102.1 Rating Quality Assurance Provider Responsibilities
All accredited Rating Quality Assurance Providers shall have the following minimum responsibilities:
102.1.1 Perform sufficient quality assurance oversight of HERS Raters, Rating Field Inspectors (RFIs) and HERS Modelers to ensure compliance with these Standards and the minimum quality assurance requirements outlined in Chapter 9 – RESNET National Standards for Quality Assurance. This oversight is in addition to the oversight performed by RESNET and quality assurance performed by Quality Assurance Designees of RESNET defined in Chapter 9 – RESNET National Standards for Quality Assurance of these Standards.
102.1.1.1 - The Rating Quality Assurance Provider shall track all Quality Assurance (QA) results in the RESNET Registry, which include:
102.1.1.1.1 - The type of QA performed by the Quality Assurance Designee.
102.1.1.1.2 - The Quality Assurance Designee who performed the QA Review.
102.1.1.1.3 - The results of the QA using the RESNET QA Review Checklist.
102.1.1.1.3.1 The RESNET QA Review Checklist shall be used for all QA Reviews (File and Field). The scoring of the RESNET QA Review Checklist shall be used to determine pass/fail of all QA reviews. Data from all QA Review Checklists will be recorded directly into the RESNET Buildings Registry. The data shall consist of all the line items on the applicable QA Review Checklist, which are dictated by the Minimum Rated Features required for verification and modeling as specified in the ANSI and MINHERS Standards under which the home is registered.
102.1.1.1.3.1.1 Rating Quality Assurance Providers must use the RESNET QA application to complete all QA reviews (File and Field); OR
102.1.1.1.3.1.2 Rating Quality Assurance Providers must receive prior written approval from RESNET for any alternative formats of the current version of the QA Review Checklist before any alternative formats can be used for QA Reviews.
102.1.1.2 - The Rating Quality Assurance Provider shall maintain a full video recording of all Remote QA reviews performed by Quality Assurance Designees for a period of at least three years and be made available to RESNET upon request.
102.1.2 Assess, certify and recertify HERS Raters, RFIs and HERS Modelers as required in Chapter 2 – RESNET National Standards for Instruction, Assessment, and Certification of these Standards.
102.1.3 Ensure Certified HERS Raters and HERS Modelers under their Providership use an approved version of RESNET accredited software tools as required in section 105 to produce ratings.
102.1.3.1 When notified by RESNET of any pending standard changes or of any new versions of accredited software tools that would impact the rating process or rating scores, Providers shall notify Certified HERS Raters, RFIs, and HERS Modelers within their Providership of the impact on ratings and/or the rating process on or before the Voluntary Compliance Date established by the RESNET Standards Management Board pursuant to the RESNET Non-ANSI Standards Development Policy and Procedures section 10.8.
102.1.3.2 All Providers are responsible for determining whether their use of any chosen RESNET accredited software tool or version will alter or modify a previously uploaded HERS or CO2e or HERSH2O Rating, and shall ensure that previously uploaded HERS and HERSH2O Ratings are only altered or modified consistent with section 102.1.10.
102.1.4 Submit Confirmed, Sampled, or Confirmed Threshold Ratings conducted by their Certified HERS Raters to the National RESNET Registry. Submittal of ratings to the Registry shall be completed within 90 calendar days of the rating date, or certification of the rated home in a Third Party Efficiency Program (EEP), whichever is longer.
102.1.5 Require that Rated Home Registration IDs provided by the National RESNET Registry are prominently displayed on all Rating Certifications.
102.1.6 Resolve Certified HERS Rater, RFI and/or HERS Modeler compliance complaints.
102.1.7 Undertake disciplinary action on HERS Raters, HERS Modelers, and RFIs when required.
102.1.8 Ensure that HERS Rater, HERS Modeler, and RFI candidates meet the minimum certification requirements of Chapter 2 – RESNET National standard for Instruction, Assessment, and Certification, prior to certification by the Quality Assurance Provider.
102.1.9 Ensure that the only individuals involved in the HERS, HERSH2O, or CO2e rating process – including plan review, takeoffs, data collection, energy modeling, rating software data inputs, field data collection, field testing, minimum rated feature data collection, and EEP verification – are fully certified RESNET professionals holding the appropriate certification from the submitting Provider for the work they are performing. Rating Quality Assurance Providers shall not allow any individuals that are not certified HERS Raters, HERS Modelers, or RFIs within their Providership to perform any portion of the HERS, HERSH2O, or CO2e ratings.
102.1.10 Ensure Certified HERS Raters utilizing HERS Modelers and/or RFIs maintain sufficient personal involvement in modeling and field data collection supervision and review to certify their knowledge that the resulting HERS, HERSH2O, or CO2e Ratings meet the standards of the profession. Rating Quality Assurance Providers and Certified HERS Raters shall not allow the Certified HERS Rater’s ID to be affixed to any HERS, HERSH2O, or CO2e Rating not reviewed by the Certified HERS Rater or prepared under the Certified HERS Rater’s supervisory control. Rating Quality Assurance Providers shall not perform any substantive alteration to and re-register a previously uploaded HERS, HERSH2O, or CO2e Rating that would have a calculation impact on that HERS, HERSH2O, or CO2e Rating or any calculation impacts that would change the compliance status of the other compliance methods outlined in Section 101.1 - Purpose without either first conducting a new on-site field inspection through a certified Quality Assurance Designee under their Providership during the course of Field QA or obtaining affirmative agreement or written consent to do so from the original Certified HERS Rater. The original Certified HERS Rater’s Rating Quality Assurance Provider, with access to the original Certified HERS Rater’s work, or a different Rating Quality Assurance Provider or another Certified HERS Rater (who is not the original Certified HERS Rater) that somehow obtains the original Certified HERS Rater’s work may not use any of that original Certified HERS Rater’s work to reverse engineer and generate a new Rating on the same address where the construction has progressed past the point where verification of specific minimum rated features would not be possible in accordance with the RESNET standards except in scenarios outlined and approved in the RESNET Policy on Transferring Rater of Record. All other instances of a Rating Quality Assurance Provider or another Certified HERS Rater (who is not the original Certified HERS Rater) attempting to modify an existing HERS, HERSH2O, or CO2e Rating or reverse engineer and generate a new HERS, HERSH2O, or CO2e Rating on the same address using the original Certified HERS Rater work is expressly prohibited.
102.1.11 Confirm eligibility in accordance with section 206.2.4 – Eligibility to conduct the ANSI/RESNET/ACCA Standard 310 Inspections of these standards prior to allowing Certified HERS Raters and RFIs within their Providership to conduct ANSI/RESNET/ACCA Standard 310 inspections and prior to submitting confirmed ratings that include HVAC grading to the Registry.
102.1.12 Ensure those individuals providing grading for equipment installations under ANSI/RESNET/ACCA Standard 310 that are reflected in HERS Ratings submitted by the Rating Quality Assurance Provider are eligible to do so.
102.1.12.1 The following individuals are eligible to conduct inspections for ANSI/RESNET/ACCA Standard 310:
102.1.12.1.1 Certified HERS Raters and RFIs confirmed as eligible per 102.1.11 – Confirm Eligibility.
102.1.12.1.2 HVAC contractors or other individuals operating under a qualifying third-party quality control program that issues Independent Verification Reports. Qualifying third-party quality control programs are developed with the Air Conditioning Contractors of America (ACCA) or other industry partners and approved by RESNET.
102.1.13 Carry a minimum of one million dollars in professional liability insurance coverage or be self-insured, to a minimum of one million dollars in professional liability and provide RESNET certificates of the insurance coverage.
102.2 Minimum Standards for Rating Quality Assurance Provider Accreditation
Rating Quality Assurance Providers must meet the following minimum standards for accreditation.
102.2.1 Participation in current training. Prior to submitting an application for accreditation, applicants must participate in a current RESNET training for new Providers.
102.2.2 To apply for accreditation as a RESNET Rating Quality Assurance Provider, applicants must complete an accreditation application developed by RESNET and include a certificate of completion from the RESNET training for new Rating Quality Assurance Providers referenced in Section 102.2.1 – Participation in current training.
102.2.3 Submit a written Quality Assurance Process that conforms to Chapter 9 RESNET National Standard for Quality Assurance of these Standards.
102.2.4 Utilize a Quality Assurance Designee to oversee the Provider’s compliance with Chapter 9 of these Standards and any specific Quality Assurance requirements for other Provider categories that may apply to a particular organization.
102.2.5 Rating Quality Assurance Providers shall maintain documentation that their Certified HERS Raters, RFIs and HERS Modelers meet the certification provisions contained in Chapter 2 – RESNET National Standard for Instruction, Assessment, and Certification of these Standards.
102.2.6 Rating Quality Assurance Providers shall provide a due process which allows their Certified HERS Raters, RFIs and HERS Modelers to challenge a probation, suspension, or revocation action taken against them by their Provider. The due process shall comply with RESNET due process procedures contained in Chapter 9 Section 912 – Hearing Procedures of these Standards.
102.2.7 Certified HERS Rater, RFI and HERS Modeler Agreements.
102.2.7.1 As a condition of HERS Rater certification, each Rating Quality Assurance Provider shall ensure that a Certified HERS Rater who has met the requirements of Chapter 2, Section 206 Certification Candidates, has entered into a written agreement with the Rating Quality Assurance Provider to provide HERS, HERSH2O, and/or CO2e ratings, field verification, and testing services in compliance with these standards.
102.2.7.2 As a condition of RFI certification, each Rating Quality Assurance Provider shall ensure that a certified RFI who has met the requirements of Chapter 2, Section 206 Certification Candidates, has entered into a written agreement with the Rating Quality Assurance Provider to provide field verification and testing services in compliance with these standards.
102.2.7.3 As a condition of HERS Modeler certification, each Rating Quality Assurance Provider shall ensure that a certified HERS Modeler who has met the requirements of Chapter 2, Section 206 Certification Candidates, has entered into a written agreement with the Rating Quality Assurance Provider to provide energy modeling services in compliance with these standards.
102.2.7.4 A copy of the Rating Quality Assurance Provider's standard Certified HERS Rater, RFI and HERS Modeler written agreements shall be provided to RESNET with the Rating Quality Assurance Provider's accreditation application, as part of the Provider's annual Quality Assurance submission to RESNET, and within 60 days of making changes to the agreement. The written Certified HERS Rater agreement shall at a minimum require Certified HERS Raters to:
102.2.7.4.1 Provide accurate ratings, field verification and testing in compliance with these Standards.
102.2.7.4.2 Submit only those models, field data collection, and testing results reviewed by or conducted by them, which are determined to be in conformity with these Standards.
102.2.7.4.3 Comply with the "RESNET Code of Ethics". The RESNET Code of Ethics is posted on the RESNET website. The Code of Ethics shall be attached to the written Certified HERS Rater agreement.
102.2.7.4.4 Provide any information relevant to HERS, HERSH2O and/or CO2e Ratings and the HERS Rating process as requested by the Rating Quality Assurance Provider.
102.2.7.4.5 Participate in training activities that address changes to the RESNET Standards when required.
102.2.7.5 The Certified HERS Rater Agreements shall include a copy of the Rating Quality Assurance Provider's due process for appeals pursuant to section 102.2.6 – Rating Quality Assurance Providers.
102.2.8 A Rating Quality Assurance Provider shall ensure that the HERS, HERSH2O and/or CO2e Rating Software Program used to produce energy, water, and/or carbon emissions ratings has been properly accredited by RESNET. The directory of RESNET accredited HERS Rating Software Programs is posted on the RESNET web site.
102.2.9 Minimum Standards for Rating Quality Assurance Provider Operation Policies and Procedures must be written and provide for the following:
102.2.9.1 Field and file verification of Minimum Rated Features and labeling of all homes shall comply with Chapter 3 – National Home Energy Rating Technical Standards and standard RESNET/ANSI/ICC 301, Appendix B Inspection Procedures for Minimum Rated Features.
102.2.9.2 Conflict of interest disclosure requirements.
102.2.9.2.1 Conflict of interest disclosure requirements prohibit undisclosed conflicts of interest but allow for a waiver with disclosure to the Rating Quality Assurance Provider and RESNET in a manner prescribed by RESNET for each unit that receives a HERS rating.
102.2.9.2.1.1 A HERS Rater may elect to provide advance disclosure directly to a home builder or EEP using the RESNET “Home Energy Rating Standard Disclosure” (Standard Disclosure) form for each home that receives a home energy rating as required by that home builder or EEP, or as desired by the HERS Rater.
102.2.9.2.1.2 In the event a HERS Rating is being contracted directly by a homeowner on their property, a HERS Rater must provide advance disclosure to the homeowner using the RESNET “Home Energy Rating Standard Disclosure” (Standard Disclosure) form for each home that receives a home energy rating.
102.2.9.2.2 Home builders and their employees are not allowed to conduct ratings on the homes they build or for which they have a financial interest.
102.2.9.3 Written Certified HERS Rater, RFI and HERS Modeler Disciplinary Procedures that include provisions for Probation, Suspension, and Revocation of Certified HERS Rater, RFI and HERS Modeler certification and due process procedures in accordance with section 102.2.6 – Rating Quality Assurance Providers. These provisions at a minimum shall include the defined thresholds for each disciplinary category listed in this Section. The Provider shall update the Certified HERS Rater, RFI and HERS Modeler's status in the National RESNET Registry within five (5) business days of any change.
The following represent minimum provisions for each Certified HERS Rater/RFI/HERS Modeler disciplinary category. A Provider's policies and procedures may be more stringent than the following requirements.
102.2.9.3.1 Probation - A Certified HERS Rater/RFI/HERS Modeler found to have committed one or more violations of RESNET standards discovered by a Rating Quality Assurance Provider's Quality Assurance Designee and/or through a Rating Quality Assurance Provider's complaint resolution process, RESNET quality assurance monitoring, or through the RESNET complaint resolution process may be placed on probation by the Provider. The Provider shall notify the Certified HERS Rater/RFI/HERS Modeler in writing of the specified deficiencies, provide an opportunity for hearing pursuant to section 102.2.6, and require any applicable corrective action set forth in the notification be agreed upon and, if possible, implemented not later than twenty (20) business days after the date set forth in such notification. Violations include, but are not limited to, the following:
102.2.9.3.1.1 Noncompliance with annual requirements for quality assurance;
102.2.9.3.1.2 Noncompliance with equipment calibration requirements;
102.2.9.3.1.3 Discovered violations of one (1) or more provisions of the RESNET Standards that result in four (4) or more non-compliant ratings for a calendar year, i.e., the twelve month period from January 1st through December 31st;
102.2.9.3.1.4 Discovered violations of one (1) or more provisions of the RESNET Standards involving requirements for disclosure, professional conduct, record keeping, and/or reporting;
102.2.9.3.1.5 Misrepresentation of a certification status in marketing materials or services offered or actually provided, for which the HERS Rater does not possess the appropriate RESNET certification from the Provider.
102.2.9.3.2 Suspension - A Certified HERS Rater/RFI/HERS Modeler found to have committed one or more violations of RESNET Standards discovered by a Rating Quality Assurance Provider's Quality Assurance Designee and/or through a Rating Quality Assurance Provider's complaint resolution process, RESNET quality assurance monitoring, or through the RESNET complaint resolution process may have their certification suspended by the Provider. The Provider shall notify the Certified HERS Rater/RFI/HERS Modeler in writing of the specified deficiencies, provide an opportunity for hearing pursuant to section 102.2.6 – Rating Quality Assurance Providers shall provide a due process, and require that any applicable corrective action, set forth in the notification, be agreed upon and, if possible implemented, not later than twenty (20) business days after the date set forth in such notification. Violations include, but are not limited to, the following:
102.2.9.3.2.1 For Non-compliance with the terms of probation;
102.2.9.3.2.2 Continued discovery of violations through increased quality assurance reviews;
102.2.9.3.2.3 Two Probations within a twelve month period;
102.2.9.3.2.4 Willful misconduct;
102.2.9.3.2.5 Misrepresentation of a certification status in marketing materials, or services offered or actually provided, for which the Certified HERS Rater/RFI/HERS Modeler does not possess the appropriate RESNET certification from a RESNET Accredited Provider.
102.2.9.3.3 The Provider shall provide written notification to Rating Clients and known EEPs for whom projects were submitted to the RESNET Registry within the last calendar year by the Rater/RFI/HERS Modeler in question that the Certified HERS Rater/RFI/HERS Modeler's ability to complete, submit or acquire any new rating projects or new rating business recognized by any RESNET Accredited Rating Quality Assurance Provider has been suspended as of the date of suspension.
102.2.9.3.4 The Provider shall provide written notification to RESNET of the Certified HERS Rater/RFI/HERS Modeler through the National RESNET Registry within five (5) business days of the date of suspension.
102.2.9.3.5 The Provider shall remove from any promotional websites or lists they maintain the name of the Certified Rater/RFI/HERS Modeler that are listed by individual name for the duration of the suspension. In cases where there is only one Certified HERS Rater in a HERS Rating organization and that individual is suspended, the entire HERS Rating company shall be removed.
102.2.9.3.6 At the Provider's discretion, a Certified HERS Rater/RFI/HERS Modeler may be allowed to complete rating work identified as in progress at the time of the suspension provided the following conditions are met:
102.2.9.3.6.1 The Certified HERS Rater/RFI/HERS Modeler shall submit to the Provider copies of any previously completed site visit documentation for the home(s) in question;
102.2.9.3.6.2 The Provider and the Certified HERS Rater/RFI/HERS Modeler agree to complete the rating work within a defined minimum timeframe (maximum of 90 days) in compliance with RESNET Standards;
102.2.9.3.6.3 The Provider shall complete, and Certified HERS Rater/RFI/HERS Modeler agrees to be subject to, QA File review for 100% of the identified ratings completed under this Section. Certified HERS Rater/RFI/HERS Modeler agrees to pay any associated Provider fees for the additional required QA File reviews;
102.2.9.3.6.4 The Provider shall complete, and the Certified HERS Rater/RFI agrees to be subject to, QA Field review for a minimum 25% of the identified ratings completed under this Section. Certified HERS Rater/RFI agrees to pay any associated Provider fees for the additional required QA Field reviews;
102.2.9.3.6.5 The Provider shall inform the HERS, HERSH2O, or CO2e Rating client of the Certified HERS Rater/RFI/HERS Modeler suspension.
102.2.9.3.7 At a minimum, the duration of a suspension shall be 90 days from notification and any hearing pursuant to section 102.2.6 – Rating Quality Assurance Providers shall provide a due process. After successful compliance with the terms of suspension, a Certified HERS Rater/RFI/HERS Modeler shall be eligible to have their certification re-instated under terms for disciplinary probation agreed upon by the Certified HERS Rater/RFI/HERS Modeler and the Provider.
102.2.9.3.8 Revocation - A Certified HERS Rater/RFI/HERS Modeler found to have committed one or more violations of RESNET standards discovered by a Rating Quality Assurance Provider's Quality Assurance Designee and/or through a Rating Quality Assurance Provider's complaint resolution process, RESNET quality assurance monitoring, or through the RESNET complaint resolution process shall have their certification revoked by the Provider. The Provider shall notify the Certified HERS Rater/RFI/HERS Modeler in writing of the specified deficiencies, provide an opportunity for hearing pursuant to section 102.2.6 – Rating Quality Assurance Providers shall provide a due process, and require that any applicable corrective action, set forth in the notification, be agreed upon and, if possible implemented, not later than twenty (20) business days after the date set forth in such notification. Violations include, but are not limited to, the following:
102.2.9.3.8.1 A Certified HERS Rater/RFI/HERS Modeler chooses to not renew certification;
102.2.9.3.8.2 For non-compliance with the progressive terms of probation or suspension;
102.2.9.3.8.3 Failure to reach an agreement on terms of probation or suspension;
102.2.9.3.8.4 The continued discovery of violations through the mandatory RESNET Quality Assurance requirements;
102.2.9.3.8.5 Fraud;
102.2.9.3.8.6 Failure to complete additional training required by the most recent version of the RESNET Standards
102.2.9.3.9 The Provider shall provide written notification to Rating Clients and known EEPs for whom the projects were submitted to the RESNET Registry within the last calendar year by the Rater in question that the HERS Rater/RFI/HERS Modeler's ability to complete, submit or acquire any new rating projects or new rating business recognized by any RESNET Accredited Rating Quality Assurance Provider has been revoked as of the date of revocation.
102.2.9.3.10 The Provider shall provide written notification to RESNET of the Certified HERS Rater/RFI/HERS Modeler's revocation and the reason for revocation through the National RESNET Registry.
102.2.9.3.11 The Provider shall remove Certified HERS Rater’s/RFI’s/HERS Modeler’s name and, in cases of a single Certified HERS Rater company, the company name from any promotional website or lists maintained by the Provider for the duration of the revocation.
102.2.9.3.12 Certified HERS Rater's/RFI/HERS Modeler's who have their certification revoked may at their initiative re-apply for certification to any Rating Quality Assurance Provider as a Certified HERS Rater, RFI and/or HERS Modeler candidate per Chapter 2, Section 207 Recertification, unless the HERS Rater, RFI or HERS Modeler is revoked for fraud. In the case of revocation due to fraud, the HERS Rater, RFI or HERS Modeler is not allowed to re-apply for recertification.
102.2.9.4 Rating Recordkeeping. Rating Quality Assurance Providers and/or their certified HERS Raters shall maintain the Quality Assurance Data File for each registered rating for a minimum of three (3) years.
102.2.9.5 Complaint Response System. Each Rating Quality Assurance Provider shall have a system for receiving complaints. The Rating Quality Assurance Provider shall respond to and resolve complaints related to ratings, field verification, diagnostic testing services, and reports. Rating Quality Assurance Providers shall ensure that Certified HERS Raters inform purchasers and recipients of ratings and field verifications about the complaint system. Each Rating Quality Assurance Provider shall retain records of complaints received and responses to complaints for a minimum of three (3) years after the date of the complaint.
102.2.9.6 Site data collection manual. All Rating Quality Assurance Providers shall provide their Certified HERS Raters/RFIs/HERS Modelers with a manual containing procedures for the on-site collection of data that at a minimum shall include the on-site inspection procedures for minimum rated features for new and existing homes provided in standard ANSI/RESNET/ICC 301, Appendix B Inspection Procedures for Minimum Rated Features.