907 Quality Assurance Requirements for Contractor Education and Qualification (CEQ) Providers, Energy Smart Providers, Energy Smart Contractors, and Energy Smart Teams

907.1 RESNET Quality Assurance of CEQ Providers

907.1.1 RESNET shall select a limited number of CEQ Providers and conduct an annual review of their Quality Assurance records.

907.1.2 A CEQ Provider shall have the right to challenge the findings of RESNET’s quality assurance review.

907.1.3 CEQ records that must be reviewed include the following:

907.1.3.1 The CEQ’s Energy Smart Contractor Registry;

907.1.3.2 The CEQ’s Energy Smart Contractor Agreements;

907.1.3.3 Documentation of CEQ Provider’s initial training course and continuing education offerings for Energy Smart Contractors;

907.1.3.4 Documentation of Energy Smart Contractor’s Designated Qualification Representative completing required training and testing;

907.1.3.5 Documentation of the Representative’s continuing education;

907.1.3.6 The CEQ’s Energy Smart Contractor complaint files;

907.1.3.7 Documentation of disciplinary actions.

907.1.4 In the case of an unresolved complaint brought to the RESNET Executive Director, it will be the responsibility of the CEQ to secure the Energy Smart Project files from the Energy Smart Project Manager and present them to RESNET.Failure of the Energy Smart Project Manager to provide adequate records shall result in sanctions up to and including a 60 day suspension of the Energy Smart Contractor designation.

907.1.5 An on-site review by RESNET may be conducted if there are significant inconsistencies or errors in the reviewed CEQ files.

907.1.6 Complaints against a CEQ Provider submitted by the Complaint Resolution Officer (CRO) to RESNET shall be addressed by the Executive Director. The RESNET Executive Director shall:

907.1.6.1 Resolve the complaint in forty-five (45) calendar days.

907.1.6.2 A complaint will be considered resolved once a Complaint Resolution Form has been submitted, signed by the party who filed the complaint and the CEQ Provider.

907.1.6.3 A log of unresolved complaints shall be maintained by the RESNET Executive Director.

907.1.7 CEQ Providers are subject to Probation, Suspension, and Revocation of Accreditation by RESNET in accordance with these Standards.

907.1.7.1 Suspension and Revocation of Accreditation of a CEQ Provider may result from the following:

907.1.7.1.1 Failure to ensure that the Energy Smart Contractor followed the complaint resolution process in the case of a complaint against the Energy Smart Contractor or failure to follow required disciplinary and corrective action with respect to a contractor;

907.1.7.2 RESNET shall comply with the due process and appeals procedures contained in Section 910 of these Standards with respect to disciplinary actions against an accredited CEQ Provider.

907.2 CEQ Provider Quality Assurance of Energy Smart Contractors

907.2.1 The CEQ Provider shall annually verify that the Energy Smart Contractor’s representative is still with the company.

907.2.2 Respond to complaints against Energy Smart Contractors.

907.2.3 Follow written Energy Smart Contractor Disciplinary Procedures described in the CEQ Provider’s written policies and procedure for Energy Smart Contractors.

907.3 CEQ Provider Complaint Resolution Procedures

907.3.1 The CEQ Provider must conduct non-compliance resolution when a complaint is received about the work performance of an Energy Smart Contractor from any of the following: the client, Rater/Auditor, other Energy Smart Contractors, Final Verifier.

907.3.2 Complaints shall be managed and resolved by the CEQ Provider’s CRO following the CEQ Provider’s Complaint Response Process.

907.3.3 Each CEQ Provider shall retain records of complaints received and responses to complaints for a minimum of three (3) years after the date of the complaint.

907.3.4 The Complaint Response Process shall include, at a minimum, the following:

907.3.4.1 Consumer Complaint Form, available for submittal via the RESNET website. The form will be forwarded to the CEQ Provider to the attention of the CRO.

907.3.4.2 It is the responsibility of the CEQ Provider to secure the documentation from the Energy Smart Project Manager or Final Verifier for review by the CRO.

907.3.4.3 The CRO shall evaluate the complaint to determine if the contractor shall be deemed to be in non-compliance. Complaints must:

907.3.4.3.1 Be related to either structural or major deficiencies (over $500) and must impact the energy efficiency of the home.

907.3.4.3.2 Include the work contract(s) and copies of checklists denoting unresolved deficiencies.

907.3.4.3.3 In the event the CRO cannot make a fair evaluation of the complaint based on the information submitted, the consumer shall have the option of hiring an independent Rater/Auditor to visit the site and submit his or her report and findings.

907.3.4.3.4 The Energy Smart Contractor Complaint Resolution Process shall consist of the following:

907.3.4.3.4.1 The CRO will notify the contractor of the complaint and the contractor shall have forty five (45) calendar days to resolve the complaint.

907.3.4.3.4.2 A complaint will be considered resolved once a Complaint Resolution Form has been submitted, signed by both the client and the party against whom the complaint was filed, and the resolution verified by the CRO.

907.3.4.3.4.3 If the complaint is not resolved in the allotted time, it will be considered unresolved.

907.3.4.4 Energy Smart Contractors with three (3) unresolved complaints within a 90 day period or with five (5) or more unresolved complaints at any given time shall have their certification suspended in accordance with the provisions of 907.3.5.

907.3.4.5 A log of unresolved complaints shall be maintained by the CEQ Provider and must be made available to RESNET upon request.

907.3.5 The minimum requirements for suspension of certification procedures are the following:

907.3.5.1 First Offense: First time an Energy Smart Contractor has three (3) unresolved complaints within a 90 day period or has five (5) outstanding unresolved complaints, the CEQ Provider shall suspend the contractor’s certification for a period of not less than 30 days, and:

907.3.5.1.1 Shall inform RESNET that the contractor’s certification has been suspended, and shall request that RESNET remove the contractor from the Directory.

907.3.5.1.2 Shall require the contractor, prior to reinstatement, to complete two (2) hours of Continuing Education specific to conflict resolution or customer relations, or successfully resolve at least one of the 90 day old complaints and all of the complaints older than 90 days. CEQ Providers may provide exceptions for complaints that cannot be resolved.

907.3.5.1.3 Shall inform RESNET when the contractor’s certification has been reinstated, clarify the resolution, or reasons for not being able to resolve the complaint, and shall request that RESNET reinstate the listing on the Directory.

907.3.5.2 Second Offense: Second time an Energy Smart Contractor has three (3) unresolved complaints within a 90 day period or has five (5) outstanding unresolved complaints, the CEQ Provider shall suspend the contractor’s certification for a period of not less than 90 days, and:

907.3.5.2.1 Shall inform RESNET that the contractor’s certification has been suspended, and shall request that RESNET remove the contractor from the directory.

907.3.5.2.2 Shall require the contractor prior to reinstatement to complete three (3) additional hours of Continuing Education and successfully resolve at least one of the 90 day old complaints and all of the complaints older than 90 days. CEQ Providers may provide exceptions for complaints that cannot be resolved.

907.3.5.2.3 Shall inform RESNET when the contractor’s certification has been reinstated, clarify the resolution, or reasons for not being able to resolve the complaint, and shall request that RESNET reinstate the listing on the Directory.

907.3.5.3 Third Offense: Third time an Energy Smart Contractor has three (3) unresolved complaints within a 90 day period, or has five (5) outstanding unresolved complaints, the CEQ Provider shall suspend the contractor’s certification for a period of not less than twelve (12) months, and:

907.3.5.3.1 Shall inform RESNET that the contractor’s certification has been suspended, and shall request that RESNET remove the contractor from the Directory.

907.3.5.3.2 Shall require the contractor, prior to reinstatement, to complete three (3) additional hours of Continuing Education and successfully resolve all of the outstanding complaints. CEQ Providers may provide exceptions for complaints that cannot be resolved.

907.3.5.3.3 Shall inform RESNET when the contractor has met the requirements of 907.3.5.3.2, clarify the resolution, or reasons for not being able to resolve the complaint. RESNET approval shall be required for reinstatement of certification and RESNET shall reinstate the contractor’s listing on the Directory if appropriate.

907.4 Quality Assurance Provider Quality Assurance Review of Rater Final Verification of Energy Smart Projects

907.4.1 Quality assurance of HERS Raters' Final Verifications of an EnergySmart Projects shall be performed by the Provider's Quality Assurance Designee.

907.4.2 Quality Assurance File Review

907.4.2.1 For each Rater/Auditor that performs Final Verification for an Energy Smart Project, the QA Provider’s QA Designee shall annually conduct QA File Review of the Final Verification documentation file(s) the greater of one (1) projects or ten percent (10%) of the Contractor's annual total of projects completed. When determining the number of projects to review for a Contractor, round up to the next whole number when the percentage calculation yields a decimal point, e.g. 101 projects x 10% = 10.1 means that 11 projects shall be reviewed.

907.4.2.1.1 Project documentation file(s) shall include

907.4.2.1.1.1 A copy of the original work scope and signed proposal;

907.4.2.1.1.2 Rater/Auditor and Contractor names and contact information;

907.4.2.1.1.3 Program sponsor name, completed final verification checklist;

907.4.2.1.1.4 Energy simulation software file;

907.4.2.1.1.5 All test out results.

907.4.2.1.2 When the QA Provider’s QA Designee conducts the QA File Review, they shall review at least one (1) project documentation file for each Energy Smart Contractor and Energy Smart Team. The QA Designee shall equitably distribute the QA File Reviews of each individual Energy Smart Contractor’s or Team’s Projects.

907.4.2.2 The QA Designee will confirm that each Energy Smart Contractor for the project has been approved by a RESNET-approved CEQ Provider as demonstrated by listing on the RESNET Energy Smart Contractor Directory.

907.4.2.3 The QA Designee will verify the completion of the Rater Final Verification checklist.

907.4.2.3.1 There must be consistency between the Final Verification Checklist and final test out results, copy of work scope, and signed proposal.

907.4.2.3.2 Must include reported results of non-conformance by Final Verification.

907.4.2.4 The QA Designee will review 10% of the Rater/Auditor Final Verifier energy simulation software file and projected estimated energy savings.

907.4.3 Quality Assurance Field Review (QA Field Review)

907.4.3.1 For each Rater/Auditor that performs Final Verification for an Energy Smart Project the QA Designee shall annually conduct QA Field Reviews of Energy Smart Projects at a rate of 1% of verified projects or one project, whichever is greater. QA Field Review shall include the greater of one (1) project or ten percent (10%) of each Contractor's annual total of projects completed. When determining the number of projects to review for a Rater and Contractor, round up to the next whole number when the percentage calculation yields a decimal point, e.g. 101 projects x 1% = 1.01 means that 2 projects shall be reviewed.

907.4.3.2 The QA Designee shall confirm the results of the Final Verifier’s combustion appliance testing where applicable.

907.4.3.2.1 Where there are vented combustion appliances that use indoor air to vent combustion gases, re-test Worst Case Depressurization in accordance with the QH Standard.

907.4.3.2.2 Where any spaces contain combustion appliances, re-test for Carbon Monoxide in accordance with the QH Standard.

907.4.3.3 The QA Designee shall review the work scope and signed proposal, and shall confirm installed measures are consistent with selected measures and work scope in accordance with the QH Standard.

907.4.3.4 The QA Designee shall confirm the Final Verifier’s Estimate of Project Energy Savings as follows:

907.4.3.4.1 Calculate an independent estimate of projected energy savings for the Energy Smart Project using the same RESNET-approved software used by the Final Verifier.

907.4.3.4.2 Compare the Final Verifier’s final estimated energy savings against the QA Designee’s independent calculation of estimated energy savings.

907.4.3.4.3 The QA Designee’s results must be no more than three percent (3%)(+/-) variation in the HERS Index from the HERS Index result as determined by the QA Designee.

907.4.4 Non-Compliance and Resolution

907.4.4.1 Reporting: Non-compliance of an Energy Smart Project with respect to installed measures or estimate of projected energy savings shall be reported to the CEQ Provider’s Compliant Resolution Officer (CRO).

907.4.4.2 Discipline: Non-compliance of the Final Verifier’s Final Verification of an Energy Smart Project with respect to installed measures or estimate of projected energy savings shall result in additional action in accordance with the QA Provider’s written Disciplinary Procedures.

907.4.4.3 Record-Keeping: Rating Providers shall maintain Quality Assurance records for every Energy Smart Project that has received Documentation or On-Site QA Review for a period of no less than three (3) years and that will include the following:

907.4.4.3.1 Copy of work scope and signed proposal;

907.4.4.3.2 Names and contact information of the Rater/Auditor, ES Contractors, and Final Verifier;

907.4.4.3.3 Program sponsor name;

907.4.4.3.4 Completed final verification checklist;

907.4.4.3.5 All test out results;

907.4.4.3.6 QA Review Results.