1. (a) A description of the type of submetering system to be installed, including a demonstration in all notices and petitions submitted after January 1, 2016, that the submetering system, when installed, will be capable of service termination to individual units. Such description shall include the meter classification according to the manufacturer’s name and proof of each submeter’s conformance to the requirements in Parts 92 and 93 of this Title. Authorization to submeter pursuant to this Part will be, unless modified by commission order, contingent upon use of the named, or an identified comparable submetering system.
2. (b) A description of the methods to be used to calculate the bills for individual residents when submetering is implemented, including the methods to be used to determine that the submetered bills, when rendered, will comply with the rate cap as set forth in this Part.
3. (c) A plan for complying with the provisions of HEFPA. Such plan shall include, but is not limited to, a description or sample of the prospective submeterer’s form to be used to determine residents assets, budget billing form, quarterly billing form, reminder notice, notice to social services of a resident’s inability to pay, final termination notice, final suspension notice, the annual resident notification of rights, bill contents, budget or levelized payment plan, deferred payment agreement, and complaint handling procedures.
4. (d) A “Submeterer Identification Form,” which shall contain the premises’ utility company account number(s) and the name, telephone number and address of the individual or individuals responsible for billing and for resolving resident complaints. For new accounts for which account numbers are not available when the notice of intent to submeter or petition to submeter is filed, account numbers shall be made part of the submeterer identification form when available to the applicant.

5. (e) Where applicable, a description of the method to be used to back out electric charges from rent, which shall include:

   1. (1) a detailed description of how such monthly reduction to rent charges will be calculated; and
   2. (2) a copy of the individual notice provided to residents explaining the basis and methodology for such rent or monthly maintenance reductions.

6. (f) Certification by the prospective submeterer that the following shall be included in plain language in all leases or agreements governing the premises to be submetered, which shall be filed with the commission in the notice of intent to submeter or petition to submeter:

   1. (1) submetering complaint procedures;
   2. (2) the HEFPA rights and responsibilities of residents; and
   3. (3) a provision stating that submetering refunds will be credited to submetered residents affected by the submeterer’s actions that led to such refunds provided that the submeterer has such contact information for such resident.
7. (g) Proof of service that a notice of intent to submeter or petition to submeter was sent from the prospective submeterer to the utility company providing electric service to the premises to be submetered.
8. (h) Documentation sufficient to establish that the refrigerators in all rental dwelling units are no more than 10 years old or meet the most recently adopted Federal energy efficiency standards for such appliances.
9. (i) A description of the electric energy efficiency measures that have been or will be installed.
10. (j) A description of the information and education programs that have been and will be provided to residents on how to reduce electric usage. Such programs shall include information to all residents before submetering commences as well as supplemental information to residents with above-average electricity usage in the first 12 months after submetering has begun.

11. (k) When a notice of intent to submeter or petition to submeter is made with respect to a premises in which 20 percent or more of the residents receive income-based housing assistance, such notice or petition shall include:

    1. (1) the name of each such assistance program in place at the premises, the agency administrator of each such program, the number of residents receiving assistance under each such program, whether the administrator of such program must approve the proposed submetering at such premises and, if so, when such approval was or may be granted;
    2. (2) the utility allowance or rent reduction applicable to residents pursuant to each such assistance program;
    3. (3) proof that an energy audit by a certified energy consultant has been conducted, a description of the energy efficiency plan for the premises, including, but not limited to, a refrigerator replacement plan, other specific conservation and weatherization measures that have been or will be installed, including those sponsored by the New York State Energy Research and Development Authority and/or other organizations, and information and education programs that have been or will be provided to residents on how to reduce electric usage. If a premises owner or operator has participated in a NYSERDA and/or other program to encourage energy efficiency, the prospective submeterer shall provide formal documentation in its notice of intent to submeter or petition to submeter describing the energy efficiency rating its premises has achieved, which appliances will be EnergyStar® rated, and NYSERDA certification that its energy reduction plan is complete.

12. (l) When a proposed conversion to submetering of an electric heat property or submetering in a new electric heat property is addressed through a petition to submeter, such petition shall, unless waived by the commission for good cause shown, include:

    1. (1) a detailed description of the manner and extent to which electric heat is or will be provided to the residential units subject to submetering;
    2. (2) a demonstration that electricity consumption for heating in dwelling units may be controlled by the resident of each unit by the use of programmable thermostats;
    3. (3) either a forecast based on one year of apartment-level shadow billing or a study of actual submetered data from comparably situated buildings. Such forecast or study shall demonstrate that, when submetering is introduced, more than 60 percent of residents are expected to pay less, after accounting for savings from energy efficiency measures, energy conservation, and assistance that may be available from the Home Energy Assistance Program or other energy assistance programs, for the submetered electricity during the first 12 months of electric service than the amount of rent reduction they will receive as a result of the introduction of submetering during this period;
    4. (4) proof that an energy audit by a certified energy consultant has been conducted, a description of the energy efficiency plan for the premises, including, but not limited to, a refrigerator replacement plan, other specific conservation and weatherization measures that have been or will be installed, including those sponsored by the New York State Energy Research and Development Authority and/or other organizations, and information and education programs that have been or will be provided to residents on how to reduce electric usage. If a premises owner or operator has participated in a NYSERDA and/or other program to encourage energy efficiency, the prospective submeterer shall provide formal documentation in its petition to submeter describing the energy efficiency rating its premises has achieved, which appliances will be EnergyStar® rated, and NYSERDA certification that its energy reduction plan is complete;
    5. (5) when the petition to submeter is made with respect to a premises in which at least 25 of the residents receive income-based housing assistance, documentation to establish that the submeterer has registered as a Home Energy Assistance Program (HEAP) vendor. The commission may require, when necessary, that a submeterer become a HEAP vendor;
    6. (6) submetering of electric in new premises shall not be subject to the filing requirements of paragraph (3) or (4) of this subdivision.
13. (m) When a petition to submeter is for a conversion from direct metering to submetering pursuant to section 96.2(b) of this Part, the Petition shall include a demonstration that the building or complex for which submetering is sought will participate in building level demand response programs or will employ on-site co-generation plant or an alternative, advanced energy efficiency design.
14. (n) Such other or further demonstration, documentation, commitment or information which, in an order issued prior to the date on which such notice of intent to submeter or petition to submeter is filed, the commission shall have identified as necessary to a determination that approval of such notice or petition is in the public interest and consistent with the provision of safe and adequate service to residents.

Each notice of intent to submeter or petition to submeter filed pursuant to this Part shall include: