Article 1 — ENERGY BUILDING REGULATIONS

10-101. Scope.

(a) This article contains administrative regulations relating to the energy building regulations in Title 24, Part 6. This article applies to all residential and nonresidential buildings.

(b) Nothing in this article lessens any necessary qualifications or responsibilities of licensed or registered building professionals or other designers or builders, or the duties of enforcement agencies, that exist under state or local law.

(c) If any provision of the regulations in this article or the Building Energy Efficiency Standards, Title 24, Part 6, of the California Code of Regulations is found invalid by a court of competent jurisdiction, the remainder of these regulations shall remain in effect. Authority: Sections 25402 and 25402.1, Public Resources Code.

Reference: Sections 25402 and 25402.1, Public Resources Code.

HISTORY:

1. New Article 1 (Section 1401) filed 5-3-76; effective thirtieth day thereafter (Register 76, No. 19).

2. Amendment filed 8-17-77; designated effective 3-11-78 (Register 77, No. 34).

3. Repealer of Article 1 (Section 1401) and new Article 1 (Sections 1401-1408, not consecutive) filed 12-9-81; designated effective 7-1-82 (Register 81, No. 50).

4. Amendment filed 12-27-84; designated effective 1-1-85 pursuant to Government Code Section 11346.2 (d) (Register 84, No. 52).

10-102. Definitions. In this article the following definitions apply:

ACCEPTANCE REQUIREMENTS are “acceptance requirements for code compliance” as defined in Section 100.1(b) of Part 6.

ACCEPTANCE TEST TECHNICIAN (ATT) is a Field Technician as defined in Section 10-102 who is certified by an authorized Acceptance Test Technician Certification Provider to perform acceptance testing of either lighting controls or mechanical systems pursuant to the requirements of Sections 10-103.1 or 10-103.2, respectively. ATTs are authorized to perform only those acceptance tests for which they are certified by an ATTCP; ATTs certified to perform acceptance testing of lighting controls are sometimes referred to as “lighting control ATTs,” and ATTs certified to perform acceptance testing of mechanical systems are sometimes referred to as “mechanical ATTs.” (See “Field Technician” and “Acceptance Test Technician Certification Provider.”)

ACCEPTANCE TEST EMPLOYER (ATE) is a person or entity who employs an Acceptance Test Technician and is certified by an authorized Acceptance Test Technician Certification Provider pursuant to the requirements of Sections 10-103.1 or 10-103.2. ATEs are authorized to employ only those ATTs for which they are certified by an ATTCP; ATEs certified to employ ATTs that perform acceptance testing of lighting controls are sometimes referred to as “lighting control ATEs,” and ATEs certified to employ ATTs that perform acceptance testing of mechanical systems are sometimes referred to as “mechanical ATEs.” (See “Acceptance Test Technician” and “Acceptance Test Technician Certification Provider.”)

ACCEPTANCE TEST TECHNICIAN CERTIFICATION PROVIDER (ATTCP) is an agency, organization or entity approved by the Energy Commission to train, certify and oversee ATTs and ATEs relating to either lighting controls or mechanical systems according to the requirements of Sections 10-103.1 or 10-103.2, respectively. ATTCPs are authorized to certify only those ATTs and ATEs for which they are approved by the Energy Commission; ATTCPs approved to certify ATTs and ATEs relating to the acceptance testing of lighting controls are sometimes referred to as “lighting control ATTCPs,” and ATTCPs approved to certify ATTs and ATEs relating to the acceptance testing of mechanical systems are sometimes referred to as “mechanical ATTCPs.” (See “Acceptance Test Technician” and “Acceptance Test Employer.”)

NOTE: Authority cited: Sections 25402, 25402.1 and 25213, Public Resources Code. Reference: Sections 25007, 25402(a)-(b), 25402.1, 25402.4, 25402.5, 25402.8 and 25910, Public Resources Code.

ACM means ALTERNATIVE CALCULATION METHOD and are compliance software, or alternative component packages, or exceptional methods approved by the Commission under Sections 10-109 and 10-116. ACMs are also referred to as Compliance Software.

ACM REFERENCE MANUAL is the document establishing the procedures required to implement Sections 140.1 and 150.1 of Title 24, Part 6 of the California Code of Regulations in Compliance Software.

ADDITIONALITY is a property of solar offsets whereby the offset causes additional benefits beyond what would occur as a result of all other actions, and which would exclusively benefit the building or property for which the offset substitutes for compliance obligations that would otherwise be required for that building or property, and those benefits would not ever be transferred to other buildings or property.

ALTERNATIVE COMPONENT PACKAGE is a set of building measures whose aggregate calculated energy use is less than or equal to the maximum allowed Energy Budget.

APPLIANCE EFFICIENCY REGULATIONS are the regulations in Title 20, Section 1601 et seq. of the California Code of Regulations.

APPROVED CALCULATION METHOD is compliance software, or alternative component packages, or exceptional methods approved under Section 10-109.

BUILDING ENERGY EFFICIENCY STANDARDS are those regulations contained in Title 24, Part 6 of the California Code of Regulations, also referenced as the Energy Code .

BUILDING PERMIT is an electrical, plumbing, mechanical, building or other permit or approval, that is issued by an enforcement agency, and that authorizes any construction that is subject to Part 6.

CALIFORNIA ENERGY COMMISSION is the California State Energy Resources Conservation and Development Commission.

COMMISSION is the State Energy Resources Conservation and Development Commission.

COMPLEX MECHANICAL SYSTEM is defined here for the purposes of complying with the Design Phase Review component of Section 10-103(a)1. Complex Mechanical Systems are systems that include 1) fan systems each serving multiple thermostatically controlled zones, or 2) built-up air handler systems (non-unitary or nonpackaged HVAC equipment), or 3) hydronic or steam heating systems, or 4) hydronic cooling systems. Complex systems are NOT the following: unitary or packaged equipment listed in Tables 112-A, 112-B, 112-C and 112-E that each serve one zone, or two-pipe, heating only systems serving one or more zones.

COMPLIANCE APPROACH is any one of the allowable methods by which the design and construction of a building may be demonstrated to be in compliance with Part 6. The compliance approaches are the performance compliance approach and the prescriptive compliance approach. The requirements for each compliance approach are set forth in Section 100.0(e)2 of Part 6.

COMPLIANCE DATA EXCHANGE FILE is an Extensible Markup Language (XML) file that contains compliance data used to populate a compliance document. The Compliance Data Exchange File is part of the Compliance Registration Package.

COMPLIANCE DOCUMENT is any of the documents specified in Section 10-103(a) utilized to demonstrate compliance with Part 6 (i.e., Certificate of Compliance, Certificate of Installation, Certificate of Acceptance and Certificate of Verification).

COMPLIANCE REGISTRATION PACKAGE means digitally signed or encrypted digital data that is transmitted to or from a data registry that contains the data required for registering a compliance document with a data registry, including the compliance data exchange file. A commonly used method is the Zip file format, a data compression and archiving specification that is in the public domain. Files transmitted to or from a data registry using the Zip file format shall be password protected as described in JA7.6.3.2.7. COMPLIANCE SOFTWARE is software that has been approved pursuant to Section 10-109 of Part 1.

CONDITIONED FLOOR AREA is the “conditioned floor area” as defined in Section 100.1(b) of Part 6.

CRRC-1 is the Cool Roof Rating Council document entitled “Product Rating Program.”

DATA REGISTRY is a web service with a user interface and database maintained by a Registration Provider that complies with the applicable requirements in Reference Joint Appendix JA7, with guidance from the Data Registry Requirements Manual, and provides for registration of residential or nonresidential compliance documentation used for demonstrating compliance with Part 6.

RESIDENTIAL DATA REGISTRY is a data registry that is maintained by an ECC-Provider that provides for registration, when required by Part 6 of all residential compliance documentation and the nonresidential Certificate of Verification, and complies with the data maintenance requirements of Section 10-103.3.

NONRESIDENTIAL DATA REGISTRY is a data registry that is maintained by a Registration Provider approved by the Commission that provides for registration, when required by Part 6 of all nonresidential compliance documentation, excluding all Certificates of Acceptance recorded by an acceptance test technician certification provider (Sections 10-103.1 and 10-103.2). However, nonresidential data registries may not provide for registration of nonresidential Certificates of Verification.

DATA REGISTRY REQUIREMENTS MANUAL is a document that provides additional detailed guidance regarding the functional and technical aspects of the data registry requirements given in Joint Appendix JA7.

DOCUMENTATION AUTHOR is a person who prepares a Title 24 Part 6 compliance document that must subsequently be reviewed and signed by a responsible person in order to certify compliance with Part 6.

ENERGY BUDGET is the maximum energy consumption that a proposed building, or portion of a building, can be designed to consume, calculated using Commission-approved compliance software as specified in Section 10-109 of the Energy Code and the Alternative Calculation Method Reference Manual. The energy budget for the newly constructed buildings is expressed in terms of the long-term system cost (LSC) and source energy. The energy budget for additions and alterations is expressed in terms of LSC.

n be designed to consume, calculated using Commission-approved compliance software as specified in Section 10-109 of the Energy Code and the Alternative Calculation Method Reference Manual. The energy budget for the newly constructed buildings is expressed in terms of the long-term system cost (LSC) and source energy. The energy budget for additions and alterations is expressed in terms of LSC.

ENERGY CODE COMPLIANCE (ECC) PROGRAM is the program for field verification and diagnostic testing for residential construction as set forth in Section 10-103.3 to verify the newly constructed buildings and additions and alterations to existing buildings comply with the requirements of the Energy Code .

ECC-PROVIDER is an organization approved by the Commission to administer the ECC program pursuant to the requirements of Section 10-103.3.

ECC-RATER is a person trained, tested, and certified by an ECC-Provider to perform field verification and diagnostic testing for the ECC program pursuant to the requirements of Section 10-103.3.

ECC-RATER COMPANY is an organization certified by an ECC-Provider to offer field verification and diagnostic testing services by the ECC-Rater Company’s ECC-Raters for the ECC program pursuant to the requirements of Section 10-103.3.

EXEMPLARY ECC-RATER is an ECC-Rater that has achieved the status of “Exemplary” as set forth in Section 10-103.3(d)5B.

ENERGY COMMISSION is the California State Energy Resources Conservation and Development Commission.

ENFORCEMENT AGENCY is the city, county or state agency responsible for issuing a building permit.

EXCEPTIONAL METHOD is a method for estimating the energy performance of building features that cannot be adequately modeled using existing Compliance Software and that is approved by the Executive Director.

EXECUTIVE DIRECTOR is the Executive Director of the Commission.

FIELD TECHNICIAN is a person who performs acceptance tests in accordance with the specifications in Reference Nonresidential Appendix NA7, and reports the results of the acceptance tests on the Certificate of Acceptance in accordance with the requirements of Section 10-103(a)4.

HVAC SYSTEM is the “HVAC system” as defined in Section 100.1(b) of Part 6.

LONG-TERM SYSTEM COST (LSC) is the CEC-projected present value of costs to California’s energy systems over a period of 30 years. LSC does not represent a prediction of individual utility bills.

MANUFACTURED DEVICE is the “manufactured device” as defined in Section 100.1(b) of Part 6.

NFRC 100 is the National Fenestration Rating Council document entitled “NFRC 100: Procedure for Determining Fenestration Product U -factors” (2017). NFRC 100 includes procedures for the Component Modeling Approach (CMA) and site built fenestration formerly included in a separate document, NFRC 100-SB.

NFRC 200 is the National Fenestration Rating Council document entitled “NFRC 200: Procedure for Determining Fenestration Product Solar Heat Gain Coefficients and Visible Transmittance at Normal Incidence” (2017).

NFRC 202 is the National Fenestration Rating Council document entitled “NFRC 202: Procedures for Determining Translucent Fenestration Product Visible Transmittance at Normal Incidence” (2017).

NFRC 203 is the National Fenestration Rating Council document entitled “NFRC 203: Procedure for Determining Visible Transmittance of Tubular Daylighting Devices” (2017).

NFRC 400 is the National Fenestration Rating Council document entitled “NFRC 400: Procedure for Determining Fenestration Product Air Leakage” (2017).

PART 6 is Title 24, Part 6 of the California Code of Regulations.

PUBLIC ADVISER is the Public Adviser of the Commission.

R -VALUE is the measure of the thermal resistance of insulation or any material or building component expressed in ft[2] -hr-°F/Btu.

RECORD DRAWINGS are drawings that document the as-installed location and performance data on all lighting and space conditioning system components, devices, appliances and equipment, including but not limited to wiring sequences, control sequences, duct and pipe distribution system layout and sizes, space conditioning system terminal device layout and air flow rates, hydronic system and flow rates, and connections for the space conditioning system. Record drawings are sometimes referred to as “as built” drawings.

REFERENCE APPENDICES is the support document for the Building Energy Efficiency Standards. The document consists of three sections: the Reference Joint Appendices (JA), the Reference Residential Appendices (RA) and the Reference Nonresidential Appendices (NA) currently adopted by the Energy Commission.

REFERENCE JOINT APPENDICES are the Reference Joint Appendices currently adopted by the Energy Commission.

REFERENCE NONRESIDENTIAL APPENDICES are the Reference Nonresidential Appendices currently adopted by the Energy Commission.

REFERENCE RESIDENTIAL APPENDICES are the Reference Residential Appendices currently adopted by the Energy Commission.

REGISTERED COMPLIANCE DOCUMENT is a compliance document that has been submitted to a residential or nonresidential data registry for retention, been verified as valid with an XML schema approved by the Commission, and gone through the registration process so that the registered document displays all applicable electronic signatures as well as the Registration Provider's digital certificate and the document's unique registration number. The image of the registered document is accessible for printing or viewing by authorized users of the data registry. The registered document’s unique visible registration number is appended onto the document image by the data registry.

REGISTRATION PROVIDER is an organization that administers a data registry service that conforms to the requirements in Reference Joint Appendix JA7.

SOURCE ENERGY is defined as the long run marginal source energy of fossil fuels that are combusted as a result of building energy consumption considering the long-term effects of Commission-projected energy resource procurement. For a given hour, the value in that hour for each forecasted year is averaged to establish a lifetime average source energy.

STANDARD DESIGN BUILDING is a “Standard Design Building” as defined in Section 100.1(b) of Part 6.

TRIENNIAL CODE CYCLE is the three-year period for which a particular cycle of California’s building codes is effective, as used and defined by State Building Standards Law and the California Building Standards Commission pursuant to Health and Safety Code Section 18901 et seq.

Authority: Sections 25402, 25402.1 and 25213, Public Resources Code.

Reference: Sections 25007, 25008, 25218.5, 25310, 25402, 25402.1, 25402.4, 25402.5, 25402.8 and 25943, Public Resources Code. HISTORY:

1. Amendment filed 12-27-84; designated effective 1-1-85 pursuant to Government Code Section 11346.2 (d) (Register 84, No. 52).

2. Amendment filed 12-4-86; effective thirtieth day thereafter (Register 87, No. 1).

3. (CEC 1/92) Regular order by the California Energy Commission to amend Section 10-102, Part 1, Title 24, California Code of Regulations. Filed with the secretary of state June 12, 1992; publication date July 15, 1992; effective 30 days thereafter. Approved as a regular order by the California Building Standards Commission on June 8, 1992.

4. (CEC 1/94) Regular order by the California Energy Commission to amend Section 10-102, Part 6, Title 24, California Code of Regulations. Filed with the secretary of state May 24, 1995; effective 30 days thereafter. Approved as a regular order by the California Building Standards Commission on May 23, 1995.

10-103. Permit, certificate, informational and enforcement requirements for designers, installers, builders, manufacturers and suppliers.

(a) Documentation. For all buildings other than healthcare facilities, the following documentation is required to demonstrate compliance with Part 6.This documentation shall meet the requirements of Section 10-103(a) or alternatives approved by the Executive Director. Healthcare facilities shall instead comply with the applicable provisions of Chapter 7.

1. Certificate of Compliance. For all buildings, the Certificate of Compliance described in Section 10-103 shall be signed by the person who is eligible under Division 3 of the Business and Professions Code to accept responsibility for the building design ( responsible person ); and submitted in accordance with Sections 10-103(a)1 and 10-103(a)2 to certify conformance with Part 6. If more than one person has responsibility for the building design, each person shall sign the Certificate of Compliance document(s) applicable to that portion of the design for which the person is responsible. Alternatively, the person with chief responsibility for the building design shall prepare and sign the Certificate of Compliance document(s) for the entire building design. Subject to the requirements of Sections 10-103(a)1 and 10-103(a)2, persons who prepare Certificate of Compliance documents ( documentation authors ) shall sign a declaration statement on the documents they prepare to certify the information provided on the documentation is accurate and complete. In accordance with applicable requirements of 10-103(a)1, the signatures provided by responsible persons and documentation authors shall be original signatures on paper documents or electronic signatures on electronic documents conforming to the electronic signature specifications in Reference Joint Appendix JA7.

For all nonresidential buildings, the Design Review Kickoff Certificate(s) of Compliance and the Construction Document Design Review Checklist Certificate(s) of Compliance shall be reviewed and signed by a licensed professional engineer or licensed architect, or a licensed contractor representing services performed by or under the direct supervision of a licensed engineer or architect, as specified in the provisions of Division 3 of the Business and Professions Code . For buildings less than 10,000 square feet, this signer may be the engineer or architect of record. For buildings greater than 10,000 square feet but less than 50,000 square feet, this signer shall be a qualified in-house engineer or architect with no other project involvement or a third-party engineer, architect or contractor. For buildings greater than 50,000 square feet and all buildings with complex mechanical systems serving more than 10,000 square feet, this signer shall be a third-party engineer, architect or contractor.

square feet but less than 50,000 square feet, this signer shall be a qualified in-house engineer or architect with no other project involvement or a third-party engineer, architect or contractor. For buildings greater than 50,000 square feet and all buildings with complex mechanical systems serving more than 10,000 square feet, this signer shall be a third-party engineer, architect or contractor.

• A. All Certificate of Compliance documentation shall conform to a format and informational order and content approved by the Energy Commission.

  • These documents shall:

  • i. Identify the energy features, performance specifications, materials, components and manufactured devices required for compliance with Part 6.

  • ii. Identify the building project name and location. The building project name and location identification on the Certificate of Compliance shall be consistent with the building project name and location identification given on the other applicable building design plans and specifications submitted to the enforcement agency for approval with the building permit application.

  • iii. Display the unique registration number assigned by the data registry if Section 10-103(a)1 requires the document to be registered.

  • iv. Include a declaration statement to the effect that the building energy features, performance specifications, materials, components and manufactured devices for the building design identified on the Certificate of Compliance indicate the building is in compliance with the requirements of Title 24, Parts 1 and 6, and the building design features identified on the Certificate of Compliance are consistent with the building design features identified on the other applicable compliance documents, worksheets, calculations, plans and specifications submitted to the enforcement agency for approval with the building permit application.

  • v. Be signed by the documentation author to certify the documentation is accurate and complete. When document registration is required by Section 10-103(a)1, the signature shall be an electronic signature on an electronic document in accordance with the electronic signature specifications in Reference Joint Appendix JA7.

  • vi. Be signed by the responsible person eligible under Division 3 of the Business and Professions Code to accept responsibility for the design to certify conformance with Part 6. When document registration is required by Section 10-103(a)1, the signature shall be an electronic signature on an electronic document in accordance with the electronic signature specifications in Reference Joint Appendix JA7.

• B. For all low-rise residential buildings for which compliance requires field verification, the person(s) responsible for the Certificate(s) of Compliance shall submit the Certificate(s) and their associated Compliance Registration Packages for registration and retention to an ECC-Provider data registry in compliance with Section 10-103.3. The submittals to the ECC-Provider data registry shall be made electronically in accordance with the specifications in Reference Joint Appendix JA7.

the person(s) responsible for the Certificate(s) of Compliance shall submit the Certificate(s) and their associated Compliance Registration Packages for registration and retention to an ECC-Provider data registry in compliance with Section 10-103.3. The submittals to the ECC-Provider data registry shall be made electronically in accordance with the specifications in Reference Joint Appendix JA7.

Contingent upon availability and approval of an electronic document repository by the Executive Director, Certificate of Compliance documents and their associated Compliance Registration Packages that are registered and retained by an ECC-Provider data registry shall also be automatically transmitted by the data registry in compliance with Section 10-103.3, to an electronic document repository for retention in accordance with the specifications in Reference Joint Appendix JA7.

• C. For alterations to existing residential buildings for which field verification is not required, including but not limited to water heater and window replacements, and for additions to existing residential buildings that are less than 300 square feet for which field verification is not required, the enforcement agencies may at their discretion not require any Certificate of Compliance documentation, or may develop simplified Certificate of Compliance documentation for demonstrating compliance with the Standards.

  • Allowances by enforcement agencies to not require compliance documentation shall not be deemed to grant

  • authorization for any work to be done in any manner in violation of this code or other provisions of law.

• D. Contingent upon approval of data registry(s) by the Commission, all nonresidential buildings, high-rise residential buildings, and hotels and motels, when designated to allow use of an occupancy group or type regulated by Part 6 the person(s) responsible for the Certificate(s) of Compliance shall submit the Certificate(s) and their associated Compliance Registration Packages for registration and retention to a data registry approved by the Commission. The submittals to the approved data registry shall be made electronically in accordance with the specifications in Reference Joint Appendix JA7.

Contingent upon availability and approval of an electronic document repository by the Executive Director, Certificate of Compliance documents and their associated Compliance Registration Packages that are registered and retained by an approved data registry shall also be automatically transmitted by the data registry to an electronic document repository for retention in accordance with the specifications in Reference Joint Appendix JA7.

2. Application for a building permit. Each application for a building permit subject to Part 6 shall contain at least one copy of the documents specified in Sections 10-103(a)2A, 10-103(a)2B and 10-103(a)2C.

• A. For all newly constructed buildings, additions, alterations or repairs regulated by Part 6 the applicant shall submit the applicable Certificate(s) of Compliance to the enforcement agency for approval. The certificate(s) shall conform to the requirements of Section 10-103(a)1, and shall be approved by the local enforcement agency, in accordance with all applicable requirements of Section 10-103(d), by stamp or authorized signature prior to issuance of a building permit. A copy of the Certificate(s) of Compliance shall be included with the documentation the builder provides to the building owner at occupancy as specified in Section 10-103(b).

For alterations to existing residential buildings for which field verification is required, and when the enforcement agency does not require building design plans to be submitted with the application for a building permit, the applicable Certificate of Compliance documentation specified in Section 10-103(a)1 is not required to be approved by the enforcement agency prior to issuance of a building permit, but shall be approved by the enforcement agency prior to final inspection of the dwelling unit, and shall be made available to the enforcement agency for all applicable inspections, or made available for viewing on an approved data registry.

When the enforcement agency requires building design plans to be submitted with the application for a building permit, the applicable Certificate of Compliance documents shall be incorporated into the building design plans. When Section 10-103(a)1 requires document registration, the certificate(s) that are incorporated into the building design plans shall be copies of the registered Certificate of Compliance documents from an ECC-Provider data registry, or a data registry approved by the Commission.

• B. When the enforcement agency requires building design plans and specifications to be submitted with the application for a building permit, the plans shall conform to the specifications for the features, materials, components and manufactured devices identified on the Certificate(s) of Compliance, and shall conform to all other applicable requirements of Part 6. Plans and specifications shall be submitted to the enforcement agency for any other feature, material, component or manufactured device that Part 6 requires be indicated on the building design plans and specifications. Plans and specifications submitted with each application for a building permit for nonresidential buildings, high-rise residential buildings and hotels and motels shall provide acceptance requirements for code compliance of each feature, material, component or manufactured device when acceptance requirements are required under Part 6. Plans and specifications for nonresidential buildings, high-rise residential buildings and hotels and motels shall require, and indicate with a prominent note on the plans, that within 90 days after the Enforcement Agency issues a permanent final occupancy permit, record drawings be provided to the building owner.

  • For all buildings, if the specification for a building design feature, material, component or manufactured device is

• changed before final construction or installation, such that the building may no longer comply with Part 6 the building must be brought back into compliance, and so indicated on amended plans, specifications, and Certificate(s) of Compliance that shall be submitted to the enforcement agency for approval. Such characteristics shall include the efficiency (or other characteristic regulated by Part 6) of each building design feature, material, component or device.

• C. The enforcement agency shall have the authority to require submittal of any supportive documentation that was used to generate the Certificate(s) of Compliance, including but not limited to the electronic input file for the compliance software tool that was used to generate performance method Certificate(s) of Compliance; or any other

supportive documentation that is necessary to demonstrate that the building design conforms to the requirements of Part 6.

3. Certificate of Installation. For all buildings, the person in charge of the construction or installation, who is eligible under Division 3 of the Business and Professions Code to accept responsibility for the construction or installation of features, materials, components or manufactured devices regulated by Part 6 or the Appliance Efficiency Regulations ( responsible person ) shall sign and submit Certificate of Installation documentation as specified in Section 10-103(a)3 to certify conformance with Part 6. If more than one person has responsibility for the construction or installation, each person shall sign and submit the Certificate of Installation documentation applicable to the portion of the construction or installation for which they are responsible; alternatively, the person with chief responsibility for the construction or installation shall sign and submit the Certificate of Installation documentation for the entire construction or installation scope of work for the project. Subject to the requirements of Section 10-103(a)3, persons who prepare Certificate of Installation documentation ( documentation authors ) shall sign a declaration statement on the documents they prepare to certify the information provided on the documentation is accurate and complete. In accordance with applicable requirements of 10-103(a)3, the signatures provided by responsible persons and documentation authors shall be original signatures on paper documents or electronic signatures on electronic documents conforming to the electronic signature specifications in Reference Joint Appendix JA7.

   • A. Delegation of Signature Authority. Except where prohibited by law, including but not limited to any requirements under Division 3 of the Business and Professions Code , the Responsible Person may delegate signature authority to third parties ( Authorized Representatives ) provided that there is a written agreement:

     • i. Between the Responsible Person and the person to be designated as the Authorized Representative .

     • ii. Specifying that the Authorized Representative may sign Certificates of Installation on behalf of the Responsible Person .

• iii. Specifying that the legal responsibility for construction or installation in the applicable classification for the scope of work specified on the Certificate of Installation document(s) remains with the Responsible Person.

  - iv. That is signed by both the _Responsible Person_ and the _Authorized Representative_ . 
  
  - v. That is retained by the ECC-Provider to which all compliance documents are submitted for the building to which the Certificate of Installation documentation pertains. 
  
  - vi. That is maintained in the ECC-Provider data registry such that it is accessible for verification by, including but not limited to, the Energy Commission and enforcement agencies. 
  

  • B. Format. All Certificate of Installation documentation shall conform to a format and informational order and content approved by the Energy Commission.

These documents shall:

• i. Identify the features, materials, components, manufactured devices and system performance diagnostic results required to demonstrate compliance with Part 6 and the Appliance Efficiency Regulations.

• ii. State the number of the building permit under which the construction or installation was performed.

• iii. Display the unique registration number assigned by the data registry if Section 10-103(a)3 requires the document to be registered.

• iv. Include a declaration statement indicating that the constructed or installed features, materials, components or manufactured devices (the installation) identified on the Certificate of Installation conform to all applicable codes and regulations, and the installation conforms to the requirements given on the plans and specifications approved by the enforcement agency.

• v. Be signed by the documentation author to certify the documentation is accurate and complete. When document registration is required by Section 10-103(a)3, the signature shall be an electronic signature on an electronic document in accordance with the electronic signature specifications in Reference Joint Appendix JA7.

• vi. Be signed by the Responsible Person eligible under Division 3 of the Business and Professions Code to accept responsibility for construction or installation in the applicable classification for the scope of work specified on the Certificate of Installation document(s), or shall be signed by their Authorized Representative . When document registration is required by Section 10-103(a)3, the signature shall be an electronic signature on an electronic document in accordance with the electronic signature specifications in Reference Joint Appendix JA7.

• C. For all low-rise residential buildings, the person(s) responsible for the Certificate(s) of Installation, or their Authorized Representative(s), shall submit the following Certificate of Installation documentation and their associated Compliance Registration Packages that are applicable to the building to an ECC-Provider data registry for registration and retention in accordance with Section 10-103.3 and procedures specified in Reference Residential Appendix RA2:

• i. All Certificates of Installation for which compliance requires field verification.

• ii. All other Certificates of Installation, except those not required by the Energy Commission. The submittals to the ECC-Provider data registry shall be made electronically in accordance with the specifications

• in Reference Joint Appendix JA7.

Contingent upon availability and approval of an electronic document repository by the Executive Director, Certificate of Installation documents and their associated Compliance Registration Packages that are registered and retained by an ECC-Provider data registry in compliance with Section 10-103.3 shall also be automatically transmitted by the data registry to an electronic document repository for retention in accordance with the specifications in Reference Joint Appendix JA7.

• D. For alterations to existing residential buildings for which field verification is not required, including but not limited to water heater and window replacements, and for additions to existing residential buildings that are less than 300 square feet for which field verification is not required, the enforcement agencies may at their discretion not require any Certificate of Installation documentation, or may develop simplified Certificate of Installation documentation for demonstrating compliance with the Standards.

  • Allowances by enforcement agencies to not require compliance documentation shall not be deemed to grant

  • authorization for any work to be done in any manner in violation of this code or other provisions of law.

• E. Contingent upon approval of data registry(s) by the Commission, all nonresidential buildings, high-rise residential buildings, and hotels and motels, when designated to allow use of an occupancy group or type regulated by Part 6 the person(s) responsible for the Certificate(s) of Installation, except those documents not required by the Energy Commission, shall submit the Certificate(s) and their associated Compliance Registration Packages for registration and retention to a data registry approved by the Commission. The submittals to the approved data registry shall be made electronically in accordance with the specifications in Reference Joint Appendix JA7.

Contingent upon availability and approval of an electronic document repository by the Executive Director, Certificate of Installation documents and their associated Compliance Registration Packages that are registered and retained by an approved data registry shall also be automatically transmitted by the data registry to an electronic document repository for retention in accordance with the specifications in Reference Joint Appendix JA7.

f an electronic document repository by the Executive Director, Certificate of Installation documents and their associated Compliance Registration Packages that are registered and retained by an approved data registry shall also be automatically transmitted by the data registry to an electronic document repository for retention in accordance with the specifications in Reference Joint Appendix JA7.

• F. Availability. For all buildings, a copy of the Certificate(s) of Installation shall be posted, or made available with the building permit(s) issued for the building, or made available for viewing on an approved data registry, and shall be made available to the enforcement agency for all applicable inspections. When document registration is required by Section 10-103(a)3, registered copies of the Certificate(s) of Installation from an ECC-Provider data registry or a data registry approved by the Commission shall be posted or made available with the building permit(s) issued for the building, and shall be made available to the enforcement agency for all applicable inspections. If construction on any portion of the building subject to Part 6 will be impossible to inspect because of subsequent construction, the enforcement agency may require the Certificate(s) of Installation to be posted upon completion of that portion. A copy of the Certificate(s) of Installation shall be included with the documentation the builder provides to the building owner at occupancy as specified in Section 10-103(b).

ortion of the building subject to Part 6 will be impossible to inspect because of subsequent construction, the enforcement agency may require the Certificate(s) of Installation to be posted upon completion of that portion. A copy of the Certificate(s) of Installation shall be included with the documentation the builder provides to the building owner at occupancy as specified in Section 10-103(b).

4. Certificate of Acceptance. For all nonresidential buildings, high-rise residential buildings and hotels and motels, when designated to allow use of an occupancy group or type regulated by Part 6 the person in charge of the acceptance testing, who is eligible under Division 3 of the Business and Professions Code to accept responsibility for the applicable scope of system design, or construction, or installation of features, materials, components or manufactured devices regulated by Part 6 or the Appliance Efficiency Regulations ( responsible person ), shall sign and submit all applicable Certificate of Acceptance documentation in accordance with Section 10-103(a)4 and Reference Nonresidential Appendix NA7 to certify conformance with Part 6. If more than one person has responsibility for the acceptance testing, each person shall sign and submit the Certificate of Acceptance documentation applicable to the portion of the construction or installation for which they are responsible; alternatively, the person with chief responsibility for the system design, construction or installation shall sign and submit the Certificate of Acceptance documentation for the entire construction or installation scope of work for the project. Subject to the requirements of Section 10-103(a)4, persons who prepare Certificate of Acceptance documentation ( documentation authors ) shall sign a declaration statement on the documents they prepare to certify the information provided on the documentation is accurate and complete. Persons who perform acceptance test procedures in accordance with the specifications in Reference Nonresidential Appendix NA7, and report the results of the acceptance tests on the Certificate of Acceptance ( field technicians ) shall sign a declaration statement on the documents they submit to certify the information provided on the documentation is true and correct. In accordance with applicable requirements of Section 10103(a)4, the signatures provided by responsible persons, field technicians and documentation authors shall be original signatures on paper documents or electronic signatures on electronic documents conforming to the electronic signature specifications in Reference Joint Appendix JA7.

   • A. All Certificate of Acceptance documentation shall conform to a format and informational order and content approved by the Energy Commission.

These documents shall:

• i. Identify the features, materials, components, manufactured devices and system performance diagnostic results required to demonstrate compliance with the acceptance requirements to which the applicant must conform as indicated in the plans and specifications submitted under Section 10-103(a)2, and as specified in Reference Nonresidential Appendix NA7.

• ii. State the number of the building permit under which the construction or installation was performed.

• iii. Display the unique registration number assigned by the data registry if Section 10-103(a)4 requires the document to be registered.

  • iv. Include a declaration statement indicating that the features, materials, components or manufactured devices identified on the Certificate of Acceptance conform to the applicable acceptance requirements as indicated in the plans and specifications submitted under Section 10-103(a), and with applicable acceptance requirements and procedures specified in the Reference Nonresidential Appendix NA7, and confirms that Certificate(s) of Installation described in Section 10-103(a)3 has been completed and is posted or made available with the building permit(s) issued for the building, or made available for viewing on an approved data registry.

  • v. Be signed by the documentation author to certify the documentation is accurate and complete. When document registration is required by Section 10-103(a)4, the signature shall be an electronic signature on an electronic document in accordance with the electronic signature specifications in Reference Joint Appendix JA7.

  • vi. Be signed by the field technician who performed the acceptance test procedures and reported the results on the Certificate of Acceptance. When document registration is required by Section 10-103(a)4, the signature shall be an electronic signature on an electronic document in accordance with the electronic signature specifications in Reference Joint Appendix JA7.

  • vii. Be signed by the responsible person in charge of the acceptance testing who is eligible under Division 3 of the Business and Professions Code to accept responsibility for the system design, construction or installation in the applicable classification for the scope of work identified on the Certificate of Acceptance, or shall be signed by their authorized representative. When document registration is required by Section 10-103(a)4, the signature shall be an electronic signature on an electronic document in accordance with the electronic signature specifications in Reference Joint Appendix JA7.

• B. Contingent upon approval of data registry(s) by the Commission, all nonresidential buildings, high-rise residential buildings, and hotels and motels, when designated to allow use of an occupancy group or type regulated by Part 6 the person(s) responsible for the Certificate(s) of Acceptance shall submit the Certificate(s) and their associated Compliance Registration Packages for registration and retention to a data registry approved by the Commission, excluding all Certificates of Acceptance recorded by an acceptance test technician certification provider (Sections 10-103.1 and 10-103.2). The submittals to the approved data registry shall be made electronically in accordance with the specifications in Reference Joint Appendix JA7.

ted Compliance Registration Packages for registration and retention to a data registry approved by the Commission, excluding all Certificates of Acceptance recorded by an acceptance test technician certification provider (Sections 10-103.1 and 10-103.2). The submittals to the approved data registry shall be made electronically in accordance with the specifications in Reference Joint Appendix JA7.

Contingent upon availability and approval of an electronic document repository by the Executive Director, Certificate of Acceptance documents and their associated Compliance Registration Packages that are registered and retained by an approved data registry shall also be automatically transmitted by the data registry, to an electronic document repository for retention in accordance with the specifications in Reference Joint Appendix JA7.

• C. A copy of the Certificate(s) of Acceptance shall be posted, or made available with the building permit(s) issued for the building, and shall be made available to the enforcement agency for all applicable inspections. If construction on any portion of the building subject to Part 6 will be impossible to inspect because of subsequent construction, the enforcement agency may require the Certificate(s) of Acceptance to be posted upon completion of that portion. A copy of the Certificate(s) of Acceptance shall be included with the documentation the builder provides to the building owner at occupancy as specified in Section 10-103(b).

5. Certificate of Field Verification and Diagnostic Testing (Certificate of Verification). For all buildings for which compli-

ance requires field verification, a certified ECC-Rater shall conduct all required field verification and diagnostic testing in accordance with applicable procedures specified in Reference Appendices RA2, RA3, NA1, and NA2. All applicable Certificates of Verification documentation shall be completed, signed and submitted by the certified ECC-Rater who performed the field verification and diagnostic testing services ( responsible person ) in accordance with the requirements of Section 10103(a)5, and Reference Appendices RA2 and NA1, to certify conformance with Part 6. If more than one rater has responsibil-

ity for the verification for the building, each rater shall sign and submit the Certificate of Verification documentation applicable to the portion of the building for which they are responsible. Subject to the requirements of Section 10-103(a)5, persons who prepare Certificate of Verification documentation ( documentation authors ) shall sign a declaration statement on the documents they prepare to certify the information provided on the documentation is accurate and complete. The signatures provided by responsible persons and documentation authors shall be electronic signatures on electronic documents.

• A. Format. All Certificate of Verification documentation shall conform to a format and informational order and content approved by the Energy Commission.

  • These documents shall:

• i. Identify the installed features, materials, components, manufactured devices or system performance diagnostic results that require verification for compliance with Part 6 as specified on the Certificate(s) of Compliance for the building.

• ii. State the number of the building permit under which the construction or installation was performed.

• iii. Display the unique registration number assigned by the ECC-Provider data registry, and provide any additional information required by Reference Appendices RA2, RA3, NA1, and NA2.

• iv. Include a declaration statement indicating that the installed features, materials, components or manufactured devices requiring verification conform to the applicable requirements in Reference Appendices RA2, RA3, NA1, NA2, and the requirements specified on the Certificate(s) of Compliance approved by the local enforcement

agency, and confirms the same features, materials, components or manufactured devices are identified on the applicable Certificate(s) of Installation signed and submitted by the person(s) responsible for the construction or installation as described in Section 10-103(a)3.

• v. Be signed by the documentation author to certify the documentation is accurate and complete. The signatures shall be electronic signatures on electronic documents in accordance with the electronic signature specifications in Reference Joint Appendix JA7.

• vi. Be signed by the ECC-Rater who performed the field verification and diagnostic testing services ( responsible person ). The signatures shall be electronic signatures on electronic documents in accordance with the electronic signature specifications in Reference Joint Appendix JA7.

• B. For all buildings for which compliance requires field verification, the certified ECC-Rater responsible for the Certificate(s) of Verification shall submit the Certificates and their associated Compliance Registration Packages for registration and retention to an ECC-Provider data registry in accordance with the applicable procedures in Reference Appendices RA2 and NA1, and in compliance with Section 10-103.3.

  • The submittals to the ECC-Provider data registry shall be made electronically in accordance with the specifications

  • in Reference Joint Appendix JA7.

Contingent upon availability and approval of an electronic document repository by the Executive Director, Certificate of Verification documents and their associated Compliance Registration Packages that are registered and retained by an ECC-Provider data registry in accordance with Section 10-103.3 shall also be automatically transmitted by the data registry, to an electronic document repository for retention in accordance with the specifications in Reference Joint Appendix JA7.

e Executive Director, Certificate of Verification documents and their associated Compliance Registration Packages that are registered and retained by an ECC-Provider data registry in accordance with Section 10-103.3 shall also be automatically transmitted by the data registry, to an electronic document repository for retention in accordance with the specifications in Reference Joint Appendix JA7.

• C. Availability. For all buildings, a copy of the registered Certificate(s) of Verification shall be posted, or made available with the building permit(s) issued for the building, or made available for viewing on an approved data registry, and shall be made available to the enforcement agency for all applicable inspections. If construction on any portion of the building subject to Part 6 will be impossible to inspect because of subsequent construction, the enforcement agency may require the Certificate(s) of Verification to be posted upon completion of that portion. A copy of the registered Certificate(s) of Verification shall be included with the documentation the builder provides to the building owner at occupancy as specified in Section 10-103(b).

Exception to Section 10-103(a): Enforcing agencies may not require nonresidential buildings that have no more than 1,000 square feet of conditioned floor area in the entire building and an occupant load of 49 persons or less to comply with the documentation requirements of Section 10-103(a), provided a statement of compliance with Part 6 is submitted and signed by a licensed engineer or the licensed architect with chief responsibility for the design.

(b) Compliance, operating, maintenance and ventilation information to be provided by builder.

1. Compliance information.

   • A. For low-rise residential buildings, at final inspection, the enforcement agency shall require the builder to leave in the building, copies of the completed, signed and submitted compliance documents for the building owner at occupancy. For low-rise residential buildings, such information shall, at a minimum, include copies of all Certificate of Compliance, Certificate of Installation and Certificate of Verification documentation submitted. These documents shall be in paper or electronic format and shall conform to the applicable requirements of Section 10-103(a).

   • B. For nonresidential buildings, high-rise residential buildings and hotels and motels, at final inspection, the enforcement agency shall require the builder to leave in the building, copies of the completed, signed and submitted compliance documents for the building owner at occupancy. For nonresidential buildings, high-rise residential buildings and hotels and motels, such information shall include copies of all Certificate of Compliance, Certificate of Installation, Certificate of Acceptance and Certificate of Verification documentation submitted. These documents shall be in paper or electronic format and shall conform to the applicable requirements of Section 10-103(a).

ncy. For nonresidential buildings, high-rise residential buildings and hotels and motels, such information shall include copies of all Certificate of Compliance, Certificate of Installation, Certificate of Acceptance and Certificate of Verification documentation submitted. These documents shall be in paper or electronic format and shall conform to the applicable requirements of Section 10-103(a).

2. Operating information. At final inspection, the enforcement agency shall require the builder to leave in the building, for the building owner at occupancy, operating information for all applicable features, materials, components and mechanical devices installed in the building. Operating information shall include instructions on how to operate the features, materials, components and mechanical devices correctly and efficiently. The instructions shall be consistent with specifications set forth by the Executive Director. For low-rise residential buildings, such information shall be contained in a folder or manual which provides all information specified in Section 10-103(b). This operating information shall be in paper or electronic format.

For dwelling units, buildings or tenant spaces that are not individually owned and operated, or are centrally operated, such information shall be provided to the person(s) responsible for operating the feature, material, component or mechanical device installed in the building. This operating information shall be in paper or electronic format.

3. Maintenance information. At final inspection, the enforcement agency shall require the builder to leave in the building, for the building owner at occupancy, maintenance information for all features, materials, components and manufactured devices that require routine maintenance for efficient operation. Required routine maintenance actions shall be clearly stated and incorporated on a readily accessible label. The label may be limited to identifying, by title and/or publication number, the operation and maintenance manual for that particular model and type of feature, material, component or

manufactured device. For low-rise residential buildings, this information shall include a schedule of all interior luminaires and lamps installed to comply with Section 150.0(k).

For dwelling units, buildings or tenant spaces that are not individually owned and operated or are centrally operated, such information shall be provided to the person(s) responsible for maintaining the feature, material, component or mechanical device installed in the building. This information shall be in paper or electronic format.

4. Ventilation information.

   • A. For low-rise and high-rise residential buildings, the enforcement agency shall require the builder to leave the following information in the building, for the building owner at occupancy:

     • i. A description of the quantities of outdoor air that the whole-dwelling unit ventilation system(s) are designed to provide to the building’s conditioned space, and instructions for proper operation and maintenance of the ventilation system.

• ii. Instructions for proper operation and maintenance of local exhaust systems, including instructions for conditions for which any occupant-controlled systems such as kitchen range hoods and bathroom exhaust fans should be used.

  - iii. For systems in buildings or tenant spaces that are not individually owned and operated by the dwelling unit occupants, the building’s owner or their representative shall provide a copy of the ventilation system information to dwelling occupants at the beginning of their occupancy. For systems in buildings or tenant spaces that are centrally operated, all applicable ventilation system information shall be provided to the person(s) responsible for operating and maintaining the feature, material, component or mechanical ventilation device installed in the building. This information shall be in paper or electronic format. 
  

  • B. For nonresidential buildings, and hotels and motels, the enforcement agency shall require the builder to provide the building owner at occupancy a description of the quantities of outdoor and recirculated air that the ventilation systems are designed to provide to each area. For buildings or tenant spaces that are not individually owned and operated or are centrally operated, such information shall be provided to the person(s) responsible for operating and maintaining the feature, material, component or mechanical device installed in the building. This information shall be in paper or electronic format.

(c) Equipment information to be provided by manufacturer or supplier. The manufacturer or supplier of any manufactured device shall, upon request, provide to building designers and installers information about the device. The information shall include the efficiency (and other characteristics regulated by Part 6). This information shall be in paper or electronic format.

(d) Enforcement agency requirements.

1. Permits. An enforcement agency shall not issue a building permit for any construction unless the enforcement agency determines in writing that the construction is designed to comply with the requirements of Part 6 that are in effect on the date the building permit was applied for. The enforcement agency determination shall confirm that the documentation requirements of Sections 10-103(a)1 and 10-103(a)2 have been met.

If a building permit has been previously issued, there has been no construction under the permit, and the permit has expired, the enforcement agency shall not issue a new permit unless the enforcement agency determines in writing that the construction is designed to comply with the requirements of Part 6 in effect on the date the new permit is applied for. The enforcement agency determination shall confirm that the documentation requirements of Sections 10-103(a)1 and 10103(a)2 have been met.

“Determines in writing” includes, but is not limited to, approval of a building permit with a stamp normally used by the enforcement agency.

2. Inspection. The enforcement agency shall inspect newly constructed buildings and additions, and alterations to existing buildings to determine whether the construction or installation is consistent with the agency's approved plans and specifications, and complies with Part 6. Final certificate of occupancy shall not be issued until such consistency and compliance is verified. For Occupancy Group R-3, final inspection shall not be complete until such consistency and compliance is verified.

Such verification shall include determination that:

• A. All installed features, materials, components or manufactured devices, regulated by the Appliance Efficiency Regulations or Part 6 are indicated, when applicable, on the Certificate(s) of Installation, Certificate(s) of Acceptance and Certificate(s) of Verification, and are consistent with such features, materials, components or manufactured devices given in the plans and specifications and the Certificate(s) of Compliance approved by the local enforcement agency.

• B. All required Certificates of Installation are posted, or made available with the building permit(s) issued for the building, or made available for viewing on an approved data registry, and are made available to the enforcement agency for all applicable inspections, and that all required Certificates of Installation conform to the specifications of Section 10-103(a)3.

• C. All required Certificates of Acceptance are posted, or made available with the building permit(s) issued for the building and are made available to the enforcement agency for all applicable inspections, and that all required Certificates of Acceptance conform to the specifications of Section 10-103(a)4.

• D. All required Certificates of Verification are posted, or made available with the building permit(s) issued for the building, or made available for viewing on an approved data registry, and are made available to the enforcement agency

for all applicable inspections, and that all required Certificates of Verification conform to the specifications of Section 10-103(a)5.

Authority: Sections 25402 and 25402.1, Public Resources Code.

Reference: Section 25402, Public Resources Code.

HISTORY:

1. Amendment of subsection (e) filed 1-19-84; effective thirtieth day thereafter (Register 84, No. 3).

2. Amendment filed 12-27-84; designated effective 1-1-85 pursuant to Government Code Section 11346.2 (d) (Register 84, No. 52).

3. Editorial correction of subsection (b) filed 2-5-85; effective upon filing pursuant to Government Code Section 11346.2 (d) (Register 85, No. 6).

4. Amendment of subsection (a) filed 12-4-86; effective thirtieth day thereafter (Register 87, No. 1).

5. (CEC 1/92) Regular order by the California Energy Commission to amend Section 10-103, Part 1, Title 24, California Code of Regulations. Filed with the secretary of state June 12, 1992; publication date July 15, 1992; effective 30 days thereafter. Approved as a regular order by the California Building Standards Commission on June 8, 1992.

6. (CEC 2/94) Regular order by the California Energy Commission to amend Section 10-103 (a) 1, 2, 3 and 4; (b) 1, 2 and 3; (d) 2, Part 1, Title 24, California Code of Regulations. Filed with the secretary of state May 24, 1995; effective 30 days thereafter. Approved as a regular order by the California Building Standards Commission on May 23, 1995.

10-103.1. Nonresidential lighting controls acceptance test training and certification.

(a) Scope. The requirements of this section apply to Acceptance Test Technicians (ATTs) and Acceptance Test Employers (ATEs), and Acceptance Test Technician Certification Providers (ATTCPs) that perform work relating to the acceptance testing of nonresidential lighting systems and controls.

(b) Industry certification threshold. ATT and ATE certification requirements shall take effect when the Energy Commission finds that each of the following conditions are met. Until such time that Sections 10-103.1(b)1 and 10-103.1(b)2 are met, or if, subsequent to being met, they cease to be maintained, Field Technicians may complete acceptance testing as specified in Part 6, Sections 130.4 and 160.5(e) without meeting the certification requirements specified in Part 1, Section 10-103.1.

1. Number of certified ATTs. There shall be no less than 300 ATTs certified to perform the lighting acceptance tests in Building Energy Efficiency Standards, Sections 130.4 and 160.5(e). The number of certified ATTs shall be submitted to the Energy Commission in the annual reports prepared by ATTCPs, as specified in Section 10-103.1(d)1.

2. Industry coverage by ATTCPs. The ATTCPs approved by the Energy Commission, in their entirety, shall provide reasonable access to certification to the following industry groups: electrical contractors, certified general electricians, licensed architects, professional engineers, controls installation and startup contractors and certified commissioning professionals who have verifiable training, experience and expertise in lighting controls and electrical systems. The Energy Commission will determine whether reasonable access to certification is provided by considering factors such as certification costs commensurate with the complexity of the training being provided, certification marketing materials, prequalification criteria, class location and availability, and curriculum.

(c) Qualifications and approval of ATTCPs. ATTCPs shall submit a written application to the Energy Commission with a summary and the related background documents to explain how the following criteria and procedures have been met:

1. Organizational Structure. ATTCPs shall provide written explanations of the organization type, by-laws and ownership structure. ATTCPs shall explain in writing how their certification program meets the qualification requirements of Title 24, Part 1, Section 10-103.1(c). ATTCPs shall explain in their application to the Energy Commission their organizational structure and their procedures for independent oversight, quality assurance, supervision and support of the acceptance test training and certification processes.

2. Certification of ATEs. The ATTCPs shall provide written explanations of their certification and oversight of ATEs. This explanation shall document how the ATTCP ensures that ATEs are providing quality control and appropriate supervision and support for their ATTs.

• A. Recertification. The ATTCP shall recertify all ATEs prior to the implementation of each adopted update to the Building Energy Efficiency Standards as these updates affect the acceptance test requirements. Recertification requirements and procedures shall only apply to those specific elements that are new or modified in future updates to Building Energy Efficiency Standards.

3. Training and Certification Procedures. ATTCPs shall include with their application a complete copy of all training and testing procedures, manuals, handbooks and materials. ATTCPs shall explain in writing how their training and certification procedures include, but are not limited to, the following:

   • A. Training scope. The scope of the training shall include both hands-on experience and theoretical training to certify competency in the technologies and skills necessary to perform the acceptance tests.

   • B. ATT training.

     • i. Curricula. ATTCP training curricula for ATTs shall include, but not be limited to, the analysis, theory and practical application of the following:

       • a. Lamp and ballast systems;

       • b. Line voltage switching controls;

       • c. Low voltage switching controls;

       • d. Dimming controls;

       • e. Occupancy sensors;

     • f. Photosensors;

     • g. Demand responsive signal inputs to lighting control systems;

     • h. Building Energy Efficiency Standards required lighting control systems;

     • i. Building Energy Efficiency Standards required lighting control system-specific analytical/problem solving skills;

     • j. Integration of mechanical and electrical systems for Building Energy Efficiency Standards required lighting control installation and commissioning;

     • k. Safety procedures for low-voltage retrofits (< 50 volts) to control line voltage systems (120 to 480 volts);

     • l. Accurate and effective tuning, calibration and programming of Building Energy Efficiency Standards required lighting control systems;

     • m. Measurement of illuminance according to the Illuminating Engineering Society’s measurement procedures as provided in the IES Lighting Library;

     • n. Building Energy Efficiency Standards lighting controls acceptance testing procedures; and

     • o. Building Energy Efficiency Standards acceptance testing compliance documentation for lighting controls.

   • ii. Hands-on training. The ATTCP shall describe in its application the design and technical specifications of the laboratory boards, equipment and other elements that will be used to meet the hands-on requirements of the training and certification.

   • iii. Prequalification. Participation in the certification program shall be limited to persons who have at least three years of professional experience and expertise in lighting controls and electrical systems as determined by the Lighting Controls ATTCPs.

     • Note: ATTCPs may specify additional qualifications for participation in their programs, such as limiting participation to persons that are not currently listed as “decertified” by another ATTCP.

• iv. Instructor to Trainee Ratio. The ATTCP shall document in its application to the Energy Commission why its instructor to trainee ratio is sufficient to ensure the integrity and efficacy of the curriculum and program based on industry standards and other relevant information.

  • v. Tests. The ATTCP shall describe the written and practical tests used to demonstrate each certification applicant’s competence in all specified subjects. The ATTCPs shall retain all results of these tests for five years from the date of the test.

  • vi. Recertification. The ATTCP shall recertify all ATTs prior to the implementation of each adopted update to the Building Energy Efficiency Standards when these updates affect the acceptance test requirements. Recertification requirements and procedures shall only apply to those specific elements that are new or modified in future updates to Building Energy Efficiency Standards. The ATTCP shall develop recertification training curricula for ATTs consistent with training requirements in Sections 10-103.1(c)3A and 10-103.1(c)3B, and shall submit the proposed recertification training curricula to the Energy Commission for review and approval in the update report required under Section 10-103.1(d)2.

• C. ATE Training. Training for ATEs shall consist of a single class or webinar consisting of at least four hours of instruction that covers the scope and process of the acceptance tests in Building Energy Efficiency Standards, Sections 130.4 and 160.5(e).

• D. Complaint procedures. The ATTCPs shall describe in their applications to the Energy Commission procedures for accepting and addressing complaints regarding the performance of any ATT or ATE certified by the ATTCP, and explain how building departments and the public will be notified of these proceedings.

• E. Decertification procedures. The ATTCPs shall describe in its applications to the Energy Commission procedures for revoking their certification of ATTs and ATEs based upon poor quality or ineffective work, failure to perform acceptance tests, falsification of documents, failure to comply with the documentation requirements of these regulations or other specified actions that justify decertification. The ATTCP shall also describe its general procedures for decertified ATTs or ATEs seeking to regain their certification status, including eligibility requirements for recertification (if any).

• F. Quality assurance and accountability. The ATTCP shall describe in its application to the Energy Commission its procedures for conducting quality assurance and accountability activities, including but not limited to the following:

• i. The ATTCP shall include quality assurance and accountability measures, including but not limited to independent oversight of the certification materials, processes and procedures, visits to building sites where certified technicians are completing acceptance tests, certification process evaluations, and expert review of the training curricula developed for Building Energy Efficiency Standards, Sections 130.4 and 160.5(e). Independent oversight may be demonstrated by accreditation under the ISO/IEC 17024 standard.

• ii. The ATTCP shall review a random sample of no less than 1 percent of each ATT’s completed compliance forms.

• iii. The ATTCP shall perform audits by meeting either of the following:

• a. The ATTCP shall perform randomly selected on-site audits of no less than 1 percent of each ATT’s completed acceptance tests.

        - b. The ATTCP shall shadow audit each ATT at an ATTCP training facility at least once per code cycle where the ATTCP shall observe the performance of the ATT on at least five functional tests for which the ATT is certified. The shadow audit must replicate field conditions for installed equipment and controls in a building. The ATTCP training facility shall be setup to allow auditing of all functional tests for which the ATT is certified. The shadow audits must be in addition to any testing used for ATT recertification. 
  
  - G. **Certification identification number and verification of ATT and ATE certification status.** The ATTCP shall describe in its application to the Energy Commission its procedures for recording, tracking and communicating certification status, including but not limited to the following: 
  
     - i. Upon certification of an ATT or ATE, the ATTCP shall issue a unique certification identification number to the ATT or ATE. 
  
     - ii. The ATTCP shall maintain an accurate public record of the certification status for all ATTs and ATEs that the ATTCP has certified, including any ATTs or ATEs who have been decertified as specified in Section 10-103.1(c)3E. 
  
     - iii. The ATTCP shall provide verification of current ATT certification status upon request to authorized document Registration Provider personnel or enforcement agency personnel to determine the ATT's eligibility to sign Certificate of Acceptance documentation according to all applicable requirements in Sections 10-103.1, 10-102, 10-103(a)4, and the Reference Joint Appendix JA7. 
  
  - H. **Electronic database system** . The ATTCP shall maintain, or by suitable contractual requirements cause to be maintained, an electronic database system approved by the Energy Commission. The electronic database system shall be capable of all the following: 
  
     - i. Support all activities for the ATTCP to comply with its quality assurance program as required by Section 10-103.1(c)3F. 
  
     - ii. For no less than five years, record and preserve all certificates of acceptance offered for certification by the ATTCP and as performed by its own certified ATTs.
  

• iii. Allow the transmission of electronic copies of each completed certificate of acceptance to the ATT that performed the test, the ATE associated with that ATT or both.

        - a. Each page of each certificate of acceptance shall bear the logo of the ATTCP or other identifying insignia as approved by the Energy Commission. 
  
        - b. The electronic copy shall be capable of being printed. 
  
        - c. The ATTCP may apply to the Energy Commission for approval to use alternative compliance documents that differ from those approved for use by the Energy Commission but must demonstrate that these alternative compliance documents do not differ in format, informational order or content from approved compliance documents. 
  
     - iv. Provide a means of verifying any certificate of acceptance to the enforcement agency having jurisdiction as identified on the certificate of acceptance. 
  
     - v. Provide the Energy Commission with any of the following project data or documents upon request: project address, permit numbers, acceptance test technician and acceptance test employee certification numbers, certificates of acceptance, compliance forms, installation forms and record of quality assurance review. The Energy Commission may adopt an Application Programming Interface (API) for providing data electronically. Within one year of development of an API, the ATTCP’s electronic database system shall have the ability to transfer project data to the Energy Commission through the API upon completion of the project or at established intervals no longer than monthly. 
  
  - I. **Compliance document recording and repository reporting requirement.** 
  
     - i. The ATTCP shall record all certificates of compliance [Section 10-103(a)1], certificates of installation [Section 10-103(a)3] and certificates of acceptance [Section 10-103(a)4] associated with any acceptance test specified in Part 6, Sections 130.4 and 160.5(e). 
  
     - ii. Contingent upon Energy Commission approval of the threshold [Section 10-103.1(b)] and upon availability and approval of an electronic document repository by the Executive Director, the ATTCP shall submit monthly data transfer packets to the Energy Commission to an electronic document repository for retention consistent with Energy Commission instructions. 
  

• (d) Requirements for ATTCPs to provide regular reports. The ATTCP shall provide the following regular reports to the Energy

• Commission:

  1. Annual report. The ATTCP shall provide an annual report to the Energy Commission that includes the following:

     • A. A summary of the certification services provided over the reporting period, including the total number of Acceptance Test Technicians and Employers certified by the ATTCP during the reporting period and to date.

     • B. A summary of all actions taken against any ATT or ATE as a result of the complaint or quality assurance procedures described by the ATTCP as required under Section 10-103.1(c)3D and 10-103.1(c)3F.

• C. A summary of the quality assurance and accountability activities conducted over the reporting period, including the compliance forms reviewed and the on-site audits performed as required under Section 10-103.1(c)3Fii during the reporting period and to date.

  • D. A summary of the number and type of acceptance tests performed in each local jurisdiction over the reporting period and to date.

  • E. A signed certification to the Energy Commission that the ATTCP continues to meet the requirements of Section 10-103.1.

2. Update report. The ATTCP shall have no less than six months following the adoption of an update to the Building Energy Efficiency Standards to prepare an update report. The ATTCP shall submit an update report to the Energy Commission no less than six months prior to the effective date of any newly adopted update to the Building Energy Efficiency Standards. The ATTCP shall report to the Energy Commission what application amendments are proposed, to address changes to the Building Energy Efficiency Standards or to ensure training is reflective of the variety of lighting controls that are currently encountered in the field. All required update reports shall contain a signed certification that the ATTCP continues to meet the requirements of Section 10-103.1. Update reports shall be approved through the Amendment Process provided under Section 10-103.1(f).

All required reports shall contain a signed certification that the ATTCP has met all requirements for this program.

(e) Application review and determination. The Energy Commission shall review ATTCP applications according to the criteria and procedures in Section 10-103.1(c) to determine if such providers meet the specified requirements for providing acceptance testing certification services.

1. Energy Commission staff will review and validate all information received on ATTCP applications, and determine whether the application is complete and contains sufficient information to be evaluated by staff. Complete applications shall be evaluated by staff based on their contents.

2. The Executive Director may require that the applicant provide additional information as required by staff to fully evaluate the ATTCP application.

3. The Executive Director shall provide a copy of the staff evaluation to interested persons and provide a reasonable opportunity for public comment.

4. The Executive Director shall issue a written recommendation that the Energy Commission designate the applicant as an authorized ATTCP or deny the application.

5. The Energy Commission shall make a final decision on the application at a publicly-noticed hearing.

• (f) Amendment Process. The ATTCP may amend a submitted or approved application, as follows:

1. Amendment Scope.

   • A. Nonsubstantive Changes. A nonsubstantive change is a change that does not substantively alter the requirements of the application materials for the ATTCP, ATT or ATE. For amendments making only nonsubstantive changes, the ATTCP shall submit the following:

     • i. A letter describing the change to the Energy Commission as an addendum to the application;

• ii. A replacement copy of the affected sections of the ATTCP application with the changes incorporated; and

  • iii. A copy of the affected sections of the ATTCP application showing the changes in underline and strikeout format.

  • B. Substantive Changes. A substantive change is a change that substantively alters the requirements of the application materials for the ATTCP, ATT or ATE. For amendments making any substantive changes, the ATTCP shall submit the following:

    • i. A document describing the scope of the change to the application, the reason for the change and the potential impact to the ATTCP, ATT and ATE as an addendum to the application;

    • ii. A replacement copy of the affected sections of the ATTCP application with the changes incorporated; and

    • iii. A copy of the affected sections of the ATTCP application showing the changes in underline and strikeout format.

2. Amendment Review. Amendments submitted prior to approval of an ATTCP application shall be included in the application’s Application Review and Determination process specified in Section 10-103.1(e).

Amendments submitted after approval of an ATTCP’s application that contain only nonsubstantive changes shall be reviewed by the Executive Director for consistency with Section 10-103.1. Amendments determined to be consistent with this section shall be incorporated into the approval as errata.

Amendments submitted after approval of an ATTCP’s application that contain any substantive changes shall be subject to the Application Review and Determination process specified in Section 10-103.1(e). If the Energy Commission finds that the amended application does not meet the requirements of Section 10-103.1, then the ATTCP shall either abide by the terms of their previously approved application or have their approval suspended.

(g) Review by the Energy Commission. If the Energy Commission determines there is a violation of these regulations or that an ATTCP is no longer providing adequate certification services, the Energy Commission may revoke the authorization of the ATTCP pursuant to Section 1230 et seq. of Title 20 of the California Code of Regulations.

Authority: Sections 25402, 25402.1, 25213, Public Resources Code.

References: Sections 25007, 25008, 25218.5, 25310, 25402, 25402.1, 25402.4, 25402.5, 25402.8 and 25943, Public Resources Code.

10-103.2. Nonresidential mechanical acceptance test training and certification.

(a) Scope. The requirements of this section apply to Acceptance Test Technicians (ATTs), Acceptance Test Employers (ATEs) and Acceptance Test Technician Certification Providers (ATTCPs) that perform work relating to the acceptance testing of nonresidential mechanical systems and controls.

(b) Industry Certification Threshold. ATT and ATE certification requirements shall take effect when the Energy Commission finds that each of the following conditions are met. Until such time that Sections 10-103.2(b)1 and 10-103.2(b)2 are met, or if, subsequent to being met, they cease to be maintained, Field Technicians may complete acceptance testing as specified in Sections 120.5 and 160.3(d) without completing certification requirements specified in Part 1, Section 10-103.2.

1. Number of Certified ATTs.

   • A. There shall be no less than 300 ATTs certified to perform the complete set of mechanical acceptance tests in Building Energy Efficiency Standards, Sections 120.5 and 160.3(d), except as provided in Subsection 10-103.2(b)1B. The number of certified ATTs shall be submitted to the Energy Commission in the annual reports prepared by ATTCPs, as specified in Section 10-103.2(d)1.

   • B. If there are less than 300 ATTs certified to perform all of the acceptance tests in Building Energy Efficiency Standards, Sections 120.5 and 160.3(d), then there shall be at least 300 ATTs certified to complete the following tests:

     • i. NA7.5.1 Outdoor Air Ventilation Systems

     • ii. NA7.5.2 Constant Volume, Single Zone Unitary Air Conditioners and Heat Pumps

     • iii. NA7.5.4 Air Economizer Controls

     • iv. NA7.5.5 Demand Control Ventilation Systems

     • v. NA 7.5.6 Supply Fan Variable Flow Controls

     • vi. NA7.5.7, NA7.5.9 Hydronic System Variable Flow Controls

     • vii. NA7.5.10 Automatic Demand Shed Controls

2. Industry coverage by ATTCPs. ATTCPs approved by the Energy Commission, in their entirety, provide reasonable access to certification to the following industry groups: professional engineers, licensed architects, HVAC installers, mechanical contractors, Testing and Balancing (TAB) certified technicians, controls installation and startup contractors and certified commissioning professionals who have verifiable training, experience and expertise in HVAC systems. The Energy Commission will determine reasonable access by considering factors such as certification costs commensurate with the complexity of the training being provided, certification marketing materials, prequalification criteria, class availability and curriculum.

(c) Qualifications and approval of ATTCPs. ATTCPs shall submit a written application to the Energy Commission with a summary and the necessary background documents to explain how the following criteria and procedures have been met:

1. Organizational Structure. ATTCPs shall provide written explanations of the organization type, by-laws and ownership structure. ATTCPs shall explain in writing how their certification program meets the qualifications of Building Energy Efficiency Standards, Section 10-103.2(c). ATTCPs shall explain in their application to the Energy Commission their organizational structure and their procedures for independent oversight, quality assurance, supervision and support of the acceptance test training and certification processes.

2. Certification of ATEs. The ATTCPs shall provide written explanations of their certification and oversight of ATEs. This explanation shall document how the ATTCP ensures that ATEs are providing quality control and appropriate supervision and support for their ATTs.

   • A. Recertification. The ATTCP shall recertify all ATEs prior to the implementation of each adopted update to the Building Energy Efficiency Standards as these updates affect the acceptance test requirements. Recertification requirements and procedures shall only apply to those specific elements that are new or modified in future updates to Building Energy Efficiency Standards.

3. Requirements for applicant ATTCPs to document training and certification procedures. ATTCPs shall include with their application a complete copy of all training and testing procedures, manuals, handbooks and materials. ATTCPs shall explain in writing how their training and certification procedures include, but are not limited to, the following:

   • A. Training scope. The scope of the training shall include both hands-on experience and theoretical training to certify competency in the technologies and skills necessary to perform the acceptance tests.

   • B. ATT training.

     • i. Curricula. ATTCP training curricula for ATTs shall include, but not be limited to, the analysis, theory and practical application of the following:

       • a. Constant volume system controls;

       • b. Variable volume system controls;

       • c. Air-side economizers;

       • d. Air distribution system leakage;

       • e. Demand controlled ventilation with CO2 sensors;

       • f. Demand controlled ventilation with occupancy sensors;

       • g. Automatic demand shed controls;

       • h. Hydronic valve leakage;

     • i. Hydronic system variable flow controls;

     • j. Supply air temperature reset controls;

     • k. Condenser water temperature reset controls;

     • l. Outdoor air ventilation systems;

     • m. Supply fan variable flow controls;

     • n. Boiler and chiller isolation controls;

     • o. Fault detection and diagnostics for packaged direct-expansion units;

     • p. Automatic fault detection and diagnostics for air handling units and zone terminal units;

     • q. Distributed energy storage direct-expansion air conditioning systems;

     • r. Thermal energy storage systems;

     • s. Building Energy Efficiency Standards mechanical acceptance testing procedures; and

• t. Building Energy Efficiency Standards acceptance testing compliance documentation for mechanical systems.

  • ii. Hands-on training. The ATTCP shall describe in its application the design and technical specifications of the laboratory boards, equipment and other elements that will be used to meet the hands-on requirements of the training and certification.

  • iii. Prequalification. Participation in the certification program shall be limited to persons who have at least three years of professional experience and expertise in mechanical controls and systems as determined by the Mechanical ATTCPs.

    • Note: ATTCPs may specify additional qualifications for participation in their programs, such as limiting participation to persons that are not currently listed as “decertified” by another ATTCP.

  • iv. Instructor to trainee ratio. The ATTCP shall document in its application to the Energy Commission why its instructor to trainee ratio is sufficient to ensure the integrity and efficacy of the curriculum and program based on industry standards and other relevant information.

  • v. Tests. The ATTCP shall describe the written and practical tests used to demonstrate each certification applicant’s competence in all specified subjects. The ATTCPs shall retain all results of these tests for five years from the date of the test.

  • vi. Recertification. The ATTCP shall recertify all ATTs prior to the implementation of each adopted update to the Building Energy Efficiency Standards as these updates affect the acceptance test requirements. Recertification requirements and procedures shall only apply to those specific elements that are new or modified in future updates to Building Energy Efficiency Standards.

• C. ATE training. Training for ATEs shall consist of a single class or webinar consisting of at least four hours of instruction that covers the scope and process of the acceptance tests in Building Energy Efficiency Standards, Sections 120.5 and 160.3(d).

• D. Complaint procedures. Procedures described in writing for notifying building departments and the public that the ATTCP will accept complaints regarding the performance of any certified ATT or ATE, and procedures for how the ATTCP will address these complaints.

• E. Decertification procedures. The ATTCP shall describe in its application to the Energy Commission procedures for revoking their certification of ATT and ATEs based upon poor quality or ineffective work, failure to perform acceptance tests, falsification of documents, failure to comply with the documentation requirements of these regulations or other specified actions that justify decertification. The ATTCP shall also describe its general procedures for decertified ATTs or ATEs seeking to regain their certification status, including eligibility requirements for recertification (if any).

• F. Quality assurance and accountability. The ATTCP shall describe in its applications to the Energy Commission procedures for conducting quality assurance and accountability activities, including but not limited to the following:

• i. The ATTCPs shall include quality assurance and accountability measures, including but not limited to independent oversight of the certification materials, processes and procedures, visits to building sites where certified technicians are completing acceptance tests, certification process evaluations, and expert review of the training curricula developed for Building Energy Efficiency Standards, Sections 120.5 and 160.3(d). Independent oversight may be demonstrated by accreditation under the ISO/IEC 17024 standard.

• ii. The ATTCP shall review a random sample of no less than 1 percent of each ATT’s completed compliance forms.

• iii. The ATTCP shall perform audits by meeting either of the following:

• a. The ATTCP shall randomly select and shadow audit no less than 1 percent of each ATE’s overseen projects, following the assigned ATT and observing their performance on the job site.

• b. The ATTCP shall shadow audit each ATT at an ATTCP training facility at least once per code cycle where the ATTCP shall observe the performance of the ATT on at least five functional tests for which the ATT is certified. The shadow audit must replicate field conditions for installed equipment and controls in a

building. The ATTCP training facility shall be set up to allow auditing of all functional tests for which the ATT is certified. The shadow audits must be in addition to any testing used for ATT recertification.

• G. Certification identification number and verification of ATT and ATE certification status. The ATTCP shall describe in its applications to the Energy Commission procedures for recording, tracking and communicating certification status, including but not limited to the following:

  • i. Upon certification of an ATT or ATE, the ATTCP shall issue a unique certification identification number to the ATT or ATE.

  • ii. The ATTCP shall maintain an accurate public record of the certification status for all ATTs and ATEs that the ATTCP has certified, including any ATTs or ATEs who have been decertified as specified in 10-103.2(c)3E.

  • iii. The ATTCP shall provide verification of current ATT certification status upon request to authorized document Registration Provider personnel or enforcement agency personnel to determine the ATT’s eligibility to sign Certificate of Acceptance documentation according to all applicable requirements in Sections 10-103.2, 10-102, 10-103(a)4, and Reference Joint Appendix JA7.

• H. Electronic database system . The ATTCP shall maintain, or by suitable contractual requirements cause to be maintained, an electronic database system approved by the Energy Commission. The electronic database system shall be capable of all the following:

  • i. Support all activities for the ATTCP to comply with its quality assurance program as required by Section 10103.2(c)3F.

  • ii. For no less than five years, record and preserve all certificates of acceptance offered for certification by the ATTCP and as performed by its own certified ATTs.

• iii. Allow the transmission of electronic copies of each completed certificate of acceptance to the ATT that performed the test, the ATE associated with that ATT or both.

  - a. Each page of each certificate of acceptance shall bear the logo of the ATTCP or other identifying insignia as approved by the Energy Commission. 
  
  - b. The electronic copy shall be capable of being printed. 
  
  - c. The ATTCP may apply to the Energy Commission for approval to use alternative compliance documents that differ from those approved for use by the Energy Commission but must demonstrate that these alternative compliance documents do not differ in format, informational order or content from approved compliance documents. 
  

  • iv. Provide a means of verifying any certificate of acceptance to the enforcement agency having jurisdiction as identified on the certificate of acceptance.

  • v. Provide the Energy Commission with any of the following project data or documents upon request: project address, permit numbers, acceptance test technician and acceptance test employee certification numbers, certificates of acceptance, compliance forms, installation forms and record of quality assurance review. The Energy Commission may adopt an Application Programming Interface (API) for providing data electronically. Within one year of development of an API, the ATTCP’s electronic database system shall have the ability to transfer project data to the Energy Commission through the API upon completion of the project or at established intervals no longer than monthly.

• I. Compliance document recording and repository reporting requirement:

  • i. The ATTCP shall record all certificates of compliance [Section 10-103(a)1], certificates of installation [Section 10-103(a)3], and certificates of acceptance [Section 10-103(a)4] associated with any acceptance test specified in Part 6, Sections 120.5 and 160.3(d).

  • ii. Contingent upon Energy Commission approval of the threshold [Section 10-103.2(b)] and upon availability and approval of an electronic document repository by the Executive Director, the ATTCP shall submit monthly data transfer packets to the Energy Commission to an electronic document repository for retention consistent with Energy Commission instructions.

(d) Requirements for ATTCPs to provide regular reports. The ATTCP shall provide the following regular reports to the Energy Commission:

1. Annual report. The ATTCP shall provide an annual report to the Energy Commission that includes the following:

   • A. A summary of the certification services provided over the reporting period, including the total number of Acceptance Test Technicians and Employers certified by the agency during the reporting period and to date.

   • B. A summary of all actions taken against any ATT or ATE as a result of the complaint or quality assurance procedures described by the ATTCP as required under Section 10-103.2(c)3D and 10-103.2(c)3F.

• C. A summary of the quality assurance and accountability activities conducted over the reporting period, including the compliance forms reviewed and the on-site audits performed as required under Section 10-103.2(c)3F(ii) during the reporting period and to date.

  • D. A summary of the number and type of acceptance tests performed in each local jurisdiction over the reporting period and to date.

  • E. A signed certification to the Energy Commission that the ATTCP continues to meet the requirements of Section 10103.2.

2. Update report. The ATTCP shall have no less than six months following the adoption of an update to the Building Energy Efficiency Standards to prepare an Update Report. The ATTCP shall submit an Update Report to the Energy Commission no less than six months prior to the effective date of any newly adopted update to the Building Energy Efficiency Standards, The ATTCP shall report to the Energy Commission what application amendments are proposed to address changes to the Building Energy Efficiency Standards or to ensure training is reflective of the variety of mechanical equipment and systems currently encountered in the field. All required update reports shall contain a signed certification that the ATTCP continues to meet all the requirements of Section 10-103.2(c). Update reports shall be approved through the Amendment Process provided under Section 10-103.2(f).

All required reports shall contain a signed certification that the ATTCP has met all requirements for this program.

(e) Application Review and Determination. The Energy Commission shall review ATTCP applications according to the criteria and procedures in Section 10-103.2(c) to determine if such providers meet the specified requirements for providing acceptance testing certification services.

1. Energy Commission staff will review and validate all information received on ATTCP applications, and determine whether the application is complete and contains sufficient information to be evaluated by staff. Complete applications shall be evaluated by staff based on their contents.

2. The Executive Director may require that the applicant provide additional information as required by staff to fully evaluate the ATTCP application.

3. The Executive Director shall provide a copy of the staff evaluation to interested persons and provide an opportunity for public comment.

4. The Executive Director shall issue a written recommendation that the Energy Commission designate the applicant as an authorized ATTCP or deny the Provider application.

5. The Energy Commission shall make a final decision on the application at a publicly-noticed hearing.

• (f) Amendment Process. The ATTCP may amend a submitted or approved application, as follows:

1. Amendment scope.

   • A. Nonsubstantive changes. A nonsubstantive change is a change that does not substantively alter the requirements of the application materials for the ATTCP, ATT or ATE. For amendments making only nonsubstantive changes, the ATTCP shall submit the following:

     • i. a letter describing the change to the Energy Commission as an addendum to the application;

• ii. A replacement copy of the affected sections of the ATTCP application with the changes incorporated; and

  • iii. A copy of the affected sections of the ATTCP application showing the changes in underline and strikeout format.

  • B. Substantive changes. A substantive change is a change that substantively alters the requirements of the application materials for the ATTCP, ATT or ATE. For amendments making any substantive changes, the ATTCP shall submit the following:

    • i. A document describing the scope of the change to the application, the reason for the change and the potential impact to the ATTCP, ATT and ATE as an addendum to the application;

    • ii. A replacement copy of the affected sections of the ATTCP application with the changes incorporated; and

    • iii. A copy of the affected sections of the ATTCP application showing the changes in underline and strikeout format.

2. Amendment review. Amendments submitted prior to approval of an ATTCP application shall be included in the application’s Application Review and Determination process specified in Section 10-103.2(e).

Amendments submitted after approval of an ATTCP’s application that contain only nonsubstantive changes shall be reviewed by the Executive Director for consistency with Section 10-103.2. Amendments determined to be consistent with this section shall be incorporated into the approval as errata.

Amendments submitted after approval of an ATTCP’s application that contain any substantive changes shall be subject to the Application Review and Determination process specified in Section 10-103.2(e). If the Energy Commission finds that the amended application does not meet the requirements of Section 10-103.2, then the ATTCP shall either abide by the terms of their previously approved application or have their approval suspended.

(g) Review by the Energy Commission. If the Energy Commission determines there is a violation of these regulations or that an ATTCP is no longer providing adequate certification services, the Energy Commission may revoke the authorization of the ATTCP pursuant to Section 1230 et seq. of Title 20 of the California Code of Regulations.

Authority: Sections 25402, 25402.1, 25213, Public Resources Code.

Reference: Sections 25007, 25008, 25218.5, 25310, 25402.1, 25402.4, 25402.5, 25402.8 and 25943, Public Resources Code.

10-103.3. Administrative procedures for the Energy Code Compliance Program.

(a) Scope. The requirements in this section apply to ECC-Providers, ECC-Raters, and ECC-Rater Companies performing work relating to residential field verification and diagnostic testing for the Energy Code Compliance (ECC) Program. The ECC Program is intended to verify that the newly constructed residential buildings and additions and alterations to existing residential buildings

comply with the requirements of the Building Energy Efficiency Standards in order to protect consumers from poor construction and installations.

(b) General Provisions.

1. Conflicts of Interest.

   • A. Prohibition of Conflicts of Interest.

     • i. ECC-Providers shall be independent from, and have no financial interest in, ECC-Rater Companies or ECCRaters.

     • ii. ECC-Providers, ECC-Raters, and ECC-Rater Companies shall operate independently and shall not have any financial interest in the builder, designer, or subcontractor serving as the “Responsible Person” signatory as specified in Sections 10-103(a)1 and 10-103(a)3 on a project. However, an exception applies if the ECC-Rater Company submits a Declaration of ECC-Rater Company Separation of Services, as provided in Section 10-103.3(f)2Diii. This applies specifically to projects where the ECC-Rater is involved in, or is reasonably expected to provide, field verification and diagnostic testing services.

     • iii. For the purposes of this subdivision, a “financial interest” includes:

       • a. A business entity in which the entity or individual has a direct or indirect investment worth $2,000 or more, or in which the entity or individual is a director, officer, partner, trustee, or employee. However, this prohibition on investments does not include ownership of less than five percent of a publicly traded company.

       • b. An ownership interest, debt agreement, or employer/employee relationship.

     • iv. ECC-Providers, ECC-Raters, and ECC-Rater Companies or principals of an ECC-Provider or ECC-Rater Company shall not perform field verification or diagnostic tests services for builders, designers, or subcontractors owned or operated by close familial relatives. For purposes of this subdivision, “close familial relative” means a spouse, domestic partner, or cohabitation partner or a parent, grandparent (including greats), sibling, child, grandchild (including greats) of the individual or spouse, domestic partner, or cohabitation partner, and any person living in the same household.

     • v. ECC-Raters and ECC-Rater Companies shall not perform any construction activity on a project site for which a construction permit is issued and for which they will or are reasonably expected to perform field verification or diagnostic testing services.

• vi. ECC-Raters or ECC-Rater Companies shall provide a report to the building or project owner for field verification or diagnostic testing services performed on the project site. The report may be provided through a contractor or other project representative to the building or project owner but must be a conspicuous and separate document from other documents provided by the contractor or project representative. The report must include all of the following elements:

     - a. The ECC-Rater’s or ECC-Rater Company’s name, logo (if any), contact information, and certification number. 
  
     - b. The ECC-Provider data registry link and registry numbers for all compliance documents registered by the ECC-Rater or ECC-Rater Company for the project. 
  
     - c. An itemization of each field verification or diagnostic test, as well as any other services performed for the project, the amount charged, and the results in terms of pass or fail. 
  
  - vii. The ECC-Provider shall develop a Consumer Information Form, and the Commission may request to review and provide recommendations on the content of that form. The Consumer Information Form shall include educational materials regarding the ECC Program, the roles and responsibilities of ECC-Raters, ECC-Providers and ECC-Rater Companies, and the means by which the owner may file a complaint. The Consumer Information Form must also include the owner’s valid contact information, comprised of the owner’s name, project address, phone number, and email. Prior to the start of any field verification or diagnostic testing at a project site, the ECC-Rater or ECC-Rater Company shall provide a copy of the most recent version of the Consumer Information Form developed by the ECC-Provider to the owner or owner representative and shall submit a completed Consumer Information Form to the ECC-Provider. Failure to register a valid Consumer Information Form will make the ECC-Rater or ECC-Rater Company subject to discipline as described in Sections 10-103.3(d)7 and 10-103.3(d)8. For projects with no current owner in residence, the owner’s contact information may be that of the landlord, developer, builder, or any other such person with a real property interest. For the purposes of a Consumer Information Form, register is defined as submitting the information outlined in this paragraph to the ECC-Provider. 
  
  - viii. Once an ECC-Rater has registered a failed field verification or diagnostic test, that ECC-Rater or ECC-Rater Company (or Independent Rater) shall become the ECC-Rater of Record (ROR) for the specific field verification or diagnostic test at the project site. If the ROR is an ECC-Rater Company or Independent Rater, then the ROR may be replaced by any ECC-Rater that is a fulltime employee of the ECC-Rater Company or Independent Rater and in good standing with the ECC-Provider. Except as provided in subdivision (a) below, only the ROR may register a subsequent passing field verification or diagnostic test previously registered as a failure.
  

roject site. If the ROR is an ECC-Rater Company or Independent Rater, then the ROR may be replaced by any ECC-Rater that is a fulltime employee of the ECC-Rater Company or Independent Rater and in good standing with the ECC-Provider. Except as provided in subdivision (a) below, only the ROR may register a subsequent passing field verification or diagnostic test previously registered as a failure.

  - a. Under any of the following circumstances, the ECC-Provider may release a project from the ROR but must verify that the retest for the failed field verification or diagnostic test is legitimate either through a site visit, photographic evidence (or other remote verification), or a desk audit (Section 10-103.3(d)5Civ) on the project: 

     - (i) The ROR agrees to release the project. 

     - (ii) The ROR is physically unable to continue work on the project due to injury, misfortune, or availability. 

     - (iii) The ROR’s certification has been suspended (Section 10-103.3(d)7C) or decertified (Section 10-103.3(d)7D). 

     - (iv) The ROR is unwilling to continue work on the project. 

  - b. The ECC-Provider shall lock the project compliance documentation within the data registry by address, permit number, or other reasonable means and shall not allow any further compliance documents to be registered for a failed test at the project site other than from the ROR or allowable substitute under Section 10-103.3(b)1Aviiia. 

  - c. An ECC-Provider shall not knowingly accept compliance documents for registration for a project that has an active failed field verification or diagnostic tests in any other ECC-Provider data registry. 

     - (i) ECC-Providers shall submit a complaint to the Commission (Section 10-103.3(d)6B) upon suspected violation of this requirement. 

     - (ii) Upon investigation, the Commission may take disciplinary action against an ECC-Provider (Section 10-103.3(d)15) if the CEC can demonstrate noncompliance or recommend disciplinary action against an ECC-Rater or ECC-Rater Company (Sections 10-103.3(d)7 and 10-103.3(d)8). 

• ix. Use of Registered Certificates. The use of registered certificates, including Certificates of Compliance, Certificates of Installation, and Certificates of Verification, is limited to the demonstration and documentation of the project compliance with the Building Energy Efficiency Standards. Other uses of registered certificates, such as for federal tax credits, is only permitted for projects that have been completed and are closed within the data registry.

• B. Conflicted Data. The prohibitions on conflicts of interest specified in Section 10-103.3(b)1A apply to any data collected by an ECC-Rater. Any data collected by an ECC-Rater when they have a conflict of interest, regardless of its accuracy, shall be considered conflicted data. Any data collected through sampling procedures (Building Energy Efficiency Standards, Reference Appendix RA2.6) where the ECC-Provider is refused access to perform an onsite quality assurance audit (Section 10-103.3(d)5Ci) shall be considered conflicted data.

Any data collected by an ECC-Rater when they have a conflict of interest, regardless of its accuracy, shall be considered conflicted data. Any data collected through sampling procedures (Building Energy Efficiency Standards, Reference Appendix RA2.6) where the ECC-Provider is refused access to perform an onsite quality assurance audit (Section 10-103.3(d)5Ci) shall be considered conflicted data.

• i. ECC-Providers shall not knowingly accept conflicted data on their systems. ECC-Providers may demonstrate that they have fulfilled this requirement by, for example:

  • a. Requiring ECC-Raters to affirmatively indicate, upon submitting any data to the ECC-Provider, that the data is not conflicted data or that the ECC-Rater had a conflict of interest at the time the data was collected but had express written approval from the Executive Director waiving the conflict of the ECCRater.

  • b. Any other process approved by the CEC.

• ii. ECC-Providers shall take all reasonable steps to detect, deter, isolate, and identify conflicted data in their systems, including in compliance documents and Compliance Registration Packages. ECC-Providers may demonstrate that they have taken all reasonable steps, for example:

  • a. Requiring ECC-Raters to complete training, prior to certification, regarding the requirements of Section 10-103.3(b)1A, including that it applies to data, or by some other reasonable method to deter conflicted data.

  • b. Instituting a desk audit program that assesses data submitted to the ECC-Provider pursuant to Section 10-103.3(d)5Civ to confirm whether the submitting ECC-Rater had a disqualifying conflict of interest pursuant to Section 10-103.3(b)1A at the time of the data’s submission, or by some other reasonable method to detect conflicted data.

  • c. Investigating and, as necessary, quarantining or marking conflicted data, or otherwise identifying that data as conflicted, including pursuant to Section 10-103.3(b)1Bvi.

  • d. Any other process approved by the CEC.

• iii. ECC-Providers may not use, rely on, sell, or offer for sale, any conflicted data for any purpose other than to detect, deter, isolate, and identify conflicted data from their systems, or to otherwise prevent the generation or transmission of conflicted data.

• iv. ECC-Raters and ECC-Rater Companies may not submit any conflicted data without the express written approval of the Executive Director. ECC-Raters and ECC-Rater Companies may fulfill this requirement by, for example:

  • a. Affirmatively indicating, upon submitting any data to the ECC-Provider, that the data is not conflicted data, or that the ECC-Rater or ECC-Rater Company had a conflict of interest at the time the data was collected but had express written approval from the Executive Director excusing the conflict.

    • b. Any other process approved by the CEC.

  • v. Any ECC-Rater or ECC-Rater Company may apply to the Executive Director for express written approval excusing a conflict of interest under this section.

• a. Such an application must include the following information: an explanation of the conflict of interest, the beginning and ending date of the conflict of interest (if any), and written justification providing compelling and persuasive evidence that (1) the conflict of interest will not result in inaccurate data and (2) unnecessary hardship will result from the application of the prohibition on conflicted data in this instance.

     - b. The Executive Director may grant such written approval only if the Executive Director finds there is compelling and persuasive evidence of the factors identified in Section 10-103.3(b)1Bva. 
  
     - c. Unsupported or general assertions of trustworthiness or accuracy are neither compelling nor persuasive evidence of the factors identified in Section 10-103.3(b)1Bva. 
  
     - d. The Executive Director may, at their discretion, request additional information, provide express written approval, provide conditional express written approval, or reject the request. If an applicant does not receive a reply within 120 calendar days, their request is denied. 
  
  - vi. Upon identifying data that may be conflicted, the ECC-Provider shall perform a desk audit to assess whether the data is in fact conflicted data, such as by contacting the submitting ECC-Rater or ECC-Rater Company and asking them to confirm, in writing, whether the data was conflicted or not. Upon discovery of a violation of the conflict-of-interest restrictions in Section 10-103.3(b)1A, the ECC-Provider shall use this gathered information to initiate disciplinary action against either (or both) the ECC-Rater (Section 10-103.3(d)7) and ECC-Rater Company (Section 10-103.3(d)8) responsible for the registered data in question. 
  
  - vii. ECC-Providers shall flag or otherwise mark verified conflicted data (Section 10-103.3(b)1Bvi) in the data registry and inform all of the following of the identification of the data and which field verification and diagnostic tests reliant on the data are invalidated: the homeowner, ECC-Rater, ECC-Rater Company, authority having jurisdiction over the issued construction permit, and the Commission.
  

2. Prohibition on False, Inaccurate, or Incomplete Information.

   • A. ECC-Providers shall not knowingly accept, store, or disseminate untrue, inaccurate, or incomplete information or information received through actions not conducted in compliance with these regulations, including information related to field verification and diagnostic testing information, field verification and diagnostic test results, or results on a certificate of compliance or certificate of installation documents.

   • B. ECC-Providers shall not accept payment or other consideration in exchange for use of their data registry to report a field verification and diagnostic test result that was knowingly conducted and reported out of compliance with these regulations.

   • C. Only the ECC-Rater who performs a field verification and diagnostic test shall have signatory authority for all certificates of verification related to the field verification and diagnostic test.

• i. ECC-Raters shall not use technicians who are not certified ECC-Raters to perform field verification and diagnostic testing unless said technicians are directly supervised by the ECC-Rater in person on the project site.

  - ii. No other person shall sign the certificates of verification other than the ECC-Rater who performed or directly supervised technicians who performed the field verification and diagnostic test.
  

(c) ECC-Provider Approval.

1. Approval Process. Approval as an ECC-Provider is limited to a single Triennial Code Cycle. To become an ECC-Provider, an applicant shall submit a Full Application. To continue as an ECC-Provider for a subsequent Triennial Code Cycle, a current ECC-Provider shall submit a Triennial Reapproval Application. Applications will be considered pursuant to the procedures in Section 10-110. A Full Application or a Triennial Reapproval Application may be updated as set forth in Section 10-103.3(c)6. An approved ECC-Provider may make modifications to its application as set forth in Section 10-103.3(c)7. All applications must include a statement of scope that indicates what services the applicant intends to provide to the marketplace. Upon a first-time approval of an ECC-Provider, the Energy Commission shall assign the ECC-Provider a three-digit identification number.

2. Confidential Information. An applicant may identify any information in its application the applicant considers confidential and request from the Commission a confidential designation as specified in Title 20, California Code of Regulations, Section 2505. If an applicant requests a designation of confidential information, the applicant shall also submit a non-confidential summary of its application.

3. Full Application. The Commission may approve a full application to become an ECC-Provider if the application includes each of the following:

   • A. Evidence of Ability to Satisfy ECC-Provider Requirements. Information sufficient to demonstrate, by a preponderance of the evidence, that the applicant can and will satisfy each regulatory requirement specified as the ECCProvider Approval Process in Section 10-103.3(c)1 for the duration of their tenure as an ECC-Provider.

     • i. Methods of Producing Evidence. An applicant may evidence its ability to satisfy the ECC-Provider Requirements by providing a written strategy for how it intends to satisfy each requirement, citing examples of how it

has been able to satisfy each regulatory requirement, or by any other means of introducing evidence into the record acceptable to the Executive Director or Commission.

  - ii. **Disputed Evidence.** Any interested party may introduce evidence demonstrating that an applicant either cannot satisfy, or in the past has failed to satisfy, one or more regulatory requirements specified in Section 10-103.3(c)1. 

• B. The full legal name of the applicant is registered with the California Secretary of State.

• C. The full legal name, date of birth, current residential address, and social security number of every individual with an ownership interest in and principal of the ECC-Provider applicant.

• D. A complete list of any entities that have business relationships with the applicant such as parent companies, subsidiaries, affiliates, and/or any past names under which the entity has conducted business as an ECC-Provider, if applicable.

  • E. The Triennial Code Cycle for which the applicant intends to operate as an ECC-Provider.

  • F. The contact information for one or more Designated Contacts who the Commission can contact as needed.

  • G. Any other information relating to the applicant’s ability to satisfy each regulatory requirement specified in Section 10-103.3(c)1 or specifically requested by the Executive Director or Commission.

4. Triennial Reapproval Application. The Commission may approve an existing ECC-Provider’s application to continue as an ECC-Provider for a subsequent Triennial Code Cycle if the application includes each of the following:

   • A. The original Full Application for the previous cycle, any Updated Applications, including Conditions of Approval, and any Post-Approval Amendments that were submitted and/or approved.

   • B. All previously submitted and approved Triennial Reapproval, if any.

   • C. Information demonstrating that the applicant can and will satisfy each regulatory requirement not otherwise addressed in any previously approved Application, subject to the same evidentiary constraints and requirements as a Full Application.

   • D. Alternatively, an existing ECC-Provider may submit a full Application for the Triennial Code Cycle.

5. Application for Remediation.

   • A. An ECC-Provider that has been decertified may submit one Application for Remediation pursuant to Section 10-110 during the Triennial Code Cycle in which it was decertified.

   • B. An Application for Remediation shall include:

     • i. The original Full Application, all previously submitted and approved Triennial Reapprovals, any Updated Applications, including Conditions of Certification, and any Post-Approval Amendments that were submitted and/or approved.

     • ii. All correspondence concerning progressive discipline between the ECC-Provider and the Commission commencing with the notice of potential violation for each violation that led to rescinding approval.

     • iii. A Remediation Report and Plan explaining why each violation leading to a rescinded approval occurred and the steps that the ECC-Provider has taken to remedy past violations and prevent future violations similar to those that led to its rescinded approval.

     • iv. A draft Full Application that incorporates all necessary modifications to address the issues described in the Remediation Report and Plan.

   • C. Basis for Approval. The Commission may approve an Application for Remediation if the Commission finds:

     • i. The decertified ECC-Provider has demonstrated a good faith willingness to take feasible steps toward remediation.

     • ii. The decertified ECC-Provider has presented a remediation plan that can remedy past violations and prevent future violations similar to those that led to its rescinded approval.

• iii. The decertified ECC-Provider has demonstrated the ability to adequately implement the remediation plan.

  • D. Upon Approval. If the decertified ECC-Provider’s Application for Remediation is approved by the Commission, the decertified ECC-Provider is eligible to submit a Full Application.

  • E. Upon Rejection. If a decertified ECC-Provider’s Application for Remediation is rejected by the Commission, the ECC-Provider may re-submit an Application for Remediation only with the written approval of the Executive Director or Commission.

6. Updated Application .

   • A. Update with Executive Director‘s Approval. With the written permission of the Executive Director, at any point during the Section 10-110 process, an applicant may submit an updated application, which shall be identified as an Updated Application and made available to interested parties for review and comment for at least 30 days prior to consideration by the Commission at a business meeting.

   • B. Update at Commission Direction, Conditions of Approval. The Executive Director or Commission may direct an applicant to update their application in order to address any issues or concerns raised by any interested party with respect to the applicant’s ability to completely fulfill the role of ECC-Provider, including by imposing Conditions of Approval.

   • C. Applicant Withdrawal and Re-submission. Applicants who have submitted an application may withdraw their application at any time before approval and may submit a new application pursuant to this section and Section 10-110.

7. Post-Approval Amendments. An approved ECC-Provider shall submit a Post-Approval Amendment to the Executive Director when the ECC-Provider wishes to make a modification to their approved application or, as a result of any circumstances other than the transition to a new Triennial Code Cycle or progressive discipline pursuant to Section 10-103.3(c)3, or the application no longer accurately reflects the ECC-Provider’s operations.

   • A. Process. The ECC-Provider may submit a Post-Approval Amendment as either substantive or non-substantive. The Executive Director may determine whether a post-approval amendment is substantive or non-substantive.

   • B. Substantive. If the Executive Director determines that a post-approval amendment is substantive, the amendment shall follow the process specified by Section 10-110 and be approved by the Commission. Substantive changes include any changes to training, certification, or oversight (including quality assurance) that would result in any impact to consumers, ECC-Raters, ECC-Rater Companies, or the ability of the ECC-Provider to comply with any requirement of Section 10-103.3(c)1.

is substantive, the amendment shall follow the process specified by Section 10-110 and be approved by the Commission. Substantive changes include any changes to training, certification, or oversight (including quality assurance) that would result in any impact to consumers, ECC-Raters, ECC-Rater Companies, or the ability of the ECC-Provider to comply with any requirement of Section 10-103.3(c)1.

• C. Nonsubstantive. If the Executive Director determines that a post-approval amendment is nonsubstantive, they may approve the amendment by informing the ECC-Provider’s Designated Contact and posting the proposed postapproval amendment application. A non-substantive update is any change that is not considered a substantive update, including correcting typographical errors, modifying contact information, renaming positions or programs, and making changes that do not impact consumers, ECC-Raters, ECC-Rater Companies, or alter the ability of the ECCProvider to comply with any requirement of Section 10-103.3(c)1.

8. Conditions of Approval. As a prerequisite of approval of any ECC-Provider application, the Commission may impose Conditions of Approval as the Commission deems necessary to ensure that the applicant can meet the requirements of Section 10-103.3(c)1 if approved. If the Commission imposes Conditions of Approval, the Commission may require the applicant to demonstrate that the applicant will satisfy each Condition of Approval prior to approval. Violating a Condition of Approval imposed by the Commission shall constitute a violation of these regulations and may result in disciplinary action, up to and including rescinding of approval.

9. Executive Director Rejection of Decertified ECC-Provider’s Application.

   • A. The Executive Director may reject any application if the Executive Director determines the applicant is an ECCProvider that has previously been decertified, or is a successor, subsidiary, or otherwise affiliated or substantially similar organization to an ECC-Provider that has previously been decertified, and that has not completed the Application for Remediation process pursuant to Section 10-103.3(c)5.

   • B. An applicant may appeal the Executive Director’s decision to reject its application to the full Commission pursuant to Section 10-103.3(h). The applicant shall establish that it is not a decertified ECC-Provider, successor, subsidiary, or otherwise affiliated or similar organization to a decertified ECC-Provider.

   • C. Minimum Evidentiary Requirements. At a minimum, an appeal from rejection shall demonstrate that the applicant and decertified ECC-Provider have dissimilar and unrelated owners, shareholders (if applicable), executive management, employees, physical assets, intangible assets, intellectual property, business practices, registered organization names, branding, marketing materials, and trademarks.

Minimum Evidentiary Requirements.* At a minimum, an appeal from rejection shall demonstrate that the applicant and decertified ECC-Provider have dissimilar and unrelated owners, shareholders (if applicable), executive management, employees, physical assets, intangible assets, intellectual property, business practices, registered organization names, branding, marketing materials, and trademarks.

• D. Final Agency Action. If the Commission determines that the applicant has failed to demonstrate it is not a decertified ECC-Provider, or any successor, subsidiary, or otherwise affiliated or substantially similar organization to a decertified ECC-Provider, the Commission may deem the applicant a decertified ECC-Provider ineligible to apply until the applicant has completed remediation or specify when the applicant may re-submit an application. The period of time before re-submittal may not exceed three years from when the appeal was submitted.

(d) ECC-Provider Responsibilities.

1. ECC-Rater Training. For each Triennial Code Cycle, ECC-Providers shall provide training to existing ECC-Raters and new ECC-Rater applicants. The ECC-Provider may also provide this training for prior Triennial Code Cycles. To fulfill the training requirements (Section 10-103.3(d)), an ECC-Provider shall confirm that an ECC-Rater applicant has completed a training curriculum that covers all information necessary to perform all FV&DTs in accordance with the applicable Building Energy Efficiency Standards and passed all associated tests. Alternatively, if offered by the ECC-Provider, an existing ECC-Rater may apply for approval without completing an ECC-Provider’s training curriculum by passing a challenge test, which is a comprehensive test of advanced FV&DT technical knowledge that verifies the ECC-Rater applicant has sufficient knowledge necessary to perform FV&DT in accordance with the applicable Building Energy Efficiency Standards. The Commission shall approve all training materials under the full training curriculum and challenge test as part of the ECC-Provider’s application (Section 10-103.3(b)).

   • A. Training and testing curriculum. An ECC-Provider’s training curriculum for ECC-Rater applicants must include the following:

     • i. Building Energy Efficiency Standards mandatory subject areas. The training curriculum shall instruct ECCRaters how to perform FV&DT as set forth in the following Building Energy Efficiency Standards, Reference Appendices:

       • a. RA1: Alternative Residential Field Verification and Diagnostic Test Protocols.

       • b. RA2: Residential Verification, Testing, and Documentation Procedures.

   • c. RA3: Residential Field Verification and Diagnostic Test Protocols.

   • d. RA4: Eligibility Criteria for Energy Efficiency Measures.

   • e. NA1: Nonresidential Verification, Testing, and Documentation Procedures.

   • f. NA2: Nonresidential Field Verification and Diagnostic Test Procedures.

• ii. Other mandatory subject areas. The training curriculum shall inform ECC-Rater applicants about:

• a. The roles and responsibilities of all entities regulated by Section 10-103.3 and in the Building Energy Efficiency Standards, Reference Appendices RA1, RA2, RA3, RA4, NA1, NA2, and JA7.

  • b. Energy Code nomenclature that designates building types, dwelling units, systems, and compliance methods.

  • c. Basic building science concepts, including:

    • i. Principles of heat transfer.

    • ii. Energy conservation features.

    • iii. Framing, fenestration, insulation, and other built or installed features.

    • iv. Energy consuming appliances.

    • v. Types of space conditioning and ventilating systems.

    • vi. Types of water heating systems.

    • vii. Categories of lighting systems and lighting controls.

    • viii. Energy generating and storage systems.

    • ix. Energy efficiency effects of building characteristics.

  • d. Worksite safety.

    • i. Personal protective equipment and appropriate dress.

    • ii. Communication with site management personnel.

    • iii. Awareness of site hazards (including asbestos, fall risks, lifted loads, confined spaces, vehicles, powered equipment and tools, pressurized vessels and pipes, electrical terminals and fixtures, etc.), occupants in the dwelling unit, and escape routes.

    • iv. Site security.

    • v. Other practices, not limited to those relevant to home energy testing and verification procedures and equipment.

  • e. Instrumentation.

    • i. Diagnostic devices used in the measurement of, but not limited to, duct leakage testing, dwelling unit leakage (blower doors), system air flow and pressure, and refrigerant pressure and temperature.

    • ii. Accuracy and tolerance.

    • iii. Calibration requirements.

  • f. Equipment certification.

    • i. Overview of manufacturer-certified equipment ratings.

    • ii. When and why certification applies for verification.

    • iii. Where to find specified certifications and ratings.

  • g. Compliance document and registration.

    • i. Building Energy Efficiency Standards regulations, associated testing protocols, and the corresponding forms for data entry.

    • ii. Documentation workflow and data input.

    • iii. Form logic and validation.

    • iv. Group sampling.

  • h. Professionalism and conduct when working with various trades, owners, and other site personnel.

  • i. Resources available on the Commission website related to the Building Energy Efficiency Standards.

  • j. Progressive discipline of ECC-Raters (Section 10-103.3(d)7) and the appeal process (Section 10-103.3(h)).

  • k. Quality assurance process (Section 10-103.3(d)5).

  • l. Conflict of interest requirements (Section 10-103.3(b)1).

  • m. Prohibition on False, Inaccurate, or Incomplete Information (Section 10-103.3(b)2).

• iii. Classroom Training. Classroom training shall include an electronic or hardcopy manual for each student and comply with the following requirements:

• a. Classroom training may be provided online or in person and may be taught by an in-person instructor, an online instructor or online proctoring software as provided in Section 10-103.3(d)1Aviii.

  • b. When administered online, the modules must be naturally paced, recorded, and played back no faster than 100 percent speed. Modules must require occasional student interaction not limited to brief quizzes to progress through topics and encourage engagement with the platform.

  • c. Classroom training may include pre-recorded video instructions but must not solely rely on pre-recorded videos.

  • d. Classroom training may use mock tests or exams, but mock tests or exams may not be used to comply with the Tests and Exams requirements in Section 10-103.3(d)1Avi.

• iv. Instructional Materials.

  • a. The materials shall address all topics listed in Sections 10-103.3(d)1Ai and 10-103.3(d)1Aii.

  • b. Materials that are presented in a slideshow format must be accompanied by a script or detailed outline that explains the narrative and the purpose of each visual.

  • c. Slide text and graphics must be legible.

  • d. Governmental logos must not appear on class materials (including course descriptions, web pages, slides, videos, handouts, and manuals) unless the department, office, or agency has given permission to do so, and then only if usage adheres to respective guidelines. The logo may appear without express permission on official publications whether distributed in whole or in part.

• v. Laboratory Training. Laboratory training shall cover all FV&DT procedures listed in Building Energy Efficiency Standards, Reference Appendices RA1, RA2, RA3, RA4, NA1, and NA2 and comply with the following requirements:

  • a. All laboratory training facilities shall be designed to provide consistent and repeatable practical training exercises and be approved in advance by the Commission.

  • b. Laboratory training shall be conducted in a controlled space with appropriate safety measures such as proper ventilation, safe egress, appropriate lighting, and fire response systems. Laboratory training must not be conducted in an occupied residence.

  • c. All laboratory training shall be in person and be supervised by an instructor with no more than ten students to one instructor. Laboratory instruction shall include an electronic or hardcopy manual for each student.

  • d. Any equipment necessary to complete the laboratory training shall be available to students at a ratio of no greater than one test equipment per five students. Each student shall perform the laboratory training independently with full access to the necessary equipment.

• vi. Written test. An ECC-Rater applicant shall take a written test, offered by an ECC-Provider, to confirm the applicant’s understanding of all mandatory training information specified in Sections 10-103.3(d)1Ai and 10-103.3(d)1Aii. Tests shall only be used to verify the knowledge of ECC-Rater applicants and may not be used for training purposes. ECC-Providers shall retain all results for five years from the date of the test. The written test shall comply with all of the following:

  • a. Be online using proctoring software (Section 10-103.3(d)1Avii) or in person using a live proctor.

  • b. Consist of between 10 and 100 questions per subject area specified in Sections 10-103.3(d)1Ai and 10-103.3(d)1Aii.

  • c. Require a passing score of no less than 70 percent.

  • d. Be approved by the Commission at the time of ECC-Provider application (Section 10-103.3(c)1).

• vii. Practical test. ECC-Rater applicants shall take a practical test offered by an ECC-Provider to demonstrate competence in all subjects specified in Sections 10-103.3(d)1Ai and 10-103.3(d)1Aii as they apply to the performance of FV&DT procedures. The ECC-Provider shall retain all results for five years from the date of the test. The practical test shall comply with the following:

  • a. All practical tests shall be performed in any Commission approved facility as required by the Laboratory Training Requirements in Section 10-103.3(d)1Aiv.

  • b. All practical tests shall be in-person only using a live proctor with no more than five test takers to one proctor.

  • c. Any equipment required to complete the practical test shall be made available to each test taker. Test takers shall not work in teams to complete any portion of the practical test.

  • d. All practical tests shall be approved by the Commission by demonstration during the application process (Section 10-103.3(c)1).

• viii. Proctoring Software. Any proctoring software or learning management system that includes proctoring features used for training and exams shall be approved in advance by the Commission and comply with the following:

  • a. Proctoring software for training or exams must be time limited.

  • b. Proctoring software shall monitor the computer desktop, webcam video, and audio of the individual completing the training or exam. The proctoring software, including any interactions with a proctoring

service, shall take reasonable steps to detect the use of prohibited outside resources on the exam, and return a failing grade if the use of prohibited outside resources are in fact detected.

• B. Challenge Test. An ECC-Provider may also offer challenge testing that evaluates competence in all subjects specified in Sections 10-103.3(d)1Ai and 10-103.3(d)1Aii. If a challenge test is used it must comply with the following requirements:

  • i. Only an ECC-Rater with a current and valid certification shall be eligible to sit for a challenge test. ECC-Raters with a suspended certification are not eligible.

  • ii. The challenge test shall include a written test to be taken using a live proctor.

• iii. The challenge test shall include no less than 100 and no more than 1,000 questions prepared by the ECCProvider.

  - iv. The challenge test shall comply with all requirements in Section 10-103.3(d)1Avi. 
  

  • C. Training and Testing for Subsequent Triennial Code Cycle Updates. An ECC-Provider shall provide training to previously certified ECC-Raters on changes made during any Triennial Code Cycle update that would affect the performance of field verification and diagnostic testing, including changes that would trigger testing or in testing procedures. The Triennial Code Cycle Update training and testing shall comply with all Section 10-103.3(d)1A requirements. ECC-Providers may offer a challenge test in compliance with Section 10-103.3(d)1B. Laboratory training (Section 10-103.3(d)1Aiv) and practical testing (Section 10-103.3(d)1Avii) shall only be required if changes made during any Triennial Code Cycle include modifications or new diagnostic test procedures or field verifications.

2. ECC-Rater Certification.

   • A. Certification Requirements. Certification as an ECC-Rater is limited to a single Triennial Code Cycle. The ECCProvider shall record each Triennial Code Cycle for which an individual ECC-Rater has been certified to provide field verification and diagnostic test services. For each Triennial Code Cycle, an ECC-Provider shall certify an eligible ECCRater applicant who meets the minimum requirements for an ECC-Rater, as verified by the ECC-Provider, and completes and passes all training requirements. Prior to certification, an ECC-Provider shall advise the ECC-Rater applicant on the required conduct for ECC-Raters in Section 10-103.3(e), the progressive discipline requirements in Section 10-103.3(d)7, and the appeal process in Section 10-103.3(h).

   • B. Certification Agreement. Prior to certification, the ECC-Provider shall ensure that the applicant signs the ECC-Rater Agreement with the ECC-Provider, in which the ECC-Rater shall agree, at minimum, to comply with all applicable laws and regulations, including the requirements provided in Section 10-103.3, and shall maintain a copy of the signed agreement.

   • C. Eligibility. An ECC-Rater is eligible if they have not been prohibited from practicing by the Executive Director or Commission pursuant to Section 10-103.3(g)1.

   • D. The ECC-Provider shall maintain a list of all certified ECC-Raters with the following information:

     • i. First and last name.

     • ii. Business contact information.

       • a. Phone.

       • b. Address.

       • c. Email.

     • iii. Certification status, limited to Certified-Active, Exemplary-Active, notice of violation, Probation, Suspended, Decertified, Inactive.

3. ECC-Rater Company Training. For each Triennial Code Cycle, the ECC-Provider shall develop and maintain a course of training to summarize the responsibilities of the ECC-Rater Company in the performance of field verifications and diagnostic testing as prescribed in Section 10-103.3(d)3. The ECC-Rater Company training may not exceed 8 hours in duration. All training materials shall be approved by the Commission as part of the ECC-Provider’s application (Section 10-103.3(c)1). An ECC-Provider’s training curriculum for ECC-Rater Company applicants must, at minimum, include all of the following:

   • A. A summary of the training curriculum for ECC-Rater applicants provided in Section 10-103.3(d)1. B. Information regarding the following:

     • i. The roles and responsibilities of all entities regulated by Section 10-103.3 and in the Building Energy Efficiency Standards, Reference Appendices RA1, RA2, RA3, RA4, NA1, NA2, and JA7.

     • ii. Discipline procedure for ECC-Raters (Section 10-103.3(d)7) and ECC-Rater Companies (Section 10-103.3(d)8), and the appeal process (Section 10-103.3(h)).

     • iii. Quality assurance process (Section 10-103.3(d)5).

     • iv. Conflict of interest requirements (Section 10-103.3(b)1).

     • v. Prohibition on False, Inaccurate, or Incomplete Information (Section 10-103.3(b)2).

4. ECC-Rater Company Certification.

   • A. Certification Requirements. An ECC-Provider shall certify an eligible ECC-Rater Company applicant that meets the minimum requirements for an ECC-Rater Company, as verified by the ECC-Provider, and completes and passes all training requirements. Prior to certification, an ECC-Provider shall advise the ECC-Rater Company applicant on the

required conduct for ECC-Rater Companies in Section 10-103.3(f)2, the discipline requirements in Section 10-103.3(d)8 and the appeal process in Section 10-103.3(h).

• B. Certification Agreement. The ECC-Rater Company applicant shall sign the ECC-Rater Company agreement with the ECC-Provider in which the ECC-Rater Company shall agree, at minimum, to comply with all applicable laws and regulations, including the requirements provided in this Section 10-103.3.

• C. Public List. ECC-Providers shall maintain a publicly available list of certified ECC-Rater Companies.

• D. Eligibility. An ECC-Rater Company is eligible if it meets the minimum qualifications enumerated in Section 10103.3(f)1B and has not been prohibited from practicing by the Executive Director or Commission pursuant to Section 10-103.3(g)2.

• E. After its initial certification, an ECC-Rater Company does not need to complete the training curriculum again or be recertified for each Triennial Code Cycle as long as it maintains its eligibility under Section 10-103.3(f)1B.

• F. The ECC-Provider shall maintain a list of all certified ECC-Raters Companies with the following information:

  • i. First and last name of certified primary.

  • ii. ECC-Rater Company name.

  • iii. Business contact information.

    • a. Phone.

    • b. Address.

    • c. Email.

• iv. Certification status, limited to Certified-Active, Exemplary-Active, notice of violation, Probation, Suspended, Decertified, Inactive.

  • G. The ECC-Provider shall maintain any Declarations of ECC-Rater Company Separation of Services (Section 10103.3(f)2Diii) in the ECC-Provider data registry such that it is accessible for verification by the Energy Commission and local enforcement agencies.

5. Quality Assurance. An ECC-Provider shall maintain a quality assurance program to ensure appropriate oversight of the ECC-Raters it certifies. This program shall, at a minimum, include the following:

   • A. Quality Assurance Staff. ECC-Providers shall maintain the necessary qualified staff to ensure a functioning quality assurance program that includes, at a minimum, performing the types of quality assurance reviews listed in Section 10-103.3(d)5 on ECC-Raters. Any form of audit is subject to the same standards of required conduct as any other field verifications and diagnostic tests and is also subject to Quality Assurance review. Quality Assurance staff may not include active ECC-Raters.

   • B. Exemplary ECC-Rater. An ECC-Rater is designated as an “Exemplary ECC-Rater” once the ECC-Rater has been (1) continuously certified as an ECC-Rater for a minimum of 5 years and (2) confirmed for designation by the applicable ECC-Provider after passing all required quality assurance audits within a 12-month period, including at least one annual quality insulation installation (QII) shadow audit and one desk audit.

     • i. The ECC-Provider shall immediately revoke this designation for any audit failure or the failure to be recertified as an ECC-Rater in any subsequent Triennial Code Cycle.

     • ii. This designation, once obtained, may be included in marketing materials. If this designation is revoked, it shall be removed from marketing materials within 10 business days.

   • C. Types of Quality Assurance Review. Quality Assurance Review shall take the form of onsite, shadow, and desk audits.

     • i. Onsite Audits. The ECC-Provider performs an onsite audit following field verification and diagnostic testing by an ECC-Rater it certified. Onsite audits are performed at the invitation of the homeowner through the complaint process, at the request of the Commission, or at the discretion of the ECC-Provider. Every year, at least one onsite audit shall be performed by the ECC-Provider for each ECC-Rater it has certified, either at random or as directed above. For Exemplary ECC-Raters, the minimum onsite audit frequency shall be reduced from once per year to once per Triennial Code Cycle. The audit results shall be included in the annual reporting to the Commission (Section 10-103.3(d)11E) or provided in response to a request by the Commission. Onsite audits shall comply with the following:

       • a. Onsite audits must not be performed in the presence of the ECC-Rater and can be performed any time after the ECC-Rater has left the project site.

• b. ECC-Raters must not be informed that their field verification and diagnostic test is receiving an onsite audit until the onsite audit is complete and the results are documented.

     - c. At a minimum, onsite audits shall include all of the following: 
  
        - (i) A verification of correctly completed certificates of installation (if the ECC-Rater is acting as the Authorized Representative under Section 10-103(a)3A) and verification (Section 10-103(a)4) for the project. 
  
        - (ii) Performance of the field verification and diagnostic test that was performed by the ECC-Rater. 
  

  • d. A passing result shall include the following at a minimum:

    • (i) Correct and completed certificates of installation (if the ECC-Rater is signature authorized under Section 10-103(a)3A) and verification (Section 10-103(a)4) for the project free from false, inaccurate, or incomplete information.

    • (ii) All field verification and diagnostic test audit results that include a field test or measurement must pass as required in the Building Energy Efficiency Standards, Reference Appendices RA1, RA2, RA3, RA4, NA1, and NA2.

  • e. Onsite audits shall be performed when an ECC-Provider is investigating a complaint from a homeowner about a field verification and diagnostic test.

  • f. Onsite audits shall be performed for every 100 dwelling units or single-family residences (or both in combination) in a single development constructed by a single developer that make use of the samplegroup provisions (Building Energy Efficiency Standards, Reference Appendix RA 2.6) beginning with the hundredth dwelling unit or single-family residence. Nothing in this provision shall require that any dwelling unit in any sample-group remain open beyond the requirements in Building Energy Efficiency Standards, Reference Appendix RA 2.6. These onsite audits shall comply with the following:

    • (i) The ECC-Provider shall perform the onsite audit at an untested home and a tested home.

    • (ii) If the ECC-Provider is refused access to the development, all sample-groups for the development will be considered conflicted data (Section 10-103.3(b)1B).

    • (iii) At the discretion of an ECC-Provider, this onsite audit may also be used to satisfy the requirements for an onsite audit as required by Section 10-103.3(d)5Ci (Onsite Audits) or, if applicable, Section 10-103.3(d)5Cii (Shadow Audits) for an ECC-Rater.

    • (iv) A failed onsite audit of the tested dwelling unit shall constitute a failed onsite audit for the ECCRater. A failed onsite audit of either the tested or untested dwelling unit shall be recorded in the ECC-Provider’s quality assurance database (Section 10-103.3(d)9B). A failed onsite audit of either the tested or untested dwelling unit shall be reported to the developer, ECC-Rater, and ECC-Rater Company as soon as is possible. Failed onsite audits of dwelling units within a sample-group shall not be deemed to fail or impact in any way the compliance status of the sample-group.

e recorded in the ECC-Provider’s quality assurance database (Section 10-103.3(d)9B). A failed onsite audit of either the tested or untested dwelling unit shall be reported to the developer, ECC-Rater, and ECC-Rater Company as soon as is possible. Failed onsite audits of dwelling units within a sample-group shall not be deemed to fail or impact in any way the compliance status of the sample-group.

• g. If the ECC-Provider is refused access to the development, the ECC-Rater may be subject to investigation and disciplinary action at the discretion of the ECC-Provider. The onsite results shall be documented by the ECC-Provider, provided to the ECC-Rater and ECC-Rater Company, provided to the homeowner, and recorded in the ECC-Provider’s quality assurance database (Section 10-103.3(d)9B).

• h. If the onsite audit reveals the ECC-Rater did not accurately perform the field verification and diagnostic test or accurately collect or report data, the ECC-Provider shall initiate disciplinary action (Section 10103.3(d)7).

• i. Onsite audits shall include the use of photographic evidence to be recorded in the ECC-Provider data registry as provided in Building Energy Efficiency Standards, Reference Appendix JA7.5.6.3.

• ii. Shadow Audits. A shadow audit requires the ECC-Provider to audit the ECC-Rater as they perform a Quality Insulation Installation field verification (Building Energy Efficiency Standards, Reference Appendix RA3.5). The ECC-Provider’s auditor shall observe and may not aid the ECC-Rater during the shadow audit. All ECC-Raters shall receive a shadow audit for QII once per year. For Exemplary ECC-Raters, the shadow audit frequency shall be reduced from once per year to once per Triennial Code Cycle. A shadow audit shall also be performed if requested by the Commission or at the discretion of the ECC-Provider. Shadow audits shall comply with the following:

  • a. The ECC-Rater shall be informed of the shadow audit for scheduling purposes and the ECC-Provider’s auditor will explain their presence to the homeowner. The homeowner may grant entry to the auditor. If entry is refused, the ECC-Provider shall reschedule the shadow audit.

  • b. For newly constructed buildings, the developer or contractor shall not refuse a shadow auditor if sampling is being used on the development. If the auditor is refused entry, the data registry will not accept sample-based compliance documents from the developer, contractor, or ECC-Rater regarding the project.

  • c. Shadow audits are limited to QII verifications where the ECC-Rater shall make the necessary observations and record results.

  • d. Reserved.

  • e. The shadow audit results shall be documented by the ECC-Provider, provided to the ECC-Rater and ECCRater Company, and recorded in the ECC-Provider’s quality assurance database (Section 10-103.3(d)9B).

  • f. If the shadow audit reveals the ECC-Rater did not accurately perform the QII test or accurately collect or report data, the ECC-Provider shall initiate disciplinary action (Section 10-103.3(d)7).

• iii. Reserved.

• iv. Desk Audits. Desk audits consist of an ECC-Provider using registered compliance documents within an ECCProvider data registry to evaluate an ECC-Rater’s Certificates of Compliance (Section 10-103(a)), Certificates of Installation (Section 10-103(b), and Certificates of Verification (Section 10-103(d)) for consistency and accuracy. ECC-Providers shall perform desk audits of all certified ECC-Raters at least once per year and as directed by the Commission or at the discretion of the ECC-Provider. For Exemplary ECC-Raters, the desk audit frequency shall be reduced from once per year to once per Triennial Code Cycle. Desk audits shall comply with the following:

     - a. ECC-Providers shall develop and document a maximum variance for each data entry point for each field verification and diagnostic test. 
  
     - b. ECC-Providers shall identify a project to audit where the ECC-Rater provided field verification and diagnostic test services. The ECC-Provider shall collect all compliance documents associated with the project as necessary to audit the field verifications and diagnostic tests performed by the ECC-Rater at the project site and may contact outside authorities, such as the local building authority with jurisdiction over the project. 
  
     - c. The ECC-Provider shall confirm the measurements, calculations, and other information obtained during field verifications and diagnostic tests at the project are within expected tolerances. 
  
     - d. The ECC-Provider shall compare the field verification and diagnostic test results from the project site to no less than 20 other field verification and diagnostic test results performed by the same ECC-Rater on other project sites prior to the audited project. If the comparison suggests the subject project results could have been copied from prior project sites, the ECC-Provider shall investigate further to determine if results were falsified or otherwise inaccurate. 
  
     - e. The desk audit results shall be documented by the ECC-Provider, provided to the ECC-Rater and ECCRater Company, and recorded in the ECC-Provider’s quality assurance database (Section 10-103.3(d)9B). 
  
     - f. If the desk audit shows that the ECC-Rater did not accurately perform the field verification and diagnostic test or accurately collect or report data, the ECC-Provider shall initiate disciplinary action (Section 10103.3(d)7). 
  

  • D. Remedy for Flawed Field Verification and Diagnostic Tests.

    • i. A flawed field verification and diagnostic test is any field verification and diagnostic test that is inconsistent with an audit, or that is otherwise determined by the Executive Director, the Commission, or the ECC-Provider to be untrue or inaccurate.

    • ii. The ECC-Rater or ECC-Rater Company is responsible for remedying any flawed field verification and diagnostic tests identified by audit or by any other means.

    • iii. A flawed field verification and diagnostic test is remedied by providing an additional field verification and diagnostic test to the hiring party that corrects the untrue or inaccurate reporting.

• E. Payment of Fees; Proportionality. As part of their contractual arrangements with ECC-Raters, ECC-Providers may charge a Quality Assurance fee. The entirety of any Quality Assurance fee may only be used by the ECC-Provider to fund Quality Assurance activities.

6. Queries and Complaints.

   • A. Public Queries and Complaints. ECC-Providers shall have a system for receiving queries and complaints from consumers, ECC-Raters, ECC-Rater Companies, authorities having jurisdiction, and the general public. The ECCProvider shall respond to, investigate, and resolve queries and complaints related to field verification and diagnostic testing in a timely manner. ECC-Providers shall ensure the ECC-Raters they certify inform field verification and diagnostic testing service recipients about the query and complaint system. ECC-Providers shall retain all records of queries and complaints, the corresponding investigation, and the response for a minimum of 5 years from receipt of the query or complaint. ECC-Providers shall annually report to the Commission a summary of all queries, complaints, and actions taken over the last 12 months. The Queries and Complaints Annual Summary shall include all of the following for each query or complaint received:

     • i. A tracking number identifying each query or complaint in the ECC-Provider queries and complaints tracking system.

     • ii. The name and contact phone or email of the person(s) submitting the query or complaint.

     • iii. A summary of the query or complaint.

     • iv. A summary of the results of the ECC-Provider investigation and related actions.

     • v. A summary of the resolution of the query or complaint.

   • B. Commission-Initiated Queries and Complaints. The Commission may direct an ECC-Provider to investigate any queries related to the performance of the FV&DT program. An ECC-Provider shall respond within 30 days of receiving a Commission direction to investigate a query.

   • C. ECC-Rater and ECC-Rater Company-Initiated Queries and Complaints. ECC-Providers shall have a system for ECCRaters and ECC-Rater Companies to report potential violations of these regulations by ECC-Raters, ECC-Rater Companies, and ECC-Providers.

7. ECC-Rater Discipline. If an ECC-Rater violates these regulations, including but not limited to the failure to perform accurate and complete field verification and diagnostic tests, the ECC-Provider shall take the following disciplinary steps to address and correct the noncompliance. In the event of a severe violation, however, the ECC-Provider shall proceed immediately to the suspension step for the first severe violation and to the decertification step for a second severe violation. A severe violation of these regulations includes knowingly creating false field verification or diagnostic testing documents, any violation involving criminal activity, coordinating or participating in an organized scheme to violate these regulations, or a demonstrated pattern of violating these regulations. The ECC-Provider and ECC-Rater may extend, by written agreement, the time for response, reply, and final determination for each step below. At any time, the Executive Director may direct an ECCProvider to investigate an ECC-Rater or discipline an ECC-Rater pursuant to Sections 10-103.3(d)7A through 10-103.3(d)7D.

   • A. Step 1: Notice of Violation. Upon identification of one or more violations of these regulations by an ECC-Rater, the ECC-Provider shall issue a notice of violation to the ECC-Rater and any ECC-Rater Companies for which the ECC-Rater performs FV&DT services. The ECC-Rater Company or Independent Rater shall notify the affected homeowner and show proof of such notice to the ECC-Provider. Within 3 months of issuance of the Notice of Violation, the ECCProvider will perform a desk audit (Section 10-103.3(d)5Civ) on the ECC-Rater.

     • i. The ECC-Provider shall require the ECC-Rater take additional training or other corrective action related to the violations within a specified timeframe.

     • ii. The ECC-Provider shall inform the ECC-Rater of their responsibilities for the following: the ECC-Rater shall be responsible for the costs of quality assurance testing and additional training for the violations, and the ECCRater shall be responsible for the costs to the property owner for the original field verification and diagnostic test and any necessary retesting because of the violations. The ECC-Provider shall not be responsible for any costs related to flawed field verification and diagnostic test as performed by the ECC-Rater.

     • iii. The notice of violation shall be in writing and include a description of the regulatory requirements and violations, the date and approximate time of the violations, the parties affected by the violations, any corrective action the ECC-Rater shall take, any costs the ECC-Rater shall reimburse, the timeframe for complying with all requirements of the notice of violation.

• iv. The ECC-Rater will have 10 days of receipt of the notice of violation to respond in writing. If the ECC-Provider receives a response, the ECC-Provider shall acknowledge the response and, within 10 days, request additional information needed from the ECC-Rater. The ECC-Rater shall have 10 days to provide additional information to the ECC-Provider. Within 30 days of the date of the notice of violation or within 20 days of receiving a response or additional information from the ECC-Rater, whichever is later, the ECC-Provider shall provide a final determination of a violation to the ECC-Rater, any affected homeowners, and any ECC-Rater Company for which the ECC-Rater performs field verification and diagnostic testing services. The violation shall not be effective until the ECC-Rater has exhausted the right to request reconsideration by the ECC-Provider or until the time to exercise that right has lapsed (Section 10-103.3(d)7Aiv).

  • B. Step 2: Probation. If an ECC-Rater fails to comply with a notice of violation within the specified timeframe or receives a second notice of violation within a three-month period, the ECC-Provider shall issue a notice to the ECC-Rater and any ECC-Rater Company for which the ECC-Rater performs field verification and diagnostic testing services, placing the ECC-Rater on probation for up to six months.

    • i. While on probation, the ECC-Rater shall be required to retake the training for both written and laboratory (Section 10-103.3(d)1Ai and Section 10-103.3(d)1Aii) and pass the required testing (Section 10-103.3(d)1Av and Section 10-103.3(d)1Avi) related to the violated regulations.

    • ii. The notice shall be in writing and include a description of the regulatory requirements and violations, the date and approximate time of the violations, the parties affected by the violations, any corrective action the ECCRater must take, any costs the ECC-Rater must reimburse, and the timeframe for complying with all requirements of the notice of violation.

    • iii. The ECC-Rater will have 10 days of receipt of the notice of probation to respond in writing. If the ECC-Provider receives a response, the ECC-Provider shall acknowledge the response and, within 10 days, request additional information needed from the ECC-Rater. The ECC-Rater shall have 10 days to provide additional information to the ECC-Provider. Within 30 days of the date of notice of probation or within 20 days of receiving a response or additional information from the ECC-Rater, whichever is later, the ECC-Provider shall provide a final determination of probation to the ECC-Rater and any affected ECC-Rater Company. The terms of probation shall last no more than six months and shall not be effective until the ECC-Rater has exhausted the right to request for reconsideration by the ECC-Provider or until the time to exercise that right has lapsed (Section 10-103.3(d)7Biii).

whichever is later, the ECC-Provider shall provide a final determination of probation to the ECC-Rater and any affected ECC-Rater Company. The terms of probation shall last no more than six months and shall not be effective until the ECC-Rater has exhausted the right to request for reconsideration by the ECC-Provider or until the time to exercise that right has lapsed (Section 10-103.3(d)7Biii).

• C. Step 3: Suspension. If an ECC-Rater fails to fully comply with the terms of probation or receives a new notice of violation while on probation, the ECC-Provider shall issue a notice to the ECC-Rater and any ECC-Rater Company for which the ECC-Rater performs field verification and diagnostic testing services.

  • i. The notice of suspension shall be in writing and include the basis for suspension, duration of suspension, and all corrective action the ECC-Rater must complete during suspension.

  • ii. The ECC-Rater shall have 10 days of receipt of the notice of suspension to respond in writing. If the ECC-Provider receives a response, the ECC-Provider shall acknowledge the response and, within 10 days, request additional information needed from the ECC-Rater. The ECC-Rater shall have 10 days to provide additional information to

the ECC-Provider. Within 30 days of the date of the notice of suspension or within 20 days of receiving a response or additional information from the ECC-Rater, whichever is later, the ECC-Provider shall provide a final determination of suspension to the ECC-Rater and any ECC-Rater Company for which the ECC-Rater performs field verification and diagnostic testing services. The suspension shall not be effective until the ECCRater has exhausted their right to appeal pursuant to Section 10-103.3(h) or until the time to exercise their right to appeal has lapsed.

  - iii. Once the suspension becomes effective, the ECC-Provider shall prohibit the ECC-Rater from submitting any new compliance documents (Section 10-103) or otherwise accessing the ECC-Provider data registry until the suspension has ended. 

• D. Step 4: Decertification. If an ECC-Rater fails to comply with the terms of suspension or receives a new notice of violation while suspended or while a notice of suspension is pending, the ECC-Provider shall issue a notice of decertification to the ECC-Rater and any ECC-Rater Company for which the ECC-Rater performs field verification and diagnostic testing services.

  • i. The notice of decertification shall be in writing and include the basis for decertification.

• ii. The ECC-Rater will have 10 days of receipt of the notice of decertification to respond in writing. If the ECCProvider receives a response, the ECC-Provider shall acknowledge the response and, within 10 days, request additional information needed from the ECC-Rater. The ECC-Rater shall have 10 days to provide additional information to the ECC-Provider. Within 30 days of the date of the notice of decertification or within 20 days of receiving a response or additional information from the ECC-Rater, whichever is later, the ECC-Provider shall provide a final determination on proceeding with decertification to the ECC-Rater and any ECC-Rater Company for which the ECC-Rater performs field verification and diagnostic testing services. The decertification shall not be effective until the ECC-Rater has exhausted their right to appeal pursuant to Section 10-103.3(h) or until the time to exercise their right to appeal has lapsed.

8. ECC-Rater Company Discipline. If an ECC-Rater Company violates these regulations, the ECC-Provider shall take the following disciplinary steps to address and correct the noncompliance. However, in the event of a severe violation, the ECCProvider shall proceed immediately to the suspension or decertification step. A severe violation of these regulations includes knowingly creating false field verification or diagnostic testing documents, any violation involving criminal activity, coordinating or participating in an organized scheme to violate these regulations, or a demonstrated pattern of violating these regulations. The ECC-Provider and ECC-Rater Company may extend, by written agreement, the time for response, reply, and final determination for each step below. At any time, the Executive Director may direct an ECC-Provider to investigate an ECC-Rater Company or discipline an ECC-Rater Company pursuant to Section 10-103.3(d)8.

   • A. Step 1: Notice of Violation. Upon identification of one or more violations of these regulations by an ECC-Rater Company, the ECC-Provider shall issue a notice of violation to the ECC-Rater Company and any affected homeowners.

     • i. The ECC-Provider may require the ECC-Rater Company to take additional training or other corrective action related to the violations within a specified timeframe.

     • ii. The ECC-Provider shall inform the ECC-Rater Company of their responsibilities for the following: the ECC-Rater Company shall be responsible for the costs of quality assurance testing and additional training for the violations, and the ECC-Rater Company shall be responsible for the costs to the property owner for the original field verification and diagnostic test and any necessary retesting because of the violations. The ECC-Provider shall not be responsible for any costs related to flawed field verification and diagnostic test as performed by the ECCRater employed by the ECC-Rater Company.

training for the violations, and the ECC-Rater Company shall be responsible for the costs to the property owner for the original field verification and diagnostic test and any necessary retesting because of the violations. The ECC-Provider shall not be responsible for any costs related to flawed field verification and diagnostic test as performed by the ECCRater employed by the ECC-Rater Company.

  - iii. The notice of violation shall be in writing and include a description of the regulatory requirements and violations, the date and approximate time of the violations, the parties affected by the violations, any corrective action the ECC-Rater Company must take, any costs the ECC-Rater Company must reimburse, and the timeframe for complying with all requirements of the notice of violation. 

  - iv. The ECC-Rater Company will have 10 days of receipt of the notice of violation to respond in writing. If the ECCProvider receives a response, the ECC-Provider shall acknowledge the response and, within 10 days, request additional information needed from the ECC-Rater Company. The ECC-Rater Company shall have 10 days to provide additional information to the ECC-Provider. Within 30 days of the date of the notice of violation or within 20 days of receiving a response or additional information from the ECC-Rater Company, whichever is later, the ECC-Provider shall provide a final determination of a violation to the ECC-Rater Company within 30 days. The violation shall not be effective until the ECC-Rater Company has exhausted its right to request reconsideration by the ECC-Provider or until the time to exercise that right has lapsed (Section 10-103.3(d)8Aiv). 

• B. Step 2: Probation. If an ECC-Rater Company fails to complete all corrective actions and reimburse all costs specified for a violation within the required timeframe or receives two violations within a three-month period, the ECC-Provider shall issue a notice of probation to the ECC-Rater Company.

  • i. The notice of probation shall be in writing and include the basis for probation, the duration of probation, and all corrective action the ECC-Rater Company must complete during probation.

  • ii. The ECC-Rater Company will have 10 days of receipt of the notice of probation to respond in writing. If the ECCProvider receives a response, the ECC-Provider shall acknowledge the response, and, within 10 days, request additional information needed from the ECC-Rater Company. The ECC-Rater Company shall have 10 days to

provide additional information to the ECC-Provider. Within 30 days of the date of notice of probation or within 20 days of receiving a response or additional information from the ECC-Rater, whichever is later, the ECCProvider shall provide a final determination of probation to the ECC-Rater Company. The terms of probation shall last no more than six months and shall not be effective until the ECC-Rater Company has exhausted its right to request reconsideration by the ECC-Provider or until the time to exercise that right has lapsed (Section 10-103.3(d)8Bii).

ation from the ECC-Rater, whichever is later, the ECCProvider shall provide a final determination of probation to the ECC-Rater Company. The terms of probation shall last no more than six months and shall not be effective until the ECC-Rater Company has exhausted its right to request reconsideration by the ECC-Provider or until the time to exercise that right has lapsed (Section 10-103.3(d)8Bii).

• C. Step 3: Suspension. If an ECC-Rater Company fails to fully comply with the terms of probation or receives a new notice of violation while on probation, the ECC-Provider shall issue a notice of suspension to the ECC-Rater Company.

  • i. The notice of suspension shall be in writing and include the basis for suspension, the duration of suspension, and all corrective action the ECC-Rater Company must complete during suspension.

  • ii. During suspension, the ECC-Provider will disable access to its registry for all ECC-Raters of the ECC-Rater Company.

  • iii. The ECC-Rater Company will have 10 days of receiving the notice of suspension to respond in writing. If the ECCProvider receives a response, the ECC-Provider shall acknowledge the response and, within 10 days, request additional information needed from the ECC-Rater Company. The ECC-Rater Company shall have 10 days to provide additional information to the ECC-Provider. Within 30 days of the date of the notice of suspension or 20 days of receiving a response or additional information from the ECC-Rater, whichever is later, the ECC-Provider shall provide a final determination of suspension. The suspension shall not be effective until the ECC-Rater Company has exhausted its right to appeal pursuant to Section 10-103(h) or until the time to exercise its right to appeal has lapsed.

• D. Step 4: Decertification. If an ECC-Rater Company fails to comply with the terms of suspension or receives a new notice of violation while suspended or while a notice of suspension is pending, the ECC-Provider shall issue a notice of decertification to the ECC-Rater Company.

  • i. The notice of decertification shall be in writing and include the basis for decertification.

  • ii. The ECC-Rater Company will have 10 days of receipt of the notice of decertification to respond in writing. If the ECC-Provider receives a response, the ECC-Provider shall acknowledge the response and, within 10 days, request additional information needed from the ECC-Rater Company. The ECC-Rater Company shall have 10 days to provide additional information to the ECC-Provider. No earlier than 30 days of the date of the notice of suspension or 20 days of receiving a response or additional information from the ECC-Rater, whichever is later, the ECC-Provider shall provide a final determination of decertification. The decertification shall not be effective until the ECC-Rater Company has exhausted its right to appeal pursuant to Section 10-103.3(h) or until the time to exercise its right to appeal has lapsed.

9. Data Recording.

• A. Data Recording for Field Verification and Diagnostic Tests. Each ECC-Provider shall record all data collected by an ECC-Rater for a field verification and diagnostic test, including the following data:

  - i. The registered Certificate(s) of Compliance, Certificate(s) of Installation, Certificate(s) of Verification, and their associated Compliance Registration Packages. 
  
  - ii. The energy efficiency improvements verified or tested, if applicable. 
  
  - iii. Whether the builder chose to include the home in a sample for FV&DT as specified in the Residential Appendices. 
  
  - iv. Whether initial FV&DT as specified in the Residential Appendices was conducted on the home. 
  
  - v. Whether the home in a sample was selected and verified or tested as specified in the Residential Appendices. 
  
  - vi. Whether the home in a sample was selected for resampling and verified or tested after a sampling failure was found in the sample as specified in the Residential Appendices. 
  
  - vii. Whether the home in a sample was verified or tested and corrective action was taken after a resampling failure was found in the sample as specified in the Residential Appendices. 
  
  - viii. Whether the homeowner declined to have verification or testing, and corrective action taken after occupancy as specified in the Residential Appendices. 
  

  • B. Data Recording for Quality Assurance Actions.

    • i. An ECC-Provider shall record all Quality Assurance and disciplinary actions taken against each ECC-Rater and ECC-Rater Company.

    • ii. The ECC-Provider shall maintain a database tracking system indicating the certificate status of all certified ECCRaters and ECC-Rater Companies and all Quality Assurance or disciplinary actions taken against each ECC-Rater and ECC-Rater Company.

    • iii. Quality Assurance Data regarding ECC-Raters and ECC-Rater Companies shall include all of the following:

      • a. Name, business address, and contact information for each certified ECC-Rater, ECC-Rater Company, or applicant.

      • b. Current status of certification, limited to one of the following: Application-in-Review, In-training, Certified, Exemplary, Under Notice of Violation, on Probation, on Suspension, Decertified, Certification Dormant (no data registration activity in one year).

      • c. Current ECC-Provider pricing assigned to the ECC-Rater or ECC-Rater Company for the costs and services for Field Verification and Diagnostic Testing registration including any Quality Assurance fees.

      • d. Quality Assurance Actions. List and indicate pass or fail with an explanation of all of the following audits for each certified ECC-Rater:

        • (i) Onsite audits (Section 10-103.3(d)5Ci).

        • (ii) Shadow audits (Section 10-103.3(d)5Cii).

        • (iii) Desk audits (Section 10-103.3(d)5Civ).

      • e. Detailed Quality Assurance Action Records. The ECC-Provider shall keep all field notes and associated records regarding passed, warnings issued, or failed quality assurance tests for each certified ECC-Rater for no less than 5 years.

10. Data Retention.

• A. An ECC-Provider shall maintain all information in the original format in which it collects, receives, or records the data for a minimum of 10 years.

  • B. ECC-Providers shall maintain a system that allows the Commission to readily search and query compliance documents, quality assurance data, and ECC-Rater and ECC-Rater Company information collected in accordance with ECC-Provider responsibilities (Section 10-103.3(d)). The Commission shall be able to search and query the information stored on the ECC-Provider’s system in a way that is not substantially limited compared to the ability of the ECCProvider.

  • C. ECC-Providers may not restrict or degrade the Commission’s ability to query, access, sort, or filter this information in any way that is substantially different compared to the ability of the ECC-Provider.

  • D. ECC-Providers shall maintain digital copies of all files that can be indexed and searched at a minimum by calendar year or designated code cycle. It is the responsibility of ECC-Providers to maintain the necessary systems to support these functions, unless the Commission or Executive Director explicitly authorizes the ECC-Provider, in writing, to operate without this functionality or process.

  • E. Nothing in this subsection shall be construed as requiring an ECC-Provider to process, re-package, or otherwise modify any historical information collected prior to January 1, 2026.

11. Data Reporting. ECC-Providers shall comply with the following reporting requirements:

• A. ECC-Providers shall maintain a database of the information specified in Section 10-103.3(d)9A and in compliance with Building Energy Efficiency Standards, Reference Appendix JA7, for the greater of: 500 buildings field verified and diagnostically tested by ECC-Raters certified by the respective ECC-Provider each year, or a 10 percent random sample of buildings field verified and diagnostically tested by ECC-Raters certified by the respective ECC-Provider each year. Requests for data shall be limited to information needed to confirm compliance with and/or assess the ECC program.

• B. Beginning January 1, 2027, ECC-Providers shall provide this information annually in electronic form to the Commission for evaluating the effectiveness of field verification and diagnostic testing.

• C. This information shall be organized according to climate zones as defined in the Building Energy Efficiency Standards, Section 100.1(b).

• D. FV&DT Data Reporting. Within ninety days of the Executive Director approving a CEC-maintained electronic document repository, an ECC-Provider shall transmit to the Commission electronic document depository Certificate(s) of Certification, Certificate(s) of Installation, Certificate(s) of Verification documents (Section 10-103) and their associated Compliance Registration Packages that are registered and retained by a data registry in accordance with Section 10-103 and Building Energy Efficiency Standards, Appendix JA7. The ECC-Provider shall submit this data no less than once per calendar quarter and in a manner as directed by the Commission. Once implemented, this requirement shall supersede the requirements of Sections 10-103.3(d)11A, 10-103.3(d)11B and 10-103.3(d)11C.

  • E. Quality Assurance Quarterly Report. The ECC-Provider shall send a report each quarter to the Commission that includes all failed quality assurance audits (Section 10-103.3(d)5). The ECC-Provider shall comply with all of the following:

    • i. Submit a Quality Assurance Quarterly Report for each project where an audit (Section 10-103.3(d)5) was performed and failed within the calendar quarter. The Quality Assurance Quarterly Report shall be submitted no less than 60 days after the end of the calendar quarter. Each reported project shall list the contractor information, ECC-Rater information, project address, project permit code (if available), other project identification available to help identify the project, and code violations for each failed audit (as prescribed in Section 10-103.3(d)5).

    • ii. The ECC-Provider shall submit all Quality Assurance Quarterly Reports to the Commission in a docket prepared by the Commission.

  • F. Quality Assurance Annual Report.

    • i. An ECC-Provider shall submit a Quality Assurance Annual Report to the Commission for each calendar year no later than the end of February of the following year.

    • ii. The Quality Assurance Annual Report shall include all specified records within the annual timeframe.

    • iii. The Quality Assurance Annual Report shall summarize all quality assurance actions taken for each ECC-Rater certified by the ECC-Provider during the preceding year.

    • iv. Detailed Quality Assurance Action Records (Section 10-103.3(d)9Biiid) are not required to be submitted annually to the Commission but shall be subject to Commission requests for information made pursuant to Section 10-103.3(d)12.

  • G. Annual Reporting Requirements Regarding ECC-Rater Companies.

    • i. By the first of June of each year starting in 2027, an ECC-Provider shall submit an ECC-Rater Company Annual Report to the Commission. The report shall be clearly labeled as confidential and transmitted to the Commission as confidential submission and will be treated as such as permitted by law. The report becomes nonconfidential 5 years following submission but may receive confidential redesignation if the ECC-Provider requests extension of confidential status using the steps outlined in Title 20, Section 2505 et seq. of the California Code of Regulations.

    • ii. Reserved.

• iii. The ECC-Provider shall ensure that the ECC-Rater Company Annual Report includes the current ECC-Provider pricing assigned to each ECC-Rater Company and Independent ECC-Rater for the costs of all services for Field Verification and Diagnostic Testing registration, including any Quality Assurance fees .

  • H. Immediate Reporting of Disciplinary Actions. The ECC-Provider shall provide written notification of any ECC-Rater or ECC-Rater Company decertification to the Commission within 24 hours of decertification. The Commission shall notify all ECC-Providers of the decertification and instruct all ECC-Providers to immediately suspend the ECC-Rater’s or ECC-Rater Company’s access credentials to their respective data registries.

12. Responses to Commission Requests for Data.

• A. At any time, the Executive Director may request access to or a digital copy of one or more registered compliance documents, associated with Compliance Registration Packages, and quality assurance records that an ECC-Provider is required to maintain pursuant to Section 10-103.3(d)9 and the Building Energy Efficiency Standards, Reference Joint Appendix JA7. Requests for data shall be limited to information needed to confirm compliance with, assess the Section 10-103.3 ECC Program, or both.

• B. The provider shall comply with the request in the timeframe specified by the Executive Director.

• C. ECC-Providers have the sole responsibility to ensure that their systems can comply with the data request provisions of this subsection, including providing the Commission with reasonable access to any and all compliance documents, including Compliance Registration Packages, submitted within the past 10 years.

13. Data Registry Requirements. ECC-Providers must comply with all data registry requirements provided by the Building Energy Efficiency Standards, Reference Joint Appendix JA7, and Section 10-109.

14. No Approved ECC-Providers. If there are no certified ECC-Providers, the CEC may perform the ECC-Provider Responsibilities provided in Section 10-103.3(d) or suspend all or a portion of the FV&DT program, including (but not limited to) relevant provisions of the Building Energy Efficiency Standards found in Residential Appendices RA1, RA2, RA3 and RA4; Nonresidential Appendices NA1 and NA2; Reference Joint Appendix JA7; and Section 10-109.

certified ECC-Providers, the CEC may perform the ECC-Provider Responsibilities provided in Section 10-103.3(d) or suspend all or a portion of the FV&DT program, including (but not limited to) relevant provisions of the Building Energy Efficiency Standards found in Residential Appendices RA1, RA2, RA3 and RA4; Nonresidential Appendices NA1 and NA2; Reference Joint Appendix JA7; and Section 10-109.

15. ECC-Provider Discipline. If the Executive Director becomes aware of an ECC-Provider’s violation of these regulations, including any Conditions of Approval, the Executive Director shall take the disciplinary steps necessary to address and correct the violation. Violations that trigger the disciplinary process include failure to comply with quality assurance requirements (Section 10-103.3(d)5), failure to investigate or discipline ECC-Raters and ECC-Rater Companies (Section 10103.3(d)7 and Section 10-103.3(d)8), failure to allow the Commission full access to the ECC-Provider data registry (Section 10-103.3(d)12), refusal to comply with Commission data requests (Section 10-103.3(d)12), failure to cooperate in a Commission complaint investigation (Section 10-103.3(d)12), and failure to otherwise comply with any applicable law or regulation. In the event of a severe violation, the Executive Director may proceed immediately to issue a notice of suspension for the first severe violation and to issue a notice of decertification for a second severe violation. A severe violation of these regulations includes knowingly creating false field verification or diagnostic testing documents, any violation involving criminal activity, coordinating or participating in an organized scheme to violate these regulations, or a demonstrated pattern of violating these regulations.

• A. Step 1: Notice of violation. Upon identification of one or more violations of these regulations by an ECC-Provider, the Executive Director shall issue a notice of violation to the ECC-Provider’s designated contact and publicly post the notice. The Executive Director shall require the ECC-Provider to take corrective action related to the violations within a specified timeframe. The notice of violation shall be in writing and include a description of the legal requirements and violations, any corrective action the ECC-Provider must take, and the timeframe for complying with all the notice of violation requirements. The ECC-Provider will have 10 days of receipt of the notice of violation to respond in writing. If the Executive Director receives a response, the Executive Director shall acknowledge the response and, within 5 days, request additional information needed from the ECC-Provider. The ECC-Provider will have 5 days to provide

additional information to the Executive Director. Within 30 days of the date of the notice of violation or within 20 days of receiving additional information from the ECC-Provider, whichever is later, the Executive Director shall provide a final determination of a violation to the ECC-Provider.

• B. Step 2: Probation. If an ECC-Provider fails to complete all corrective action prescribed by the Executive Director within the specified timeframe or receives a second notice of violation within a three-month period, the Executive Director shall issue a notice of probation to the ECC-Provider’s designated contact. The Executive Director shall also publicly post the notice of probation. The notice shall be in writing, include a description of the regulatory requirements and violations, and specify the probation duration. The ECC-Provider will have 10 days of receipt of the notice of probation to respond in writing. If the Executive Director receives a response, the Executive Director shall acknowledge the response and, within 5 days, request additional information needed from the ECC-Provider. The ECCProvider will have 5 days to provide additional information to the Executive Director. Within 30 days of the date of the notice of probation or within 20 days of receiving additional information from the ECC-Provider, whichever is later, the Executive Director shall provide a final determination of probation to the ECC-Provider.

• C. Step 3: Suspension. If an ECC-Provider fails to complete all corrective action or receives a new notice of violation while on probation, the Executive Director shall issue a notice of suspension to the ECC-Provider’s designated contact. The Executive Director shall also publicly post the notice of suspension. The notice shall be in writing and include a description of the regulatory requirements, violations, and proposed terms of suspension. The terms of suspension shall not be effective until the ECC-Provider has exhausted its right to appeal pursuant to Section 10103.3(h) or until the time to exercise its right to appeal has lapsed, at which time the terms of suspension shall be deemed to have been imposed by the Commission.

  • i. The ECC-Provider shall have 10 days of receipt of the notice of suspension to respond in writing. If the Executive Director receives a response, the Executive Director shall acknowledge the response and, within 5 days, request additional information needed from the ECC-Provider. The ECC-Provider will have 5 days to provide additional information to the Executive Director. Within 30 days of the date of the notice of suspension or within 20 days of receiving additional information from the ECC-Provider, whichever is later, the Executive Director shall provide a final determination of a suspension to the ECC-Provider.

  • ii. Terms of Suspension. Suspension may include conditionally or unconditionally restricting access to the Report Generator by the ECC-Provider. The duration of suspension shall be included in the terms of suspension.

• iii. Amendment to Terms of Suspension. The Executive Director may amend any term of the suspension by issuing a notice of amendment to terms of suspension to the ECC-Provider’s Designated Contact that includes the new terms of suspension and proposed effective date. Within 30 days of the date of the notice, the ECC-Provider may appeal the new terms pursuant to Section 10-103.3(h) or accept the new terms. If the ECC-Provider does not respond to the notice, the new terms shall go into effect on the 31st day after the date of the notice.

  • iv. 180-day Report . After 180 days of suspension, the Executive Director has 30 days to send to the ECC-Provider’s Designated Contact and publicly post a 180-day report that includes each outstanding violation, a timeline of when notices of potential violation and notices of violation were given for each outstanding violation, the date the probation began, the date suspension began and all terms of suspension, any amendments during the suspension, all steps the Executive Director is aware that the ECC-Provider has taken to remedy each violation, and any other information the Executive Director deems relevant, including the Executive Director’s intentions moving forward with respect to the ECC-Provider.

• D. Step 4: Rescinding Approval . If an ECC-Provider fails to comply with the terms of suspension or receives a new notice of violation while suspended or while a notice of suspension is pending, the Executive Director shall issue a notice of rescinding approval to the ECC-Provider’s designated contact. The rescinded approval shall not be effective until the ECC-Provider has exhausted its right to appeal pursuant to Section 10-103.3(h) or until the time to exercise its right to appeal has lapsed, at which time the rescinded approval shall be deemed to have been imposed by the Commission.

  • i. The ECC-Provider shall have 10 days of receipt of the notice of rescinded approval to respond in writing. If the Executive Director receives a response, the Executive Director shall acknowledge the response and, within 5 days, request additional information needed from the ECC-Provider. The ECC-Provider will have 5 days to provide additional information to the Executive Director. Within 30 days of the date of the notice of rescinded approval or within 20 days of receiving additional information from the ECC-Provider, whichever is later, the Executive Director shall provide a final determination of a rescinded approval to the ECC-Provider.

• E. Remediation required to restore eligibility to apply to be an ECC-Provider. Once an ECC-Provider has been decertified, neither that entity nor any successor, subsidiary, or otherwise affiliated or substantially similar organization is eligible to apply to operate as or apply to become a certified ECC-Provider until it has completed the following remediation process:

  • i. A decertified ECC-Provider may regain their eligibility to apply to become an ECC-Provider by submitting an Application for Remediation pursuant to Section 10-103.3(c)9 and receiving the Commission’s approval.

• ii. Once a decertified ECC-Provider has completed the remediation process by receiving the Commission’s approval, the decertified ECC-Provider becomes a remediated ECC-Provider eligible to submit an ECC-Provider Application pursuant to Section 10-103.3(c)3 according to the process set out in Section 10-110. A remediated ECC-Provider is only eligible for a full application pursuant to Section 10-103.3(c)3.

(e) ECC-Rater Certification and Responsibilities.

1. Certification.

   • A. Certification Process. ECC-Rater applicants shall apply to a Commission approved ECC-Provider for certification pursuant to the application process established by the ECC-Provider.

   • B. Minimum Qualifications. ECC-Rater applicants shall have completed all training set forth in Section 10-103.3(d)1.

   • C. ECC-Rater Agreement. Prior to being certified, an ECC-Rater applicant shall sign the ECC-Rater agreement with the ECC-Provider, in which the ECC-Rater shall agree, at minimum, to comply with all applicable laws and regulations, including the requirements provided in this Section 10-103.3.

   • D. Clean Certification Record. ECC-Providers shall not issue a new ECC-Rater certification to any ECC-Rater applicant if that applicant has an ongoing disciplinary proceeding requiring resolution by another ECC-Provider.

     • i. At a minimum, the issuing ECC-Provider shall require an ECC-Rater applicant to attest that the ECC-Rater applicant is in good standing with all other ECC-Providers.

     • ii. Any ECC-Provider may submit a complaint to the Commission if it suspects that an ECC-Rater with an outstanding disciplinary status requiring resolution has been issued a new ECC-Rater certification by another ECCProvider.

2. Required Conduct.

   • A. ECC-Raters shall provide field verification services in compliance with these regulations, including any regulations contained in the California Building Energy Efficiency Standards and related Reference Appendices RA1, RA2, RA3, RA4, JA7, NA1, and NA2.

   • B. ECC-Raters shall not create, record, submit, or certify untrue, inaccurate, or incomplete field verification and diagnostic test information or report field verification and diagnostic test results that did not comply with these regulations.

   • C. ECC-Raters shall not accept payment or other consideration in exchange for reporting a field verification and diagnostic test result not conducted and reported in compliance with these regulations.

   • D. ECC-Raters shall comply with the conflict-of-interest prohibitions set forth in Section 10-103.3(b)1.

   • E. ECC-Raters shall be present and personally participate in any field verification and diagnostic test or field verification activity. If an ECC-Rater relies on employees, designees, trainees, or any other individual to assist them in performing field verification and diagnostic test activity, the ECC-Rater shall be able to directly monitor and verify that any tests or measurements were performed properly in accordance with regulations.

lly participate in any field verification and diagnostic test or field verification activity. If an ECC-Rater relies on employees, designees, trainees, or any other individual to assist them in performing field verification and diagnostic test activity, the ECC-Rater shall be able to directly monitor and verify that any tests or measurements were performed properly in accordance with regulations.

• F. ECC-Raters shall not provide information based on assumptions, averages, or otherwise generated in any way other than by field verification and diagnostic testing performed in accordance with these regulations. Any such information is presumed to be untrue, inaccurate, and/or incomplete unless the ECC-Rater has the written permission of the Executive Director that explains how that information is collected and why such data is not untrue, inaccurate, and/or incomplete.

• G. ECC-Raters not employed by an ECC-Rater Company are considered independent. Independent ECC-Raters shall submit an Annual Activity Report no later than the end of March of each year starting in 2027 to the Commission that includes the information listed in Sections 10-103.3(f)2Fiii and 10-103.3(f)2Fiv.

3. Failure to Adhere to Required Conduct. ECC-Raters are subject to the disciplinary action set forth in Section 10-103.3(d)7 for the failure to adhere to the required conduct and these regulations.

4. Appeal and Reconsideration of Discipline.

   • A. ECC-Raters may seek reconsideration and review of a disciplinary action as set forth in Section 10-103.3(d)7.

   • B. ECC-Raters may appeal a disciplinary action imposed on them as set forth in Section 10-103(h).

(f) ECC-Rater Company Certification and Responsibilities.

1. Certification.

   • A. Certification Process. ECC-Rater Company applicants shall apply to a Commission approved ECC-Provider pursuant to the application process established by the ECC-Provider.

   • B. Minimum Qualifications. At least one principal of the ECC-Rater Company applicant shall hold an active ECC-Rater certification issued by a Commission approved ECC-Provider or be actively pursuing certification as evidenced by enrollment in training courses. A principal of an ECC-Rater Company is defined as a senior management-level employee and is not limited to an owner or shareholder of the ECC-Rater Company.

   • C. Training. Prior to being certified, the ECC-Rater Company applicant shall complete all required training provided by the ECC-Provider.

   • D. ECC-Rater Company Agreement. Prior to being certified, the ECC-Rater Company applicant shall sign an agreement with the ECC-Provider, in which the ECC-Rater Company shall agree, at minimum, to comply with all applicable laws and regulations, including but not limited to the requirements provided in Section 10-103.3.

2. Required Conduct.

   • A. Reserved.

   • B. ECC-Rater Companies shall have view-only access to the compliance documents registered by its ECC-Rater.

• C. ECC-Rater Companies shall not change data entered into the ECC-Provider data registry for any Certificates of Verification.

• D. ECC-Rater Companies may be the “Document Author” for Certificates of Compliance and Certificates of Installation registered in the ECC-Provider data registry but may not sign as the “Responsible Person” or “Installing Technician” (Sections 10-103(a)1 and 10-103(a)3).

  • i. An ECC-Rater or ECC-Rater Company may sign the Certificate of Installation as the “Authorized Representative” if they have a Delegation of Signature Authority (Section 10-103(a)3A) agreement with the Responsible Person and in place with the ECC-Provider.

  • ii. The ECC-Rater Company may not provide additional project services beyond field verification and diagnostic testing or as provided in Sections 10-103.3(f)2D and 10-103.3(f)2Di, including design, construction management, permitting, or “Responsible Person” signatories (Sections 10-103(a)1 and 10-103(a)3) unless the ECCRater Company submits a Declaration of ECC-Rater Company Separation of Services as provided in Section 10-103.3(f)2Diii.

  • iii. Declaration of ECC-Rater Company Separation of Services. The Declaration of ECC-Rater Company Separation of Services provides proof to the ECC-Provider that the ECC-Rater(s) employed or contracted by the ECCRater Company to provide field verification and diagnostic services is in compliance with the requirements in Section 10-103.3(b)1 and is independent and acting as a third party as defined by Section 10-103(a)5 from the person(s) employed or contracted by the ECC-Rater Company to provide services beyond the field verifications and diagnostic testing services including design, construction management, permitting, or “Responsible Person” signatories (Sections 10-103(a)1 and 10-103(a)3) on the same project.

    • a. The ECC-Rater Company must show proof that the person(s) providing these additional services do not have management, hiring or firing, payment or any other authority over the ECC-Rater or direct the ECCRater activities in any regard on the same project(s).

    • b. The ECC-Rater Company must show proof that the person(s) providing these additional services is qualified to do so under Division 3 of the Business and Professions Code .

    • c. The ECC-Rater Company must show proof that the person(s) providing signatory services under Sections 10-103(a)1 and 10-103(a)3 will be legally responsible for design, construction, or installation in the applicable classification for the scope of work and will sign as the Responsible Person.

    • d. The Declaration of ECC-Rater Company Separation of Services must be retained by the ECC-Provider to which all project compliance documentations are submitted.

• E. ECC-Rater Companies shall use the approved data registry user interface of a data registry or an approved external digital data service for data input into the ECC-Provider data registry.

• F. By the end of March of each year starting in 2027, each ECC-Rater Company shall submit an Annual Activity Report to the Commission. The report must be clearly labeled as confidential and must be treated as such as permitted by law. The report becomes nonconfidential 5 years following submission but may receive confidential redesignation if the ECC-Provider requests extension of confidential status using the steps outlined in Title 20, Section 2505 et seq. of the California Code of Regulations. The report shall contain all of the following:

  • i. ECC-Rater Company Contact details, principals, and required certificates.

  • ii. A list of all ECC-Raters working for the ECC-Rater Company.

  • iii. The total number of field verifications and diagnostic tests performed by ECC-Raters working for the ECC-Rater Company during the prior calendar year, organized by enforcement agency.

  • iv. The total and average cost of services charged for each type of field verification and diagnostic test performed by ECC-Raters working for the ECC-Rater Company during the prior calendar year.

• G. The ECC-Rater Company is responsible for assuring all of its ECC-Raters comply with these regulations and all other applicable laws and regulations when providing field verification and diagnostic services.

• H. The ECC-Rater Company shall support the ECC-Rater progressive discipline requirements (Section 10-103.3(d)7) as follows:

  • i. Notice of violation. The ECC-Rater Company shall ensure the ECC-Rater complies with any corrective action and reimbursement of costs prescribed in the notice of violation within the timeframe provided in the notice of violation. The ECC-Rater Company shall facilitate any refund to a homeowner.

  • ii. Probation. The ECC-Rater Company shall ensure the ECC-Rater complies with any training and tests and reimbursement of costs prescribed in the notice of probation within the time provided in the notice of probation. The ECC-Rater Company shall not assign any new work to the ECC-Rater until probation is lifted.

  • iii. Suspension. The ECC-Rater Company shall ensure the ECC-Rater complies with the terms of suspension prescribed in the notice of suspension.

  • iv. Decertification. The ECC-Rater Company shall ensure the decertified ECC-Rater does not perform any FV&DT services.

• I. ECC-Rater Companies shall not provide untrue, inaccurate, or incomplete field verification and diagnostic test information or report field verification and diagnostic test results that did not comply with these regulations.

  • J. ECC-Rater Companies shall not accept payment or other consideration in exchange for reporting a field verification and diagnostic test result not conducted and reported in compliance with these regulations.

  • K. Prohibition of Conflicts of Interest. ECC-Rater Companies shall comply with the conflict-of-interest prohibitions set forth in Section 10-103.3(b)1.

3. Failure to Adhere to Required Conduct. ECC-Rater Companies are subject to the disciplinary action set forth in Section 10-103.3(d)8 for the failure to adhere to the required conduct and these regulations.

4. Reconsideration of Discipline. ECC-Rater Companies may request reconsideration and review of a disciplinary action as set forth in Section 10-103.3(d)8.

(g) Prohibition from Practice and Re-Entry. Any ECC-Rater, ECC-Rater Company, or ECC-Provider that is currently suspended, or that has been decertified by the Executive Director or Commission pursuant to these regulations, is prohibited from operating pursuant to its certification under these regulations.

1. ECC-Raters.

   • A. While prohibited from practice, an ECC-Rater shall not submit field verification and diagnostic test information, including any compliance documents or Compliance Registration Packages, to an ECC-Provider, data registry, or the Commission.

   • B. Any such information submitted by an ECC-Rater who is prohibited from practicing is invalid and may not be relied on for purposes of permit compliance under the Energy Code.

2. ECC-Rater Companies. ECC-Rater Companies shall not act in any manner that leads to, encourages, or aids a violation of the prohibition to practice.

3. ECC-Providers.

   • A. No ECC-Provider shall accept or maintain field verification and diagnostic test information, including any compliance documents or Compliance Registration Packages, from an entity that is prohibited from practice at the time that information was either gathered or submitted.

   • B. Nothing in this subsection shall be interpreted as prohibiting an ECC-Provider from storing or relying on information submitted by an ECC-Rater while they were in good standing.

4. Re-Entry. The Executive Director or Commission may, for good cause, reinstate an entity’s ability to practice pursuant to Section 10-103.3(c).

(h) Appeal to Commission. Within 30 days of any decision or determination made by the Executive Director (Section 10-103.3(d)15) or an ECC-Provider (Sections 10-103.3(d)7 and 10-103.3(d)8), an ECC-Provider, ECC-Rater, or ECC-Rater Company subject to the decision or determination (“appellant”) may appeal the decision or determination to the Commission. The following procedures apply to the appeal:

1. The appeal shall be in writing and signed by the appellant and served on the party whose decision is the subject of appeal (“respondent”) and the Commission. The appeal shall consist of a written argument stating the grounds for modifying or reversing the decision, identifying the statutes and regulations relevant to the appeal, and stating whether an oral hearing is requested, and a copy of all relevant notices, responses, correspondence, documents, and decisions.

2. Within 30 days after the date the appeal was filed, the respondent shall serve on the appellant and the Commission a written argument stating the grounds for affirming, modifying, or reversing the decision; identifying the statutes and regulations relevant to the appeal; and stating whether an oral hearing is requested. The respondent’s written argument shall also be accompanied by any relevant notices, responses, correspondences, documents, and decisions not previously provided by the appellant.

3. Commission Consideration of Appeal.

• A. The proceedings on appeal shall be conducted in a manner consistent with Chapter 4.5 of the Government Code (Section 11400 et seq.) and Title 20 California Code of Regulations, Sections 1200–1216.

  • B. The Commission shall review the decision or determination made pursuant to this section for substantial evidence.

10-104. Exceptional designs.

Note: See Section 10-109 for approval of calculation methods and Alternative Component Packages.

(a) Requirements. If a building permit applicant proposes to use a performance compliance approach, and the building designs cannot be adequately modeled by an approved calculation method, an applicant shall be granted a building permit if the Commission finds:

1. That the design cannot be adequately modeled with an approved calculation method;

2. Using an alternative evaluation technique, that the design complies with Part 6; and

3. That the enforcement agency has determined that the design complies with all other legal requirements.

(b) Applications. The applicant shall submit four copies of a signed application with the following materials to the Executive Director:

1. A copy of the plans and documentation required by Section 10-103(a)2; and

2. A statement explaining why meeting the energy budget cannot be demonstrated using an approved calculation method; and

3. Documentation from the enforcement agency stating that:

   • A. Meeting the energy budget requirements cannot be demonstrated using an approved calculation method; and B. The design complies with all other legal requirements; and

4. A detailed evaluation of the energy consumption of the proposed building and the building’s materials, components and manufactured devices proposed to be installed to meet the requirements of Part 6 using an alternative evaluation technique. The evaluation shall include a copy of the technique, instructions for its use, a list of all input data and all other information required to replicate the results.

Authority: Sections 25402 and 25402.1, Public Resources Code.

Reference: Sections 25007, 25008, 25218.5, 25310, 25402, 25402.1, 25402.4, 25402.5, 25402.8 and 25943, Public Resources Code.

HISTORY:

1. New section filed 12-27-84; designated effective 1-1-85 pursuant to Government Code Section 11346.2 (d) (Register 84, No. 52).

2. (CEC 1/92) Regular order by the California Energy Commission to amend Section 10-104, Part 1, Title 24, California Code of Regulations. Filed with the secretary of state June 12, 1992; publication date July 15, 1992; effective 30 days thereafter. Approved as a regular order by the California Building Standards Commission on June 8, 1992.

10-105. Enforcement by the Commission.

(a) Where there is no local enforcement agency. Before new construction may begin in an area where there is no local enforcement agency, the Executive Director shall determine in writing that the building design conforms to the requirements of Part 6. The person proposing to construct the building shall submit the information described in Sections 10-103(a)1 and 10-103(a)2 to the Executive Director when such a determination is sought.

(b) Where building construction is under the jurisdiction of a state agency. Pursuant to Public Resources Code Section 25402.1(g)(5), no construction of any state building shall commence until the Department of General Services or the state agency that otherwise has jurisdiction over the property determines that the construction is designed to comply with the requirements of Part 6, and confirms that the documentation requirements of Sections 10-103(a)1 and 10-103(a)2 have been met and that the plans indicate the features and performance specifications needed to comply with Part 6. The responsible state agency shall notify the Commission’s Executive Director of its determination.

(c) Where the enforcement agency fails to enforce. If an enforcement agency fails to enforce the requirements of this article or of Part 6 the Commission, after furnishing 10 days written notice, may condition building permit issuance on submission of the information described in Sections 10-103(a)1 and 10-103(a)2 to the Executive Director and on his or her written determination that proposed construction conforms to the requirements of Part 6.

Authority: Code Section 25402.1, Public Resources Code.

Reference: Section 25402.1, Public Resources Code.

HISTORY:

1. Amendment filed 12-27-84; designated effective 1-1-85 pursuant to Government Code Section 11346.2 (d) (Register 84, No. 52).

2. (CEC 1/92) Regular order by the California Energy Commission to amend Section 10-105, Part 1, Title 24, California Code of Regulations. Filed with the secretary of state June 12, 1992; publication date July 15, 1992; effective 30 days thereafter. Approved as a regular order by the California Building Standards Commission on June 8, 1992.

10-106. Locally adopted energy standards.

(a) Requirements. Local governmental agencies may adopt and enforce energy standards for newly constructed buildings, additions, alterations and repairs to existing buildings provided the following two requirements are met prior to any enforcement of the standards:

1. A determination that the standards are cost effective is adopted by the local agency at a public meeting and subsequently filed with the Energy Commission; and

2. The Energy Commission finds that the standards will require buildings to be designed to consume less energy than permitted by Title 24, Part 6.

• (b) Documentation application. Local governmental agencies wishing to enforce energy standards subject to Section 10-106(a)

• shall submit an application with the following materials to the Executive Director:

  1. The proposed energy standards;

  2. The local governmental agency's findings and supporting analyses on the energy savings and cost effectiveness of the proposed energy standards;

  3. A statement or finding by the local governmental agency that the proposed energy standards will require buildings to be designed to consume less energy than permitted by Part 6; and

  4. Any findings, determinations, declarations or reports, including any negative declaration or environmental impact report, required pursuant to the California Environmental Quality Act, Public Resources Code Section 21000 et seq.

Authority: Section 25402.1, Public Resources Code.

Reference: Sections 21080.4, 21153, 25402.1, Public Resources Code.

HISTORY:

1. Amendment filed 12-27-84; designated effective 1-1-85 pursuant to Government Code Section 11346.2 (d) (Register 84, No. 52).

2. (CEC 1/92) Regular order by the California Energy Commission to amend Section 10-106, Part 1, Title 24, California Code of Regulations. Filed with the secretary of state June 12, 1992; publication date July 15, 1992; effective 30 days thereafter. Approved as a regular order by the California Building Standards Commission on June 8, 1992.

10-107. Interpretations.

(a) The Commission may make a written determination as to the applicability or interpretation of any provision of this article or of Part 6 upon written application, if a dispute concerning a provision arises between an applicant for a building permit and the enforcement agency, and the dispute has been heard by the local board of permit appeals or other highest local review body. Notice of any such appeal, including a summary of the dispute and the section of the regulations involved, shall if possible be sent to the Commission by the enforcing agency 15 days before the appeal is heard, and the result of the appeal shall be sent to the Commission within 15 days after the decision is made. Either party to the dispute may apply for a determination but shall concurrently deliver a copy of the application to the other party. The determinations are binding on the parties.

(b) The Executive Director may, upon request, give written advice concerning the meaning of any provision of this article or of Part 6. Such advice is not binding on any person.

Authority: Section 25402.1, Public Resources Code.

Reference: Sections 25402.1 and 25218.5, Public Resources Code.

HISTORY:

1. Amendment filed 12-27-84; designated effective 1-1-85 pursuant to Government Code Section 11346.2 (d) (Register 84, No. 52).

2. (CEC 1/92) Regular order by the California Energy Commission to amend Section 10-107, Part 1, Title 24, California Code of Regulations. Filed with the secretary of state June 12, 1992; publication date July 15, 1992; effective 30 days thereafter. Approved as a regular order by the California Building Standards Commission on June 8, 1992.

10-108. Exemption.

• (a) Requirements. The Commission may exempt any building from any provision of Part 6 if it finds that:

1. Substantial funds had been expended in good faith on planning, designing, architecture or engineering of the building before the adoption date of the provision; and

2. Compliance with the requirements of the provision would be impossible without both substantial delays and substantial increases in costs of construction above the reasonable costs of the measures required to comply with the provision.

(b) Application. The applicant shall submit four copies of a signed application with the following materials to the Executive Director:

1. A summary of the claimant’s contracts for the project;

2. A summary of internal financial reports on the project;

3. Dated schedules of design activities; and

4. A progress report on project completion.

Authority: Section 25402.1, Public Resources Code.

Reference: Section 25402.1, Public Resources Code.

HISTORY:

1. Amendment filed 8-11-83; effective thirtieth day thereafter (Register 83, No. 33).

2. Amendment filed 12-27-84; designated effective 1-1-85 pursuant to Government Code Section 11346.2 (d) (Register 84, No. 52).

3. (CEC 1/92) Regular order by the California Energy Commission to amend Section 10-108, Part 1, Title 24, California Code of Regulations. Filed with the secretary of state June 12, 1992; publication date July 15, 1992; effective 30 days thereafter. Approved as a regular order by the California Building Standards Commission on June 8, 1992.

10-109. Compliance software, alternative component packages, exceptional methods, data registries and related external digital data sources, alternative residential field verification protocols, electronic document repositories, photovoltaic and battery energy storage system requirement determinations.

(a) Compliance software, alternative component packages, exceptional methods, data registries and related data input software, alternative residential field verification protocols or electronic document repositories must be approved by the Commission in order to be used to demonstrate compliance with Part 6.

(b) Application. Applications for approval of compliance software, alternative component packages, exceptional methods, data registries and related data input software, and alternative field verification protocols must be made as follows:

1. An applicant shall submit four copies of a signed application form specified by the Executive Director.

2. The application shall include the following materials:

   • A. A description of the functional or analytical capabilities of the compliance software, alternative component package, calculation method, exceptional method, data registry or related data input software, and alternative field verification protocols; and

   • B. A demonstration that the criteria in Section 10-109 are met; and

   • C. An initial fee of one thousand dollars ($1,000). The total fee shall cover the Commission’s cost of reviewing and analyzing the application. Within 75 days of receipt of an application, the Commission will provide an estimate of the total maximum cost to review and analyze the application and make a determination as to the completeness of the application. Consideration of the application will be delayed until the applicant submits requested additional information. After the Commission determines the total cost, if the cost exceeds the initial fee, the Commission shall assess an additional fee to cover the total cost. If the actual cost is less than the initial, or any estimated maximum, fee the Commission shall refund the difference to the applicant.

(c) Compliance software.

1. Compliance Manager. The compliance manager is the public domain computer program, including simulation and compliance rule implementation software, developed by the Energy Commission pursuant to Public Resources Code Section 25402.1. The compliance manager software simulates the energy use of a proposed residential or nonresidential building and compares it to a standard design energy budget to determine if the building complies with the Building Energy Efficiency Standards. The compliance manager shall be able to do the following:

   • A. Standard design. The standard design building is a building simulated to establish the baseline energy budget for space heating, space cooling, indoor air quality ventilation, and water heating for a proposed building.

For newly constructed buildings, the standard design building shall be modeled as in the same location and having the same characteristics, including but not limited to floor area, volume, and configuration, as the proposed building, except that wall and fenestration areas shall be distributed equally between the four main compass points. For additions and alterations, the standard design shall be modeled as in the same location and having the same characteristics and shall have the same wall and fenestration areas and orientations as the existing building.

Where the Energy Commission specifies that the standard design building includes a covered product subject to 42 USC 6295 or an appliance regulated by the Appliance Efficiency Regulations, the standard design building shall be modeled to meet but not exceed the efficiency level required by 42 USC 6295 for that covered product or applicable standards required by the Appliance Efficiency Regulations for that regulated appliance, respectively.

The standard design building shall be modeled to include the mandatory requirements of the Building Energy Efficiency Standards and to meet but not exceed the prescriptive requirements that would apply to the proposed building.

The process of generating the standard design shall be performed automatically. This modeling shall be based on the inputs that describe the proposed building, substituting the assumptions for wall and fenestration area distribution, required efficiency for the covered product subject to 42 USC 6295 that the Energy Commission specifies in the standard design, the applicable standards for the appliance regulated by the Appliance Efficiency Regulation that the Energy Commission specifies in the standard design, and mandatory and prescriptive options applicable to the proposed building, thereby creating a standard design building against which the energy use of the proposed building can be evaluated.

• B. The modeled energy budgets of the standard design building and the energy consumption of the proposed building are described in Title 24 Part 6, Sections 140.1(a), 150.1(b)1, and 170.1(a). These requirements ensure that all modeled building features are specified on a one-for-one equivalent energy use or equivalent energy cost basis. Compliance credit for covered products subject to 42 USC 6295 having efficiencies exceeding the efficiency levels required by 42 USC 6295 shall be calculated in terms of long-term system cost and source energy, thereby ensuring that the compliance credit is on a one-for-one equivalent energy or equivalent cost basis.

Long-term system cost (LSC)—All electricity, gas or propane used within the modeled buildings shall be converted to LSC.

Source energy—The energy used within the modeled buildings shall be represented as long-run marginal, hourly source energy.

• C. Climate zone. The Energy Commission has established typical weather data, prescriptive packages, and energy budgets for 16 geographic areas of California, called climate zones, as specified in the Energy Efficiency Standards and Joint Appendix 2.

Climate zone dependent information based on the climate zone or zip code specified for the proposed building shall be used.

Where climate elements are incorporated into modeling calculations for the standard and proposed buildings, the effects of weather, temperature, and other climate elements shall be calculated based on the climate zone specified for the proposed buildings. The same adjustment shall be applied to both buildings.

The standard design shall be modeled as incorporating prescriptive options appropriate to the climate zone specified for the proposed building.

For covered products subject to 42 USC 6295 and for appliances regulated by the Appliance Efficiency Regulations, the estimated energy use of those covered products or appliances used to calculate the total energy use of the standard design and proposed buildings shall be determined using the test procedures prescribed by 42 USC 6293 or the Appliance Efficiency Regulations, respectively. This estimated energy use shall be adjusted to reflect the conditions where Part 6 is being applied as a part of calculating the total long-term system cost and source energy of each building consistent with this section and document in the Alternative Calculation Method Reference Manual.

• D. Alternative Calculation Method Reference Manual. The Energy Commission shall publish a reference manual, Alternative Calculation Method Reference Manual, that specifies the standard design, documents the calculations and methods used by the compliance software to model building performance, calculates LSC and source energy, and determines building compliance with the Building Energy Efficiency Standards.

• E. Compliance documentation. If required, the necessary files needed to register the compliance documentation with an ECC-Provider shall be generated.

2. Public domain computer programs. In addition to the compliance manager, public domain computer programs that are approved pursuant to Public Resources Code Section 25402.1, the Commission may, upon written application or its own motion, approve additional public domain computer programs that may be used to demonstrate that proposed building designs meet energy budgets.

   • A. The Commission shall ensure that users’ manuals or guides for each approved program are available.

   • B. The Commission shall approve a program only if it predicts energy consumption substantially equivalent to that predicted by the above-referenced public domain computer program, when it models building designs or features.

3. Alternative calculation methods (all occupancies). The Commission may approve nonpublic domain computer programs as an alternative calculation method, that building permit applicants may then use to demonstrate compliance with the performance standards (energy budgets) in Part 6. In addition to the application requirements of Section 10-116, an application for approval of compliance software must include documentation demonstrating, that the compliance software meets the requirements, specifications and criteria specified in Sections 10-109(c)1A, 10-109(c)1B, 10-109(c)1C, 10-109(c)1D and 10-109(c)1E, as appropriate.

(d) Alternative component packages. In addition to the application requirements of subdivision (b) above, an application for approval of an alternative component package must include documentation that demonstrates that the package:

1. Will meet the applicable energy budgets; and

2. Is likely to apply to a significant percentage of newly constructed buildings or to a significant segment of the building construction and design community.

(e) Exceptional methods. The Commission may approve an exceptional method that analyzes a design, material or device that cannot be adequately modeled using the public domain computer programs. Applications for approval of exceptional methods shall include all information needed to verify the method’s accuracy.

(f) Commission action. The Commission may take the following actions on an application submitted pursuant to this section:

1. Approve the application unconditionally;

2. Restrict approval to specified occupancies, designs, materials or devices; or

3. Reject the application.

(g) Resubmittal. An applicant may resubmit a rejected application or may request modification of a restricted approval. Such application shall include the information required pursuant to this section, and, if applicable, shall indicate how the proposed compliance software, alternative component package, exceptional method, data registry or related data input software has been changed to enhance its accuracy or capabilities.

1. Modification. Whenever an approved compliance software, alternative component package, exceptional method, data registry or related data input software is changed in any way, it must be resubmitted under this section for approval.

2. The Commission may modify or withdraw approval of compliance software, an alternative component package, an exceptional method, or a data registry or related data input software based on its approval of other programs, methods, registries or data input software that are more suitable.

(h) Alternative procedures or protocols. In addition to the procedures and protocols identified in Sections 10-109(c), 10-116 and the Reference Appendices, the Commission may authorize alternative procedures or protocols that demonstrate compliance with Part 6.

(i) Data registries and related external digital data sources, and electronic document repositories.

1. Data registries and related external digital data sources.

• Data registries and related external digital data sources shall conform to the requirements specified in Reference Joint Appendix JA7.

  • A. The Commission may approve residential data registries that provide for registration and retention of compliance documents and their associated Compliance Registration Packages when required by Part 6 of all residential compliance documentation and the nonresidential Certificates of Verification.

  • B. Nonresidential data registry approval thresholds.

    • i. The Commission may approve nonresidential data registries that provide for registration and retention of compliance documents and their associated Compliance Registration Packages when required by Part 6 of all nonresidential compliance documentation, excluding all Certificates of Acceptance recorded by an acceptance test technician certification provider (Sections 10-103.1 and 10-103.2). However, nonresidential data registries may not provide for registration of nonresidential Certificates of Verification.

    • ii. As a prerequisite to reviewing and/or approving nonresidential data registries for use, on or after January 1, 2023, the Commission shall first make all of the following findings:

      • a. The Commission has approved data schema capable of utilization in the development of any nonresidential data registry.

      • b. The Commission will not lose access to information necessary to support the enforcement and development of current and future building code cycles.

    • iii. The procedures for consideration and approval of applications enumerated in Section 10-110 shall not apply to applications for nonresidential data registries until the Commission makes the findings specified in Section 10109(i)1Bii.

    • iv. Nothing in this or any other section, including Section 10-110, shall be construed as requiring the Commission to make the findings specified in Section 10-109(i)1Biia by any set date, regardless of pending applications.

    • v. The Registration Provider shall only use data schema approved by the Commission in a nonresidential data registry.

  • C. The Commission may approve external digital data sources used for data input to various data registries for registering, when required by Part 6 residential or nonresidential compliance documentation.

2. Electronic document repositories.

   • A. The Commission may approve electronic document repositories that retain for the Commission electronic compliance documentation and their associated Compliance Registration Packages generated by residential and nonresidential data registries when registration is required by Part 6.

(j) Alternative residential field verification protocols.

Alternative residential field verification protocols shall comply with the application requirements of Section 10-109(b) and any applicable requirements of Reference Residential Appendices RA1.

(k) Photovoltaic system and battery energy storage system (BESS) requirement determinations.

The Commission may, upon written application or its own motion, determine that the photovoltaic or BESS requirements in Section 150.1(a)3, Section 140.0(c), Section 170.0(a)3 shall not apply, if the Commission finds that the implementation of public agency rules regarding utility system costs and revenue requirements, compensation for customer-owned generation, interconnection fees or other factors causes the Commission’s cost effectiveness conclusions, made pursuant to Public Resources Code 25402(b)(3), to not hold for particular buildings.

Applications shall include full information regarding the differences between public agency rules and Energy Commission cost effectiveness determinations, including all information requested by the Commission to enable full review of the application. Applications shall also include specific recommended limitations to the scope of the determination that is requested, and specific eligibility criteria to determine what buildings would qualify for the determination. Applications from public agencies shall be submitted to the Energy Commission only after public review within the jurisdiction of the public entity or service area of the utility. In cases where conditions have changed that potentially would alter Energy Commission determinations that previously have been made, the Energy Commission may reconsider those determinations on its own motion. Prior applicants shall assist the Energy Commission in obtaining information regarding current public agency rules upon request.

Authority: Sections 25402 and 25402.1, Public Resources Code.

Reference: Sections 25007, 25008, 25218.5, 25310, 25402, 25402.1, 25402.4, 25402.5, 25402.8, 25605, 25910 and 25943, Public Resources Code. HISTORY:

1. New section filed 12-9-81; designated effective 1-15-82 (Register 81, No. 50).

2. Amendment filed 8-11-83; effective thirtieth day thereafter (Register 83, No. 33).

3. Amendment filed 12-27-84; designated effective 1-1-85 pursuant to Government Code Section 11346.2 (d) (Register 84, No. 52).

4. Amendment of subsections (b), (d) and (e) filed 12-4-86; effective thirtieth day thereafter (Register 87, No. 1).

5. Change without regulatory effect of subsection (d) filed 4-5-88; operative 5-5-88 (Register 88, No. 17).

6. Amendment of subsections (b) and (d) filed 1-20-89; operative 2-19-89 (Register 89, No. 4).

7. (CEC 1/92) Regular order by the California Energy Commission to amend Section 10-109, Part 1, Title 24, California Code of Regulations. Filed with the secretary of state June 12, 1992; publication date July 15, 1992; effective 30 days thereafter. Approved as a regular order by the California Building Standards Commission on June 8, 1992.

10-110. Procedures for consideration of applications under Sections 10-104, 10-106, 10-108 and 10-109.

(a) Within 75 days of receipt of an application, the Executive Director shall determine if the application is complete with all the supporting information required pursuant to Section 10-103.3, 10-104, 10-106, 10-108, 10-109, or 10-116 (the complete application package).

(b) Once the application is determined to be complete, the Executive Director shall make the complete application package available to interested parties for review and comment. Comments from interested parties must be submitted within a time period set by the Executive Director, which shall be no less than 15 and no greater than 60 days after the complete application package is made available.

(c) Within 75 days of the date the application is determined to be complete, the Executive Director may request any additional information needed to evaluate the application. Consideration of the application will be delayed until the applicant submits the requested additional information.

(d) Within 75 days of the date the application is determined to be complete, the Executive Director may convene a workshop to gather additional information from the applicant and other interested parties. Interested parties will have 15 days after the workshop to submit additional comments or information regarding the application.

(e) Within 90 days of the date the application is determined to be complete, or within 30 days after receipt of complete additional information requested under Section 10-110(c) or within 60 days after the receipt of additional information submitted by interested parties under Section 10-110(d), whichever is later, the Executive Director shall submit to the Commission a written recommendation on the application.

(f) The complete application package, any additional information considered by the Executive Director, and the Executive Director’s recommendation shall be placed on the consent calendar and considered at the next business meeting after submission of the recommendation. The matter may be removed from the consent calendar at the request of any person.

(g) The Executive Director may charge a fee to recover the costs of processing and reviewing applications, with the exception of Section 10-106 applications.

(h) All applicants have the burden of proof to establish that their applications should be granted.

Authority: Section 25402.1, Public Resources Code.

Reference: Section 25402.1, Public Resources Code.

HISTORY:

1. New section filed 12-9-81; designated effective 1-15-82 (Register 81, No. 50).

2. Amendment filed 12-27-84; designated effective 1-1-85 pursuant to Government Code Section 11346.2 (d) (Register 84, No. 52).

3. Amendment filed 12-4-86; effective thirtieth day thereafter (Register 87, No. 1).

• 10-111. Certification and labeling of fenestration product and exterior door U -factors, solar heat gain coefficients, visible

• transmittance and air leakage. This section establishes rules for implementing labeling and certification requirements relating to U -factors, solar heat gain coefficients (SHGCs), visible transmittance (VT) and air leakage for fenestration products and exterior doors under Section 110.6(a) of Part 6. This section also provides for designation of the National Fenestration Rating Council (NFRC) as the supervisory entity responsible for administering the state’s certification program for fenestration products and exterior doors, provided NFRC meets specified criteria.

(a) Labeling requirements.

1. Temporary labels.

   • A. Every manufactured fenestration product and exterior door shall have attached to it a clearly visible temporary label that lists the U -factor, the solar heat gain coefficient (SHGC) and Visible Transmittance (VT) and that certifies compliance with the air leakage requirements of Section 110.6(a)1. Temporary labels for manufactured fenestration products and exterior doors are to incorporate the values determined by Section 10-111(a)1B and shall comply with the labeling requirements of NFRC 700. No other values for U -factor, SHGC, VT and Air Leakage are allowed on the temporary label attached to the manufactured fenestration product or exterior door. Component Modeling Approach (CMA) and site-built fenestration products shall have an NFRC label certificate that lists the U -factor, the Solar Heat Gain Coefficient (SHGC) and the Visible Transmittance (VT) and shall comply with the labeling requirements of NFRC 705 for the Component Modeling Approach or NFRC 700 for site-built fenestration products.

   • B. U -factor, SHGC, VT and Air Leakage shall be determined by either:

     • i. Fenestration products and exterior doors rated and certified using NFRC 100, NFRC 200, NFRC 202, NFRC 203 or NFRC 400 Rating Procedures. The manufacturer shall stipulate that the ratings were determined in accordance with applicable NFRC procedures. For manufactured fenestration products and exterior doors, a temporary label certificate approved by the supervisory entity (NFRC) meets the requirements of this section. For component modeling and site-built fenestration products, a label certificate approved by the supervisory entity (NFRC) meets the requirements of this section.

     • ii. For manufactured or site-built fenestration products and exterior doors not rated by NFRC, a temporary label with the words “CEC Default U -factor,” followed by the appropriate default U -factor specified in Section 110.6(a)2 and with the words “CEC Default SHGC,” followed by the appropriate default SHGC specified in Section 110.6(a)3 and with the words “CEC Default VT,” followed by the appropriate VT as specified in Section 110.6(a)4, meets the requirements of this Subsection B.

   • C. Temporary labels shall also certify that the manufactured fenestration product or exterior door complies with the air leakage requirements of Section 110.6(a)1 of the Standards.

2. Permanent labels. Rated products shall have a permanent label consistent with their rating and certification that is either a stand-alone label, an extension or tab of an existing permanent certification label being used by the manufacturer/responsible party, or series of marks or etchings on the product. The permanent label coupled with observable product characteristics, shall be usable to trace the product to certification information on file with the supervisory entity or to a directory of certified products, published by the supervisory entity. For CMA and site-built fenestration products, a label certificate approved by the supervisory entity meets the requirements of this section.

Exception to Section 10-111(a): Field-fabricated fenestration products.

(b) Certification requirements.

1. Certification to default ratings. The manufacturer shall certify on the Default Label that the product’s U -factor, SHGC and VT meets the default criteria in Sections 110.6(a)2, 110.6(a)3 and 110.6(a)4; and

   • A. A temporary label, affixed to the product, that meets the requirements of Section 10-111(a)1B meets this requirement.

   • B. If the product claims the default U -factor for a thermal break product, the manufacturer shall also certify on the label that the product meets the thermal-break product criteria, specified on the default table, on which the default value is based. Placing the terms “Meets Thermal Break Default Criteria” on the default temporary label or default label certificate meets this requirement.

2. Certification to NFRC rating procedure. If a product’s U -factor, SHGC or VT is based on the NFRC Rating Procedure, the U - factor, SHGC or VT shall be certified by the manufacturer according to the procedures of an independent certifying organization approved by the Commission.

   • A. A temporary label, affixed to the product or label certificate for CMA and site-built fenestration, meeting the requirements of Section 10-111(a) certified by the independent certifying organization complies with this requirement.

   • B. An “independent certifying organization approved by the Commission” means any organization authorized by the supervisory entity to certify U -factor ratings, Solar Heat Gain Coefficient and Visible Transmittance ratings in accordance with the NFRC Rating Procedure. If the Commission designates the NFRC as the supervisory entity, any independent certification and Inspection Agency (IA) licensed by NFRC shall be deemed to be an “independent certifying organization approved by the Commission.”

   • C. The “supervisory entity” means the NFRC, except as provided in Section 10-111(c)1.

Exception to Section 10-111(b): Field-fabricated fenestration products.

(c) Designation of supervisory entity. The NFRC shall be the supervisory entity to administer the certification program relating to U -factors, SHGC and VT ratings for fenestration products and exterior doors, provided the Commission determines that the NFRC meets the criteria in Section 10-111(d).

1. The Commission may consider designating a supervisory entity other than NFRC only if the Commission determines that the NFRC cannot meet the criteria in Section 10-111(d). Such other supervisory entity shall meet the criteria in Section 10-111(d) prior to being designated.

2. The Commission shall periodically review, at least annually, the structure and operations of the supervisory entity to ensure continuing compliance with the criteria in Section 10-111(d).

• (d) Criteria for supervisory entity.

1. Membership in the entity shall be open on a nondiscriminatory basis to any person or organization that has an interest in uniform thermal performance ratings for fenestration products and exterior doors, including, but not limited to, members of the fenestration industry, glazing infill industry, building industry, design professionals, specifiers, utilities, government agencies and public interest organizations. The membership shall be composed of a broad cross section of those interested in uniform thermal performance ratings for fenestration products.

2. The governing body of the entity shall reflect a reasonable cross section of the interests represented by the membership.

3. The entity shall maintain a program of oversight of product manufacturers, laboratories and independent certifying organizations that ensures uniform application of the NFRC Rating Procedures, labeling and certification, and such other rating procedures for other factors affecting energy performance as the NFRC and the Commission may adopt.

4. The entity shall require manufacturers and independent certifying organizations within its program to use laboratories accredited by the supervisory entity to perform simulations and tests under the NFRC Rating Procedure or by an NFRC Approved Calculation Entity (ACE) under the Component Modeling Approach (CMA) Product Certification Program (PCP).

5. The entity shall maintain appropriate guidelines for testing and simulation laboratories, manufacturers and certifying agencies, including requirements for adequate:

   • A. Possession and calibration of equipment;

   • B. Education, competence and training of personnel;

   • C. Quality control;

   • D. Record keeping and reporting;

   • E. Periodic review (including, but not limited to, blind testing by laboratories; inspections of products; and inspections of laboratories, manufacturing facilities and certifying agencies);

   • F. Challenges to certified ratings; and

   • G. Guidelines to maintain the integrity of the program, including, but not limited to, provisions to avoid conflicts of interest within the rating and certification process.

6. The entity shall be a nonprofit organization and shall maintain reasonable, nondiscriminatory fee schedules for the services it provides and shall make its fee schedules, the financial information on which fees are based, and financial statements available to its members for inspection.

7. The entity shall provide hearing processes that give laboratories, manufacturers and certifying agencies a fair review of decisions that adversely affect them.

8. The entity shall maintain a certification policy committee whose procedures are designed to avoid conflicts of interest in deciding appeals, resolving disputes and setting policy for the certifying organizations within its program.

9. The entity shall publish at least annually a directory of products certified and decertified within its program.

10. The entity itself shall be free from conflict-of-interest ties or to undue influence from any particular manufacturing interest(s), testing or simulation lab(s), or independent certifying organization(s).

11. The entity shall provide or authorize the use of labels and label certificates for Component Modeling Approach and site-built fenestration products that can be used to meet the requirements of Sections 110.6(a)2, 110.6(a)3 and 110.6(a)4, and this section.

12. The entity’s certification program shall allow for multiple participants in each aspect of the program to provide for competition between manufacturers, testing labs, simulation labs and independent certifying organizations.

(e) Certification for other factors. Nothing in this section shall preclude any entity, whether associated with a U -factor, SHGC or VT certification program or not, from providing certification services relating to factors other than U -factors, SHGCs and VTs for fenestration products and exterior doors.

Authority: Sections 25402 and 25402.1, Public Resources Code.

Reference: Sections 25007, 25008, 25218.5, 25310, 25402, 25402.1, 25402.4, 25402.8 and 25943, Public Resources Code.

HISTORY:

1. (CEC/2/92) Regular order by the California Energy Commission to adopt Section 10-111, Part 1, Title 24, California Code of Regulations. Filed with the secretary of state August 10, 1993; effective 30 days thereafter (September 9, 1993). Approved as a regular order by the California Building Standards Commission on August 2, 1993.

2. (CEC 2/94) Regular order by the California Energy Commission to amend Section 10-111 (a) 1 B, Part 1, Title 24, California Code of Regulations. Filed with the secretary of state August 24, 1993; effective 30 days thereafter. Approved as a regular order by the California Building Standards Commission on August 2, 1995.

10-112. Criteria for default tables.

(a) The Commission shall maintain tables of default U -factors and SHGCs for use as an alternative to U -factors and SHGCs derived based on the NFRC Rating Procedure. The default values shall meet the following criteria:

1. The values shall be derived from simulations of products using the same computer simulation program(s) used in the NFRC Rating Procedure.

2. The default values shall be set so that they do not provide to any significant number of products a lower U -factor or SHGC than those products would obtain if they were rated using the full NFRC Rating Procedure.

(b) The Commission shall periodically review and revise the default tables as necessary to ensure that the criteria are met.

Authority: Sections 25402 and 25402.1, Public Resources Code.

Reference: Sections 25007, 25008, 25218.5, 25310, 25402, 25402.1, 25402.4, 25402.8 , 25910 and 25943, Public Resources Code.

HISTORY:

1. (CEC/2/92) Regular order by the California Energy Commission to adopt Section 10-112, Part 1, Title 24, California Code of Regulations. Filed with the secretary of state August 10, 1993; effective 30 days thereafter (September 9, 1993). Approved as a regular order by the California Building Standards Commission on August 2, 1993.

This section establishes rules for implementing labeling and rating requirements relati

10-113. Rating and labeling of roofing product reflectance and emittance. This section establishes rules for implementing labeling and rating requirements relating to reflectance and emittance for roofing products for showing compliance with Sections 140.1, 140.2, 140.3(a)1, 141.0(b)2B, 150.1(c)11, 150.2(b)1H and 150.2(b)2 of Title 24, California Code of Regulations, Part 6. This section also provides for designation of the Cool Roof Rating Council (CRRC) as the supervisory entity responsible for administering the state’s rating program for roofing products, provided CRRC meets specified criteria.

(a) Labeling requirements. Every roofing product installed in construction to take compliance credit or meet the Prescriptive requirements for reflectance and emittance under Sections 140.1, 140.2, 140.3(a)1, 141.0(b)2B, 150.1(c)11, 150.2(b)1I or 150.2(b)2 shall have a clearly visible packaging label that lists the emittance and the initial and 3-year aged solar reflectance, or a CRRC Rapid Rating for solar reflectance, tested in accordance with CRRC-1.

Packaging for liquid-applied roof coatings shall state the product meets the requirements specified in Section 110.8(i)4.

(b) Certification requirements. Every roofing product installed in construction to take compliance credit or meet the Prescriptive requirements for reflectance and emittance under Sections 140.1, 140.2, 140.3(a)1, 141.0(b)2B, 150.1(c)11, 150.2(b)1I or 150.2(b)2 shall be rated by CRRC or another supervisory entity approved by the Commission pursuant to Section 10-113(c).

(c) Designation of supervisory entity. The CRRC shall be the supervisory entity to administer the rating program relating to reflectance and emittance ratings for roofing products, provided the Commission determines that the CRRC meets the criteria in Section 10-113(d).

1. The Commission may consider designating a supervisory entity other than CRRC if the Commission determines that the CRRC is not meeting the criteria in Section 10-113(d). Such other supervisory entity shall meet the criteria in Section 10-113(d) prior to being designated.

2. The Commission shall periodically review, at least annually, the structure and operations of the supervisory entity to ensure continuing compliance with the criteria in Section 10-113(d). The supervisory entity shall provide an annual report to the Commission explaining all of the measures it has taken to comply with the criteria in Section 10-113(d).

(d) Criteria for supervisory entity.

1. Membership in the entity shall be open on a nondiscriminatory basis to any person or organization that has an interest in uniform performance ratings for roofing products, including, but not limited to, members of the roofing industry, building industry, design professionals, specifiers, utilities, government agencies and public interest organizations. The membership shall be composed of a broad cross section of those interested in uniform thermal performance ratings for roofing products.

ion that has an interest in uniform performance ratings for roofing products, including, but not limited to, members of the roofing industry, building industry, design professionals, specifiers, utilities, government agencies and public interest organizations. The membership shall be composed of a broad cross section of those interested in uniform thermal performance ratings for roofing products.

2. The governing body of the entity shall reflect a reasonable cross section of the interests represented by the membership.

3. The entity shall maintain a program of oversight of product manufacturers, laboratories and independent certifying organizations that ensures uniform application of the CRRC testing and rating procedures, labeling and rating, and such other rating procedures for other factors that improves the accuracy of properties of roofing products affecting energy performance as the CRRC and the Commission may adopt.

4. The entity shall require manufacturers and independent certifying organizations within its program to use only laboratories accredited by the supervisory entity to perform tests in accordance with CRRC-1.

5. The entity shall maintain appropriate guidelines for testing laboratories and manufacturers, including requirements for adequate:

   • A. Possession and calibration of equipment;

   • B. Education, competence and training of personnel;

   • C. Quality control;

   • D. Record keeping and reporting;

   • E. Periodic review including, but not limited to, blind testing by laboratories; inspections of products; and inspections of laboratories, and manufacturing facilities;

   • F. Challenges to ratings; and

   • G. Guidelines to maintain the integrity of the program, including, but not limited to, provisions to avoid conflicts of interest within the rating process.

6. The entity shall be a nonprofit organization and shall maintain reasonable, nondiscriminatory fee schedules for the services it provides, and shall make its fee schedules, the financial information on which fees are based and financial statements available to its members for inspection.

7. The entity shall provide hearing processes that give laboratories, manufacturers and certifying agencies a fair review of decisions that adversely affect them.

8. The entity shall maintain a policy committee or similar body whose procedures are designed to avoid conflicts of interest in deciding appeals, resolving disputes and setting policy for the certifying organizations in its program.

9. The entity shall publish at least annually a directory of rated products and products that are no longer rated by the CRRC.

10. The entity itself shall be free from conflict-of-interest ties or to undue influence from any particular roofing product manufacturing interest(s), testing or independent certifying organization(s).

11. The entity shall provide or authorize the use of labels that can be used to meet the requirements for showing compliance with the requirements of Sections 140.1, 140.2, 140.3(a)1, 141.0(b)2B, 150.1(c)11, 150.2(b)1I and 150.2(b)2, and this section.

12. The entity’s rating program shall allow for multiple participants in each aspect of the program to provide for competition between manufacturers and between testing labs.

Authority: Sections 25402 and 25402.1, Public Resources Code.

Reference: Sections 25007, 25008, 25218.5, 25310, 25402, 25402.1, 25402.4, 25402.8 , 25910 and 25943, Public Resources Code.

This section establishes rules for implementing outdoor lighting zones to show

10-114. Determination of outdoor lighting zones and administrative rules for use. This section establishes rules for implementing outdoor lighting zones to show compliance with Section 140.7 of Title 24, California Code of Regulations, Part 6.

(a) Lighting zones. Exterior lighting allowances in California vary by Lighting Zones (LZ).

(b) Lighting zone characteristics. Table 10-114-A specifies the relative ambient illumination level and the statewide default location for each lighting zone.

(c) Amending the lighting zone designation. A local jurisdiction may officially adopt changes to the lighting zone designation of an area by following a public process that allows for formal public notification, review and comment about the proposed change. The local jurisdiction may determine areas where Lighting Zone 4 is applicable and may increase or decrease the lighting zones for areas that are in State Default Lighting Zones 1, 2 and 3, as specified in Table 10-114-A.

Authority: Sections 25402 and 25402.1, Public Resources Code.

Reference: Sections 25007, 25008, 25218.5, 25310, 25402, 25402.1, 25402.4, 25402.5, 25402.8 and 25943, Public Resources Code.

10-115. Community shared solar electric generation system or community shared battery energy storage system compliance option for onsite solar electric generation or battery energy storage requirements.

(a) Community shared solar electric generation system or battery energy storage system (BESS) offset. If approved by the commission, a community shared solar system, other community shared renewable system, community shared BESS or combination of the aforementioned systems (hereinafter referred to as a community shared solar or BESS) may be used as a compliance option to partially or totally meet the on-site solar electric generation system and/or BESS that is otherwise required by Section 140.0(c), 150.1(a)3 or 170.0(a)3 of Title 24, California Code of Regulations, Part 6. To be approved, the community shared solar electric generation or community shared BESS must demonstrate, to the Commission’s satisfaction, that all the following requirements will be met:

1. Enforcement agency. The community shared solar electric generation system and/or community shared BESS shall be installed and available for enforcement agency site inspection, no later than the point in time the enforcement agency must physically verify compliance of the building, which would otherwise be required to have an on-site solar electric generation and/or BESS, and shall not cause delay in the process of enforcement agency review and approval of that building. The enforcement agency shall have jurisdiction and facilitated access to make site inspections. All documentation for the community solar electric generation system and/or community solar BESS that is required to demonstrate compliance for the building shall be completed prior to building permit application.

2. Energy performance. The community shared solar electric generation system and/or community shared BESS shall be demonstrated to provide the same or better energy performance equal to the partial or total compliance with the energy performance of the on-site solar electric generation and/or BESS that would otherwise have been required for the building, computed by compliance software certified for use by the Commission.

3. Participating building energy savings benefits. The community shared solar electric generation system and/or community shared BESS shall provide energy saving benefits directly to the building. The energy savings benefits allocated to the building shall be in the form of:

   • A. Actual reductions in the energy consumption of the participating building;

   • B. Energy reduction credits that will result in virtual reductions in the building’s energy consumption that is subject to energy bill payments; or

   • C. Payments to the building that will have an equivalent effect as energy bill reductions.

The reduction in the building’s energy bill resulting from A, B or C above shall be greater than the added cost to the building resulting from the building’s share in the community shared solar and/or BESS.

4. Durability, participation and building opt-out.

   • A. Durability. The community shared solar electric generation system and/or community shared BESS shall be designed and installed to provide the energy savings benefits to the participating building(s) specified in Section 10115(a)3 for a period of no less than 20 years.

   • B. Participation. The Administrator(s) approved by the Energy Commission pursuant to Section 10-115(b)1 shall ensure that all participating buildings, which use the community shared solar and/or community shared BESS to comply with Section 140.0(c), 150.1(a)3 or 170.0(a)3, remain participating buildings for no less than a 20-year period (“Participation Period”), regardless of who owns or occupies the participating building, unless the building owner discontinues participation after causing the on-site solar electric generation system to be installed and interconnected pursuant to the Opt-Out Requirements. For purposes of this Section, “Opt-Out Requirements” shall mean installation and interconnection of an on-site solar electric generation system that meets or exceeds the requirements of Section 140.0(c), 150.1(a)3 or 170.0(a)3 in effect at the time the builder applied for the original building

permit for the participating building. To demonstrate compliance, the Administrator shall require either of the following:

  - i. **Equitable servitude.** As a condition for a building to participate, participating builders shall impose an equitable servitude through a properly recorded declaration of covenants, conditions and restrictions (“CC&Rs”) or other properly recorded covenant, deed restriction or other legally binding method referenced in each deed transferring title for each participating building. This equitable servitude shall run with the land and obligate the original owner(s)/tenant(s) and all subsequent owner(s)/tenant(s) of the participating building to maintain the building’s participation in the community shared solar and/or community shared BESS for the Participation Period, or ensure installation and interconnection of an on-site solar electric generation system that satisfies the Opt-Out Requirements. The equitable servitude shall specify that in order to discontinue participation in the community shared solar and/or BESS, the building owner must satisfy the Opt-Out Requirements. The builder shall ensure that the equitable servitude provides the Administrator approved by the Commission the right to enforce the above provisions. The equitable servitude shall remain in force for a period of 20 years from the date of first participation of the building in the community shared solar and/or BESS. The equitable servitude shall not be revocable. The equitable servitude shall be delivered to all responsible parties through transfer disclosure statements.

ator approved by the Commission the right to enforce the above provisions. The equitable servitude shall remain in force for a period of 20 years from the date of first participation of the building in the community shared solar and/or BESS. The equitable servitude shall not be revocable. The equitable servitude shall be delivered to all responsible parties through transfer disclosure statements.

  - ii. **Other system** . The Commission may approve another program, structure or system by which an Administrator (or other entity approved by the Commission) ensures the requirements of this Section 10-115(a)4B will be satisfied for a Participation Period of no less than 20 years. 

• C. Compliance documentation. The Administrator shall maintain record(s) of the compliance documentation that determined the requirements for the on-site solar electric generation system and/or BESS to comply with the standards in effect at the time the builder applied for the original building permit, and which establishes participants’ obligations to meet the Opt-Out Requirements. The Administrator shall provide a copy of this compliance documentation upon a participating building owner’s request, to every new owner of a participating building when the Administrator is notified that title has transferred, and to any participating building owner who requests to Opt-Out.

• D. Building opt-out. At any time during the Participation Period, a participating building owner shall have the option to discontinue the participation of the building in the community shared solar and/or BESS (“Opt-Out”) if the building satisfies the Opt-Out Requirements.

  • i. Prior to Opt-Out, the building owner shall demonstrate that they have installed such an on-site solar electric generation system and met the Opt-Out Requirements by providing documentation from the installer of the on-site solar system or an attestation of the building owner with supporting documentation.

    • The building owner shall be responsible for all costs associated with documenting that the on-site solar

    • generation system satisfies the Opt-Out Requirements.

  • ii. Upon receiving documentation regarding Opt-Out from a building owner, the Administrator shall compare the documentation to the compliance documentation specified in Section 10-115(a)4C and confirm whether, based on the documentation, the installed solar system meets or exceeds the Opt-Out Requirements. Within 30 days of a building owner providing documentation, the Administrator shall provide written confirmation to the building owner whether, based on the Administrator’s review of that documentation, the on-site solar generation system satisfies the Opt-Out Requirements. The Administrator may, at its discretion, verify the documentation through a physical inspection. The Administrator shall maintain record of the documentation that demonstrates and confirms the on-site solar generation system met the Opt-Out requirements for the remainder of the Participation Period.

ew of that documentation, the on-site solar generation system satisfies the Opt-Out Requirements. The Administrator may, at its discretion, verify the documentation through a physical inspection. The Administrator shall maintain record of the documentation that demonstrates and confirms the on-site solar generation system met the Opt-Out requirements for the remainder of the Participation Period.

  - iii. Upon a building owner’s exercise of the Opt-Out, all costs and benefits associated with participation in the community shared solar and/or BESS shall cease. If any balance of costs or benefits is owed to either party at the time of Opt-Out, such balance shall be paid to that party. 

  - iv. The Administrator [or other entity approved by the Commission pursuant to Section 10-115(a)4Bii] shall not impose any penalty related to a participating building’s Opt-Out, or charge participants for recuperation of unrealized revenue that would have been expected to accrue beyond the end of participation. If the Administrator (or other entity approved by the Commission) plans to charge any other fees at the time of building Opt-Out, the Application for Commission Approval shall explain the purpose of those fees. 

5. Additionality. The community shared solar electric generation system and/or community shared BESS shall provide the energy savings benefits specified in Section 10-115(a)3 exclusively to the participating building(s). Those energy savings benefits shall in no way be attributed to other purposes or transferred to other buildings or property.

   • A. The participating building(s) shall be served primarily by renewable resources developed specifically for the community solar electric generation system.

   • B. Other renewable resources may be used when participating buildings are permitted before the renewable resources developed for the program start operating or after they cease operating. During these times, other renewable resources may be used to meet the requirements of Section 10-115(a)4 for each participating building.

   • C. The renewable resources, including those developed primarily to serve participating buildings and those utilized to serve participating buildings during the time periods described in Section 10-115(a)5B for the purpose of meeting the requirements of Section 10-115(a)4, shall meet the following requirement:

     • i. For each renewable resource used to serve participating buildings, bundled Renewable Energy Credits (RECs), which satisfy the criteria of Portfolio Content Category 1, shall be retired and tracked in the Western Renewable Energy Generation Information System (WREGIS) on the behalf of program participants, to ensure that they will not be allocated to or used for any other purpose, including Renewable Performance Standard (RPS) compliance, resale of RECs or renewable generation to any other person or entity, or any other mandatory or voluntary renewable electricity program requirement or claim.

the Western Renewable Energy Generation Information System (WREGIS) on the behalf of program participants, to ensure that they will not be allocated to or used for any other purpose, including Renewable Performance Standard (RPS) compliance, resale of RECs or renewable generation to any other person or entity, or any other mandatory or voluntary renewable electricity program requirement or claim.

• D. Renewable resources developed to serve participating buildings may also be used to serve other loads when there is excess generation beyond what is needed to serve participating buildings. Any excess generation used for such other loads shall be isolated from the generation serving participating buildings, and shall not result in violation of Section 10-115(a)5C.

6. Location. The community shared solar electric generation system and/or community shared BESS shall be located on a distribution system of the load serving entity providing service to the participating buildings. The distribution system shall have an electrical voltage less than 100 kV.

7. Size. The community shared solar electric generation system and/or community shared BESS shall not be served by any individual source larger than 20 MW.

8. Accountability and recordkeeping. Applicants for Commission approval of community shared solar electric generation systems and/or community shared BESS shall be accountable to all parties who relied on these systems for partial or total compliance with the on-site solar electric generation and/or BESS that would otherwise be required, including but not limited to builders of the buildings, owners of the buildings, enforcement agencies and the Commission.

   • A. Each year beginning twelve months after initial approval, the Administrator shall provide to the Commission a report demonstrating the previous year’s compliance with each requirement of Section 10-115.

   • B. Recordkeeping regarding compliance with the requirements in Section 10-115(a) shall be maintained over the period of time specified in Section 10-115(a)4 for each building for which the community shared solar electric generation or BESS is used to demonstrate partial or total compliance. Access to these records shall be provided to any entity approved by the Commission for auditing compliance with these requirements.

(b) Application for commission approval. Any entity may apply to the Commission for approval to administer a community shared solar electric generation or community shared BESS to provide partial or total compliance with the on-site solar electric generation system and/or BESS required by Section 150.1 of Title 24, California Code of Regulations, Part 6. Once approved, the entity shall be the Administrator of the community shared solar electric generation or community shared BESS.

proval to administer a community shared solar electric generation or community shared BESS to provide partial or total compliance with the on-site solar electric generation system and/or BESS required by Section 150.1 of Title 24, California Code of Regulations, Part 6. Once approved, the entity shall be the Administrator of the community shared solar electric generation or community shared BESS.

1. The application shall demonstrate to the Commission’s satisfaction that each of the requirements specified in Section 10115(a) will be met and shall include detailed explanation of the actions that will be taken by the applicant to ensure that each requirement is met over the period of time specified in Section 10-115(a)4 for each building for which a partial or total offset is used to demonstrate compliance.

2. All applicants have the burden of proof to establish that their application should be granted.

3. Applications from public agencies shall be submitted to the Energy Commission only after public review through at least one public meeting within the jurisdiction of the public entity or service area of the load-serving entity and adoption by the public agency. The Commission shall have the authority to not approve any application that the Commission determines to be inconsistent with the requirements of Section 10-115.

(c) Executive director approval of revised applications. The Administrator of an approved community shared solar electric generation system and/or community shared BESS shall submit a revised application demonstrating compliance with the Section 10-115 requirements to the Executive Director for approval, when:

1. A new renewable resource is proposed to be added to a community shared solar electric generation system and/or community shared BESS, and/or

2. The Commission modifies the requirements of Section 10-115 in a building standards rulemaking. Such modified requirements would not apply retroactively to the buildings for which building permit applications are submitted prior to the effective date of the modified standards or to the continued use of previously approved renewable resources developed to serve a community shared solar electric generation system and/or community shared BESS.

   • Within 60 days of receiving a revised application, the Executive Director may either approve the revised application by

• letter if the Executive Director concludes that the requirements of Section 10-115 will be met, request the Administrator to resubmit their revised application with changes, or disapprove the application. If the Executive Director disapproves the application, the applicant may request that the Commission review the Executive Director’s determination. The petition must be filed in writing in accordance with Title 20, California Code of Regulations, Section 1208 within 15 days of the date of the filing of the Executive Director's determination and must state the basis for requesting review of the Executive Director's determination. Within 45 days of receiving a request for review, the Commission shall issue a written decision affirming or modifying the Executive Director's determination. If the Commission does not issue a written decision within 45 days, the request for review shall be deemed denied. The Administrator shall have the burden of proof to establish that its revised application should be approved.

• Authority: Sections 25213, 25218, 25218.5, 25402, 25402.1 and 25605, Public Resources Code.

• Reference: Sections 25007, 25008, 25218.5, 25310, 25402, 25402.1, 25402.4, 25402.8, 25605 and 25943, Public Resources Code.

10-116. Third-party alternative calculation method compliance software.

(a) Scope. The requirements of this section apply to Alternative Calculation Method (ACM) compliance software used to demonstrate compliance with Part 6 that are developed by third-party software developers as specified by Section 10-109(c)3.

• (b) Application. Applications for approval of ACM candidate compliance software must include the following materials:

1. Compliance software vendor certification statement that ACM candidate compliance software meets requirements and successfully passes tests specified in the Alternative Calculation Method Reference Manual.

2. Computer runs and summary sheets including, but not limited to, input and output files, files necessary for transferring information to an ECC-Provider (if required), and a summary of the compliance results from required computer runs. Candidate compliance software runs shall be modeled as specified in the Alternative Calculation Method Reference

Manual. Vendor of the ACM compliance software may propose alternate tests from those specified in the Alternative Calculation Method Reference Manual when the vendor of the ACM compliance software believes that one or more of the standard tests are not appropriate for the ACM candidate compliance software. Alternative tests will be evaluated by the Energy Commission on a case-by-case basis and will be applied if the proposed tests compare features of the ACM candidate compliance software to the Energy Commission public domain computer program.

3. User manual and changelog describing the functional and analytical capabilities of the ACM candidate compliance software or a complete list of changes to the ACM compliance software. Vendor of the ACM compliance software shall make a copy of their user manual available to all building departments in California.

The user manual shall provide a thorough explanation of the following:

• A. Software capabilities. A section that discusses the program capabilities. Reference may be made to other sections of the user manual for more complete descriptions, if appropriate.

• B. Preparing basic input. Description of the basic use of the compliance software for compliance. This section shall include a complete summary of all inputs and commands necessary for compliance.

• C. Checklist for compliance submittal. A checklist of all items that must be included in a compliance submittal to the enforcement agency using the compliance software.

• D. Sample compliance documentation. Complete set of compliance documentation for a sample building. The example shall include all documentation and standard reports that would normally be submitted to an enforcement agency. This example shall be usable as a model for compliance software users and enforcement agencies to demonstrate a proper compliance submittal.

• E. Compliance statement. The following statement shall appear within the first three pages of the user manual, “[Compliance software name] may be used to show compliance with California 2025 Building Energy Efficiency Standards.”

  • F. Related publications. References to the Building Energy Efficiency Standards, Residential Compliance Manual, and Nonresidential Compliance Manual and where to find these publications.

4. Executable ACM candidate compliance software.

5. Alternative nonresidential energy simulation engine that meets all of the requirements of ASHRAE 140 (2023), including Annex A3, and produces results that are accurate to the simulation results of the Energy Commission public domain computer program.

6. Application fee deposit of $1,000 for ACM candidate compliance software that has not been previously approved by the Energy Commission, or for the first approval following an update to the Title 24, Part 6 Building Energy Efficiency Standards.

• (c) Approval process. For approval of an application, the following procedures apply:

1. Submit application . Four copies of an application must be submitted to the Energy Commission.

2. Correspondence with the Energy Commission. Provide additional information or address specific change requests made by the Energy Commission.

The Commission may take the following actions on an application submitted pursuant to this section:

• A. Approve the application unconditionally;

• B. Restrict approval to specified occupancies, designs, materials, or devices; or C. Reject the application.

3. Application fee deposit review. Address additional review costs including additional fees to cover the total costs if greater than the application fee deposit, or refund if the cost of reviewing the application is less than the application fee deposit.

4. Business meeting approval or approval by the Executive Director.

Once approved, the ACM compliance software may be used by users and building officials to demonstrate compliance.

• (d) ACM compliance software updates. When revisions are made to ACM compliance software, the following procedures apply:

1. Revisions that result in major changes to ACM compliance software, that result in changes that would affect compliance values, or that match rules established for modeling compliance software documented in the Energy Conservation and Alternative Calculation Method (ACM) Reference Manuals.

   • A. Updated ACM compliance software shall comply with the approval process in Sections 10-116(c) and 10-110. The Energy Commission schedule will be based on the extent of change to the Energy Commission public domain software and is no shorter than 90 days.

   • B. Incorporate changes from the Energy Commission public domain program by directly incorporating the new version of the Energy Commission public domain program or updating alternative nonresidential energy simulation engines to produce results that are accurate to the new version of the Energy Commission public domain program.

• C. Upon approval of updated ACM compliance software, previous versions of the ACM compliance software will expire 90 days after approval of the new version.

2. Revisions that result in minor changes to the ACM compliance software, user interface, or software updates that do not change compliance values.

   • A. If the Energy Commission determines that the minor change must be incorporated on a specific schedule, updated ACM compliance software must go through the approval process based on the Energy Commission schedule. The Energy Commission schedule will be based on the extent of change to the Energy Commission public domain software and is no shorter than 45 days.

   • B. Incorporate changes from the Energy Commission public domain program by directly incorporating the new version of the Energy Commission public domain program or updating alternative nonresidential energy simulation engines to produce results that are accurate to the new version of the Energy Commission public domain program.

   • C. Upon approval of updated ACM compliance software, previous versions of the ACM compliance software will expire 60 days after approval of the new version.

Rules established in the Alternative Calculation Method Reference Manual will be updated no more than twice annually in January and July. If ACM compliance software relies on rules that are updated in the Alternative Calculation Method Reference Manual, then the ACM compliance software must be updated. ACM compliance software that is not updated will be decertified.

(e) Expiration. Approval of an ACM compliance software expires and is replaced by approval of a newer version as part of the typical cycle of updating ACM compliance software to account for bug fixes and changes to the Energy Commission public domain program.

(f) Decertification. Decertification is the formal process of withdrawing approval of ACM compliance software as a result of the following:

1. Building Energy Efficiency Standards undergo substantial changes such that the software would fail to confirm compliance with the Building Energy Efficiency Standards.

2. A letter from the vendor of the ACM compliance software requesting that a particular version(s) of ACM compliance software be decertified and describing the reasons why decertification is appropriate.

3. An “initiating party” commences a procedure to decertify an ACM compliance software version(s) according to the following process:

   • A. Submit review request. Written communication to the Energy Commission’s Executive Director with copies to the Building Standards Office including the name of the ACM compliance software and version, nature of the error, explanation for why the error requires decertification, and appropriate data or other information relevant to evaluate the error.

• B. Correspondence with interested parties. The Executive Director shall notify and make a copy of the initial written communication available to the vendor of the ACM compliance software and any known interested parties within 30 days of receipt. Interested parties shall have 45 days from the date of the notification provided by the Executive Director to submit comments to the Energy Commission relating to the request.

  • C. Correspondence with initiating parties. The Executive Director may request additional information needed to evaluate the identified error within 75 days of receipt of the written communication. The initiating party must respond withing 30 days of the request for additional information.

  • D. Workshop. The Executive Director may convene a workshop within 75 days of receipt of the written communication to gather additional information from the initiating party, the vendor of the ACM compliance software, and interested parties. All parties shall have 15 days after a workshop to submit additional information regarding the error.

  • E. Determination. Within 90 days of receipt of the written communication, or within 30 days of receipt of complete additional information requested of the initiating party, whichever is later, the Executive Director shall either determine that the ACM compliance need not be decertified or submit to the Commission a written recommendation that the ACM compliance software be decertified.

  • F. Decertification. If it is determined that the ACM compliance software be decertified, it shall take effect 60 days later. Within the first 30 days of the 60-day period, the Executive Director shall send out a notice to building officials and interested parties announcing the decertification.

All initiating parties have the burden of proof to establish that the review of ACM compliance software errors should be performed. The decertification process may be terminated at any time by mutual consent of the initiating party and the Executive Director.

The vendor of the ACM compliance software may use the period outlined here to update the compliance software, obtain approval by the Energy Commission, and release a revised version that corrects the error initially brought to the attention of the Commission.

HISTORY NOTE APPENDIX FOR CHAPTER 10

Administrative Regulations for the California Energy Commission California Code of Regulations, Title 24, Part 1

HISTORY:

The history notes for prior changes remain within the text of this code.

1. (CEC 1/97) Regular order by the California Energy Commission to amend Article 1, 1998 Energy Efficiency Standards. Filed with the secretary of state on December 3, 1997; effective January 22, 1998. Approved by the California Building Standards Commission on November 18, 1997.

2. (CEC-EF 1/01) Emergency adoption of AB 970 energy efficiency standards for residential and nonresidential buildings; CCR, Title 24, Parts 1 and 6. Approved by the California Building Standards Commission on January 31, 2001, and filed with the secretary of state on February 2, 2001, effective June 1, 2001.

• Exception: Building energy efficiency standards compliance documentation submitted prior to June 1, 2001, using the Multiple Orientation Alternative to Section 151(c) shall be used to determine compliance through December 31, 2001.

3. (CEC 03/02) Approval of energy efficiency standards, which adopt by reference the National Fenestration Rating Council's (NFRC) 2002 window rating and labeling procedures; CCR, Title 24, Parts 1 and 6. Approved by the California Building Standards Commission on May 14, 2003, and filed with the Secretary of State on May 16, 2003. Effective June 14, 2003.

4. (CEC 01/03) 2005 building energy efficiency standards approved by the California Building Standards Commission on July 21, 2004, for publication in California Code of Regulations, Title 24, Parts 1 and 6; filed with the Secretary of State September 24, 2004; published April 1, 2005; effective October 1, 2005.

5. (CEC 01/07) Update of 2007 building energy efficiency standards in response to AB 32 (Nuñez, Chap. 488, Stats. of 2006) and SB 1 (Murray, Chap. 132, Stats. of 2006), approved by the California Building Standards Commission on September 11, 2008; filed with the Secretary of State September 12, 2008; effective 30 days after filing with the Secretary of State [Health and Safety Code §18938(c)].

6. Erratum to change the effective date of the supplement published on January 1, 2009, from August 1, 2009, to January 1, 2010.

7. (CEC 01/12 & 02/12) Updates to the administrative provisions for the California Energy Commission - Chapter 10, Sections 10-102, 10-103, 10-103A, 10-103B, 10-104, 10-105, 10-106, 10-107, 10-109, 10-110, 10-111, 10-112, 10-113 and 10-114, Approved by the California Building Standards Commission on January 23, 2013, filed with the Secretary of State on January 28, 2013, and effective 30 days after filing with Secretary of State.

8. (CEC 01/12) A delayed effective date for the energy based provisions within the 2013 California Administrative Code was approved at the April 22, 2014 California Building Standards Commission meeting. The new effective date for these provisions is July 1, 2014.

9. (CEC 02/15) Updates to the administrative provisions for the California Energy Commission - Chapter 10, Sections 10-101, 10-102, 10-103, 10-105, 10-106, 10-108, 10-109, 10-111, 10-113 and 10-114. Approved by the California Building Standards Commission on January 19, 2016, filed with the Secretary of State on January 26, 2016, and effective 30 days after filing with Secretary of State.

10. 2018 Triennial Code Adoption Cycle (CEC 02/18) Amend Chapter 10, Article 1, Section 10-102, 10-103, 10-103.1, 10-103.2, 10106, 10-109, 10-110, 10-111, 10-113; Added to Chapter 10, Article 1, Section 10-115. Approved by the California Building Standards Commission on December 5, 2018, filed with the Secretary of State on December 7, 2018, and effective 30 days after filing with the Secretary of State pursuant to California Health and Safety Code, Section 18938.

11. Erratum to correct History Note format in Chapter 10: effective January 1, 2020.

12. (CEC 04/21) Amend Chapter 10, Article 1, Sections 10-102, 10-103, 10-103.1, 10-103.2, 10-109, 10-114, 10-115. Approved by the California Building Standards Commission on December 14, 2022, filed with the Secretary of State on January 6, 2022, and effective on January 1, 2023.

13. (CEC 01/24) Amend Chapter 10, Article 1, Sections 10-102, 10-103, 10-103.1, 10-103.2, 10-104, 10-109, 10-110, 10-111, 10-114, 10-115. Add Chapter 10, Article 1, Sections 10-103.3, 10-116. Approved by the California Building Standards Commission on December 17, 2024, filed with the Secretary of State on January 16, 2025, and effective January 1, 2026.