  

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.

These documents shall:

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 Section 10-103.3, to an electronic document repository for retention in accordance with the specifications in Reference Joint Appendix JA7.

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.

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.

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.

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.

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.

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.

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.

These documents shall:

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.

These documents shall:

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.

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.

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.

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.

Such verification shall include determination that:

1. Lamp and ballast systems;
2. Line voltage switching controls;
3. Low voltage switching controls;
4. Dimming controls;
5. Occupancy sensors;
6. Photosensors;
7. Demand responsive signal inputs to lighting control systems;
8. Building Energy Efficiency Standards required lighting control systems;
9. Building Energy Efficiency Standards required lighting control system-specific analytical/problem solving skills;
10. Integration of mechanical and electrical systems for Building Energy Efficiency Standards required lighting control installation and commissioning;
11. Safety procedures for low-voltage retrofits (<50 volts) to control line voltage systems (120 to 480 volts);
12. Accurate and effective tuning, calibration, and programming of Building Energy Efficiency Standards required lighting control systems;
13. Measurement of illuminance according to the Illuminating Engineering Society’s measurement procedures as provided in the IES Lighting Library;
14. Building Energy Efficiency Standards lighting controls acceptance testing procedures; and
15. Building Energy Efficiency Standards acceptance testing compliance documentation for lighting controls.

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.

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

The ATTCP may amend a submitted or approved application, as follows:

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.

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: 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.

1. 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.
2. 
   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.  

The ATTCP may amend a submitted or approved application, as follows:

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.

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.

10-103.3 Administrative Procedures for the Energy Code Compliance Program

1. 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.
2. an ownership interest, debt agreement, or employer/employee relationship.

1. The ECC-Rater’s or ECC-Rater Company’s name, logo (if any), contact information, and certification number.
2. 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.
3. 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.

1. The ROR agrees to release the project.
2. The ROR is physically unable to continue work on the project due to injury, misfortune, or availability.
3. The ROR’s certification has been suspended (Section 10-103.3(d)7C ) or decertified (Section 10-103.3(d)7D ).
4. The ROR is unwilling to continue work on the project.

(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.

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.

1. RA1: Alternative Residential Field Verification and Diagnostic Test Protocols
2. RA2: Residential Verification, Testing, and Documentation Procedures
3. RA3: Residential Field Verification and Diagnostic Test Protocols
4. RA4: Eligibility Criteria for Energy Efficiency Measures
5. NA1: Nonresidential Verification, Testing, and Documentation Procedures
6. NA2: Nonresidential Field Verification and Diagnostic Test Procedures

1. 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.
2. Energy Code nomenclature that designates building types, dwelling units, systems, and compliance methods.
3. 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).

1. 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.
2. 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.
3. Classroom training may include pre-recorded video instructions but must not solely rely on pre-recorded videos.
4. 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.

1. The materials shall address all topics listed in Sections 10-103.3(d)1Ai and Section 10-103.3(d)1Aii.
2. 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.
3. Slide text and graphics must be legible.
4. 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.

1. All laboratory training facilities shall be designed to provide consistent and repeatable practical training exercises and be approved in advance by the Commission.
2. 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.
3. 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.
4. 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.

1. Be online using proctoring software (Section 10-103.3(d)1Avii) or in person using a live proctor.
2. Consist of between 10 and 100 questions per subject area specified in Sections 10-103.3(d)1Ai and 10-103.3(d)1Aii.
3. Require a passing score of no less than 70 percent.
4. Be approved by the Commission at the time of ECC-Provider application (Section 10-103.3(c)1).

1. 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.
2. All practical tests shall be in-person only using a live proctor with no more than five test takers to one proctor.
3. 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.
4. All practical tests shall be approved by the Commission by demonstration during the application process (Section 10-103.3(c)1).

1. Proctoring software for training or exams must be time limited.
2. 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.

1. 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.
2. The challenge test shall include a written test to be taken using a live proctor.
3. The challenge test shall include no less than 100 and no more than 1,000 questions prepared by the ECC-Provider.
4. The challenge test shall comply with all requirements in Section 10-103.3(d)1Avi.

1. First and last name
2. Business Contact information
   1. Phone
   2. Address
   3. Email
3. Certification status, limited to Certified-Active, Exemplary- Active, notice of violation, Probation, Suspended, Decertified, Inactive.

1. 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.
2. 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)).
3. Quality assurance process (Section 10-103.3(d)5).
4. Conflict of interest requirements (Section 10-103.3(b)1).
5. Prohibition on False, Inaccurate, or Incomplete Information (Section 10-103.3(b)2).

1. First and last name of certified primary
2. ECC-Rater Company Name
3. Business Contact information
   1. Phone
   2. Address
   3. Email
4. Certification status, limited to Certified-Active, Exemplary- Active, notice of violation, Probation, Suspended, Decertified, Inactive.

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

1. 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.
2. 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.
3. At a minimum, onsite audits shall include all of the following:
   1. 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.
   2. Performance of the field verification and diagnostic test that was performed by the ECC-Rater.
4. A Passing result shall include the following at a minimum:
   1. 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.
   2. 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.
5. Onsite audits shall be performed when an ECC-Provider is investigating a complaint from a homeowner about a field verification and diagnostic test.
6. 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 sample-group 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:
   1. The ECC-Provider shall perform the onsite audit at an untested home and a tested home.
   2. 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).
   3. 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.
   4. A failed onsite audit of the tested dwelling unit shall constitute a failed onsite audit for the ECC-Rater. 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.
7. 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 ).
8. 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 10-103.3(d)7 ).
9. 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.

1. 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.
2. 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.
3. Shadow audits are limited to QII verifications where the ECC-Rater shall make the necessary observations and record results.
4. Reserved.
5. The shadow audit results shall be documented by the ECC-Provider, provided to the ECC-Rater and ECC-Rater Company, and recorded in the ECC-Provider’s quality assurance database (Section 10-103.3(d)9B).
6. 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).

1. ECC-Providers shall develop and document a maximum variance for each data entry point for each field verification and diagnostic test.
2. 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.
3. 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.
4. The ECC-Provider shall compare the field verification and diagnostic test results from the project site to no less than twenty 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.
5. The desk audit results shall be documented by the ECC-Provider, provided to the ECC-Rater and ECC-Rater Company, and recorded in the ECC-Provider’s quality assurance database (Section 10-103.3(d)9B).
6. 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 10-103.3(d)7).

1. Name, business address, and contact information for each certified ECC-Rater, ECC-Rater Company, or applicant.
2. 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).
3. 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.
4. Quality Assurance Actions. List and indicate pass or fail with an explanation of all of the following audits for each certified ECC-Rater:
   1. Onsite Audits (Section 10-103.3(d)5Ci).
   2. Shadow Audits (Section 10-103.3(d)5Cii).
   3. Desk-Audits (Section 10-103.3(d)5Civ).
5. 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 five (5) years.

1. 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).
2. The ECC-Provider shall submit all Quality Assurance Quarterly Reports to the Commission in a docket prepared by the Commission.

1. 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.
2. The Quality Assurance Annual Report shall include all specified records within the annual timeframe.
3. 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.
4. 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.

1. 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 Cal. Code. Regs., Section 2505 et seq.
2. Reserved    
3. 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. 

1. 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.
2. 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.
3. 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.
4. 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.

1. 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.

1. 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.
2. 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.

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 ECC-Provider.

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 ECC- Provider.

ii. The ECC-Rater Company may not provide additional project services beyond field verification and diagnostic testing or as provided in Section 10-103.3(f)2D and Section 10-103.3(f)2Di including design, construction management, permitting, or “Responsible Person” signatories (Section 10-103(a)1 and Section 10-103(a)3 ) unless the ECC-Rater 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 showing that the ECC-Rater(s) employed or contracted by the ECC-Rater 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 (Section 10-103(a)1 and Section 10-103(a)3 ) on the same project.

1.  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 ECC-Rater activities in any regard on the same project(s).
2. 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.
3. The ECC-Rater Company must show proof that the person(s) providing signatory services under Section 10-103(a)1 and Section 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.
4. The Declaration of ECC-Rater Company Separation of Services must be retained by the ECC-Provider to which all project compliance documentation are submitted.