Energy Code Ace - 10-103 – PERMIT, CERTIFICATE, INFORMATIONAL, AND ENFORCEMENT REQUIREMENTS FOR DESIGNERS, INSTALLERS, BUILDERS, MANUFACTURERS, AND SUPPLIERS

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.

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 HERS 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 a HERS provider data registry in compliance with Title 20, Chapter 4, Article 8, Section 1670 et seq. The submittals to the HERS 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 a HERS provider data registry shall also be automatically transmitted by the data registry in compliance with Title 20, Chapter 4, Article 8, Section 1670 et seq, 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 HERS 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 HERS 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.

Exemptions from submitting 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 HERS 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 a HERS 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 HERS 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 HERS Provider Data Registry such that it is accessible for verification by, included 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 conforms 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 is applicable to the building to a HERS provider data registry for registration and retention in accordance with Title 20, Chapter 4, Article 8, Section 1670 et. seq. and procedures specified in Reference Residential Appendix RA2:

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

ii. All other Certificates of Installation, except those exempted by the Energy Commission.

The submittals to the HERS 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 a HERS provider data registry in compliance with Title 20, Chapter 4, Article 8, Section 1670 et seq 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 HERS 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 HERS 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.

Exemptions from submitting 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 exempted 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. 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 a HERS 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).

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 10-103(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, 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(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 (Section 10-103.1 and Section 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 compliance requires HERS field verification, a certified HERS Rater shall conduct all required HERS field verification and diagnostic testing in accordance with applicable procedures specified in Reference Appendices RA2, RA3, NA1, and NA2. All applicable Certificate of Verification documentation shall be completed, signed, and submitted by the certified HERS Rater who performed the field verification and diagnostic testing services (responsible person) in accordance with the requirements of Section 10-103(a)5, and Reference Appendices Appendix RA2, and NA1, to certify conformance with Part 6. If more than one rater has responsibility for the HERS 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 HERS 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 HERS 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 HERS 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 HERS 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 HERS field verification, the certified HERS Rater responsible for the Certificate(s) of Verification shall submit the Certificates and their associated Compliance Registration Packages for registration and retention to a HERS provider data registry in accordance with the applicable procedures in Reference Appendices RA2 and NA1, and in compliance with Title 20, Chapter 4, Article 8, Section 1670 et seq.

The submittals to the HERS 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 a HERS provider data registry in accordance with Title 20, Chapter 4, Article 8, Section 1670 et. seq 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 exempt 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 from 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).

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, 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 10-103(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.

NOTE: Authority: Section 25402, 25402.1, Public Resources Code. Reference: Section 25402, Public Resources Code.

10-103.1 – NONRESIDENTIAL LIGHTING CONTROLS 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 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, Section 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, Section 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. 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:

Lamp and ballast systems;
Line voltage switching controls;
Low voltage switching controls;
Dimming controls;
Occupancy sensors;
Photosensors;
Demand responsive signal inputs to lighting control systems;
Building Energy Efficiency Standards required lighting control systems;
Building Energy Efficiency Standards required lighting control system-specific analytical/problem solving skills;
Integration of mechanical and electrical systems for Building Energy Efficiency Standards required lighting control installation and commissioning;
Safety procedures for low-voltage retrofits (<50 volts) to control line voltage systems (120 to 480 volts);
Accurate and effective tuning, calibration, and programming of Building Energy Efficiency Standards required lighting control systems;
Measurement of illuminance according to the Illuminating Engineering Society’s measurement procedures as provided in the IES Lighting Handbook, 10th Edition, 2011;
Building Energy Efficiency Standards lighting controls acceptance testing procedures; and
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, Section 130.4 and 160.5(e).

D. Compliant Procedures. The ATTCP shall describe in its 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 ATTCP 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, building department surveys to determine acceptance testing effectiveness, and expert review of the training curricula developed for Building Energy Efficiency Standards, Section 130.4 and 160.5(e).

ii. The ATTCP shall review a random sample of no less than 1 percent of each ATT’s completed compliance forms, and shall perform randomly selected on-site audits of no less than 1 percent of each ATT’s completed acceptance tests. Independent oversight may be demonstrated by accreditation under the ISO/IEC 17024 standard.

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.

Each page of each certificate of acceptance shall bear the logo of the ATTCP or other identifying insignia as approved by the Energy Commission.
The electronic copy shall be capable of being printed.
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, Section 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 Section 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)3F 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.

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.

NOTE: Authority: Sections 25402, 25402.1, 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.

10-103.2 – NONRESIDENTIAL MECHANICAL ACCEPTANCE TEST TRAINING AND CERTIFICATION

(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 Section 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, Section 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, Section 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.

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:

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.

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.

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 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 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, building department surveys to determine acceptance testing effectiveness, and expert review of the training curricula developed for Building Energy Efficiency Standards, Section 120.5 and 160.3(d).

ii. The ATTCP shall review a random sample of no less than 1 percent of each ATT’s completed compliance forms. The ATTCP shall also 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. Independent oversight may be demonstrated by accreditation under the ISO/IEC 17024 standard.

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.

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.

i. Support all activities for the ATTCP to comply with its quality assurance program as required by Section 10-103.2(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 ...

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

I. Compliance Document Recording and Repository Reporting Requirement.

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 an annual report to the Energy Commission that includes the following:

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.

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 10-103.2.

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.

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.

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.

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

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.