Cal. Code Regs. Tit. 20, § 1673 - Requirements for Providers

(a) Training and Certification Procedures for Raters. Each Provider shall conduct the following Rater training and certification procedures.

(1) Each Provider's training program shall include classroom and field training of applicants for California Whole-House Home Energy Rater certifications, incorporating training in analysis, theory, and practical application in at least the following areas:

(A) Home energy consumption and efficiency data collection, organization and analysis.

(B) Principles of heat transfer.

(C) Building energy feature design and construction practice, including construction quality assurance, on-site renewable generation, and "house as a system" concepts.

(D) Safety practices relevant to home energy auditing procedures and equipment.

(E) Home energy audit procedures.

(F) Energy efficiency effects of building site characteristics.

(G) Types and characteristics of space heating, space cooling, service hot water, and hard wired lighting systems.

(H) Mathematical calculations necessary to utilize the Rating System.

(I) The modeling and use of Energy Commission-approved HERS software required to produce a California Whole-House Home Energy Rating or a California Home Energy Audit and the associated California Home Energy Rating Certificate, California Home Energy Audit Certificate and HERS Report in accordance with the algorithms, procedures, methods, assumptions, and defaults specified in the HERS Technical Manual.

(J) Methods of cost-effectiveness analysis including interest and discount rates, cost-benefit ratios, life cycle cost analysis, calculation of present value, cash flow analysis, payback analysis, and cost estimation.

(K) The function and proper use of diagnostic devices including but not necessarily limited to: duct leakage testing equipment, blower doors, and air flow and pressure measurement devices.

(L) Construction types, equipment types, and their associated energy efficiency ramifications.

(M) Field verification and diagnostic testing requirements of the Title 24, Part 6, Building Energy Efficiency Standards and the Reference Appendices.

(N) Interpretation of prioritized recommendations for efficiency improvements and customized adjustment procedures for specific occupants.

(O) The behavioral, psychological, cultural, and socioeconomic influences on energy consumption of home occupants in the United States and California.

(P) California Home Energy Rating System Program requirements specified in these regulations.

(2) California Home Energy Inspector applicants shall not be required to be trained by the Provider in areas indicated in Sections 1673(a)(1)(H), (I), (J), (K), (M), (N) and (O) but shall be required to receive specific training in the areas indicated in Sections 1673(a)(1)(A) through (G) and general training in Sections 1673(a)(1)(L) and (P).

(3) California Home Energy Analysts applicants shall not be required to be trained by the Provider in Sections 1673(a)(1)(D) and (K) but shall be required to receive specific training in Sections 1673(a)(1)(G), (H), (I), and (J) and general training in Sections 1673(a)(1)(A) to (C), (E), (F), and (L) to (P).

(4) California Field Verification and Diagnostic Testing Raters shall not be required to be trained by the Provider in the areas indicated in Sections 1673(a)(1)(I), (J), (N), and (O) but shall be required to receive specific training in Sections 1673(a)(1)(H) and (K) through (M) and general training in Sections 1673(a)(1)(A) to (G) and (P).

(5) The training for all certifications and Raters shall include thorough instruction in using the Provider's Rating System and database.

(6) The training shall require California Whole-House Home Energy Rater applicants to satisfactorily perform a rating for at least one home that includes field verification and diagnostic testing in the presence and under the direct supervision of the Provider's trainer or Quality Assurance Reviewer. The training shall require California Field Verification and Diagnostic Testing Rater applicants to satisfactorily perform field verification and diagnostic testing for at least one home in the presence and under the direct supervision of the Provider's trainer or Quality Assurance Reviewer. The Provider shall review and approve these ratings for accuracy and completeness.

(7) The Provider shall require each applicant to take an Energy Commission-approved written and practical test that demonstrates their competence in all subjects specified in Section 1673(a)(1). The Provider shall retain all results of these tests for five years from the date of the test.

(8) Each Provider may establish an Energy Commission-approved challenge test that evaluates competence in each area addressed by the Provider's training program. If a Rater applicant successfully passes this challenge test, the Provider may waive the classroom training requirement and the written and practical test requirements for that applicant. An applicant who passes this challenge test shall also successfully meet the requirements specified in Section 1673(a)(6).

(9) Programs incorporating Building Performance Contractors shall provide specific training in all areas specified in Section 1673(a)(1). These programs shall be submitted by the Provider for individual review and approval by the Energy Commission.

(b) Rater Agreements. As a condition of Rater registry under Section 1673(d), each Provider shall ensure that a Rater applicant who has met the applicable requirements of Section 1673(a) has entered into an agreement with the Provider to provide home energy rating and field verification and diagnostic services in compliance with these regulations. The agreement shall require Raters to:

(1) Provide home energy rating and field verification services in compliance with these regulations.

(2) Provide true, accurate, and complete data collection, analysis, ratings, and field verification and diagnostic testing.

(3) Not accept payment or consideration in exchange for reporting data gathered for a rating, analytical results used for a rating, or a rating result that was not in fact conducted and reported in compliance with these regulations.

(4) Comply with the conflict of interest requirements as specified in Section 1673(j).

(c) Building Performance Contractor Agreements. To be certified and registered as a Building Performance Contractor, a Provider shall ensure that a Building Performance Contractor applicant has entered into an agreement with the Provider to provide home energy rating services in compliance with these regulations. The agreement shall require Building Performance Contractors to:

(1) Be current and active licensed class B general building contractors and agree to abide by the laws and regulations of the California Contractors State License Board, including, but not limited to, complying with advertising requirements, home improvement contract requirements, and use of properly licensed subcontractors.

(2) Provide home energy rating services in compliance with these regulations.

(3) Provide home energy rating services under these regulations only with Raters certified under an Energy Commission-approved Building Performance Contractor program pursuant to Section 1674(e).

(4) Comply with requirements for the issuance of building permits, state and local building codes, and the other requirements of Section 7110 of the Contractors License Law (Business and Professions Code).

(5) Notify the Provider of any citation, suspension, or revocation actions by the California Contractors State License Board against the contractor.

(d) Rater and Building Performance Contractor Registry. As a condition of Rater registry, each Provider shall certify to the Energy Commission that a Rater applicant has met the requirements of Section 1673(a) and entered into an agreement meeting the requirements of Section 1673(b). As a condition of Building Performance Contractor registry, each Provider shall certify to the Energy Commission that the applicant has met the definition of a Building Performance Contractor and entered into an agreement meeting the requirements of Section 1673(c). The Provider shall maintain a registry of all Raters, persons, or firms that meet these requirements, provide an electronic copy of the registry to the Energy Commission, and make that registry available in printed or electronic form upon written request.

(e) Data Maintenance.

(1) Each Provider shall record and maintain for a period of ten years all data collected for a rating if the data is listed as a required or optional input for the rating in question. This requirement shall apply to data collected from a site visit, from the plans for a newly constructed building, or from a utility bill analysis. All required or optional outputs generated for a rating shall also be recorded.

(2) For homes that have received a field verification rating, the following information shall also be collected and maintained for ten years and may be in an electronic format:

(A) The energy efficiency improvements field verified and diagnostically tested.

(B) Whether or not the builder chose to include the home in a sample for field verification and diagnostic testing as specified in the Residential Appendices to Title 24, Part 6.

(C) Whether or not initial field verification and diagnostic testing as specified in the Residential Appendices to Title 24, Part 6, was conducted on the home.

(D) Whether or not the home in a sample was actually selected and field verified and diagnostically tested as specified in the Residential Appendices to Title 24, Part 6.

(E) Whether or not the home in a sample was actually selected for resampling and field verified and diagnostically tested after a sampling failure was found in the sample as specified in the Residential Appendices to Title 24, Part 6.

(F) Whether or not the home in a sample was field verified and diagnostically tested and corrective action was taken after a resampling failure was found in the sample as specified in the Residential Appendices to Title 24, Part 6.

(G) Whether or not the homeowner declined to have field verification, diagnostic testing, and corrective action taken after occupancy as specified in the Residential Appendices to Title 24, Part 6.

(H) The Certificate of Compliance, the Installation Certificate, and the Certificate of Field Verification and Diagnostic Testing.

(f) Field Verification and Diagnostic Testing Evaluation. Providers shall maintain a database of the information specified in Section 1673(e)(2) for a minimum 10 percent random sample of the homes actually field verified and diagnostically tested annually, or 500 such homes annually, whichever is less. Each Provider shall provide this information annually in electronic form to the Energy Commission for evaluating the effectiveness of field verification and diagnostic testing. If the Energy Commission makes this information public, it will be in aggregated form only. All of this information shall be organized according to climate zones as defined in Section 101(b) of Title 24, Part 6 of the California Code of Regulations.

(g) Data Submittal. Upon the Energy Commission's request, but not more frequently than annually, a Provider shall submit to the Energy Commission information recorded pursuant to Section 1673(e) and provide the Energy Commission ongoing access to the Provider's database. If the Energy Commission makes this information public, it will be in an aggregated form only.

(h) Training Materials Retention. Each Provider shall retain for at least five years after the last date they are used, at least one copy of all materials used to train Raters.

(i) Quality Assurance. Each Provider shall have a quality assurance program that provides for at least the following:

(1) Quality Assurance Staff. The Provider shall have a designated Quality Assurance Manager to oversee the quality assurance process. The Quality Assurance Manager shall appoint as many Quality Assurance Reviewers as necessary to assist with the completion of the tasks outlined in this Subsection 1673(i). The qualifications of the Quality Assurance Manager and the Quality Assurance Reviewers shall be submitted to the Energy Commission.

(2) Initial Review. The Provider shall review and approve for accuracy and completeness the rating documentation for at least the first five homes which a Rater performs after completion of the requirements specified in Section 1673(a)(1) through Section 1673(a)(6), not including those homes rated under the Provider's direct supervision as specified in Section 1673(a)(6).

(3) Quality Assurance for California Whole-House Home Energy Raters and California Field Verification and Diagnostic Testing Raters.

(A) For each Rater, the Provider shall annually evaluate the greater of one rating, randomly selected or one percent of the Rater's past 12 month's total number of ratings (rounded up to the nearest whole number) for each measure tested by the Rater. For Raters that have had at least one quality assurance evaluation for any measure in the past 12 months, this evaluation shall only be required to be done for those measures that have been tested by the Rater at least 10 times in the past 18 months. The Provider shall independently repeat the rating to check whether the rating was accurately completed by the Rater, and determine whether information was completely collected and reported. The Provider also shall conduct the same check on one percent of all ratings conducted through the Provider, selected randomly from the Provider's entire pool of ratings on an ongoing basis. For Energy-Rated Homes using the Building Performance Contractor exception to Section 1673(j)(3), at least five percent of the Energy-Rated Homes shall be evaluated by a Quality Assurance Reviewer.

(B) Raters shall not be informed that a building or installation will be field checked until after they have completed the original rating. The field check shall occur after the submission of the Certificate of Field Verification and Diagnostic Testing for a field verification rating and after the distribution of the HERS Report for a home energy rating.

(C) These evaluations by the Provider's Quality Assurance personnel shall be documented in the Provider's database and include the results of all testing performed by the Provider's Quality Assurance personnel. If the Provider's Quality Assurance personnel determine that the Rater's results did not meet the criteria for truth, accuracy, or completeness of these regulations, then the Provider shall report the quality assurance failure on the Provider's Rater registry and Building Performance Contractor registry websites for a period of six months. In addition, the Provider's Quality Assurance personnel shall evaluate two additional ratings of the failed measure by the same Rater performed in the past 12 months. If a second deficiency is found, then the Rater shall have two percent (rounded up to the nearest whole number) of their ratings of the failed measure evaluated for the next 12 months by all Providers. The Provider's Quality Assurance Manager shall notify other Providers in writing or by electronic mail of Raters that are required to have additional quality assurance verification as required by this provision.

(4) Additional Quality Assurance for Unrated or Untested Buildings or Installations.

(A) For houses or installations passed as part of a sampling group but not specifically field verified or rated by a Rater, the greater of one house or installation or one percent of all unrated or untested buildings or installations in groups sampled by the Rater shall be independently rated or field verified by the Provider's Quality Assurance personnel.

(B) These quality assurance verifications shall be blind tests in that the Provider shall not inform the installer, builder, or the Rater that the specific building or installation will be verified.

(C) The results of these quality assurance verifications shall be entered into the Provider's database. The Provider shall summarize the results of these quality assurance verifications and submit them to the Energy Commission on an annual basis and provide the Energy Commission with ongoing access to the database and associated summaries of the results of these verifications.

(5) Complaint Response System. Each Provider shall have a system for receiving complaints. The Provider shall respond to and resolve complaints related to ratings and field verification and diagnostic testing services and reports. Providers shall ensure that Raters inform purchasers and recipients of ratings and field verifications and diagnostic testing services about the complaint system. Each Provider shall retain all records of complaints received and responses to complaints for five years after the date the complaint is presented to the Provider and annually report a summary of all complaints and action taken to the Executive Director.

(j) Conflict of Interest.

(1) Providers shall be independent entities from Raters.

(2) Providers and Raters shall be independent entities from the builder and from the subcontractor installer of energy efficiency improvements field verified or diagnostically tested.

(3) Providers and Raters shall be independent entities from any firm or person that performs work on the home for a California Home Energy Audit or a California Whole-House Home Energy Rating.

Exception to Section 1673(j)(3): California Whole-House Home Energy Raters, who are working as or for a Building Performance Contractor certified under an Energy Commission-approved Building Performance Contractor program as part of a Provider's Rating System as specified in Section 1674(e) of the regulations and in the HERS Technical Manual, shall not be required to be an independent entity from the person(s) or firm(s) performing the work on a home. This exception shall not apply to California Field Verification and Diagnostic Testing Raters performing field verification and diagnostic testing of newly constructed homes or alterations to existing homes to verify compliance with the requirements of Title 24, Part 6.

(k) Improvement Measures Cost Database. Each Provider shall develop and maintain a database of the cost of implementing the efficiency improvement measures specified in the HERS Technical Manual. The database shall contain statewide standardized cost values and regional adjustment factors.

Notes

Cal. Code Regs. Tit. 20, § 1673

Note: Authority cited: Sections 25213 and 25942, Public Resources Code. Reference: Section 25942, Public Resources Code.

1. New section filed 6-17-99; operative 6-17-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 25).
2. Amendment of section and Note filed 8-3-2009; operative 9-1-2009 pursuant to Government Code section 11343.4(Register 2009, No. 32).
3. Change without regulatory effect amending subsections (a)(7) and (i)(3)(C) filed 8-24-2022 pursuant to section 100, title 1, California Code of Regulations (Register 2022, No. 34).