Overview of Data Collection Forms

Overview of Data Collection Forms for the Superior Energy Performance® Certification Program

Attachment to Supporting Statement:

U.S. Department of Energy

Superior Energy Performance® (SEP™) Certification Program

OMB Control Number – 1910-NEW

New Collection: SEP data collection process

Forms collected at each step

Summary of SEP Data Collection Uses
	Who Submits the Form	How DOE Will Use the Information
SEP Enrollment Form	Industrial Facility	Identify where technical assistance is needed and will provide it where practical
SEP Application Form	Industrial Facility	Track basic information on SEP participants to administer program
SEP Energy Performance Improvement Report	SEP Verification Body	Manage and track certification cycles; track results of SEP participation
SEP Voluntary Costs/Benefits Form	Industrial Facility	Conduct and refine analysis on the costs and benefits of SEP participation, as called for in President’s Executive Order—Accelerating Investment in Industrial Energy Efficiency (August 2012)

SEP aims to help meet the administration’s goal to facilitate investment in energy efficiency at industrial facilities. SEP accomplishes this by encouraging participants to seek certification for successfully implementing the ISO 50001 energy management standard and by meeting and verifying energy performance improvement targets set by the SEP program. Information is collected throughout various stages of a facility’s participation in SEP.

DOE, as the SEP Administrator, collects the Enrollment Form, Application Form, and SEP Energy Performance Improvement Report because they are requirements of the ANSI/MSE 50028 standard. Facilities have the option of submitting the SEP Voluntary Costs/Benefits Form to DOE. DOE is collecting costs and benefits information to meet the President’s Executive Order to demonstrate the benefits of investments in energy efficiency.

The collection of these forms serves to enable the SEP Administrator to oversee the SEP program and ensure that SEP certifications are awarded in accordance with the ANSI/MSE 50021 and ANSI/MSE 50028 standards. Participation information is also needed to gauge uptake of the program, track certification cycles, and determine the effectiveness of DOE’s efforts to promote the program.

Enrollment Form

Enrollment refers to the period of time that a facility communicates its interest in implementing SEP to DOE as the SEP Administrator—before the facility is ready to apply for an SEP audit. The facility fills out the Enrollment Form. Basic facility and contact information is initially collected to provide participants with technical assistance while they are in the process of implementing SEP, such as email updates about the program and access to phone support. Use of this technical assistance is not required for SEP certification, but is available to interested facilities to communicate with DOE and to seek technical assistance about circumstances related to their SEP implementation. This form does not collect energy data or require energy calculations. The SEP Enrollment Form is currently a fillable PDF form that may be submitted electronically.

Enrollment information is collected separately from the Application Form in order to help DOE provide technical assistance to facilities that need it. The Application Form is for facilities that have already completed the SEP implementation process, are ready for their certification audit, and are past the point of needing technical assistance.

Application Form

After a facility has implemented SEP and is ready to pursue a verification audit, the facility fills out the SEP Application Form, which is also a fillable PDF form that may be submitted electronically. The SEP Application gathers data pertaining to the facility’s preliminary estimation of its energy performance improvement and how it was achieved. The respondent will have already developed the requested information as part of their use of the SEP Measurement and Verification Protocol to meet SEP program requirements. No new energy models or calculations are required to fill out the Application form, and the burden to the respondent will be minimal.

This application is required by the ANSI/MSE 50028 standard so that an SEP Verification Body will have enough documentation to initiate an audit and determine if the facility meets SEP certification requirements. The information collected in this form also serves to help DOE administer the program, manage and track certification cycles, and maintain records of expired certifications. The SEP Application Form is currently a fillable PDF form that may be submitted electronically.

SEP Energy Performance Improvement Report

After a facility achieves SEP certification, the SEP Verification Body submits a SEP Energy Performance Improvement Report to the SEP Administrator. The form collects basic information about the energy performance improvement, how it was achieved, and how models were applied from the SEP Measurement and Verification Protocol, and verifies the accuracy of the claims made by the facility on the SEP Application form. The SEP Admin and DOE would use the information here to manage and track certification cycles, maintain records of expired certifications, determine and make public program impacts and energy savings. This two-page form is a spreadsheet-based form that may be submitted electronically.

SEP Voluntary Costs/Benefits Form

This optional form collects additional data about the costs and benefits of SEP. A facility electing to provide this information fills out this form after achieving SEP certification. The SEP Voluntary Costs/Benefits Form is an Excel file that may be submitted electronically. The data collected contains additional data entry fields beyond the SEP Enrollment and Application forms: 1) asking for levels of investment in energy efficiency projects (time and costs), and 2) requesting a breakdown of energy performance at the facility level. This information is not collected in the SEP Enrollment Form, Application Form, or Energy Performance Improvement Report. Information provided in the SEP Cost and Benefits Form will help DOE meet the President’s Executive Order to demonstrate the benefits of investments in energy efficiency. DOE cannot determine the costs and benefits of SEP from the SEP Enrollment and Application forms alone.