904 Responsibilities and Requirements for Rating Quality Assurance Providers

904.1 General Responsibilities For Rating Quality Assurance Providers

904.1.1 Maintain knowledge of current RESNET Standards

904.1.2 Submit accurate and current Rating files to the RESNET Registry

904.1.3 Document Rating Quality Assurance Provider Policies and Procedures per Chapter 1 of these standards.

904.1.4 Enforce the Policies and Procedures of the Rating Quality Assurance Provider.

904.1.5 Document disciplinary action policies and procedures for Raters and Rating Field Inspectors (RFIs) within their rating providership. A QA Provider shall work with their QAD to jointly decide on appropriate disciplinary action based on the QA Provider’s policy and procedures manual. Disciplinary action is a documented step in the progressive disciplinary process of a Rating Quality Assurance Provider or RESNET. Disciplinary actions follow the progression of Probation, Suspension, and Revocation as detailed in these standards.

904.1.6 A Rating Quality Assurance Provider shall enforce disciplinary action against Raters or RFIs when non-compliance is found.

904.1.7 To the extent feasible, the Rating Quality Assurance Provider and their Quality Assurance Designee(s) shall assist RESNET with notifications to known clients when any Rating Quality Assurance Providers, QADs, Raters, or RFIs have their accreditation or certification revoked or suspended.

904.2 Rating Quality Assurance Provider QAD Assignment

A Provider shall designate a single RESNET certified officer, employee, or contractor to be the Primary Quality Assurance Designee (QAD) for the Quality Assurance Provider’s organization. The Primary QAD is responsible for quality assurance within the organization. This does not preclude a Provider from having more than one QAD on staff or as a contractor, as may be necessary for business models, such as where QADs perform Ratings.

904.2.1 Changes to a Rating Quality Assurance Provider’s QAD(s)

904.2.1.1 904.2.1.1 If a Rating Quality Assurance Provider changes the Primary QAD, or a Rating Quality Assurance Provider’s Primary QAD leaves the organization, is terminated as an outside contractor, or is no longer eligible, the following steps shall be taken:

904.2.1.1.1 Within five (5) business days of the Primary QAD change, departure, termination, or knowledge of ineligibility, the QA Provider shall inform RESNET of the change, departure, termination, or ineligibility;

904.2.1.1.2 In the case of a change in Primary QAD as a result of departure, termination, or ineligibility, the QA Provider shall have twenty (20) business days from the date of departure, termination, or knowledge of ineligibility to appoint a replacement Primary QAD and notify RESNET of the newly designated officer, employee, or contractor, including proof of qualifications.

904.2.1.1.3 If a Rating Quality Assurance Provider with multiple QADs adds or removes a QAD, the Rating Quality Assurance Provider shall inform RESNET within five (5) business days of the change.

904.2.1.1.4 If a Rating Quality Assurance Provider becomes aware of any significant non-compliance of the requirements set in these standards by a Quality Assurance Designee, the Provider shall inform RESNET in writing of the specific instance within five (5) business days with as much detail as possible.

904.2.1.2 No step in the QA process may be performed by the same individual that performed any part of the testing, inspection or rating of the home being subject to the QA review. Any ratings performed by a QAD which are submitted as part of a Rating Quality Assurance Provider’s QA Submission to RESNET shall be reviewed for quality assurance by a separate individual who meets the QAD requirements established by RESNET.

904.3 Quality Assurance of HERS Raters and Ratings

904.3.1 Ratings included in QA File and QA Field reviews.

904.3.1.1 For QA File and QA Field reviews, the HERS Rater's "annual total of ratings" shall mean all ratings entered into the National RESNET Registry (based on "date registered") for a calendar year, i.e. the twelve month period from January 1st through December 31st.

904.3.1.2 Ratings selected for QA File and QA Field review may be registered in the previous quarter but the annual total required is always based on the total number of ratings registered in a calendar year.

904.3.2 HERS Rater Quality Assurance File review (QA File review)

904.3.2.1 QA File review of RESNET Flagged Files. Quality Assurance Designees shall review ratings with apparent errors flagged by the RESNET QA File review for further Quality Assurance review, investigating the specific issues of concern and working with the HERS Rater and Rating Quality Assurance Provider to correct any errors.

904.3.2.2 For each HERS Rater, the Provider's Quality Assurance Designee shall be responsible for an annual QA File review of the greater of one (1) rating or ten percent (10%) of the HERS Rater's annual total of Confirmed, Threshold or Sampled Ratings. When determining the number of ratings to review for a HERS Rater, round up to the next whole number when the percentage calculation yields a decimal point, e.g. 101 ratings x 10% = 10.1 means that 11 ratings shall be reviewed.

904.3.2.3 Parties included in QA File review. The QA File review shall assess the rating as a whole. The Rater of Record is the responsible party for communicating with the Quality Assurance Designee, acknowledging the review, and ensuring any necessary corrections are made. Feedback shall be shared with all HERS Raters/RFIs/HERS Modelers participating in the rating.

904.3.2.4 HERS Modelers. For HERS Raters utilizing HERS Modelers, the Quality Assurance Designee shall ensure that a QA File review is completed on a minimum of one (1) rating on a completed home per year. The HERS Modeler QA File reviews may fulfill all of the HERS Rater's annual QA File review requirement.

904.3.2.5 QA File reviews shall be conducted on an ongoing basis as appropriate for the volume of ratings being completed and submitted to the National RESNET Registry, and at a minimum quarterly.

904.3.2.6 The QA File review completed by a Quality Assurance Designee shall consist of, at a minimum, the following:

904.3.2.6.1 Ratings shall be selected using a nonbiased selection process from the entire pool of ratings available at the time of the review for each HERS Rater. It may be necessary to first select ratings that represent any particular area of concern in either the rating or construction process. Once it is ensured that ratings from these areas of interest will be included in the quality assurance process, a nonbiased selection process can then be applied such as random selection. If ratings exist in the pool of available ratings which represent a RESNET supported credential beyond HERS Rater certification, such as ENERGY STAR or ANSI/RESNET/ACCA Standard 310 Inspections, a minimum of one rating representative of each supported certification shall also be included. (see below informative note 1) Special effort should be taken to make certain that the selected ratings are as representative as possible of the ratings being completed, i.e. new and existing homes, geographic location, builder, trade contractor, variety of floor plans, etc., which, in some instances, may require more than the minimum (1) rating or ten percent (10%).

*Informative Note 1- The pool is based per rater. If the rater does not require QA for the current quarter, then no additional QA is required. *

904.3.2.6.2 While Section 102.1.4.11 and 303.3.7 require that HERS Raters submit energy simulation files for every rated home to their Providers, the QA file review does not require that Raters submit quality assurance data files, as defined in Appendix B, to their Provider and/or Quality Assurance Designee for every home that is rated. Only quality assurance data files for the ratings selected for quality assurance shall be required to be submitted for review by the Provider's Quality Assurance Designee.

904.3.2.6.3 For each Confirmed Rating, confirm that the values entered into the HERS Rating Software for all Minimum Rated Features are supported by actual on-site field-verified test data;

904.3.2.6.3.1 At minimum, the Rating Provider shall collect, review, and maintain (for a period of 3 years) the following supporting documentation for each file QA:

Date and time of the inspection/test

The name of the Certified Rater or RFI conducting the inspection/test

Plans (or alternative documentation showing building dimensions)

RESNET Home Energy Rating Standard Disclosure

Photos of the following building features where applicable to the rated Dwelling Unit. Where photos lack sufficient detail (See below informative note 2), the Quality Assurance Designee shall require additional supporting documentation.

a. Building assemblies as required by ANSI/RESNET 301 Appendix B Inspection Procedures for Minimum Rated Features.

b. All heating, cooling, and service hot water equipment including nameplate/model number

c. Dwelling Unit Mechanical Ventilation System including nameplate/model number and controls

d. Infiltration test result or automated test report

e. Duct leakage test result(s) for each system

f. Dwelling Unit Mechanical Ventilation System test result(s) for each system

g. The building's front, back, right, left elevations

h. Appliances (refrigerator, dishwasher, washer, dryer) including nameplate/model number

For File QA on a rating that includes an additional RESNET supported credential, collect, review, and maintain supporting documentation required by the RESNET-supported credential. This may include, but is not limited to the following:
EEP or Program Verification Forms/Checklists
Photographs of test results or automated test reports for program required verification tests.

Informative Note 2- For example, where equipment is located in narrow utility closets that prohibit clear photo of nameplate/model number, or when the building feature required is not present at the time of inspection.

904.3.2.6.4 Confirm that paper and/or electronic files are being maintained and archived by HERS Raters for each rating and/or unique floor plan, including the HERS Rating Software Energy Simulation File and all supporting documentation required to validate the inputs into the rating software file (e.g., architectural drawings, threshold specifications, field data). These files shall be maintained a minimum of three (3) years;

904.3.2.7 QA File review for Sampled Ratings. For Sampled Ratings, annually review sample sets, the sampling process, and the worst-case projected rating energy simulation files for ratings rated through sampling.

904.3.2.7.1 The QA File review for sampled ratings shall include a review of the greater of one (1) file or ten percent (10%) of the projected worst-case energy simulation files for each new sampled community in order to confirm that minimum rated features and worst-case specifications have been entered into the rating software accurately. Energy simulation files for an existing sampled community shall receive a QA File review, at a rate of one (1) file or ten percent (10%) of the worst-case energy simulation files.

904.3.2.7.2 The QA File review for sampled ratings shall include an analysis and confirmation that the sampling process, as defined in Chapter 6, is being properly followed, including sample set creation and the application of testing and failure protocols.

904.3.2.7.2.1 QA File review of the sampling process shall be completed on the greater of one (1) sample set or one percent (1%) of the HERS Rater's annual total of sample sets. When determining the number of sample sets to review for a HERS Rater, round up to the next whole number when the percentage calculation yields a decimal point, e.g. 101 sample sets x 1% = 1.01 means that 2 sample sets shall be reviewed.

904.3.2.7.2.2 For each sample set QA File review, the quality assurance data file(s) shall be reviewed to confirm that data collected in the field (i.e. sample controls) are equal to or better than the minimum rated feature threshold specification inputs for the worst-case energy simulation file for the home(s) that received sample controls for the sample set.

904.3.2.7.2.3 If a discrepancy in minimum rated features is identified that requires more stringent threshold specifications for a floor plan, then the worst case projected rating energy simulation file for that plan and home, or for the entire set of homes (as appropriate), subject to sampling shall be reviewed.

904.3.3 HERS Rater Quality Assurance Field review (QA Field review).

904.3.3.1 Determining the number of ratings to receive QA Field reviews.

904.3.3.1.1 HERS Raters. For each HERS Rater, the Provider's Quality Assurance Designee shall be responsible for an annual onsite QA Field review of the greater of one (1) rating on a completed home or one percent (1%) of the HERS Rater's annual total of ratings for which Confirmed, Threshold or Sampled ratings were provided. When determining the number of QA Field reviews to complete for a HERS Rater, round up to the next whole number when the percentage calculation yields a decimal point, e.g. 101 ratings x 1% = 1.01 means that 2 QA Field reviews shall be completed.

904.3.3.1.2 Rating Field Inspectors. For HERS Raters utilizing RFI's, the Quality Assurance Designee shall ensure that a QA Field review is completed on the greater of one (1) rating on a completed home or one percent (1%) of each RFI's annual total of Confirmed, Threshold or Sampled ratings the RFI assisted with. When determining the number of QA Field reviews to complete for an RFI, round up to the next whole number when the percentage calculation yields a decimal point, e.g. 101 ratings x 1% = 1.01 means that 2 QA Field reviews shall be completed. The RFI QA Field reviews may fulfill all of the HERS Rater's annual QA Field review requirement, but only if the HERS Rater does not do field inspections on completed homes. When a HERS Rater also does field inspections on completed homes, they must have field QA at the same calculated rate of 1% using the above methodologies.

904.3.3.1.3 Pre-drywall QA Field reviews. QA Field reviews on new homes, the Quality Assurance Designee may perform one or more pre-drywall QA Field reviews on each HERS Rater or RFI. Pre-drywall QA Field reviews can be used to meet all or part of the annual 1% QA Field review requirement for a HERS Rater or RFI with the following limitation: Pre-Drywall Field QA Reviews may NOT be used to satisfy the full field QA requirement for a given rater or RFI in consecutive years.

904.3.3.1.4 HERS Raters and RFIs are exempt from receiving a QA field review for pre-drywall or final inspections and/or testing if they have not performed inspections and/or testing of any minimum rated features for pre-drywall or completed homes within the calendar year. For example, if a HERS Rater of RFI have not completed any pre-drywall inspections within the calendar year, they are exempt from QA Field reviews for pre-drywall inspections.

904.3.3.1.5 "Remote" QA Field reviews. All HERS Raters must annually receive a minimum of one (1) on-site, in-person QA Field review on total annual Confirmed, Threshold or Sampled ratings completed. All RFIs must annually receive a minimum of one (1) on-site, in person QA field review on the total annual pre-drywall or final field inspections completed. All other QA Field reviews, for completed and pre-drywall homes, may be performed using a "remote" QA Field review methodology specified by RESNET.

904.3.3.1.6 Sampled Ratings. For the purposes of calculating the one (1) rating/home or one percent (1%) QA Field review requirement for HERS Rater and RFI sampled ratings, all the homes rated by a HERS Rater, or for which an RFI assisted, using sampling shall be considered and not just the number of homes tested and inspected. If at least two (2) homes are required for QA Field review, a maximum of one (1) of the homes shall be a non-tested, sampled home. To ensure that Quality Assurance is being completed on HERS Raters and RFI's rather than builders, the balance of homes included in the QA Field reviews shall have received field testing and/or inspections.

904.3.3.1.7 Quality Assurance Designees shall complete a minimum of 1% quarterly QA Field reviews of Rating Quality Assurance Provider's ratings, based on the total number of ratings registered by the Provider in the previous quarter, until all annual QA requirements for the Provider have been met for each Rater. QA field reviews are not required on every Rater every quarter.

904.3.3.2 Requirements for QA Field reviews.

904.3.3.2.1 HERS Raters. The QA Field review shall confirm the accuracy of all stages of the rating process (e.g. data collection, reporting, and energy simulation file creation and/or updating) for the rating receiving a QA Field review.

904.3.3.2.1.1 Collect dimensional measurements in the field for the home to evaluate the accuracy of those determined by the HERS Rater in the field or from plans, including conformance to the requirements set forth in ANSI/RESNET/ICC Standard 301.

904.3.3.2.1.2 Complete in the field all necessary performance testing and all necessary inspections of minimum rated features for the home to evaluate the accuracy of those determined by the HERS Rater, including conformance to the requirements set forth in ANSI/RESNET/ICC Standards 301 and 380 of these Standards. As applicable (see below informative note 3), complete all necessary performance testing and inspections as required by RESNET supported credentials beyond HERS Rater certification, such as ENERGY STAR or ANSI/RESNET/ACCA Standard 310 Inspections.

For Field QA on a rating that includes an additional RESNET supported credential, collect, review, and maintain supporting documentation required by the RESNET-supported credential. This may include, but is not limited to the following:
EEP or Program Verification Forms/Checklists
Photographs of test results or automated test reports for program required verification tests.

904.3.3.2.1.3 Evaluate inputs entered by the HERS Rater into the energy simulation file for the rated home to determine conformance with data from 904.3.3.2.1.1 and 904.3.3.2.1.2 as well as ANSI/RESNET/ICC Standard 301.

904.3.3.2.2 Rating Field Inspectors. The QA Field review shall confirm the accuracy of data collection and reporting by the RFI for the rating receiving a QA Field review.

904.3.3.2.2.1 As necessary, collect dimensional measurements in the field for the home to evaluate the accuracy of those that may have been determined by the RFI, including conformance to the requirements set forth in ANSI/RESNET/ICC Standard 301.

904.3.3.2.2.2 Complete in the field all necessary performance testing and all necessary inspections of minimum rated features for the home to evaluate the accuracy of those that may have been determined by the RFI, including conformance to the requirements set forth in ANSI/RESNET/ICC Standards 301 and 380 of these Standards. As applicable (see below informative note 3), complete all necessary performance testing and inspections as required by RESNET supported credentials beyond HERS Rater certification, such as ENERGY STAR or ANSI/RESNET/ACCA Standard 310 Inspections.

Informative Note 3- The features to be reviewed/performed during the QA visit are only required to be those that were originally performed as part of the rating.

904.3.3.2.3 Pre-drywall. For homes receiving a QA Field review prior to the installation of drywall, the QA shall complete in the field all necessary performance testing and all necessary inspections of minimum rated features for the home to evaluate the accuracy of those determined by the HERS Rater or RFI, including conformance to the requirements set forth in ANSI/RESNET/ICC Standard 301.

904.3.3.2.4 Each rating selected for a QA Field review for each HERS Rater and RFI shall be randomly selected to ensure that a representative sample of all home types, locations and builders is achieved. If ratings exist in the pool of available ratings which represent RESNET supported credentials beyond HERS Rater certification, such as ENERGY STAR or ANSI/RESNET/ACCA Standard 310 Inspections, a minimum of one rating representative of each supported credential shall also be included.

904.3.3.2.5 Remote QA Field reviews. QA Field reviews not completed on-site, in-person by a Quality Assurance Designee, may be completed remotely using video technology and processes, protocols, and procedures approved by RESNET.

904.3.4 Quality Assurance for Multifamily Projects

904.3.4.1 In addition to the Quality Assurance requirements specified in this Chapter, quality assurance for multifamily projects shall include, at a minimum, the following:

904.3.4.1.1 All dwelling units that are certified or qualified by the use of sampling shall be considered to be "Ratings". QA File and QA Field reviews shall be conducted on a percentage of all the dwelling units certified or qualified under sampling, rather than the percentage of tested and inspected dwelling units.

904.3.4.1.2 If units within a multifamily building have multiple space conditioning configurations such that some units have ducts and other units do not, the Quality Assurance Designee shall choose a unit with ducts for QA Field review. Additionally, if the building has some units with ducts that are within conditioned space while others have ducts that are outside of the building envelope, the Quality Assurance Designee shall choose a unit with ducts outside of the envelope for QA Field review.

904.3.4.1.3 For multifamily projects, when selected, QA Field reviews shall include a comprehensive inspection of all minimum rated features that are possible to be inspected within the selected units and within the building during the time of the QA Field review. This means that the Quality Assurance Designee shall inspect attic insulation via a common attic access where present, mechanical rooms that house common mechanical systems that serve multiple units, common ventilation systems, common laundry etc.

904.3.4.2 If the annual rating volume of a HERS Rater is such that more than one QA Field review is required for that annual period's QA Field review quota (i.e. the HERS Rater completed more than 100 ratings during the annual period), no more than one QA Field review within a particular multifamily development shall count toward meeting the total QA Field review quota.

904.3.4.2.1 Exception. If a Rater/RFI did not perform ratings on any other single or multifamily buildings for the calendar year and the multifamily building is 100 units or less, then pre-drywall and final QA Field reviews may be performed on the multifamily building that was rated.

904.3.4.2.2 Exception. If a particular multifamily development contained more than 100 units. In such an instance, one QA Field review per every 100 units of that development shall count towards the annual QA Field review quota.

904.3.4.2.3 Exception. If the HERS Rater had one or more RFI's who worked with them throughout the annual period, the Quality Assurance Designee may select multiple units within a particular multifamily development to count towards the annual QA Field review quota for each RFI as long as those additional QA Field reviews represent work performed by each individual RFI during the annual period.

904.3.5 QA Provider Disciplinary Action for Raters and RFIs

In the case of non-compliance of a reviewed rating or misconduct of a HERS Rater/RFI/HERS Modeler, Rating Quality Assurance Providers are obligated to enforce disciplinary action if corrective action outlined by the Quality Assurance Designee is not effective.

904.3.5.1 The Provider shall work jointly with QAD to initiate appropriate disciplinary action on the HERS Rater/RFI/HERS Modeler in accordance with the Provider’s written HERS Rater/RFI/HERS Modeler disciplinary procedures.

904.3.5.2 If a Rater, HERS Modeler or RFI refuses disciplinary action, Rating Quality Assurance Providers are required to report any non-compliance to RESNET Registry.

904.4 Rating Quality Assurance Provider’s Responsibility For Maintaining Accuracy Of Records And Registry Information

904.4.1 Rating Quality Assurance providers are responsible for maintaining the accuracy of the following information within the RESNET registry.

904.4.1.1 Identification of Primary QAD for the Rating Quality Assurance Provider;

904.4.1.2 Registries of RESNET Raters, HERS Modelers and RFIs affiliated with the Rating Quality Assurance Provider;

904.4.1.3 Ensuring any status change and/or disciplinary action of a Rater, HERS Modeler or RFI is accurate and current in the RESNET Registry, including, but not limited to:

904.4.1.3.1 When a Rater, HERS Modeler or RFI establishes a new relationship with the Providership;

904.4.1.3.2 Changing the Rater, HERS Modeler or RFI to “active” when the Rater or RFI completes their probationary activities;

904.4.1.3.3 Changing the Rater, HERS Modeler or RFI to “inactive” when the Rater or RFI is no longer conducting ratings;

904.4.1.3.4 If a Rater, HERS Modeler or RFI is in any step of the disciplinary action process or has satisfied the requirements to be removed from the disciplinary action process;

904.4.1.3.5 If a Quality Assurance Designee reports that a Rater, HERS Modeler or RFI refused corrective action, the Provider shall place the Rater or RFI under disciplinary probation and update the Rater, HERS Modeler or RFI’s profile in the RESNET Registry to reflect the status change;

904.4.1.3.6 If a Rater, HERS Modeler or RFI’s relationship with the Providership has been terminated.

904.4.1.4 QA Providers shall update the registry within five (5) business days of a change in fact for any status changes and/or disciplinary action.

904.4.2 Rating Quality Assurance providers are responsible for maintaining the accuracy of the following information, either in their own records or, optionally, within the RESNET registry, including, but not limited to:

904.4.2.1 Original Rater, HERS Modeler or RFI training certification documentation;

904.4.2.2 Professional development and recertification records;

904.4.2.3 Equipment calibration records. For equipment, reference ANSI/RESNET/ICC 310, ANSI/RESNET/ICC 380 and ANSI/ACCA 12 QH, Appendix A, Sections A3 and A4.

904.4.2.4 Maintenance of QA Records for all ratings, including those for RESNET recognized Energy Efficiency Programs (EEPs), shall include:

904.4.2.4.1 Documentation as required by RESNET and as required by recognized EEPs

904.4.2.4.2 The Quality Assurance Data File for each home that receives QA review at a minimum containing the information required by these standards

904.4.2.4.3 A database of results of all QA reviews for each Rater, HERS Modeler or RFI, including, at a minimum, for each home reviewed:

904.4.2.4.3.1 Rater or RFI’s first and last name and RTIN or RFIIN;

904.4.2.4.3.2 Home address and/or Registry ID;

904.4.2.4.3.3 Date rated;

904.4.2.4.3.4 Date QA reviewed;

904.4.2.4.3.5 Name and RTIN of QA Designee who performed the review

904.4.2.4.3.6 The result of the completion of the QA checklist and any action taken by the QA Designee.

904.4.2.4.4 The QA Record for each home shall be maintained for a minimum of seven (7) years.

904.4.2.4.5 Upon RESNET’s request, a Rating Quality Assurance Provider shall submit to RESNET the QA Records for the specified time period, and the number of homes for which ratings, including those for RESNET recognized EEPs, were provided. The ratings, including those for RESNET recognized EEPs, shall be identified by type (to include projected and Confirmed ratings for new and existing homes and the number of homes verified for RESNET recognized EEPs).

904.5 Annual Rating Quality Assurance Provider Report Submission

904.5.1 Rating Quality Assurance Providers are responsible for completing an annual submission of their Quality Assurance results and professional records to RESNET. RESNET shall designate the date submissions are due, the content of each submission. The time frame for which data shall be provided is January 1st through December 31st. Rating Quality Assurance Providers will have at least thirty (30) days from notification from RESNET of the annual submission due date until the submission is due.

904.5.2 Records that will be submitted and/or recorded to the RESNET Registry for RESNET Staff to review shall include, but are not limited to:

904.5.2.1 RESNET Quality Assurance Report Checklist;

904.5.2.2 Current state of registry information maintained by Provider and verified by the Primary QAD;

904.5.2.3 Professional development and recertification records;

904.5.2.4 Equipment calibration records. For equipment, reference ANSI/RESNET/ICC 310, ANSI/RESNET/ICC 380, and ANSI/ACCA 12 QH, Appendix A, Sections A3 and A4.

904.5.3 Rating Quality Assurance Provider must allow the Primary QAD to have access to all the necessary resources to attest to the accuracy of the submission. This includes access to the Rating Quality Assurance Provider’s RESNET registry account.

904.5.4 It is the responsibility of the Rating Quality Assurance Provider that the annual report submitted to RESNET includes the Primary QAD’s attestation of accuracy as to the field and file Quality assurance reports and the records of QA findings, corrective action and discipline.

904.5.5 With the annual QA submissions to RESNET, Rating Quality Assurance Providers must provide a listing of the QA Designees performing QA tasks on behalf of the Provider, and a listing of the QADs who have undertaken QA reviews.

904.6 Failure Of Rating Quality Assurance Providers To Fulfill Responsibilities

It is the expectation of RESNET that QA Providers fully comply with all the requirements set forth in these Standards. Discovery of one or more areas of non-compliance via the RESNET Quality Assurance process, reporting by a Quality Assurance Designee as part of the QA Provider’s Quality Assurance process, or in the course of RESNET’s research of an ethics or consumer complaint will result in the Quality Assurance Designee working with a QA Provider to come back into compliance. However, on occasion, there may be instances where actions by a QA Provider are truly egregious and, as such, would be deemed to be “significant non-
compliance”. This Section seeks to define the thresholds when actions by a QA Provider are deemed to be significant non-compliance, which in addition to the violations meriting suspension or revocation listen in Section 903.1.3.4 would require that the Quality Assurance Designee report the significant non-compliance or violation to RESNET and additional action by RESNET may be taken pursuant to Section 903.1.3.

904.6.1 Significant non-compliance by Rating Quality Assurance Providers shall include, but not be limited to, the following:

904.6.1.1 Failure by a QA Provider to comply with multiple individual requirements, or requirements impacting multiple HERS Raters, RFIs, and/or ratings as set forth in the RESNET Standards and enumerated in a RESNET Quality Assurance Checklist;

904.6.1.2 Failure of by a QA Provider to comply with the RESNET Standards of Practice, Code of Ethics, or Conflict of Interest Disclosure;

904.6.1.3 Failure by a QA Provider to follow a QA Provider’s own written Rater, HERS Modeler or RFI disciplinary procedures for known or obvious non-compliance with the RESNET Standards, Standards of Practice, Code of Ethics, or Conflict of Interest Disclosure.

904.6.1.4 Failure by a Provider to report significant non-compliance to RESNET.

904.6.2 Quality Assurance Designees must report all suspected non-compliance by a QA Provider to RESNET so that RESNET may assist the Quality Assurance Designee in working with a Provider to come back into compliance. RESNET will hold a reporting Quality Assurance Designee's identity as confidential information and shall only disclose this confidential informtion to the extent required by a court of competent jurisdiction or other governmental authority, or otherwise required by law.

904.6.3 The Rating Quality Assurance Provider may appeal an action taken by RESNET under this Section using the appeals procedures stipulated in these Standards.

904.7 Probation/Suspension/Revocation Due Process Of A Rating Quality Assurance Provider

904.7.1 Rating Quality Assurance Providers have the right to appeal a probation, suspension or revocation action in accordance with Section 912 of this chapter.

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

904.7.3 For any Rating Quality Assurance Providers who have their accreditation revoked or suspended in accordance with this chapter, RESNET shall inform the Rating Quality Assurance Provider’s known clients, QADs, Raters, RFIs, program administrators, rating software suppliers and any affected EEPs.