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Department of Industrial and Management Engineering
Indian Institute of Technology Kanpur
5th Capacity Building Programme for
Officers of Electrici ty Regulatory Commiss ions
Forum of Regulators
18 – 23 Oct., 2012
MARKET FOR ENERGY EFFICIENCY:IMPLEMENTING THE PAT SCHEME
Ashok Kumar, Ph.D.Bureau of Energy EfficiencyMinistry of Power
India Primary Energy Demand
1 500 t o e
Other renewables
250
500
750
1 000
1 250 Biomass
Hydro
Nuclear
Gas
Oil
Coal
WEO-2009 Total:
01980 1990 2000 2010 2020 2030
Total primary energy demand in India grows at 3.1% per year on average in 2008‐2035, an
overall increase of 127%
Source: WEO 2010
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India’s Oil ImportHistoric expenditure on net imports of oil as a share of GDP
at market exchange rates (with a projection for 2011)
0%1%2%3%4%5%6%7%8%
9 7 1
9 7 6
9 8 1
9 8 6
9 9 1
9 9 6
0 0 1
0 0 6
0 1 1
India
China
OECD average
2%
3%
4%
5%
6%
7%
8%
1 1 1 1 1 1
0%
1%
1971 1976 1981 1986 1991 1996 2001 2006 2011
Source: WEO 2010
Energy Profile - India
Energy Intensity - Industrial Sector
145
150
155
160
165
170
175
180
185
190
3.05
3.1
3.15
3.2
3.25
3.3
1403
2004-05 2005-06 2006-07 2007-08 2008-09
Energy Intensity of industry sector (mtoe per Billion Rs. GDP)
Commercial energy consumption in Industry (in mtoe)
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India – CO2 Emission Reduction
Efficiency 51%
Renewables 32%
Biofuels 1%
Nuclear 8%
Share of cumulative abatement
between 2010-2035
CCS 8%
Source: IEA
NATIONAL MISSION forENHANCED ENERGY EFFICIENCY (NMEEE)
•T e Nat ona Act on P an on C mate C ange wasreleased by Honorable Prime Minister of India in June2008
•The Action Plan Outlines 8 Missions including NationalMission on Enhanced Energy Efficiency (NMEEE)
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Chronology of NMEEE•30th June 2008 : Hon’able PM releases the NationalAction Plan of Climate Change
•24th August 2009 : PM’s council on Climate Changeapproves NMEEE in principle
•May 2010 : Cabinet approves the financial outlay
•Amendment to EC Act, 2001 passed in both houses of parliament for operationalization of this mandatoryscheme
MISSIONS UNDER NAPCC
•
• National Mission for Enhanced Energy Efficiency• National Mission on Sustainable Habitat
• National Water Mission
• National Mission for Sustaining the Himalayan Ecosystem
• National Mission for a Green India
•
• National Mission for Strategic Knowledge for Climate Change
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THE MISSION GOALS
•Market-based approaches to unlock energy efficiency, . ,
•By 2014-15:
• Annual fuel savings in excess of 23 million toe
• Cumulative avoided electricity capacity addition of 19,000 MW
• CO2 emission mitigation of 98 million tons per year
NMEEE – FOUR INITIATIVES
Stimulate Funding Energy Intensive Industriesfor ESCOs
Targets for Mandatory Energy Saving
PAT EEFP
NMEEE
Fiscal Instrument for EE
PRGF
VCF
Public Procurement
Energy Efficient AppliancesBLY
SEEP
DSM
FEEEDMTEE
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Perform, Achieve & Trade (PAT) Mechanism
• The market based mechanism to enhance the cost effectiveness in improving the Energy Efficiencyin Energy Intensive industries through certification of energy saving which can be traded
Penalize under
Administrator
•S et target and compliance period
Designated Consumers
•8 s ectors T hermal PowerPlant, Steel, Cement, Fertilizer, Pulp &Paper, Textile, Aluminium, Chlor-alkali
Auditing Agencies
•Independent•Monitor, verifyand certify
Market Place
•Transaction of energy efficiencyinstrument
Reward over
achiever
performer
S t a k e h o l d e r s
Market Based Mechanism
Set Targets
•Setting targets on the basis of
current specific energy consumption•Set compliance period•May take into accountLocation, Vintage, Technology, rawmaterials, product mix etc.
Monitoring & verification of targetsby Designated Energy Auditors
(DENA)
•Check if designated consumer has
achieved targets•Underachievement: Obligations tobuy ESCerts or pay penalty
•Overachievement: Issuance of ESCerts for banking for later use ortrade
Trading of ESCerts
•Participation by Designated
consumers on platform provided byPower Exchanges
•Symmetrical flow of information
P r o c e s s e s
I n v o l v e d
PAT steps
Constituted PATPrepared PAT
Conductedstakeholder
Steering committee
Draft Mechanism foroverall structure for
PAT
Collected BaselineData
document
consultationworkshop
Developed rules forimplementation of
PAT based onconsultationworkshops
Approval of NMEEEincluding PAT scheme
by Cabinet
Constituted Sector Technical Committees
for the formulationtarget settingmethodology
Notified rules andtargets for Designated
Consumers
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Getting Information Through Base Line
Format Data Compilation/
Evaluation Target Setting
[Declaration of Base
Year, Target Year ]
PAT Activity Flow Sheet
Communication toDesignated Consumer
Preparation Performance
Assessment Document (PAD or Form A)
Communication to BEE and SDA
Baseline & Target Setting (based on last three years)
(Annual
submission
but the
target
compliance
Verification of PAD through DENA
(Form B) Check Verification of PAD (Form C) through DENA & submission of compliance
doc (Form D).
Issuance of ESCerts after successful M&V
Market for Trade
for three
years)
PAT Scheme : Background & Scope
•Covers 478 designated consumers in 8 sectors
•All DCs consume about 165 mtoeenergy
• Targets would be given to all DCs to achieve the samewithin a time frame
• Achievement >Target ECScerts
• Achievement < Target Purchase ECScerts / Penalty
•National Target = 6.6 mtoe at the end of 1st PAT Cycle(by 2014-15)
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Approach for Setting Targets Depends upon
the Objective of the Scheme
SN Sector
o. o Identified
DCs
epor e Energy
Consumption
are o Consumpti
on
ppor one Energy
reduction (MTOE) (%) (MTOE)
1 Iron & Steel 74 28.25 44.99% 1.588
2 Cement 84 14.50 23.09% 0.815
3 Fertilizers 29 8.20 13.06% 0.461
4 A um n um 10 7.73 12.31 0.435
6 Paper & pulp 31 2.09 3.33% 0.117
6 Textile
90
1.17
1.86% 0.069
7 Chlor‐Alkali 22 0.85 1.35% 0.048
Sub Total 340 62.79 100% 3.53
8 Power (Thermal) 140 104.56 100% 3.10
Total 480 167.35 100% 6.63
Target Calculation Methodology
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BaselineIssued Escerts Penalty
Concept of Target, Compliance, ESCerts
& Penalty
Target
Target
SEC
Achieved SEC
Compliance
Scenario 1 Scenario 2
Escerts
Trading of ESCerts
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Trading of ESCerts
Specific Energy Consumption
• As the SEC is calculated on a Gate-to-Gate concept, the definition of plantboundary plays an important role.
23
PROCESS
Electricity (KWH)
FO (Ltr)
NG (SCM)
Coal (KG)
Others (KG or Ltr)
Product (Kg)
All forms of Energy
E P
=
Baseline SEC
Target SEC
Reduction in SEC
Year 1 Year 2 Year 3
S E C
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General Rules for Establishing Baseline
•Definitions:
• -
• Baseline Production (Pbase) : Avg. of 2007-8, 2008-9 & 2009-10
• Baseline SEC (SECbase) : Avg. of 2007-8, 2008-9 & 2009-10
• Baseline CU% (CUbase) : Avg. of 2007-8, 2008-9 & 2009-10
• Target SEC (SECtarget) : SEC as estimated in 2014-15
• Target : % reduction from SECbase
•Estimation of Energy Saving (MTOE) :
P base ( SEC base – SEC target )
Grouping of DCs
* Captive Power Plant
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•Covers units using about
Target is Plant Specific …… Less for Energy Efficient &
High for Energy Inefficient Plant
165 mill ion toe/year • Gate-to-gate specific energy
consumption, collectively, tobe about 5.5% less in 2013-14 than it wasin 2008-09
• Less efficient units havelarger SEC %-reduction targets– so that the collective SECreduction is 5 5% .
• Energy Savings Certificates (and
penalties) would be based on
difference betw een the achieved SEC& the target SEC and the base year
Production
Major Points
• Target: In % of Specific Energy Consumption
•For ESCerts or Penalty:
• (Baseline Production) x (% change in SEC)
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Example
•SEC in baseline: 10 toe/unit of production
• Target: 4% reduction in SEC
•SEC at the end of 2014-15: 9.6 toe/unit prod
•For ESCerts or Penalty:
• Reduction requirement: 4000 toe
• Case1 (Achieved SEC =9.8): -2000 toe (Penalty)
• Case2 (Achieved SEC =9.4): +2000 toe (ESCerts)
Market Design
•ESCerts are issued
•
• With 1 mToE =1 ESCert
• Banking of ESCerts allowed during each cycle
• 1st cycle ESCerts to 2nd cycle
• 2nd cycle ESCerts to 3rd cycle
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Advanced ESCerts
• Baseline, SEC(b) =10 toe/t
• Tar et, SEC (t) =7 toe/t
• Achieved after year 1, SEC (a) =8.5 toe/t
• Production =10000t
• AFTER YEAR 1
• ESCerts =[(SEC(b) – (SEC (b)– SEC (t))/3) – SEC(a)] x 80% x prod
=((10 – (10-7)/3) – 8.5)) x 0.8 x 10000
=(9-8.5) x 8000 =4000 ESCerts
Revised Target =SEC(t) – (ESCerts/Prod)
=7 – (4000/10000) =6.6 toe/t
Penalty Calculation
P = Wc x Pc + Wo x Po + Wg x Pg + We x Pe-
P =Price of one metric ton of oil equivalent(1mtoe);
Pc=Price of F-grade coal declared by Ministry of Coal;
Po=Price of fuel oil as declared by Ministry of Petroleum & Natural Gas;
Pg=Price of gas as declared by Ministry of Petroleum & Natural Gas;
Pe=Price of electricity;
Wc=Weightage of coal;
Wo=Weightage of oil;
Wg=Weigtage of gas;We=Weigtage of grid electricity
The value of per metric ton of oil equivalent of energy consumed is
Rupees 10154 for the year 2011-12
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Market Design
•Designated Consumers are obligated to improve energy
•Energy Efficiency Targets are %-age reduction in SECexpressed inAbsolute Savings terms• Various plants in an industry clustered on the basis of different parameters
like technology etc
• Each DC will get anenergyefficiency improvement percentage target
• The targetwouldbe converted into absolute energy saving target(in mToE
• The absolute energy saving target (obligations) would be applicable for a
compliance periodof threeyears•Designated consumer canmeet target by
• Undertakingenergy efficiency measures themselves
• Buy ESCerts fromsomeoneelse
Market Design
• Compliance andReporting
• Total compliance period of3 years (march2015)
• Designated Consumers would undertake energy efficiency measures andsubmitannual reports
• If submitted annual reports show over-achievement, ESCerts to be issuedfor level of over-achievement
• Provision of annual reporting along with penalties in case of non-compliance
• After period of 3 years, a complete gate-to-gate measurement to beundertaken for verifying SEC and plant capacity for each DC
•
• DENAs wouldbe organizations,whichmeetminimumcapability norms
• DENAs would beaccreditedand empanelledbyBEE
• BEE will initiate compliance checks on dip-check basis on both DC andAccredited EnergyAuditor
• In case of non-compliance State Designated Agencies to levy penaltieson DC
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Institutional Design
BEEMarket Regulator & AdministratorMoP
SDA DENADesignatedConsumers
(DCs)
Updatedlist of DCsand DENA
Any BaselinesImprovement
AuditedResult of DCs
Any BaselinesImprovement
Audit
Apply forESCerts
through PATAssessmentDocument(PAD)
Issuance of EScerts
Regular
updates
E-filingApply forEmpanelment
PADInformation
Central Registry Trading ExchangeUpdated Obligation
of DCs: Deficit orSurplus
UpdatedESCerts
Account Info
SettlementDetails
ESCerts
Trading
Regular Checks & Levy Penalties in case of
defaults
NORMALIZATION FACTORS
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Normalization Area
Input Primary Energy
[Fuel]
Input Secondary
Energy [Electricity]
Technology &
Environment Standard
Product
PAT
Normalization
Capacity Utilization or
PLFNatural Disaster
Input Primary Energy[Fossil Fuel]
•Use of Biomass and Waste Fuel
•Non Availability of Fuel
•Re-Cycling
•By Product used as Fuel
Plant has to maintain the relevant documents to justify their cause
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Input Secondary Energy[Ex: Electricity, Steam]
•Purchased from Grid
• Through Waste Heat Recovery
•Export to Grid
•Renewable Energy
Capacity Utilization and PLF[Poor Performance]
•Fluctuation due to Scheduling
•Non-availability of fuel or Raw Material
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Raw Material & Product[Quality, Output Type]
•Quality of Raw Material
•Production Semi-finished Product
• Input Semi-finished Product
Environmental Standards and Natural Disaster[Govpolicy]
•Change in Standards
•Natural disaster
•Rioting or social unrest
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IMPLEMENTATION PHASE
Stakeholders
Nodal Statemns ra or
MoP/
Central
Agency
Bureau of Energy
mpemener
Designated
Administrator
StateDesignated
er er
AccreditedEnergy
Govt. c ency gency u or
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ROLE OF DC
1. Preparation of scheme for implementation of efficient use of energy and its conservation
Every Designated Consumer, within three months (30th March,12 - 30th
J une,12) of the issue of notification under sub-rule (6) of rule 4 shallsubmit a scheme to State designated agency with a copy toBureau, which mayinclude: -
Action Plan contain ing inter- alia, a br ief descr iption of identified energy saving measures to comply energyconsumption norms and standards by the target year.
The estimated cost of each identified energy savingmeasures.
Implementat ion plan to achieve energy consumption normsand standards through implementation of energy savingmeasures or through purchaseof energy sav ings cer tif icates .
Role of DC
2. Procedure for Monitoring and Verification
• re aration and maintenance of uarterl and earl data reports by the designated consumers forfollowing:• on the performance of plant and production processes;
•on the outcome of internal field audits of plant andproduction processes
• regarding a year-wise reporton production achieved, energy
consumed, and specific energy consumptionachieved, specific energy consumption reductionachieved, measures adopted for energy conservation andquantityof energysaved
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Role of DC
3. Assessmentof Performance• Every DC within three months of the conclusion of the target
year from the baseline year shall submit to the SDA with acopy to the Bureau, the performance assessment document(PAD) in Form ‘A’, duly verified together with certificate in Form‘B’given bytheAccredited EnergyAuditor (AEA).
• The DC within 3 months after the end of first or second year of ‘ ’
BEE for issuance of proportionate energy saving certificates
covering the performance for a period not less than one yearfromthe date of notification specifying the energy consumptionnorms and standards duly verified together with form ‘B’ givenbyAEA alongwith documents mentioned in sub-rule(1).
Role of AEA for verification of Form ‘A’
•Shall assess the correctness of the information providedb the designated consume regarding the compliancewith energyconsumption norms andstandards.
•Shall report the results of assessment and his opinionalong with the supportingdocuments.
• ,BEE shall consider thatall the requirements with regard tothe compliance with energy consumption norms andstandards, entitlement about issue or liability to purchaseenergysavings certificate have been met.
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Role of SDA
•After submission of duly verified Form ‘A’ by designated,
comments, if any, on Form ‘A’ to the Bureau within fifteendays of the last date ofsubmissionofForm‘A’
Recommendation for issue of energysavings certificates
•
verification report, and check-verification report, whereversought by it, send its recommendation to the CentralGovernment, based on the claim raised by the designatedconsumer in Form ‘A’, within ten working days from the lastdate of submission of said Form ‘A’ by the concerned statedesi nated a enc , fo issuance of ener savin s certificates.
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Procedure for issue of ESCerts•Central Govt. after receiving recommendation from Bureauissue ESCerts of desired value to DC within 15 working days.
•ESCerts shall only be in electronic form
•1 ESCerts= 1 toe
• The DC who has been issued energy savings certificatesmay sell them through the power exchange.
•ESCerts issued in current cycle shall remain valid till.
•ESCerts purchased by DC for compliance shall after their
submission to Bureau stand expire.
Accredited Energy Auditor forVerification and Check Verification
Registered under Partnership act 1932 or Company act 1956 or anyother legal entity competent to sue or to be sued shall be entitled toun er a e ver ca on or c ec ver ca on process :
oHas at least 1 AEA
oHas 3 energy auditors
oHas expertise of field studies
oHas minimum turnover of 10 Lakh rupees in at least one of previous 3years or in case of newly formed organization, a net worth of 10 Lakh
.
• Bureau shall invite applications fromthe firms for the work of verificationandcheck verification
• Selected applicants shall be issued a certificate of empanelment andunique identification number.
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Obligation of AEA
•AEA shall constitute a teamcomprising teamhead andothermembers including experts.
•A person who was employed in DC within previous 4yrs shall notbe eligible
•Any firm or company or other legal entity who wasinvolved in energy audit in any DC within previous 4yrs shall notbe eligible forsuchDC
•
free of potential conflictof interest
•AEA shall have documented system for preparing theplan for verification or CV which should contain thetask required to carried out in each type of activity, interms of man days.
Obligation of AEA
• The name and Bio data of team members shall be
• Team shall be provided by AEA with concerneddocuments indicating their full responsibilities withlimitations to concerned DC
•AEA shall ensure the confidentiality of allinformation & data obtained or created during
ver ca on o c ec ver ca on•AEA shall submit the check verification reporttogether with certificate in Form-C to Bureau.
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Check Verification
The Bureau may on its own or receipt of a complaint within 1y from date of submission of compliance report o within sixmonth from the date of issue of ESCerts whichever is latershall initiate action for review of compliance report whichincludes:
a) Issuing a notice to DC and AEA asking for comment within
10working days.
,shall after taking into consideration the said
comments, decide to undertake or not to undertake reviewand the Bureau shall record the reasons in writing for itsdecision;
Check VerificationIf Bureaudecides totake review:
• it shall appoint an AEA who has not perormed the veri ication unctions withrespecttothe concerned DC toconductthe check-verification.
• on a complaint, the said check-verification shall be carried out at the cost of the complainant.
• The said accredited energy auditor shall assess and verify that the activitieserformed b the DC for com liance with the ener consum tion norms and
standards are in accordance with these rules.
• The DC shall furnish full and complete data, provide necessary documentsand other facilities required by the AEA for the purpose of performing thefunctionof check-verification under these rules.
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Check Verification• The AEA in-charge of check-verification function shall report the
results of his assessment ina check-verification reportto BEE.
• If he has a positive opinion, it shall be concluded that all therequirements have beenmet.
• If he has a negative opinion the effect of such opinion on the energyconsumption norms and standards, issue or purchase of energysavings certificate, the liability of the AEA giving the verification report
verification report shall be calculated by the AEA conducting the
check-verification.
• The AEA in-charge of check-verification shall submit his report withdue certification in Form ‘C’ to the Bureau and the concerned StateDesignated Agency.
Amount Payable by DC
•Value of amount payable by DC shall be as worked out inre or PLUS 25% o such value because of unfai racticeused by DC
•Amount of toe of energy specified because of unfair gain
•Cost of check-verification
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http://slidepdf.com/reader/full/6-dr-ashok-kumar-pat-for-cerc-memebers-at-iit-kanpur-18-19-oct-2012 29/30
10/11/20
Details provided by Bureau to SDA
•No. of ESCerts wron full obtained b DC
•No. of ESCerts which DC was liable to purchase for non-compliance
•Details of misrepresentation & unfair gain due tomisrepresentation.
•Cost of check verification
Penalties Proceedings (After CheckVerification)
Within2 month fromdata of receipt of FormC
shall initiate:
•Action to recover from DC the loss to central Govt. by unfairgain
•Penalty proceedings against persons mention in report underintimation to BEE
•Re iste com lain fo unfai ain i DC doesn’ a enalt &loss to exchequer inspecified time
7/28/2019 6 - Dr. Ashok Kumar - PAT for CERC Memebers at IIT Kanpur 18-19 Oct. 2012
http://slidepdf.com/reader/full/6-dr-ashok-kumar-pat-for-cerc-memebers-at-iit-kanpur-18-19-oct-2012 30/30
10/11/20
Timeline & activity chart of DC
Mandatory Voluntary
Submission of Form 1 Oncein a 30th J une NA NAyear
Submission of Form A(Performance AssessmentDocument)
Once in 3years
30th J une2015
BeforeComplianceyear
30th J une
Submission of Form B(Verification by DENA)
Once in 3years
30th J une2015
BeforeComplianceyear
30th J une
ssuanceo ers nce n ayear
ug e oreComplianceyear
ug
Submission of Form D(Performance ComplianceDocument)
Once in 3years
30th Nov2015
NA NA
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