903 RESNET Oversight of Quality Assurance Process

903.1 RESNET Oversight of Rating Quality Assurance Providers (QA Providers)

RESNET will be responsible for oversight of the work performed under these Standards by approved Rating Quality Assurance Providers.

903.1.1 RESNET General Oversight Of Rating Quality Assurance Providers

903.1.1.1 RESNET shall accredit all Rating Quality Assurance Providers and maintain a national registry of accredited Rating Quality Assurance Providers;

903.1.1.2 RESNET shall review Rating Quality Assurance Providers’ applications to become accredited RESNET Rating Quality Assurance Providers and respond within 10 business days.

903.1.2 Annual REVIEW OF Rating Quality Assurance Provider Report Submission And Enhanced Quality Assurance REVIEWS Monitoring Of QA Providers

903.1.2.1 RESNET shall provide a “RESNET Quality Assurance Report Submittal Checklist” that lists the required contents of the annual submittal report.

903.1.2.1.1 This checklist shall be provided to Rating Quality Assurance Providers by January October 1st of each year to allow time for review and changes or clarifications. Final drafts shall be available by December 1st of each year, and updated checklists shall be implemented on January 1st of each year..

903.1.2.1.2 In the case of new required records retention or tracking item deemed by RESNET to be required which has not previously been communicated, notice of the new requirement shall be delivered to Rating Quality Assurance Providers at least 30 days prior to the quarter in which this tracking will be initiated. RESNET shall not require the item for the time frame prior to this notification.

903.1.2.2 RESNET shall review 100% of the annual Rating Quality Assurance Provider Quality Assurance Reports submitted by Quality Assurance Designees. Quality Assurance Providers

903.1.2.2.1 In addition, RESNET shall select a minimum of 25% of accredited QA Providers on an annual basis and conduct a more detailed review of their Quality Assurance process.

903.1.2.2.2 This QA review may be enhanced monitoring of QA Provider files and quality assurance process done remotely, an on-site field review, or any combination of these.

903.1.2.2.3 903.1.2.2.3 903.3 Quality Assurance File Review RESNET will centrally administer quality assurance review of ratings using data in the National RESNET Registry.

903.1.2.3 RESNET Staff shall conduct enhanced review of newly accredited Rating Quality Assurance Providers within twelve months of accreditation.

903.1.2.4 Every active accredited Rating Quality Assurance Provider shall receive an enhanced review by RESNET staff no less than once every four years.

903.1.2.4.1 Records reviewed by RESNET may include, but are not limited to, a representative sample of the following:

903.1.2.4.1.1 Rating electronic files;

903.1.2.4.1.2 Photo and/or video documentation associated with rating files;

903.1.2.4.1.3 Rating quality assurance records including, but not limited to the following:

903.1.2.4.1.3.1 Photo and/or video documentation from on-site field reviews;

903.1.2.4.1.3.2 The Rating Quality Assurance Provider’s file review reports of findings submitted to Raters;

903.1.2.4.1.3.3 The Rating Quality Assurance Provider’s field review of rating results that show a comparison with original ratings selected for on-site QA review;

903.1.2.4.1.3.4 If remedial action is required, the Rating Quality Assurance Provider’s plan of action to correct for non-compliance with the RESNET Standards and results of any action taken;

903.1.2.4.1.3.5 Complaint files;

903.1.2.4.1.3.6 Rater agreements;

903.1.2.4.1.3.7 Rater registry;

903.1.2.4.1.3.8 Disclosure files;

903.1.2.4.1.3.9 Certification and Training documents.

903.1.2.5 Significant inconsistencies or errors in electronic records reviewed, including but not limited to those defined below, may result in an on-site review by RESNET.

903.1.2.5.1 Missing photo and/or video documentation

903.1.2.5.2 Inconsistencies or errors in file review reports

903.1.2.5.3 Incomplete or missing complaint files

903.1.2.5.4 Incomplete or missing disclosure files

903.1.2.5.5 Incomplete, inaccurate, or missing certification and training documents

903.1.2.5.6 To the extent RESNET makes any requested information public; it will do so only in an aggregated form

903.1.3 RESNET Disciplinary Actions Against A Rating Quality Assurance Provider

RESNET shall comply with the following due process procedures in considering any probation, suspension or revocation actions against an accredited Rating Quality Assurance Provider.

903.1.3.1 Notification of Non-Compliance and Proposed Disciplinary Action

If RESNET determines at any time that a Rating Quality Assurance Provider has failed to adhere to the requirements set forth in these Standards, RESNET shall notify by email, or other method which provides evidence of delivery, the Rating Quality Assurance Provider and Primary Quality Assurance Designee of the non-compliance and decisions under this section. Notification shall include:

903.1.3.1.1 Entire basis and justification for the disciplinary action;

903.1.3.1.2 Any applicable corrective action required to be taken no later than twenty (20) business days after the date set forth in such notification;

903.1.3.1.3. Proposed disciplinary action and its effective date, which shall be no less than fifteen (15) business days after the notification is delivered, no less than five (5) business days after any hearing on the proposed disciplinary action under Section 912, and in any event no later than any corrective action required pursuant to Section 903.2.2.1.2; and

903.1.3.1.4 Clarification of the procedures as stipulated in this Standard and the Quality Assurance Provider’s right to a hearing under Section 912 of this chapter, including the deadline and process for submitting a written challenge to the finding of non-compliance, proposed corrective action, and/or proposed disciplinary action pursuant to Section 912.

903.1.3.2 Disciplinary Action Options for Rating Quality Assurance Providers

Failure of a Rating Quality Assurance Provider to properly fulfill their responsibilities or an outcome of RESNET’s annual report, online review, on-site visit or complaint review as specified in these Standards may include one or more of the following actions by RESNET after satisfaction of the due process procedures set forth in Section 903.1.3 and Section 912 of this chapter:

903.1.3.2.1 The QA Provider being placed in the disciplinary status of probation as set forth in Section 903.1.3.3 of this Chapter or suspension as set forth in Section 903.1.3.4 of this Chapter;

903.1.3.2.2 Revocation of the Accreditation of a Rating Quality Assurance Provider as set forth in Section 903.1.3.4 of this Chapter.

903.1.3.2.3 Removal of the QA Provider from the RESNET Directory of accredited Providers as set forth in Section 903.1.3.4 of this Chapter;

903.1.3.2.4 At the Rating Quality Assurance Provider’s expense, further oversight by RESNET.

903.1.3.3 Probation of Rating Quality Assurance Providers

903.1.3.3.1 Administrative probation resulting from violations found through a QA Provider quality assurance process, RESNET quality assurance monitoring or through the RESNET compliant resolution process shall remain confidential between the Rating Quality Assurance Provider and RESNET. These violations may include but are not limited to:

903.1.3.3.1.1 Failure to submit to RESNET any material information required to be submitted by the Rating Quality Assurance Provider, in
accordance with obtaining or maintaining accreditation;

903.1.3.3.1.2 Failure to make changes/updates to a Rating Quality Assurance Provider’s Policies and Procedures;

903.1.3.3.1.3 Failure to follow a Provider’s own Policies and Procedures

903.1.3.3.1.4 Failure to report a change in the status of any QAD to RESNET;

903.1.3.3.1.5 Failure to adhere to requirements for quality assurance of Raters and RFIs, per RESNET Standards;

903.1.3.3.1.6 Failure to adhere to requirements for Rater and RFI certification and recertification;

903.1.3.3.1.7 Failure to enforce disciplinary action requirements for Raters and RFIs having non-conforming QA results.

903.1.3.3.1.8 Failure to meet the requirements of RESNET programs, such as RESNET approved EEPs, for which the Rating Quality Assurance
Provider submits rating files.

903.1.3.3.1.9 Failure to adhere to one or more administrative and documentation/reporting provisions of the RESNET Standards.

903.1.3.3.2 More serious compliance violations found through a Rating Quality Assurance Provider QA process, RESNET quality assurance monitoring or through the RESNET complaint resolution process shall result in disciplinary compliance probation. These violations may include but are not limited to:

903.1.3.3.2.1Failure to correct the terms of a confidential administrative probation during the time period defined in the issuance of
probation;

903.1.3.3.2.2 Failure to notify RESNET and/or replace a Primary QAD within the time frame required by these Standards;

903.1.3.3.2.3 Ethics or compliance complaint(s) investigated and validated by RESNET against a Rating Quality Assurance Provider;

903.1.3.3.2.4 Failure to follow Rating Quality Assurance Provider complaint resolution process and/or disciplinary procedures;

903.1.3.3.2.5 Allowing individuals who are not certified as Quality Assurance Designees by RESNET to perform Quality Assurance reviews;

903.1.3.3.2.6 Allowing QADs to conduct Quality Assurance on ratings for which the QAD performed any portion of the rating.

903.1.3.3.3 RESNET shall, at its discretion, make a final determination regarding the necessity of posting a disciplinary probation on the RESNET web site.

903.1.3.3.4 RESNET shall determine the length of administrative or disciplinary probation resulting from violations defined in this chapter not to exceed 12 months.

903.1.3.4 Suspension or Revocation of Rating Quality Assurance Providers

903.1.3.4.1 The Rating Quality Assurance Provider may have their accreditation suspended. These violations may include, but are not limited to:

903.1.3.4.1.1 A Provider has had more than one (1) Disciplinary Probation violation within a three-year period;

903.1.3.4.1.2 Failure to correct the terms of a Disciplinary Probation during the time period defined in the notice of probation:

903.1.3.4.1.3 Submission of false information to RESNET in accordance with obtaining or maintaining accreditation or certification;

903.1.3.4.1.4 Misrepresentation of any accreditation status in marketing materials, or services offered or provided, for which the Rating Quality Assurance Provider organization does not possess the appropriate RESNET accreditation or affiliated individuals do not possess the appropriate RESNET certification;

903.1.3.4.1.5 Knowingly registering fraudulent ratings to the RESNET Registry;

903.1.3.4.1.6 Willful Misconduct by Rating Quality Assurance Provider, defined as an intentional disregard of any provision of the RESNET Standards, which a Party knew or should have known if it was acting as a reasonable person, but shall not include any error of judgment or mistake made in good faith.

903.1.3.4.1.7 Violation of RESNET’s Whistle Blower Protection Policy as specified in Section 911.

RESNET shall determine the length of suspension not to exceed 12 months.

903.1.3.4.2 The Rating Quality Assurance Provider may have their accreditation revoked in any of the following circumstances:

903.1.3.4.2.1 A Rating Quality Assurance Provider has had more than one (1) suspension within a five-year period;

903.1.3.4.2.2 In the event that deficiencies stipulated in a notice of suspension have not been remedied within the period set forth in such notice;

903.1.3.4.2.3 Accredited Rating Quality Assurance Providers that elect not to renew or fail to meet renewal requirements;

903.1.3.4.2.4 Rating Quality Assurance Provider goes out of business;

903.1.3.4.2.5 Fraudulent Activity involving RESNET, including but not limited to:

903.1.3.4.2.5.1 Falsifying inspections;

903.1.3.4.2.5.2 Falsifying data, files reports, and any other documents;

903.1.3.4.2.5.3 Registering other program ratings, knowing that inspections were not completed as required by the program. For
example: program required inspection(s) and/or checklist(s) were not completed, but the address was registered as ENERGY STAR qualified";

903.1.3.4.2.5.4 Knowingly allowing “non-certified” persons to perform inspections, testing, quality assurance, or ratings;

903.1.3.4.2.5.5 Knowingly allowing Raters or RFI’s to perform inspections, testing and/or ratings while on any RESNET disciplinary actions barring them from doing so;

903.1.3.4.2.5.6 Colluding with any Provider(s), such as other QA providers, software providers, etc. to by-pass RESNET requirements;

903.1.3.4.2.5.7 Colluding with other QA Provider(s) to fix pricing;

903.1.3.4.2.6 Non-payment per RESNET’s Fee Payment Policy for QA Providers;

903.1.3.4.2.7 Severe violation of the Code of Ethics;

903.1.3.4.3 RESNET shall remove the Rating Quality Assurance Provider from the appropriate RESNET Directory when accreditation is suspended or revoked.

903.1.3.4.4 RESNET shall prohibit the provider from uploading rating files to the RESNET Building Registry until the Provider successfully complies with the terms of the suspension or revocation. Any rating files uploaded by the Provider after it received the notification of non-compliance shall be removed from the RESNET Building Registry until the Provider successfully complies with the terms of the suspension or revocation.

903.1.3.4.5 RESNET shall post on its website Rating Quality Assurance Providers whose accreditation has been suspended or revoked. The Rating Quality Assurance Provider suspension or revocation listing shall be removed when they have successfully complied with the terms of the suspension or revocation, within five (5) business days of successfully resolving the issue.

903.1.3.4.6 RESNET shall electronically inform a Rating Quality Assurance Provider's known client(s), other accredited Providers, program administrators, rating software suppliers, Quality Assurance Designees, HERS Raters, Rating Field Inspectors, and any affected EEPs of the Rating Quality Assurance Provider's suspended or revoked status. To the extent feasible, the Rating Quality Assurance Provider and Quality Assurance Designees shall assist RESNET with notifications.

903.1.3.4.7 Prior to reinstatement, the Rating Quality Assurance Provider shall successfully resolve the issue(s) that resulted in the Rating Quality Assurance Provider being suspended or revoked and inform RESNET in writing as follows:

903.1.3.4.7.1 That the issue(s) has (have) been successfully resolved:

903.1.3.4.7.2 State the steps taken to resolve the issue(s);

903.1.3.4.7.3 State the steps that will be taken to prevent the issue(s) from occurring again in the future.

903.1.3.5 Right to Hearing

An accredited Rating Quality Assurance Provider has the right to challenge the finding of non-compliance, proposed corrective action, and/or proposed disciplinary action under this section pursuant to the Hearing Procedures in Section 912.

903.1.3.5.1 The effective date of a proposed disciplinary action under this Section shall be no less than fifteen (15) business days after the notification is delivered to the Quality Assurance Designee, no less than five (5) business days after any hearing on the proposed disciplinary action under Section 912, and in any event no later than any corrective action required pursuant to Section 903.1.3.1.2. The Quality Assurance Designee shall be notified in writing of the result of any hearing on the proposed disciplinary action under Section 912 prior
to the effective date of the disciplinary action.

903.1.3.5.2 Failure to maintain adequate knowledge of the RESNET Standards will not be considered a defense in the hearing process.

903.2 RESNET Oversight of Quality Assurance Designees (QADs)

RESNET will be responsible for oversight of the work performed under these Standards by certified approved Quality Assurance Designees.

903.2.1 RESNET GENERAL OVERSIGHT OF QUALITY ASSURANCE DESIGNEES

903.2.1.1 RESNET shall certify all Quality Assurance Designees and maintain a national registry of certified Quality Assurance Designees;

903.2.1.2 RESNET shall review QAD applications to become a certified QAD and respond within 10 business days.

903.2.2 RESNET DISCIPLINARY ACTIONS AGAINST A QUALITY ASSURANCE DESIGNEES

RESNET shall comply with the following due process procedures in considering any probation, suspension or revocation actions against a certified Quality Assurance Designee.

903.2.2.1 NOTIFICATION OF DISCIPLINARY ACTION

If RESNET determines at any time that a Quality Assurance Designee has failed to adhere to the requirements set forth in these Standards, RESNET shall notify the Quality Assurance Designee and the Rating Quality Assurance Provider by email, or other method which provides evidence of delivery, of the non-compliance and decisions under this section. Notification shall include:

903.2.2.1.1 Entire basis and justification for the disciplinary action;

903.2.2.1.2 Clarification of the procedures as stipulated in this Standard, and include, where applicable, a Statement of the Quality Assurance Designee’s rights to appeal under Section 912 of this chapter.

903.2.2.1.3 Specific corrective action required to be taken no later than twenty (20) business days after the date set forth in such notification;

903.2.2.1.4 Notice of disciplinary action shall include disciplinary status, depending on the severity of the incident.

903.2.2.2 DISCIPLINARY ACTION OPTIONS.

Failure of a Quality Assurance Designee to properly fulfill their responsibilities as specified in these Standards may include one or more of the following actions by RESNET:

903.2.2.2.1 The QAD being placed on probation or suspension;

903.2.2.2.2 Revocation of QAD certification;

903.2.2.2.3 Removal of the QAD from the RESNET Directory of certified QADs;

903.2.2.2.4 RESNET no longer recognizing the QAD as a Home Energy Rater;

903.2.2.2.5 At the Rating Quality Assurance Provider’s expense, further oversight by RESNET of the QAD and the Provider’s processes and procedures;

903.2.2.3 PROBATION

903.2.2.3.1 Administrative probation resulting from violations defined in this chapter shall remain confidential between the QAD, Rating Quality Assurance Provider, and RESNET. RESNET shall determine the length of administrative probation not to exceed 12 months.

903.2.2.3.2 RESNET shall, at its discretion, make a final determination regarding the necessity of posting a disciplinary probation resulting from violations on the RESNET web site.

903.2.2.3.3 RESNET shall determine the length of disciplinary probation resulting from violations defined in this chapter not to exceed 12 months.

903.2.2.4 SUSPENSION OR REVOCATION

903.2.2.4.1 RESNET shall determine the length of suspension not to exceed 12 months.

903.2.2.4.2 RESNET shall remove the Quality Assurance Designee from the appropriate RESNET Directory when certification is suspended or revoked, pending the results of any appeal per Section 912.

903.2.2.4.3 RESNET shall post on its website, pending the results of any appeal, Quality Assurance Designees whose certification has been suspended or revoked. The Quality Assurance Designee’s suspension or revocation listing shall be removed within 10 business days of successfully resolving the issue; once the QAD has successfully complied with the terms of the suspension or revocation.

903.2.2.4.4 RESNET shall inform a Quality Assurance Designee’s known client(s), QA Providers, Raters, Rating Field Inspectors, program administrators, rating software suppliers and any affected EEPs of a Quality Assurance Designee’s suspended or revoked status. To the extent feasible, the Quality Assurance Designee and QA Provider shall assist RESNET with notifications.

903.2.2.5 RIGHT TO CHALLENGE

A certified Quality Assurance Designee has the right to challenge the findings of a RESNET Quality Assurance review. The Appeals Procedures in Section 912 shall apply to the submission and consideration of a challenge to Quality Assurance findings.

903.2.2.5.1 RESNET shall respond within ten (10) business days to the written notification on whether or not the Quality Assurance Designee will be reinstated to the registry or if other action will be required.