)has a more comprehensive look at the environmental attributes
of electric power systems in different regions.
The cost of hiring a Rater to perform the Home Rating may vary from house to house,and from one
rating provider to another,but based on the team research,the expected range is $300 $500 per home
if performed independently (not as an add on to another service).The cost could be less if the rating is
performed at the time of another service,such as a home energy audit,or home inspection.The rating
process involves 2 4 hours within a typical home,followed by 1 4 hours of computer modeling and
reporting.The time involved depends on the size and complexity of the home and the rating system
used (HES or HERS).All certified raters must belong to a provider,and fees cover software licensing,
mandatory quality assurance inspections and registering the ratings with the national database.
To encourage voluntary participation,the cost of the ratings could be covered by outside funding or be
subsidized to reduce or eliminate the cost to homeowners.Outreach and education in the community
will help individuals,businesses,non profits,agencies,and municipalities understand the value of
having multiple homes scored.These entities may be willing to consider incentives to fund part of the
rating costs.There is value to multiple groups in having homes scored in a community.These benefits,
described below,would be communicated to these groups as part of the outreach around the program,
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and they would be encouraged to consider incentives to fund a part of the rating costs.Pursuing funding
options and partnerships through local and statewide agencies should be part of the phased roll out of
the program.Some of these agencies include NYSEG,NYSERDA,municipalities,local corporations,and
local foundations.
The Residential Energy Score Project Team sees the project providing value to many groups.Some of
these benefits are described below.
1. Homeowners:This rating will identify energy and cost saving priorities for home energy
improvements.Homeowners will receive recognition and visibility of existing energy efficiency
features and improvements in the real estate market.
2. Homebuyers and Renters:The Score and Label will help consumers avoid the “surprise”of
higher than expected energy bills or unplanned renovation needs.The program will provide
consumers with more information about the projected operational costs of owning the houses
under their consideration as well as opportunities for improvement.Expected monthly energy
costs is a big piece of missing data for many new homeowners and renters in Tompkins County,
many of whom move from areas that are not climatically similar to the Northeastern United
States,or don’t have as old of a housing stock.On March 29th of 2016,Fannie Mae announced
their new “HomeStyle Energy Mortgage”loan designed to support borrowers in their efforts to
increase energy efficiency and reduce utility costs for their homes.In order to qualify for this
loan,a home must have either a HES or HERS Rating performed.An FAQ for the new HomeStyle
Mortgage in included with this document as Attachment 6 as well as the announcement as
Attachment 7.
3. Realtors:Realtors will benefit from more credible information for their clients.They will be
“better informed on documenting and quantifying how energy efficient a home is,allowing
them to more confidently market energy efficient features.”(American Council for an Energy
Efficient Economy,2014)In Chicago,preliminary analysis of an energy disclosure policy found
that home listings that disclosed energy costs spent less time on the market and had a higher
closing rate,regardless of how much or how little energy they used.(Elevate Energy,2014)This
supports the idea that consumers value more information,even if that information is not
favorable.There is value in understanding the full picture of home ownership.During outreach
for this project,a Realtor reported that she often hears from newcomers to the area that they
are concerned about costs to operate inefficient old homes in Tompkins County.This program
would help explain and reassure people that some of these old houses have been retrofitted
and are indeed energy efficient.
4. Policymakers:Policymakers will get more access to data on the energy use of the existing
building stock,to both inform future policy development and track progress toward meeting
local climate and/or energy reductions goals for buildings.The program creates opportunities to
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target homes in need and create more synergies between policies,programs,and the actual
housing stock.Over time,ratings also allow for tracking improvements and savings.
5. Home Performance Contractors and Auditors:These trades will benefit from a new business
opportunity.They have the option to become raters themselves and add this service to their
existing service as a value added offering.They may also benefit from the assumed increase in
demand for home improvements.A rating pre and post energy efficiency retrofit work is a great
way to validate the results beyond a simple payback.
6. Builders:Builders can benefit by being better prepared for code and future code requirements.
The rating compliance option is part of the 2015 energy code,which newly permitted homes
must comply with starting in October of 2016,and has already been written in to the 2018 IECC
language.Having a rating on a new home also gives energy efficient builders recognition for a
home performing above code requirements.
7. Related Agencies:Having the rating data stored and easily accessible supports other agencies
that can benefit from accessing rating information,outside of a proposed sale of a home.These
agencies include the Tompkins County Department of Assessment,municipal planning boards,
and home performance programs.Activities associated with this might include supporting
energy code compliance,or making better energy policy decisions about a given area.
8. Everyone:For the entire population,the Tompkins Residential Energy Score would give people a
common language to discuss energy efficiency and energy use in homes,and create a
population more aware of its energy consumption.This serves as a base for discussing and
encouraging efforts to increase energy independence and economic security as a community
and lower greenhouse gas emissions.
Although ratings are already available and happening,there is value in having a local Home Energy
Rating and Disclosure Program.Working with two existing national rating systems and developing our
own program gives us the most advantages.The proposed program,ideally implemented by one central,
local agency,would provide one consistent Score,the Tompkins Residential Energy Score,(derived out
of either the HES or HERS rating system)and a locally meaningful label to provide context.The Program
would provide important infrastructure,including a centralized database to track all Scores and allow for
easy transfer to a Multiple Listing Service (MLS).The central database allows controlled access to data to
compare and verify Scores,the ability to analyze the set of Scores to educate policy decisions moving
forward,and the ability to evaluate and determine program effectiveness.
The central agency,or Program Implementer,would complete the program design and drive the process
forward.An energy efficiency program implementer generally oversees and facilitates the local
education and marketing efforts on the value of participation,facilitates training of local certified raters,
generates the Score and label,provides quality assurance,engages with local contractors and real estate
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professionals,and provides periodic evaluations of the program.This role of program implementer and
the details of the program design are described in more detail in this report in Phase 3.
Goals for Effective Program Administration
The infrastructure used to oversee,process,and support the program should address four keys goals:
1. Cost Effectiveness The overall administrative process of performing the rating,generating the
label,and getting it into the MLS must be cost effective.If the cost is too high,then there will be
pushback from homeowners and Realtors.A high cost for a voluntary rating will result in little
participation.
2. Quality Assurance The system needs to establish confidence in the rating numbers.A system
with little or no quality assurance will eventually reduce consumer confidence in the usefulness of
the Score.
3. Time Efficiency The administrative process needs to be timely.A synchronous process where
ratings can be done along with other events,such as energy retrofit or solar installation,and data
stored for retrieval when the house is to be sold,will also help reduce time pressure to deliver a
rating when a house is going on the market.If the rating takes place at some point during the
home sale process,a fast process will reduce the chance that the rating is responsible for delays
in sales.Selling a house has many steps and there is reluctance to add to this burden.
4. Sustainability The administrative process needs to be sustainable.Startup costs may be more
significant than can be funded by transaction fees,and external funding may be needed.Ongoing
administrative costs will need a source of continued revenue,most likely through transaction
fees.
In presentations to the public and various groups of stakeholders,several issues have been raised as
concerns by both the RESP team and feedback from the Technical Advisory Committee and public about
the design and implementation of the program.These include:
1. Consider how the program may impact a home’s assessed value and taxes;
2. Avoid creating disproportionate negative impacts on the low income population;
3. Homeowner privacy concerns;and
4. Considerations for historic districts.
These concerns are described below,along with related information relevant to this project.
1. Home value:Importance of considering the impact of a score on the assessed value and sale price
of a home.
Concerns were expressed that a Score may affect the assessed value of a home and/or the sale price of
a home,with possible implications on property taxes.
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Tompkins County Department of Assessment staff made it clear that a Tompkins Residential Energy
Score,or any home energy rating,will not affect the assessed value of properties now or in the
foreseeable future.Assessed value is based on market forces;values are adjusted when there are
obvious changes in the local housing market that can be applied across similar properties.Until ratings
are extremely widespread –common enough to show specifically how a good rating,bad rating,or no
rating at all impacts market value –it will be impossible to apply the results equitably across all
properties in the County,according to the Department of Assessment.
Furthermore,the New York State Department of Taxation and Finance specifies what data are collected
and stored in the assessment database.Our County Department of Assessment cannot add fields,and
therefore has no way to collect or store additional information such as an energy score in its Image
Mate database.
It is worth noting that energy efficiency upgrades such as a new furnace,or increased insulation,are
treated as normal maintenance,and do not influence the assessed value of a home.
Regarding sale price,a Score will be only one factor among many that a prospective buyer will consider,
along with other important information like location,school district,size,acreage,kitchen design,or
age.Although there are reports that show that homebuyers are willing to pay more for newly built
homes with an energy efficiency certification such as Energy Star or LEED for Homes,research
conducted as part of this project found no evidence of a relationship between changes in a home’s
energy rating score and changes in its sale price.In other words,no indication was found that a home
with a better (or worse)score would necessarily yield a higher (or lower)sale price.However,there are
other benefits to obtaining a score.As noted in the “Realtors”segment of section 4.5,above,there is
evidence that disclosing a score,even if the score is unfavorable,helps to sell a home.The information
itself,whether positive or negative,is helpful to the buyer.It is hoped that as scores become
widespread,awareness of the energy use of a home will become part of a buyer’s informed decision
making and that we will have more energy conscious and informed consumers in the area.
2. Low Income residents:Importance of avoiding disproportionate negative impacts on the low
income homeowner and renter population.
Concerns were expressed that low income homeowners whose homes score poorly,but who cannot
afford to do the upgrades that would result in a better score,would therefore not be able to sell their
homes.
Issues related to home value and salability are addressed above.The concern that low income
homeowners may not be able to afford energy efficiency upgrades will be addressed by emphasizing the
availability of several programs for low income people to help pay for,or fully subsidize some upgrades.
This information can be included with or on the label.The RES Program will also create ties with
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agencies that offer financial incentives to low income people for energy efficiency upgrades,such as
Tompkins Community Action and NYSERDA.
A score provides valuable information to help low and middle income home buyers and renters by
giving them more information about the energy use and potential utility costs of a home they are
considering.This is currently a problem when renters unexpectedly face extremely high energy bills
when they move in,which will have to be paid throughout the duration of their occupancy,or when
home buyers realize that they can only avoid high energy bills by either doing upgrades to the property
or living in uncomfortable or unsafe conditions.The RES Program allows low income buyers and renters
to factor in the cost of energy to their decision about whether a prospective property will be affordable.
A recent report released by the American Council for an Energy Efficient Economy,highlighted the
higher energy burdens (percentage of income spent on energy bills)experienced by low income and
minority households when compared to the average household.The report also highlighted that families
with higher energy burdens are at greater risk for respiratory diseases,increased stress,and they can
experience increased economic hardship and difficulty moving out of poverty.One strategy mentioned
in the report for improving energy efficiency in low income communities is incorporating energy
efficiency education into program design.The report states that “state and local governments can set
policy directives that support low income energy efficiency,including disclosure and benchmarking
policies for multifamily buildings.”(Drehobl &Ross,2016)
3. Disclosure and Privacy:Importance of honoring people’s desire to control data about their lives.
Concerns were expressed about how the information collected would be stored and disclosed,and to
whom.
Currently RESNET hosts a website that allows a home to be searched by address to find the HERS Rating
on a home,if it has received one.The site shows only the address of the house and the rating,no
information about the homeowner,occupant,or other characteristics of the home is displayed.The DOE
Home Energy Score currently does not have a publicly accessible database.
There is already a lot of information about homes that could be considered private available to the
public through the Department of Assessment’s online database,Image Mate,as well as through other
sources.Image Mate Basic was created for use by the public and provides free and convenient access to
real property information such as:the property address;a history of assessed value and sale value;year
built;square footage;types of heating/cooling systems and fuel used;presence of a solar energy
system;and general condition of the property.A complete list of data publicly available from the
Department of Assessment can be found in Attachment 10.Any database developed for the Residential
Energy Score project will not add significantly to the information that is already publicly available from
other sources.
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Research shows that for a rating project to have the greatest impact on affecting the housing market
and driving energy efficiency,Scores need to be available to prospective buyers during the listing and
sale process,preferably through realtors.Also,if the program is to be effective,citizens will need to
become more aware of what a good Score is,and what Scores near by homes or homes that are similar
to theirs have.It will be important for everyone to have a sense about whether their home is “Average,”
“Below Average,”or “Better than Average”in energy use.This awareness will help to encourage home
owners to get needed upgrades.
As the project moves into the implementation phase,the Project Team will request more input from the
public to determine the exact means and limits of disclosure.
4. Historic Homes and Homes in Historic Districts:Importance of not jeopardizing homes that are
protected because of their historical significance.
Concerns were expressed that homes with historical value or in a historic district have limited options to
upgrade and improve a potentially poor score.
While some restrictions are placed on upgrades to homes in historic districts and homes protected as
historic,many upgrades are still permitted,and many home performance options do exist.Resources
for historic homes,including information about energy efficiency upgrades and related tax credits,are
available on the City of Ithaca’s Landmarks Preservation Commission webpage.The relevant link will be
listed on the back of the Label.
During program design it will be important to continually consider these four primary topics that have
been raised as concerns by the RESP team,the Technical Advisory Committee,and the general public.As
implementation progresses,additional opportunities will be created for people to help craft strategies
to make the RESP successful and meet these challenges.
5. Implementation
Staging the implementation in phases allows time to develop the program in further detail,set up
appropriate infrastructure,and prepare the market to engage successfully in the program.The six
phases of implementation include the following:
1. Phase One:Project Team secures funding for development and implementation to move the
program forward;
2. Phase Two:Project Team acquires a Program Implementer;
3. Phase Three:Program Implementer works with Project Team to complete the program and Label
design,marketing and education plans,program infrastructure including data management,and
evaluation plan;
4. Phase Four:Program is rolled out with a limited Pilot Program to determine how the program can be
most effective;
5. Phase Five:Voluntary Program begins,accompanied by intensive marketing and education;and
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6. Phase Six:Evaluation of program design and possibilities for improvement.
Below,the phases are presented in detail for a comprehensive understanding of the proposed program,
implementation,and the ability to manage data and evaluate effectiveness.
Without adequate funding,the program cannot move forward.Funding options may include private
foundations,NYSERDA,NYSEG,participating municipalities,community based non profit groups,or
other private organizations such as the National Association of REALTORS®(NAR).
Funding consists of stages:
1. Start up funding to complete program and label design,set up infrastructure,and provide
training;
2. Funding for a pilot;and
3. Funding on an annual basis to run the program after initial launch.
Determining where to situate the project and what entity will be responsible for implementing the
program and tracking data is critical to initiating the project.The project team has identified Cornell
Cooperative Extension of Tompkins County as one possible candidate.
The Program Implementer would be responsible for:
1. Overseeing and Guiding Program Design;
2. Training and Policy Support;
3. Education and Outreach;
4. Program Optimization;
5. Program Quality Assurance;
6. Results/Data Tracking;
7. Facilitating Connections with Local Workforce and Home Performance Programs;and
8. General Program Administration.
Here we look in detail at the key elements related to designing and implementing the Residential
Energy Score Program.
The creation and design of the label needs to include stakeholder feedback,consumer input,and
consideration of the local concerns and priorities.Label design should strongly consider feedback from
public outreach for this project,as well as the lessons learned from the Vermont Energy Labeling
Working Group during their development of a voluntary residential building energy label.In Vermont,
realtors,their regional Multiple Listing Service (MLS)organization,home performance contractors,the
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U.S.Department of Energy,different states and the public all provided feedback on proposed scoring
metrics and label designs.(Energy Futures Group,2013)
The Vermont group determined that a score in units of MMBtu/year for total estimated energy
production based on an asset rating was the best metric.The label also included projected energy costs
and a general description of the home.Ideas for the label obtained during the RESP team outreach,
outlined in the Home Energy Label Recommendations section of this report,section 4.3.1,should be
included.
Outreach and education must focus on the value of the rating to the homeowner,homebuyer,seller,
buyer’s and seller’s agents,renter,and home performance contractors.It must also highlight the goal
and need for carbon emission reductions and the role this project plays in both achieving that goal and
in the creation of informed policy decisions going forward.For more details supporting outreach and
education to different groups,review section 4.5 of this report.
Using two rating systems is key to allowing incorporation of existing market ratings on new construction,
very high efficiency homes,and multifamily units via the RESNET Home Energy Rating System (HERS)
Index and a feasible path for the average existing homes to obtain a score via the Department of
Energy’s Home Energy Score (DOE HES).Both of these asset rating systems use a modeling tool that will
determine energy use projections in MMBtu’s per year.Research is needed to determine how well
these projections line up to one another for the same house.For example,if we look at the same home
using the two approaches,will they deliver a similar enough projection in energy use?Understanding
how these line up with one another,and the potential margin of error is critical to a score that includes
both.
There are three key types of data that need to be tracked and maintained for a program to be
successful:
1. Available Workforce:A database of local certified raters and Contractors that have an
understanding of the program and are able to asses a home for the Score and perform retrofit
work.The need for additional local qualified contractors to perform the work in a reasonable
time period;
2. Participating Home Data:Data on houses participating,including the Scores,address,date of
rating,and other relevant information;
3. Evaluation Data:Quality assurance and consumer and participant feedback data,including when
and why the rating was performed.
Data infrastructure refers to the digital structure supporting data storage,sharing,and management.
Data infrastructure may include a web portal and a database.In the design of a process and data
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infrastructure for program and data management,it is essential to develop a description of the
requirements and data points needed to meet the overall goal.The following list of requirements for the
infrastructure reflects the Residential Energy Score Project Team’s research on current programs,best
practices,and local needs.
1. Store and Access data on Participating Raters
There will be multiple participating raters,both HERS and HES certified,that will likely represent a range
of public and private organizations.The qualifications for these raters are maintained by RESNET or DOE,
and raters need to verify these qualifications annually.The program should maintain a list of local
participating raters both for certification validation and for the public (homeowner,Realtor,buyer)to
locate a local rater via a web portal.
2. Store and Access data on Rating Partners
Each rating system (HERS and HES)requires a rater to belong to a rating provider for quality assurance
oversight.These providers can often coordinate to share information and strengthen a program’s
effectiveness.Multiple organizations would be supporting the delivery of ratings,both as a part of
private enterprise as well as in the delivery of energy efficiency programs,such as Assisted Home
Performance with ENERGY STAR,Low Income Weatherization,and ENERGY STAR labeled Homes.
Information on the providers who have raters participating in the program should also be accessible.
3. Generate a Label
The infrastructure needs to support information from both the HES and HERS rating data and populate
the common label.It needs to take in data from approved sources (such as the software tools approved
by these rating systems)in order to produce this label.A mechanism for generating a local,graphically
rich label is necessary,incorporating all of the items highlighted in section 4.3.1 of this paper.The Score
should to be stored for retrieval along with the data used to generate the label for each home.The
system must allow for limits on who can access information about an individual home.
4. Automated Quality Assurance
Before the label is produced,the data need to be reviewed to check for obvious errors.Paperless
automation the checks data for basic accuracy is crucial to speed up Quality Assurance (QA)and to
reduce costs.Timing is important for QA.This review needs to happen before the data are made
available to interested sellers or fed into the MLS,or in any way made publicly available.National
experience has shown that data errors are more likely to be introduced when energy scores are input
directly into the MLS by Realtors or other professionals.Rating data review by RESNET and DOE will be
much delayed and not support timely review of rating scores before submission.When a rating is being
used immediately to influence the sale of a home,quality assurance should be fast and highly
automated.
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Performance Systems Development has created an automated review tool for RESNET energy ratings
used by energy raters in 13 states and by utility funded new home programs.The same database
application,Compass,has been extended with funding from DOE to support the DOE Home Energy Score
tool.This may be the only database application in the country with support for both RESNET HERS Index
ratings and DOE Home Energy Score ratings.
5. Field Quality Assurance
A certain percentage of jobs are given field QA under the terms of both the DOE HES and the RESNET
HERS rating.This quality assurance involves a third party performing the rating again to verify results
and reviewing electronic and paper documentation to ensure the rater is abiding by the rating standards
and performing diagnostic testing appropriately.These QA data are reported to both RESNET and the
DOE for tracking and maintaining a rater’s certification.Leveraging these national field inspection
requirements is important for maintaining a low cost of delivery.This can be achieved by verifying and
tracking that a rating has been submitted to these entities.This saves the program from needing to
perform a separate field QA.
6. Storage and Retrieval of Ratings
The home rating would ideally happen simultaneously with different types of events,such as home
performance audit,home inspection,or post sale,when data can be collected more cost effectively by
trained individuals.Because these events are not necessarily aligned with the time a home is listed for
sale,the rating information needs to be stored somewhere,and made available for input into the MLS at
the appropriate time.
While it is ideal for the public to have access to the Tompkins Residential Energy Score data outside of
the MLS,some information associated with the rating may need to remain private.The control over
which data may be shared is a key requirement of the program,and the infrastructure needs to provide
access restrictions so that different stakeholders can access different subsets of data.For example,
realtors may benefit from having access to information about Scores by category of regions of the
county and at various price points.
Having information from the ratings combined with other information,such as participation in
weatherization or local renewable energy programs,age of home,and whether or not retrofit work has
been performed,is essential to program evaluation and optimization.It is also tied to the ultimate goal
of better understanding the opportunities available to improve energy performance of the housing in
Tompkins County.The program needs flexibility in the portal or chosen infrastructure to capture this
additional information.
7. Training
To make ratings broadly available in the market,training will need to be made available on a recurring
basis,and raters will need to be recruited.Training on the specific program,including the local
submission and labeling process,would also be necessary.
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There are two key database applications that need to be connected a data repository for the
information described above and the Realtor Multiple Listing Service (MLS).Many similar databases,
such as the MLS and Department of Assessment databases,are not linked.Currently in Tompkins
County,the Department of Assessment manually inputs information that they find on the MLS and vice
versa.It is a goal of the program that the Score for homes could be included in online real estate and
rental marketplace databases such as Zillow,Trulia,and Realtor.com.Opportunities for this are better
now than ever.The Real Estate Standards Organization (RESO)recently added a “Green Verification
Metric”field to their Data Dictionary which references both the DOE HES and the RESNET HERS systems.
This dictionary creates common standards that lists and describes how all real estate data fields can be
included in an MLS and encourages consistent terms and data structures.This new Green Verification
Metric is defined in the dictionary as:
“A final score indicating the performance of energy efficiency design and measures in the
home as tested by a third party rater.Points achieved to earn a certification in the High
Performance Rating field do not apply to this field.HERS Index is most common with new
homes and runs with a lower number being more efficient.A net zero home uses zero energy
and has a HERS score of 0.A home that produces more energy than it uses has a negative
score.Home Energy Score is a tool more common for existing homes and runs with a higher
number being more efficient.It takes square footage into account and caps with 10 as the
highest number of points.”(Real Estate Standards Organization,2016)
This provides the structure for including the Score in the local MLS in Tompkins County.There are
systems available and in development that would aid in connecting the rating data or Score into the
MLS.The U.S.DOE announced on September 15,2015 an award providing three years of funding to
Northeast Energy Efficiency Partnerships (NEEP)to support the development of HELIX,or the Home
Energy Labeling Information Exchange in an effort to “expedite the creation of large scale home energy
labeling policies and programs that support the market valuation of energy efficiency in homes by
making U.S.DOE Home Energy Score (HES)data accessible to local Multiple Listing Services (MLS)and
other market interests”.(Northeast Energy Efficiency Partnerships,2015)
Figure 6:The Home Energy Labeling Information Exchange (HELIX)can facilitate the delivery of the score from the program
database to the multiple listing service
Another tool available that supports home energy rating and disclosure programs is the DOE’s Standard
Energy Efficiency Database Platform,or SEED.SEED is an open source database application for
managing information related to energy scores on buildings.SEED was created to support the
management of benchmarking mandates for large cities but is now being adapted for use with
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residential ratings.NEEP is currently exploring ways for HELIX to leverage SEED to facilitate this process.
NEEP released a one page information sheet on HELIX,found in Attachment 8 to this document,that
states that HELIX will support incorporating home rating information into the MLSs “while providing
appropriate data security and privacy protections”.(Northeast Energy Efficiency Partnerships,2015)
One key capability of SEED is to manage energy data for large numbers of buildings.SEED can collect
information from property assessment and other existing databases and match this information up with
energy ratings submitted by qualified raters (Figure 7).
The SEED database itself is not intended for use by energy raters,Realtors or homeowners,but rather
supports data management for governments and programs.SEED can be connected to user friendly web
portals that can allow raters,homeowners or program staff to input or access information.These basic
web portals can be easily created and would have very low maintenance costs.Some cities are investing
in enhanced web portals that contain data mapping and data visualization tools.An example of this can
be seen in Philadelphia’s commercial benchmarking portal,a website that allows individuals to easily
create visual reports on emissions,building size,building type,and score for the city.
In addition to collecting the data on a home from the rater,the program must also generate the label.
SEED has an option to install a plug in application as an extension.A plug in created to generate the
local label could be an option for this program design.A one page information sheet on SEED can be
found in attachment 9.It’s important to note that this database includes controlling the disclosure of
information as determined by the individual program set up but can allow data sharing with other third
parties at the client or homeowners’discretion.As part of implementation and infrastructure
development,the team should consider feedback received during outreach on homeowner privacy
rights and concerns.
Another related tool is Compass,developed by Performance Systems Development.This tool could be
used to provide the portal for energy raters to submit ratings to the program,to automate quality
assurance checks on the rating information,and to generate the local label.This information could be
Figure 7:SEED Platform Concept of Operations
Tompkins Residential Energy Score Program and Implementation Plan SECOND DRAFT 05 13 16
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used in combination with SEED for storage.PSD also has direct experience with the visual connectivity
functionality of SEED through its role as the developer of the interconnection between SEED and EPA
Portfolio Manager benchmarking system under a contract with Lawrence Berkeley National Lab (LBNL)
and US DOE.
The initial deployment of the information technology (IT)system would require the development of a
detailed plan for IT implementation that is beyond the scope of this report.Once the IT system is
planned,the deployment can happen in stages.Deployment would start with a database,web portal,
and the creation of the data connection to the MLS.
The next stage of IT deployment would be the development of the portals for credentialed users to
access data or supply data to the system.These web sites can also provide homeowners with access to
a list of qualified raters and link to other energy efficiency resources in the county.
The final stage of IT deployment would be the development of a public facing portal with data
visualization and reporting tools to help increase understanding about an individual homes score,and
energy use in Tompkins County housing as a whole.The portal could include reports that are designed
for various audiences,such as Homebuyers or Renters,Realtors,or the Tompkins County Department of
Assessment.The exact information that is displayed will consider homeowner privacy concerns and
should first be proposed for public feedback.
If adequate funding is available for program start up,investing some of these funds in automation for
the label generation and QA can help reduce the cost of ongoing support for the rating effort.While
automation of the process is an important end goal,low initial rating volumes may require offering the
label with more manual generation process,such as a spreadsheet application.This application could be
used by the qualified energy efficiency consulting staff.Similarly,manual QA review can be used at the
initial launch.
Ongoing support for the ratings requires an efficient and responsive review process.There is
considerable time pressure in the process of listing a home.Being able to demonstrate that the staffing
and systems are in place to make the process of obtaining a rating,getting a QA review,and posting it to
the MLS quickly and efficiently will go a long way to addressing the concerns of the real estate
community and the public.
The program would require both IT support and energy efficiency consulting support as well as general
administrative roles.Determining detailed staffing needs would be dependent on the implementer and
final program plan and IT design.
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Starting participation with a pilot phase would allow for testing the design and effectiveness of the
program on a smaller scale.One option for a pilot is to target 25%of all single family homes in
Tompkins County that are built,sold or significantly retrofitted in approximately one year,until 250
homes are rated,scored,and labeled:
Location –throughout Tompkins County;
Duration –approximately one year;
Target 250 single family homes and apartments for labeling –HERS rating for all new house
construction and units within multifamily buildings 4 stories or less in height;HES rating for all
major retrofits and 10 25%of existing homes sold (ratings performed in advance so that the
label is available at time of house listing);
Staff –2 3 full time raters certified for HES and HERS;
Program implementer to design label,collect data,drive participation through education and
outreach,and evaluate the program as described below;
Education and outreach –work with municipal building departments to target all new
construction and all major retrofits;work with realtors to educate prospective sellers to have
rating performed before listing house;work with all residents to voluntarily get rating/label and
to understand what the label means;and
Cost –ROUGH BALLPARK $300,000 is needed to cover the staff time so that ratings are FREE to
those participating in pilot.
During the pilot phase,the following aspects of the program should be evaluated and fine tuned:
1. Effectiveness and relevancy of the label;
2. Training needs of local workforce on HES and HERS Certification;
3. Label generation process;
4. Retrieval and storage of data;
5. Quality Assurance;
6. Potential negative impacts on low income population;
7. Best time/most frequent time that a rating occurs;
8. The ability of the Tompkins Residential Energy Score program to influence home improvements,
home purchase decisions,and purchase price;and
9. Available funding for home energy retrofit work.
Program evaluation and reporting should include feedback and discussions with the Technical Advisory
Committee,the Residential Energy Score Project Team,and participating municipalities.
In addition to accepting new homes into the program,the pilot phase should encourage labeling homes
that have had ratings in the past and adding these data to the program database.This will need an
added layer of quality assurance to ensure the data are accurate and still relevant.
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The team has determined that a voluntary program is the best approach for several reasons.The legal
review that was performed as part of this project (Attachment 1)revealed that at this time there are
potential legal limitations in New York State for municipalities to create an ordinance or law requiring
home energy scoring.Realtors expressed concerned that a mandate at time of sale could add extra
stress and burden on sellers at an already stressful time.
Launching the program on a voluntary basis will provide the opportunity to evaluate whether the free
market can scale the program appropriately and capture the public’s enthusiasm for home rating and
scoring.A voluntary program could build toward a mandate in the future,if desirable and legally
permissible,and could use the staged implementation approach described later in this document.A
voluntary program should include an increased priority on providing education on the value of asset
ratings.
An initial voluntary phase,where participation is optional,is useful to figure out best practices and allow
the data infrastructure to be tested and fine tuned.Research,however,shows that voluntary rating
program participants are disproportionately owners of high performing homes,and they participate out
of an interest in certifying or recognizing their homes,rather than to drive retrofit.(Dunsky Energy
Consulting and Northeast Energy Efficiency Partnerships,2009)This is one reason that a mandatory
program may be a preferred long term goal.Without getting large scale adoption,the program will not
reach its goal.
The voluntary program should capture all ratings that have already been completed or are already in
process in the area,independent of the program.Some homes in Tompkins County are already
voluntarily receiving HERS Index and HES asset ratings due to their owner’s desire to obtain certification
as ENERGY STAR,Passive House,LEED for Homes,and participation in NYSERDA’s Low rise New
Construction Program.173 homes in Tompkins County received a HERS Index between 2011 and 2015.
As of May 2016,no HES ratings have been performed in Tompkins County.While 173 homes is a small
number in light of the 20,000 one (1)and two (2)family residential properties in Tompkins County,it
shows that there is already a starting base of homes in the area that have asset ratings and will continue
to acquire asset ratings independent of the program.The program needs to include the existing ratings
in the Tompkins Residential Energy Score database,while also educating consumers and others about
the value,and driving demand for ratings to happen going forward.In order to get additional
participation,homeowners need to see a clear value,or incentive,to participate.Below,steps are listed
for launching the program.
Once the IT systems are in place with the ability to track and generate the Tompkins Residential Energy
Score and label,the program can begin accepting participants.Ratings could be submitted by either
HERS or HES raters and tracked in the chosen infrastructure.
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This phase would require the development of marketing and educational materials to support the
program that targets Realtors,homeowners,homebuyers,raters,home performance contractors,code
officers,and home inspectors.This should include the value of the rating and the value of energy
efficiency,logistics for how to participate in the program,and how to use the information on the label.
The Department of Energy (DOE),the Residential Energy Services Network (RESNET),and the Northeast
Energy Efficiency Partnerships (NEEP)offer great educational resources and templates.The program
should utilize local organizations,such as Cornell Cooperative Extension and Solar Tompkins to
strengthen efforts.The RESP team,through its outreach efforts,identified the top four (4)messaging
motivators:
1.Saving money;
2. Knowing what to expect in monthly energy costs;
3. Saving energy;and
4. Reducing greenhouse gas emissions.
Analyze data to help determine rates of adoption,trends in the types of homes participating,and major
hurdles and opportunities to increase participation.This should include customer feedback as well as
data analysis.Key ideas for policy optimization should include most frequent time of rating,if ratings are
tied to home performance work,and where there are obvious gaps in participation among the
population (e.g.income level,region,housing type).This information helps guide the program going
forward,and helps validate funding needs and program effectiveness,cost sharing,and integration with
other programs.Evaluation should specifically look at participation and the ability to support low
income households and households that statistically are more likely to have a higher energy burden
such as African American,Latino,and Renters.(Drehobl &Ross,2016)
Regular evaluations should revisit the idea of a mandate,specifically whether and when a mandate is an
appropriate option.Ultimately the value of the program and its effectiveness at creating value in energy
efficiency in real estate transactions and driving energy improvements is dependent on wide scale
participation.If the market drives sufficient participation,a mandate is not necessary.
After evaluation is complete,review results and consider how to best strengthen the program.This
could include increased marketing,additional workforce training,creating incentives to enhance
participation rate,and re visiting the legality and advisability of creating mandates for participation.
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6. Conclusion
A residential energy score program for the participating municipalities and across the County should
allow for the largest participation possible by incorporating both the RESNET HERS index for new homes
and the DOE Home Energy Score for the existing housing stock.Displaying the Tompkins Residential
Energy Score in units of estimated site energy use in MMBtu/year would allow the program to
incorporate both systems.With this approach,homeowners can compare all rated homes to each other
and account for renewable and on site energy production on the label.
It is important to remember that without large adoption,the program will struggle to meet the ultimate
goals of valuing energy efficiency in real estate transactions and reducing greenhouse gas emissions.For
example,if only some refrigerators received EnergyGuide information,or only some cars had miles per
gallon ratings,the information would begin to lose relevance.If we cannot compare the score of one
home to another,or see where it ranks in the range of homes in Tompkins County,it becomes much less
valuable.In order to achieve this wide spread adoption,the Residential Energy Score Project team is
proposing a staged approach to allow for public education,market readiness,and further program
development,such as developing the label,marketing materials,and necessary data infrastructure.A
central implementer overseeing this process and creating connections with local programs and existing
workforce is essential for success.A pilot and voluntary program with regular evaluation,assessment,
and discussion about future options ensures program optimization.The proposed Tompkins Residential
Energy Score Program will assist Tompkins County municipalities in moving toward a more sustainable,
energy independent,and healthier future for all residents by increasing consumer awareness,
understanding,and ability to value the energy use and efficiency in homes.
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7. Glossary
Asset Rating Asset ratings create a score by evaluating a home’s actual physical structure and
mechanical systems,and major lights and appliances.The asset rating is scored by the national
calculation methodology (NCM).Using an approved calculation tool,an assessor creates a model of the
annual CO2 emissions from the building.
Data Infrastructure Data infrastructure refers to the digital structure supporting data sharing and
management.Data infrastructure may include a web portal and a database.
DOE Home Energy Score –The Department of Energy Home Energy Score is similar to a vehicle's miles
per gallon rating.The Score allows homeowners and homebuyers to identify how much energy a home
is expected to use and provides suggestions for improving its energy efficiency.It also allows
homeowners to compare the energy performance of their homes to other homes nationwide.
Home Energy Rating –also referred to as a “rating”in the document,a Home Energy Rating refers to
the process of evaluating a home’s energy efficiency and performance in a standard way that can be
compared to other homes.The two most common type of home energy ratings used today are
operational ratings and asset ratings.
Label The label acts as a standard method to graphically communicate home rating information for
both existing and new home construction.The label is generated from approved data sources (such as
the two rating software tools)and is stored for retrieval along with the data used to generate the label
for each home.
MMBtu’s 1 MMBtu is equal to 1 million BTU (British thermal unit).All fuel energy use can be converted
to this unit.One BTU is approximately equal to the energy released by burning one kitchen match.
Operational Rating Also known as "Measured Energy Rating",an Operational Rating is based on
measured amounts of delivered and exported energy.The measured rating is the weighted sum of all
energy carriers used by a building and is a measure of the in use performance of a building.This
measurement is relevant to the certification of actual energy performance.
Program A residential energy disclosure program evaluates the relative energy efficiency of homes and
opportunities for improvement and standardizes the availability of this information in a given market.
Program Implementer The Program Implementer is responsible for developing and implementing the
program.Responsibilities include:overseeing and guiding program design,training and policy support,
education and outreach,program optimization,program quality assurance and enforcement,
results/data tracking,facilitating connections with local workforce and home performance programs,
and general program administration.
RESNET HERS Index The Home Energy Rating System (HERS)Index is the industry standard by which a
home's energy efficiency is measured.It’s also a nationally recognized system for inspecting and
calculating a home's energy performance.
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Site Energy Site energy is the amount of heat and electricity consumed by a building as reflected in the
utility bills.Analyzing site energy can illustrate how the energy use for an individual building has changed
over time.
Source Energy Source energy represents the total amount of raw fuel that is needed to operate a
building.By taking all energy use into account,the score provides a complete assessment of energy
efficiency in a building.It includes all transmission,delivery,and production losses.
Tompkins Residential Energy Score or “The Score”The Score allows homes in Tompkins County,New
York to view the estimated annual energy use of homes in one comparable metric.
Tompkins Residential Energy Score Program and Implementation Plan SECOND DRAFT 05 13 16
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8. Bibliography
American Council for an Energy Efficient Economy.(2014).Residential Energy Use Disclosure:A guide for
Policymakers.ACEEE.
Drehobl,A.,&Ross,L.(2016).Lifting the High Energy Burden in America's Largest Cities:How Energy
Efficiency Can Improve Low Income and Underserved Communities.April:ACEEE.
Dunsky Energy Consulting and Northeast Energy Efficiency Partnerships.(2009).Valuing Building Energy
Efficiency Through Disclosure and Upgrade Policies.
Elevate Energy.(2014,April 22).Energy Cost Disclosure in Residential Listings in Chicago:A Preliminary
Snapshot.Retrieved from http://www.elevateenergy.org/wp/wp
content/uploads/ECDOrd_Analysis_FINAL.pdf
Elizabeth Stuart,L.B.(November,2015).Capturing Energy Efficiency in Real Estate Transactions.
U.Department of Energy Office of Energy Efficiency and Renewable Energy,Building
Technologies.
Energy Futures Group.(2013).Vermont Energy Labeling Worknig Group:Development of a Voluntary
Residential Building Energy Label.
Northeast Energy Efficiency Partnerships.(2009).Valuing Building Energy Efficiency Through Disclosure
and Upgrade Policies.Dunsky Energy Consulting.
Northeast Energy Efficiency Partnerships.(2013).Building Energy Rating and Disclosure Policies Update
and Lessons From the Field.
Northeast Energy Efficiency Partnerships.(2015,November 15th ).Home Energy Labeling and
Information Exchange One Pager.Retrieved from http://www.neep.org:
http://www.neep.org/sites/default/files/resources/Home%20Energy%20Labeling%20Informatio
n%20Exchange%20One Pager.pdf
Northeast Energy Efficiency Partnerships.(2015,December 15).NY BUILDING ENERGY CODE.Retrieved
from www.neep.org:http://www.neep.org/bulletin board/ny building energy code
Real Estate Standards Organization.(2016,April 28).www.reso.org.Retrieved from
http://www.reso.org/data dictionary/
Tompkins Residential Energy Score Program and Implementation Plan SECOND DRAFT 05 13 16
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9. List of Attachments
1. Memo:Legal Issues for Home Energy Rating and Disclosure Program
2. Report on Existing Home Energy Rating and Disclosure Laws and Programs and Best Practices
3. Review and Analysis of Preliminary Data in Tompkins County
4. Home Energy Scoring Tool Data Collection Sheet
5. RESNET HERS Index Rated Features
6. HomeStyle Energy Mortgage FAQ
7. HomeStyle Energy Mortgage Announcement
8. HELIX –Information Sheet
9. SEED –Information Sheet
10. County Assessment Department Data from ImageMate
Page 1 of 11
12/12/125/12/16 5/26/16
CITY IURA PROFESSIONAL SERVICES AGREEMENT
GOVERNING ADMINISTRATION OF HUD ENTITLEMENT FUNDS AWARDED TO CITY OF ITHACA
Made this _____day of ___________,2013 2016 by and between The CITY OF ITHACA,a municipal corporation
with offices at 108 East Green Street,Ithaca,New York,hereinafter called the “City”,and the ITHACA URBAN
RENEWAL AGENCY,an urban renewal agency formed pursuant to the provisions of General Municipal Law,
having its principal office at 108 East Green Street,Ithaca,New York,14850,hereinafter called “IURA”,
WITNESSETH THAT:
WHEREAS,the City of Ithaca is a recipient of certain Entitlement Grants (“CPD Formula Grant
Funds”)through the Community Planning and Development (hereinafter “CPD”)program office of the U.S.
Department of Housing &Urban Development (“HUD”),including the Community Development Block Grant
(“CDBG”)program and the Housing Investment Partnership Program (“HOME”);and
WHEREAS,to access CPD Formula Grant Funds the City must prepare and submit to HUD each year
either a Consolidated Plan or an Action Plan (the section of the Consolidated Plan that is updated each year)
prepared in accordance with applicable regulations and comply with reporting and accomplishment
requirements;and
WHEREAS,by annual resolution,the City of Ithaca has duly authorized the IURA to administer its
CDBG and HOME programs each year since the City was designated as a CPD formula grant recipient in
2004;and
WHEREAS,the IURA has been administering the City’s CDBG program continuously since 1975;and
WHEREAS,HUD correspondence dated August 27,2012,requests that an agreement between the
City and the IURA be executed clarifying the roles and responsibilities for administering CPD Formula Grants
awarded as the City is the legal applicant and recipient under applicable HUD rules;and
WHEREAS,HUD correspondence acknowledges the existing operational structure has allowed the
City to successfully administer and implement CPD Formula Grants and that the request for an agreement
between the City and the IURA does not result from any performance deficiency;and
WHEREAS,in addition to the administration of the City’s CDBG and HOME programs,IURA staff may
from time to time be available to assist the City with the completion of other activities that are related to,
or support,the mission of the IURA;
NOW,THEREFORE,in consideration of the mutual covenants herein contained,the parties hereto
do mutually agree as follows:
Section 1.Definitions
Unless specifically provided otherwise or the context otherwise requires,when used in this Agreement:
Page 2 of 11
“CAPER”means Consolidated Annual Performance and Evaluation Report,an annual document
reporting on how CPD Formula Grant Funds have been used to carry out the community’s housing
and community development strategies,projects and activities,including a summary of
accomplishments.
“CDBG”means Community Development Block Grant,a program of the United States Department
of Housing and Urban Development.
“CPD”means the Community Planning and Development program office of the United States
Department of Housing and Urban Development that oversees CDBG and HOME programs.
“HOME”means HOME Investment Partnerships Program,a grant program of the Unites States
Department of Housing and Urban Development designed to help communities expand the supply
of decent and affordable rental and ownership housing for low income families.
“HUD”means the United States Department of Housing and Urban Development.
“Program Income”means gross income received by IURA from its use of CPD Formula Grant Funds
and shall further have the meaning defined at 24 CFR 570.500(a)for income generated from the
use of CDBG funds,and 24 CFR 570.92.2 for income generated from the use of HOME funds.
Section 2.Overall Roles and Responsibilities
2.1 IURA shall act as the City’s lead agency to plan,administer,implement and monitor CPD formula
grants awarded to the City in accordance with all program requirements,including but not limited
to the following regulations:
• 24 CFR 570.200 570.309 –CDBG Eligible Activities and Entitlement Grants;
• 24 CFR 570.500 513 –CDBG Grant Administration;
• 24 CRF 570.600 614 –Crosscutting Program Requirements;
• 24 CFR Part 91 –Consolidated Submissions for Community Planning and Development
Programs;and
• 24 CFR Part 92 –HOME Regulations.
2.2 City retains overall responsibility for ensuring that CPD formula funds are used in accordance with
all program requirements.
2.3 City is responsible for determining the adequacy of performance by the IURA of its duties pursuant
to this Agreement.
2.4 City is responsible to adopt the Consolidated Plan,the Annual Action Plan,the Citizen Participation
Plan,including any significant amendment to the above documents,and execute the CAPER.
2.5 IURA shall submit adopted plans to HUD to access CPD Formula Grant funds.
2.52.6 In addition to the forgoing,IURA may assist the City with other activities that are directly related to,
or support,the mission of the IURA.Such assistance will be offered at the sole discretion of the IURA,
based upon the availability of staff to complete the task.
Page 3 of 11
Section 3.Statement of Work
Action Plans
3.1 IURA shall prepare and submit to the City the following required recipient submissions to HUD to
access CPD Formula Grant Funds:
(a) Consolidated Plan –A 5 year strategic community development plan that identifies community
needs,resources,and priorities,and establishes goals and objectives for use of CPD formula
funds to address priority community needs.
(b) Annual Action Plan –A one year plan that provides a description and budget of the activities
the City will undertake to address specific local objectives and priority needs that will be
addressed using CPD formula grant funds and program income.
(c) CAPER –An annual document reporting on progress made in carrying out the Consolidated Plan
and the Annual Action Plan.
(d) Citizen Participation Plan –This plan sets forth the City’s policies and procedures for citizen
participation in the development,and any amendment of,the Consolidated Plan,the Annual
Action Plan,the Consolidated Annual Performance and Evaluation Report,and establishes a
procedure to receive complaints.
3.2 IURA shall make its best effort to implement eligible activities included in City Adopted Action Plans
in accordance with applicable regulations through loan and or grant agreements,procurement
contracts,through the City or other public agencies,or by the IURA’s employees and/or
contractors.
Economic Development Revolving Loan Fund
3.3 IURA shall make its best effort to implement the Community Development Revolving Loan Program
and the Priority Business Loan Program (collectively known as the “ED Revolving Loan Program”)by
using CDBG Funds to make loans consistent with the goals and objectives of the ED Revolving Loan
Program as set forth in the “IURA Economic Development Financing Policy Guidelines and
Operating Plan”and any subsequent revisions thereto,such plan being incorporated by reference
and made a part hereof.
3.4 In implementing the ED Revolving Loan Program,the IURA shall be responsible for the following
activities as appropriate:
(a) Documentation of CDBG underwriting process consistent with the regulations at 24 CFR
570.209 and Appendix A to 24 CFR 570”Guidelines and Objectives for Evaluating Project Costs
and Financial Requirements”;
(b) Performance of a written credit analysis and presentation of loan applications to the IURA;
(c) Maintenance of relevant information regarding the loan review;
(d) All actions necessary to effect ED Loan Program loan closings including,but not limit to,the
preparation of loan agreements,security agreements,promissory notes,guarantees,and other
legal documents as appropriate and in a form consistent with standard commercial lending
practices and with applicable rules,regulations,and policies of the CDBG program;
(e) Performance of all administrative activities required pursuant to the use of CDBG funds
including,but not limited to,environmental review requirements,maintenance of book of
account,procurement and maintenance of statistical information including job
creation/retention;and
(f) Monitoring loan repayment and borrower’s compliance with loan terms,and enforcing security
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agreements and guarantees.
Housing Revolving Loan Fund
3.5 IURA shall administer and monitor program income derived from CPD Formula Grant Funds in
possession of Ithaca Neighborhood Housing Services,Inc.(“INHS”)in the Housing Revolving Loan
Fund for compliance with applicable regulations.
Environmental Review
3.6 With respect to environmental review requirements,the parties hereto acknowledge that City shall
retain the ultimate responsibility for compliance,but that IURA shall cooperate with City in
conducting environmental reviews and preparing proposed environmental determinations,notices
and requests in compliance with environmental responsibilities described at 24 CFR 570.604 and 24
CFR 92.352.
General
3.7 All activities undertaken by IURA with CPD Formula Grant Funds pursuant to this agreement shall be
eligible activities pursuant to the regulations at 24 CFR Part 570 and 24 CFR Part 92.
3.8 IURA shall make its best efforts to accomplish its duties in an expeditious manner pursuant to this
Agreement.
Section 4.Integrated Disbursement and Information System (IDIS)
IDIS is a web based system that provides financial disbursement,tracking,and reporting activities for CPD
Formula Grant Fund programs.Information about each activity funded with CPD Formula Grant funds,
including the estimated budget,expected accomplishments and beneficiaries is uploaded into the IDIS.
4.1 IURA is responsible for completing all IDIS grantee functions and submissions except for drawdown
approval authority,which is retained by the City.IURA responsibilities include set up of the
adopted Consolidated Plan/Annual Action Plan,set up of projects,set up of activities to implement
projects,activity funding,prepare drawdown vouchers and accomplishment reporting.
4.2 City is responsible for approving drawdown vouchers.
Section 5.Disbursements and Management of CPD Formula Grant Funds
5.1 IURA is responsible for disbursing and managing CPD Formula Grant Funds to make grants,
forgivable loans,deferred loans and amortizing loans and other third party costs incurred by the
IURA to carry out eligible activities included in an adopted Action Plan in accordance with policies
governing such financial assistance pursuant to the regulations at 24 CFR Part 570 and 24 CFR Part
92.
5.2 IURA may use CPD Formula Grant Funds to pay for its reasonable and eligible planning and
administrative costs pursuant to the regulations at 24 CFR 570.205 and 506.206 and 24 CFR 92.207.
No more than 20%of the sum of any CDBG grant awarded plus program income shall be expended
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for planning and administrative costs.Not more than 10%of the sum of any HOME funds awarded
plus program income shall be expended for reasonable administrative and planning costs.
5.3 IURA may use CPD Formula Grant Funds for reasonable staff and overhead costs directly involved in
carrying out eligible CDBG activities included in an adopted Action Plan referred to as “activity
delivery costs”,which are eligible as part of such activities.
5.4 The IURA shall document general administrative,program delivery and revolving loan program
costs of CPD Formula Grant Funds as follows:
(a) Direct costs of IURA shall be documented by timesheets,invoices,or other appropriate
information to evidence the nature and reasonableness of the cost.Such costs may include,
but are not limited to employee salaries,benefits,and other compensation at rates not to
exceed those paid by IURA for work not provided pursuant to this Agreement;and actual costs
of materials,equipment,bonding,insurance and services incurred by IURA;
(b) Indirect costs of IURA shall be reimbursed only where a written plan for the charging of such
costs has been approved by HUD.Such costs are those which are charged as a percentage of
direct costs and may include occupancy and equipment costs (including depreciation),
maintenance,repair,and similar costs which are charged on a prorated basis;and
(c) All costs charged by IURA pursuant to this section shall be consistent with the provisions of
OMB Circular A 87,“Cost Principles for State,Local and Indian Tribal Governments”.
5.5 IURA may retain and use CDBG program income on hand that is deposited in a separate Revolving
Fund in accordance with regulations contained at 24 CFR 570.504 for the purpose of carrying out
specific eligible activities,such as making certain loans to small businesses,which,in turn,generate
payments to the fund for use in carrying out the same activities.IURA may use CDBG program
income to make loans and to pay program delivery and general administrative costs consistent with
the goals and objectives of the ED Revolving Loan Program as described in Section 3.3 of this
Agreement.
5.6 To access CPD Formula Grant Funds awarded to the City,IURA shall submit a City voucher to the
City Controller for eligible costs to accomplish the Statement of Work,along with supporting cost
documentation.
5.7 IURA shall prepare a web based IDIS voucher,pursuant to the City voucher,to draw CPD Formula
Grant Funds awarded to the City.
5.8 Upon City Controller approval of the City voucher,an authorized City employee shall timely approve
the IDIS voucher to draw CPD Formula Grant Funds into the City’s grant account.
5.9 City shall timely transfer CPD formula Grant Funds received in the City’s grant account to the IURA
account upon receipt of CPD Formula Grant Funds.
5.10 All cash balances of CPD Formula Grant Funds shall be maintained by IURA in an interest bearing
account pursuant to the provisions of 24 CFR 570.500(b)and 24 CFR 92.502(c).Consistent with the
provisions of 24 CFR 85.21(i),any bank interest paid on such account shall be paid to HUD no less
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than annually.
Section 6.Financial Management and Administrative Requirements
6.1 IURA shall maintain a financial management system of CPD Formula Grant funds in accordance with
24 CFR 85.20 to ensure a financial system is in place that provides effective control over and
accountability for all CPD Formula Grant Funds,property,and other assets,and includes a
comparison of financial information reported on IDIS with financial records of actual assets and
liabilities.
6.2 Parties hereto acknowledge that the IURA will maintain financial records to comply with audit
requirements of OMB Circular A 133,“Audits of States,Local Governments,and Non Profit
Organizations”and City will integrate IURA finances into the City’s annual audit.
6.3 IURA shall comply with OMB Circular A 110 “Standards for Financial Management Systems”,
Attachment F,subparagraphs 2a.through 2d.,2f.and 2g.
6.4 Where costs incurred by IURA are to paid with CPD Formula Grant Funds,such costs shall be
charged in conformance to OMB Circular A 87,“Cost Principles for State,Local and Indian Tribal
Governments”.
6.5 IURA shall comply with administrative requirements of 24 CFR Part 85 that are set forth at 24 CFR
570.502(a).
6.6 IURA shall comply with the above listed rules,regulations,and requirements as now in effect and
any future additions or revisions to such rules,regulations,and requirements as may be applicable.
Section 7.Monitoring
7.1 IURA agrees to monitor all activities carried out with CPD Formula Grant Funds to ensure long term
compliance with program requirements and to timely gather information required for reporting to
HUD.
Section 8.Reports and Information
8.1 In addition to items identified is section 3.1,IURA agrees to submit the following information to the
City Controller:
(a) Bi weekly
• City voucher and IDIS voucher including an expense report detailing requested funds to be
drawn down from the City’s line of credit with HUD
(b) Monthly
• A CPD Formula Grant Summary including budgeted amounts for each activity contained in
current adopted Action Plans and the unexpended amounts remaining
• A Loan Repayment Report on loans issued with CPD Formula Grant Funds that tracks
repayment status and reports loan balances
(c) Quarterly
• The Federal Financial Report that details receipts and disbursements of CPD Formula Grant
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Funds,program income,and beginning and ending cash on hand
• IDIS entries to recognize disbursements of program income for eligible expenses such as
disbursement of loan funds and administrative and delivery expenses incurred
• IDIS entries to recognize receipt of program income such as loan repayments
(d) Annually
• Balance sheet and income and expense statement of IURA finances
• Year end audit work papers prepared to meet City auditor requirements for preparation of
the City’s annual financial audit
Section 9.Records to be Maintained
9.1 IURA shall establish and maintain records required at 24 CFR 570.506 and 24 CFR 92.508 to
demonstrate compliance with applicable requirements for CPD Formula Grant Funds,which
includes the following information for each activity assisted:
(a) A full description,including its location;
(b) Eligibility pursuant to applicable provisions of 24 CFR 570 and 24 CFR 92;
(c) Amount of CPD Formula Funds budgeted,obligated and expended;
(d) Cost documentation for disbursement of CPD Formula Funds;
(e) Project beneficiary income eligibility and demographic characteristics;and
(f) Match funding.
9.2 IURA shall retain all records pertinent to this Agreement for six (6)years after completion of each
activity.
Section 10.Inspection of Records
10.1 At any time during normal business hours and as often as City may deem necessary,IURA shall
make available to City or its agent all of its HUD records with respect to matters covered by this
Agreement,and IURA shall permit City or its agent to audit,examine and make excerpts or
transcripts from such records,and to perform audits of all contracts,invoices,materials,reports of
personnel,conditions of employment and other data relating to all matters covered by this
Agreement.
Section 11.Program Income
11.1 City and IURA acknowledge and agree that the following CPD Formula Grant assets were in
possession of IURA as of October 30,2012 and shall be used by IURA in implementing the Economic
Development Revolving Loan Program as set forth in Section 2.4 of this Agreement or otherwise
used in accordance with an adopted Action Plan:
(a) CDBG Formula Grant Funds in the form of Program Income cash on hand in the amount of
$442,299.12;and
(b) CPD Formula Grant Funds in the form of Program Income notes receivable,payable to and in
possession of IURA,and all program income derived therefrom,as identified in Schedule A
attached herein.Following is the total amount of principal balance outstanding of all such
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Program Income as of October 30,2012:
CDBG:$1,449,541.15
HOME:$397,358.08
Total:$1,846,899.23
11.2 Future Program Income generated from use of CDBG funds shall be used by IURA in implementing
the Economic Development Revolving Loan Program or other CDBG projects contained in an Action
Plan.Future Program Income generated from use of HOME funds and received by IURA shall be
used for additional HOME projects contained in an Action Plan.
Section 12 Assistance with Other Activities
12.1 From time to time,IURA staff may have availability to assist the City with planning or other
activities that are directly related to,or would support,the mission of the IURA to “improve the social,
physical,and economic characteristics of the City of Ithaca by expanding access to quality affordable
housing,strengthening neighborhoods and the local economy,and supporting other community
development activities.”Toward that end,the IURA may offer,and the City may accept,by mutual
agreement,IURA staff assistance with such activities.IURA staff will make best efforts to complete agreed
upon tasks in a timely manner;however,activities related to administration of CPD funds will take priority
and any consequent delay in completion of other activities will not be cause for termination of this
agreement.
Section 132.Term of Agreement
12.113.1 This Agreement shall become effective as of the date first above written and shall remain
in effect until terminated pursuant to the terms of this section.
12.213.2 This Agreement may be terminated by either party at any time without cause to be effected
by written notification of such termination.Such termination shall become effective 180 days after
delivery of such notice.
13.3 This Agreement may be terminated by City for cause upon IURA’s failure to comply with any
provision of this Agreement.City shall effect such termination in the following manner:
(a) City shall provide written notice to IURA stating the specific instance(s)of noncompliance.Such
notice shall specify a date that is not less than thirty (30)days after the date of delivery of such
notice (the “Response Date”)by which IURA may cure,mitigate,or otherwise address the
instance(s)of noncompliance.
(b) Upon IURA’s failure to cure,mitigate,or otherwise address the instance(s)of noncompliance to
the satisfaction of City by the Response Date,City may,at its option,provide written notice to
IURA effecting termination immediately upon the delivery of such notice.
12.413.4 Upon a termination of this Agreement,IURA shall not obligate or expend CPD Formula
Grant Funds.
12.513.5 Upon a termination of this Agreement,City shall be obligated to pay from CPD Formula
Grant Funds costs resulting from any obligations of CPD Formula Grant Funds made by IURA
pursuant to this Agreement where such obligations were made prior to the date of termination and
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in a manner consistent with the terms and conditions of this Agreement.
Section 143.Reversion of Assets
13.114.1 Upon termination of this Agreement,and in accordance with the provisions at 24 CFR
570.503(b)(8),IURA shall transfer to City any CPD Formula Grant Funds on hand and any notes and
accounts receivable attributable to the use of CPD Formula Grant Funds.Such transfer of CPD
Formula Grant Funds,notes and accounts receivable shall be made no later than thirty (30)business
days after the termination date.Any real property under IURA's control that was acquired or
improved in whole or in part with HUD CDBG Funds in excess of $25,000 shall be either:
(a) Used to meet one of the national objectives in 24 CFR 570.208 until at least five years after the
expiration of this Agreement;or
(b) If the use of the property ceases to conform to the provisions of Section 13.1(a)of this
Agreement prior to the expiration of the five year period,IURA shall pay to City an amount
equal to the current market value of the property less any portion of the value attributable to
expenditures of non CDBG Funds for acquisition of,or improvement to,the property.Such
payment shall be made in full no later than one hundred eighty (180)calendar days after the
date that the use of the property ceases to conform to the provisions of Section 13.1(a)of this
Agreement.
13.214.2 Upon termination of this Agreement,IURA shall transfer to City any furnishings,fixtures,
and equipment purchased in whole with CPD Formula Grant Funds.Such transfer shall be made no
later than five (5)business days after the termination date and shall be made at City’s expense in a
manner prescribed by City.For furnishings,fixtures,and equipment purchased in part with CPD
Formula Grant Funds,IURA shall either:
(a) Pay to City an amount equal to the fair market value,as determined by mutual agreement,of
such furnishings,fixtures,and equipment at the time of termination,less any portion of the
value attributable to expenditures of non CPD Formula Grant Funds for acquisition of such
assets,such payment to be made by IURA no later than thirty (30)calendar days after the
termination date;or
(b) Transfer such furnishings,fixtures,and equipment to City no later than five (5)business days
after the termination date.
Section 154.Amendments
14.115.1 This Agreement may be amended only by the mutual written consent of City and IURA.
Section 165.Notices
15.116.2 Any notice,or request taken,given,or made by the City Mayor (or such other person or
persons as City may,by written notice to IURA designate for such purpose)to IURA shall be deemed
to be duly and properly given or made if mailed,postage prepaid,to:IURA Executive Director,108
East Green Street,Ithaca,New York 14850,or delivered personally to IURA offices.Any notice,or
request taken,given,or made by the Chairperson of IURA (or such other person or persons as IURA
Page 10 of 11
may,by written notice to City,designate for such purpose)to City hereunder shall be deemed to be
duly and properly given or made if mailed,postage prepaid,to:Mayor,City of Ithaca,108 East
Green Street,Ithaca,NY 14850,or delivered personally to the City of Ithaca Mayor’s office.
IN WITNESS WHEREOF,the parties have caused this Amended Agreement to be duly executed and
delivered by their proper and duly authorized offices as of the day and year first above written.
CITY OF ITHACA
By:______________________________________________
Svante L.Myrick,Mayor
ITHACA URBAN RENEWAL AGENCY
By:______________________________________________
Svante L.Myrick,Chairperson
ACKNOWLEDGMENT OF SIGNATORY
State of New York )
County of Tompkins )
On the day of in the year 2013 before me,the undersigned,a Notary Public in and for said
state,personally appeared Svante L.Myrick,to me known or proved to me on the basis of satisfactory evidence to be
the individual whose name is subscribed to the within instrument and acknowledged to me that she executed the
same in her capacity,and that by her signature on the instrument,the individual,or the person upon behalf of which
the individual acted,executed the instrument.
_____________________________
Signature of Notary Public
(Seal)
ACKNOWLEDGMENT OF SIGNATORY
State of New York )
County of Tompkins )
On the day of in the year 2013 before me,the undersigned,a Notary Public in and for said
state,personally appeared Svante L.Myrick,to me known or proved to me on the basis of satisfactory evidence to be
the individual whose name is subscribed to the within instrument and acknowledged to me that she/he executed the
Page 11 of 11
same in her/his capacity,and that by her/his signature on the instrument,the individual,or the person upon behalf of
which the individual acted,executed the instrument.
_____________________________
Signature of Notary Public
(Seal)
j:\community development\policy\city iura agreement\city iura agreerevisions draft #1.doc
Proposed Resolution
Planning &Economic Development Committee
June 8,2016
First Amendment to City IURA Professional Services Agreement
WHEREAS,in 2012 the IURA and City of Ithaca executed an agreement clarifying roles and
responsibilities of each party regarding administration of HUD Entitlement funds awarded to
the City of Ithaca,and
WHEREAS,from time to time the IURA staff may be available to assist the City complete
other activities that are related to,or support the mission of the IURA,and
WHEREAS,such assistance shall be offered at the sole discretion of the IURA,and
WHEREAS,Plan Ithaca,the City’s Comprehensive Plan,recommends preparation of a
housing strategy to identify specific ways to increase the housing supply and decreasing
housing costs,and
WHEREAS,the IURA’s mission is to improve the social,physical and economic characteristics
of the City of Ithaca by expanding access to quality affordable housing,strengthening
neighborhoods and the local economy,and supporting other community development
activities,and
WHEREAS,since 1975 the IURA has secured and successfully administered over $60 million
in funding on behalf of the City of Ithaca to complete projects to expand affordable housing
and revitalize urban neighborhoods,and
WHEREAS,at their meeting of May 26,the IURA approved the First Amendment to the City
IURA Professional Services Agreement;now,therefore be it
RESOLVED,that the Mayor is authorized,subject to review by the City Attorney,to execute
an amendment to the City IURA Professional Services Agreement to authorize IURA staff to
assist the City complete IURA authorized activities that are related to,or support the mission
of the IURA.
j:\community development\policy\city iura agreement\reso pedc 1st amend to city iura agree 6 8 16.docx
March 30, 2016
Dear Planning and Economic Development Committee Members:
Below please find proposed language for the updated CIITAP application form. This language
has been developed by the City’s Workforce Diversity Advisory Committee. We appreciate the
opportunity to be a part of the process of revising the CIITAP program and remain available to
assist you as this moves forward.
Respectfully,
The Workforce Diversity Advisory Committee.
6.) Diversity and Inclusion
In order to meet diversity requirements, single use Project end-users (projects developed
specifically for one corporate end-user such as a hotel or bank) must commit to the following:
A. Action:
The Project end-user will:
o Become active members of the Diversity Consortium of Tompkins County, and
o participate in the Diversity Consortium's annual workshops and events, and
o establish and implement management strategies to increase hiring and retention of
women and people of color for part time, internship, and full-time positions at all
levels of their organization; and
o identify and implement specific actions (i.e. training, developing a complaint
reporting mechanism) designed to reduce and address unconscious workplace
biases; and
B. Reporting:
The Project end-user will provide to both TCAD and the City's Workforce Diversity
Advisory Committee, on March 1st for each year of the abatement period, annual
reports detailing:
o Strategies utilized each year to increase hiring, retention and promotion of women
and people of color, and
o Actions taken to reduce and address unconscious workplace biases, and
o Workforce demographics by:
gender,
race/ethnicity,
age,
disability,
job class and gender, and
job class and race/ethnicity
February 1,2016
Dear Planning and Economic Development Committee Members:
Thank you for your careful consideration of the comments you received regarding modifications to the
Community Investment Incentive Tax Abatement Program (CIITAP).We were especially heartened to
see your continuing commitment to diversity and inclusion within the City and appreciate this
opportunity to offer language to enhance the sixth eligibility requirement of the CIITAP application.
The Workforce Diversity Advisory Committee (WDAC)met on January 21 and recommends the following
be adopted to replace the existing material on page three of the application form:
6.)Diversity and Inclusion In order to meet the minimum diversity requirements an
applicant must submit to the City the following:
The ‘Company’s’and Major Tenant’s existing workforce diversity and inclusion
policies,including vision statements,implementation strategies,and action plans.
Data from the prior three years demonstrating commitment and progress toward
these goals.Such data must include existing workforce demographics by gender,
race/ethnicity,age,known disability status,job class and gender,and job class and
race/Hispanic ethnicity.
A detailed plan describing strategies the applicant will employ to increase hiring and
promotion of women and People of Color and to alleviate unconscious workplace
biases.
Note that we feel it is important to define ‘major tenants’,and although it may be defined
elsewhere we did not find this information in the packet itself.We hope that this definition is
intentionally small enough to trigger diversity information and oversight for typical Ithaca
businesses,which tend to be small.The WDAC discussed these requirements being applied to
business of 8 10 employees or more.We also recommend offering available local resources and
listing these in the application packet.These could include the Diversity Consortium,the City
and County Workforce Diversity committees,and area programs of services which focus on the
needs of underrepresented populations.
The WDAC strongly believes that it is not enough that an applicant simply provide this
information.It must be carefully evaluated for completeness,effectiveness,and compliance
with the City’s stated values and goals.To that end,the WDAC recommends development of an
evaluation tool for assessing the response of applicants.We further recommend that completed
assessment be made publicly available so that the community can understand specifically how
the CIITAP program is addressing the needs of our local workforce.THE WDAC is prepared to
make recommendations to the Committee on appropriate consultants to develop this
assessment tool.
Policy level work to ensure equal opportunity for all Ithacans is vitally important.A 2011
Economic Policy Institute study concludes that labor market discrimination is at the root of Black
male underemployment.The study analyzes employment data and determines that
occupational preferences and a dearth of “soft skills”are not the causes of employment
disparities between Blacks and whites.By systematically excluding those other causes,EPI
concludes that discrimination must exist in today’s job market.1 Conscious assessment of
policies and the impacts of their implementation will allow us to get to the root of frequently
unconscious patterns which create the disparate outcomes area workers experience.The CIITAP
program’s policies is one avenue to address systematic barriers to employment faced by
disenfranchised communities.
Even knowing that job training and placement programs will not resolve the systemic barriers
many workers face,we must continue to address the need for equitable access to jobs from all
angles.To this end,we cannot urge you strongly enough to support creating a pool of funds
which can help area workers get their foot in the door with local employers.Ithaca has already
demonstrated success with programs which give underserved communities access to career
defining credentials such as a CDL license or to job placement through subsidized wages.These
programs create situations where area employers are leveraged into hiring workers they might
otherwise not reach.They also provide equal footing for employees who have traditionally been
shut out of opportunities due to lack of transportation,access to supports which would help
them meet entry level requirements,or advocacy.The development of these programs is often
limited only by available resources to staff and operate them.We strongly encourage your
commitment to ensure that such resources be derived from the CIITAP program.
Thank you.
The Workforce Diversity Advisory Committee
1 EPI Briefing Paper #288,Economic Policy Institute,February 28,2011.
March 30, 2016
Dear Planning and Economic Development Committee Members:
Below please find proposed language for the updated CIITAP application form. This language
has been developed by the City’s Workforce Diversity Advisory Committee. We appreciate the
opportunity to be a part of the process of revising the CIITAP program and remain available to
assist you as this moves forward.
Respectfully,
The Workforce Diversity Advisory Committee.
6.) Diversity and Inclusion
In order to meet diversity requirements, single use Project end-users (projects developed
specifically for one corporate end-user such as a hotel or bank) must commit to the following:
A. Action:
The Project end-user will:
o Become active members of the Diversity Consortium of Tompkins County, and
o participate in the Diversity Consortium's annual workshops and events, and
o establish and implement management strategies to increase hiring and retention of
women and people of color for part time, internship, and full-time positions at all
levels of their organization; and
o identify and implement specific actions (i.e. training, developing a complaint
reporting mechanism) designed to reduce and address unconscious workplace
biases; and
B. Reporting:
The Project end-user will provide to both TCAD and the City's Workforce Diversity
Advisory Committee, on March 1st for each year of the abatement period, annual
reports detailing:
o Strategies utilized each year to increase hiring, retention and promotion of women
and people of color, and
o Actions taken to reduce and address unconscious workplace biases, and
o Workforce demographics by:
gender,
race/ethnicity,
age,
disability,
job class and gender, and
job class and race/ethnicity