102 Accreditation Criteria for Rating Quality Assurance Providers

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 (RFI) and HERS Modelers to ensure compliance with these Standards and the minimum quality assurance requirements outlined in Chapter 9. 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 of these Standards.

102.1.2 Assess, certify and recertify HERS Raters, RFIs and HERS Modelers as required in Chapter 2 of these Standards.

102.1.3 Ensure Certified HERS Raters and HERS Modelers under their providership use the latest version of RESNET accredited software tools as required in section 105 to produce ratings and provide Certified HERS Raters and HERS Modelers notification within 30 days of any software changes.

102.1.4 Submit Confirmed or Sampled 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 an EEP, whichever is longer.

102.1.5 Require that Rated Home Registration ID’s 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 and RFI’s when required.

102.1.8 Ensure that HERS Rater and RFI candidates meet the minimum certification requirements of Chapter 2 prior to certification by the Quality Assurance Provider.

102.1.9 Ensure that the only individuals involved in the HERS 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 for the work they are performing. Rating Quality Assurance Providers shall not allow any individuals that are not either certified HERS Raters, HERS Modelers or RFIs to perform any portion of the HERS rating.

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 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 Rating not reviewed by the Certified HERS Rater or prepared under the Certified HERS Rater’s supervisory control.

102.1.11 Confirm eligibility in accordance with section 206.2.3 of these standards prior to allowing Certified HERS Raters and Rating Field Inspectors 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 Rating Field Inspectors confirmed as eligible per 102.1.9.

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.

102.2 Minimum Standards for Rating Quality Assurance Provider Accreditation

Rating Quality Assurance Providers must meet the following minimum standards for accreditation.

102.2.1 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 Providers referenced in 103.4.1.

102.2.3 Submit a written Quality Assurance Process that conforms to Chapter 9 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 Two of these Standards.

102.2.6 Rating Quality Assurance Providers shall provide a due process for appeals which allows their Certified HERS Raters, RFIs and HERS Modelers to appeal a probation, suspension, or revocation action taken against them by their Provider. The due process shall comply with RESNET procedures contained in Section 910.5 “Probation/Suspension/Revocation Due Process” 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 home energy rating, field verification, and testing services in compliance with these standards.

102.2.7.2 As a condition of Rating Field Inspector certification, each Rating Quality Assurance Provider shall ensure that a certified Rating Field Inspector 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 and RESNET Standards Management Board interpretations;

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 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.

102.2.8 A Rating Quality Assurance Provider shall ensure that the HERS Rating Software Program used to produce energy ratings has been properly accredited by RESNET. The directory of RESNET accredited HERS Rating Software Programs are 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 and standard RESNET/ANSI/ICC 301, Appendix B Inspection Procedures for Minimum Rated Features.

102.2.9.2 Written conflict of interest provisions.

102.2.9.2.1 Written conflict of interest provisions prohibit undisclosed conflicts of interest but allow for a waiver with advance disclosure. The RESNET “Home Energy Rating Standard Disclosure” (Standard Disclosure) form shall be completed 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.

102.2.9.2.3 A RESNET Standard Disclosure form shall be provided to the rating client.

102.2.9.2.4 For multi-family projects and production home communities, the RESNET Standard Disclosure form is not required for each home or unit that receives a home energy rating, but instead shall be provided to the rating client prior to the start of construction and list the name of the project or community. For production home communities, each base floor plan covered by the Standard Disclosure form shall also be listed on the form.

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. 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 twenty (20) 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 and shall require that specific 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 or more provisions of the RESNET Standards that result in four 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 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 - Any Certified HERS Rater/RFI/HERS Modeler certified by a Provider may have their certification suspended for circumstances including, but not limited to, any of 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 in accordance with section 904.3.5;

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 the Provider.

102.2.9.3.2.6 Provisions for Certified HERS Rater/RFI/HERS Modeler suspension shall include:

102.2.9.3.2.6.1 Written notification to the Certified HERS Rater/RFI/HERS Modeler which includes the cause, terms, restrictions, and notifications to third-parties of the suspension of the Certified HERS Rater/RFI/HERS Modeler ability to complete, submit or acquire any new rating projects or new rating business recognized by any RESNET Accredited Rating Quality Assurance Provider as of the date of suspension. Written notification shall inform the Certified HERS Rater/RFI/HERS Modeler of their right to appeal under Section 911 of these Standards;

102.2.9.3.2.6.2 After the allowable period of time for appeal, and/or an unsuccessful appeal of suspension, notification of suspension to RESNET through the National RESNET Registry, known Certified HERS Rater’s clients (i.e. builders or other organizations with repeat business with a Certified HERS Rater or Rating Company), EPA or other known EEP's;

102.2.9.3.2.6.3 Removal of the 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 Provider.

102.2.9.3.2.7 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:

102.2.9.3.2.7.1 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;

102.2.9.3.2.7.2 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;

102.2.9.3.2.7.3 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;

102.2.9.3.2.7.4 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;

102.2.9.3.2.7.5 The HERS Rating client is informed the terms and conditions of Certified HERS Rater/RFI/HERS Modeler suspension.

102.2.9.3.2.8 At a minimum, the duration of a suspension shall be -90 days from notification. 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.

102.2.9.3.3 Revocation - Any Certified HERS Rater/RFI/HERS Modeler certified by a Provider shall have their certification revoked for circumstances including, but not limited to, any of the following:

102.2.9.3.3.1 A Certified HERS Rater/RFI/HERS Modeler chooses to not renew their certification;

102.2.9.3.3.2 For non-compliance with the progressive terms of probation or suspension;

102.2.9.3.3.3 Failure to reach an agreement on terms of probation or suspension;

102.2.9.3.3.4 The continued discovery of violations through the mandatory RESNET Quality Assurance requirements;

102.2.9.3.3.5 Fraud;

102.2.9.3.3.6 Failure to complete additional training required by the most recent version of the RESNET Standards

102.2.9.3.4 Provisions for revocation of Certified HERS Rater/RFI/HERS Modeler certification shall include:

102.2.9.3.4.1 Written notification to the Certified HERS Rater/RFI/HERS Modeler which includes the cause for revocation and explanation of notifications to third-parties of the Certified HERS Rater’s/RFI’s/HERS Modeler's inability to complete, submit or acquire any new rating projects or new rating business recognized by any RESNET Accredited Rating Quality Assurance Provider as of the date of revocation. Written notification shall inform the Certified HERS Rater/RFI/HERS Modeler of their right to appeal under Section 911 of these Standards;

102.2.9.3.4.2 After the allowable period of time for appeal, and/or an unsuccessful appeal of revocation, notification of termination to known Certified HERS Rater clients (i.e. builders or other organizations with repeat business with a Certified HERS Rater or Rating Company), RESNET, EPA or other known EEP;

102.2.9.3.4.3 Removal of the Certified HERS Rater’s/RFI’s/HERS Modeler’s name and in cases of a single HERS Rating Company name from any promotional website or lists maintained by the Provider;

102.2.9.3.4.4 Indicate the Certified HERS Rater/RFI/HERS Modeler’s revocation and the reason for revocation in the National RESNET Registry.

102.2.9.3.5 Certified HERS Rater’s/RFI’s/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 HERS Modeler candidate found in Chapter 2, Section 207, Recertification are met.

102.2.9.4 Rating and Tax Credit Verification recordkeeping. Rating Quality Assurance Providers and/or their certified HERS Raters shall maintain the Quality Assurance Data File for each registered rating and tax credit verification 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 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.