## 13.38. Acceptance Test Technician Certification Provider (ATTCP)

### 13.38.1. Provider Qualifications

The requirements to become either a Lighting Controls or Mechanical Nonresidential Acceptance Test Technician Certification Provider (ATTCP) are very similar. Therefore, in this section we will address both the Lighting Controls and Mechanical ATTCP application requirements together, calling out specific differences when warranted. The perspective ATTCP must submit a written application to the Energy Commission that contains the following three major elements:

1. Organizational Structure

a. Requirement: ATTCPs shall provide written explanations of the organization type, by-laws, and ownership structure. ATTCPs shall explain in writing how their certification program meets the qualification requirements of §10-103.1(c) (or §10-103.2(c)). ATTCPs shall explain in their application to the Energy Commission their organizational structure and their procedures for independent oversight, quality assurance, supervision and support of the acceptance test training and certification processes (§10-103.1(c)1 and §10-103.2(c)1).

b. Intent: This requirement is necessary to ensure, at a minimum, that the organizations providing certification services to the building industry have a business structure that is conducive to train, certify and oversee Acceptance Test Technicians (ATTs).

c. Compliance: The Energy Commission has approved several ATTCP applicants and all applications included Articles of Incorporation, Bylaws, Trust Agreements and in one case, the Section 501(c) status (with the corresponding employer identification number) of the organization. Also, a copy of the ethics policy for the ATTCP, while optional, is recommended. This section of the application should also include a description of how the organization is conducive to providing training, certification, oversight and support to the technicians that they will be certifying.

The ATTCP may also describe what qualifications and experience the ATTCP may have to operate and oversee an accreditation program.

2. Certification of Employers

a. Requirement: The ATTCPs shall provide written explanations of their certification and oversight of Acceptance Test Employers (ATEs). This explanation shall document how the ATTCP ensures that the employers are providing quality control and appropriate supervision and support for their Acceptance Test Technicians (§ 10-103.1(c)2 and § 10-103.2(c)2).

b. Intent: ATEs must have an understanding of what tasks the ATT is responsible to complete. Additionally, the ATE must manage and provide support to the ATT in performing their tasks. The ATTCP is required to describe the training and requirements that they will place on the ATE for these endeavors and issue certificates to qualified ATE applicants.

c. Compliance: The Energy Commission recognizes that there are many roads to compliance in regards to ATE training, certification and oversight. Technical training typically consists of 4 to 24 hours of instruction. Quality control, supervision and support requirements implemented by the ATTCP on the ATE can vary considerably. Some elements that the ATTCP might consider implementing, but that are not specifically required by the Energy Commission regulations include the following:

The ATTCP may develop a policy to address where a change in employment results in no ATE manager or supervisor having completed the ATE training.

The ATTCP may adopt an ethics policy for ATEs.

Union contracting requirements: The ATTCP may be restricted to serving unionized technicians only and as a result the ATTCP may require that the ATE be a party in good standing with a union contract. This may entail several significant requirements for the ATE.

Third-party certificate holders: The ATTCP may require that the ATE hold a valid certificate from a third party such as specific types of Testing and Air Balancing (TAB) training.

Multiple office management requirements: The ATTCP may consider how they will implement ATE training and certification requirements where an ATE has multiple offices. The ATTCP may consider requiring that an ATE with multiple offices shall ensure a middle or senior management level employee at each office has completed the ATE certification training.

Restrictive employment practices: the ATTCP may restrict the ATE from employing an ATT that is certified by a different ATTCP. Additionally, the ATTCP may restrict the ATE from holding certificates from multiple ATTCPs.

Licensing, insurance and safe practices requirements: The ATTCP may require the ATE to provide initial and ongoing proof of workers compensation and general liability insurance (typically a minimum dollar amount is specified), local business licenses, Injury and Illness Prevention Program and Code of Safe Practices (typically required to be consistent with the California Code of Regulations, Sections 1509 and 3203).

Equipment Policy: The ATTCP may require the ATE to agree to requirements for ensuring that the ATE and ATT possess and properly maintain diagnostic equipment.

3. Certification of Technicians

a. Requirement: ATTCPs shall include with their application a complete copy of all training and testing procedures, manuals, handbooks and materials. ATTCPs shall explain in writing how their training and certification procedures include, but are not limited to, the following (§10-103.1(c)3 et sec and §10-103.2(c)3 et sec):

i. Training Scope. The scope of the training shall include both hands-on experience and theoretical training to certify competency in the technologies and skills necessary to perform the acceptance tests.

ii. ATT Training.

• Curricula. ATTCP training curricula for ATTs shall include, but not be limited to, the analysis, theory, and practical application as required in regulation. The curricula requirements for the Lighting Controls and Mechanical ATT training are significantly different from each other and can be found in §10-103.1(c)3Bi and §10-103.2(c)3Bi.

• Hands-on training. The ATTCP shall describe in their application the design and technical specifications of the laboratory boards, equipment and other elements that will be used to meet the hands-on requirements of the training and certification.

• Prequalification. Participation in the technician certification program shall be limited to persons who have at least three years of professional experience and expertise (in either lighting controls and electrical systems or mechanical systems) as determined by the ATTCP.

• Instructor to Trainee Ratio. The ATTCP shall document in its application to the Energy Commission why its instructor to trainee ratio is sufficient to ensure the integrity and efficacy of the curriculum and program based on industry standards and other relevant information.

• Tests. The ATTCP shall describe the written and practical tests used to demonstrate each certification applicant’s competence in all specified subjects. The ATTCPs shall retain all results of these tests for five years from the date of the test.

• Recertification. The ATTCP shall recertify all ATTs and ATEs prior to the implementation of each adopted update to the Energy Standards as these updates affect the acceptance test requirements.

iii. ATE Training. Training for ATEs shall consist of at least a single class or webinar consisting of at least four hours of instruction that covers the scope and process of the acceptance tests in the Energy Standards.

iv. Complaint Procedures. The ATTCPs shall describe in their applications to the Energy Commission procedures for accepting and addressing complaints regarding the performance of any ATT or ATE certified by the ATTCP, and explain how building departments and the public will be notified of these proceedings.

v. Certification Revocation Procedures. The ATTCPs shall describe in their applications to the Energy Commission procedures for revoking their certification of ATTs and ATEs based upon poor quality or ineffective work, failure to perform acceptance tests, falsification of documents, failure to comply with the documentation requirements of these regulations or other specified actions that justify decertification.

vi. Quality Assurance and Accountability. The ATTCP shall describe in their application to the Energy Commission how their certification business practices include quality assurance and accountability measures, including but not limited to independent oversight of the certification processes and procedures, visits to building sites where certified technicians are completing acceptance tests, certification process evaluations, building department surveys to determine acceptance testing effectiveness, and expert review of the training curricula developed for Building Energy Efficiency Standards, §130.4. The ATTCP shall review a random sample of no less than 1 percent of each ATT’s completed compliance documents, and shall perform randomly selected on-site audits of no less than 1 percent of each ATT’s completed acceptance tests. Independent oversight may be demonstrated by accreditation under the ISO/IEC 17024 standard.

vii. Certification Identification Number and Verification of ATT Certification Status. Upon certification of an ATT, the ATTCP shall issue a unique certification identification number to the ATT. The ATTCP shall maintain an accurate record of the certification status for all ATTs that the ATTCP has certified. The ATTCP shall provide verification of current ATT certification status upon request to authorized document Registration Provider personnel or enforcement agency personnel to determine the ATT's eligibility to sign Certificate of Acceptance documentation.

b. Intent: These requirements are the most significant of the ATTCP regulations. They encapsulate all the required training, testing, certification and oversight for the ATTs that the ATTCP must provide. These requirements describe the level of experience, education, professionalism and accountability of the ATT that the Energy Commission is seeking and that the ATTCP must enforce.

c. Compliance:

The training must include both classroom and laboratory training. In essence, the technician must be instructed on all acceptance tests and then practice those instructions in a laboratory setting. Furthermore, the ATT must be educated on the general science regarding acceptance testing, as well as the procedure to complete and submit the correct acceptance test documents.

The classroom training must include all of the curricula listed in the regulation, in addition to training on the acceptance tests themselves. Several ATTCPs require extensive classroom training to accomplish this educational requirement. However, one ATTCP requires that each applicant hold a third party certificate of training that the Energy Commission found to be equivalent to the curricula required.

Each ATT applicant must be prequalified with three years of professional experience (in either lighting controls and electrical systems or mechanical systems). Professional experience is defined by the ATTCP, but generally means experience in a professional occupation that provides training and work experience related to the systems subject to lighting control or mechanical acceptance testing. The ATTCP must clarify the process that they will used to determine what experience is considered professional and relevant to either lighting controls or mechanical acceptance testing as well as to what extent the ATTCP will verify that experience. The following are some relevant questions that the ATTCP should consider when establishing an ATT applicant's prequalified experience but are not required by regulation:

o How is the experience documented (for example letters from employers or other written evidence) and how is it related to lighting control or mechanical acceptance testing requirements?

o Should professional experience be demonstrated by requiring applicants to be certified in specifically identified professions, such as:

- California licensed electrical contractors

- California licensed mechanical or HVAC contractors

- California certified general electricians

- California licensed air conditioning repair contractors

- California licensed professional engineers

- Lighting control manufacturer representative

- Certified commissioning professionals

- Other professional occupations that are demonstrated to provide industry accepted training and work experience relevant to the systems subject to lighting control or mechanical acceptance testing.

• ATTCPs must have a sufficient number of instructors to effectively train the amount of participants in both classroom and laboratory work. Typically, the instructor to student ratio for classroom training is much higher than for laboratory training. In the applications that the Energy Commission has approved, classroom instructor to student ratios were between 1:25 and 1:35; for laboratory training, the ratios were between 1:6 and 1:12. Most importantly, each ATTCP application included a discussion of the basis for each ratio.

• All ATT applicants will have to take both a written and practical test to demonstrate the applicant’s competence in all specified subjects to become a certified ATT. The ATTCP is required to retain all results of these tests for five years from the date the test was taken. When developing and implementing both written and practical tests, the ATTCP may consider the following issues:

o Consider validating exams by subject matter experts for content.

o Pilot testing and statistical analysis by qualified psychometricians can identify poor quality questions and bias as well as validating a passing score.

o Checking exam question response option frequency and other measurements of consistency may help validate the exam rigor and justify passing scores and performance standards.

o Annually evaluate exam questions to confirm reliability, rigor and lack of bias.

o Validation for lack of bias consistent with the Uniform Guidelines on Employee Selection Procedures (1978) Federal Register, 43(166), 38290-38315.

o Adopt measures to ensure exam security such as having multiple versions of exams with random question generation and at least twice the number of questions in a validated question bank than are scored on any given test.

• ATTCPs are required to recertify ATTs each time the Energy Standards are updated with new or modified acceptance test requirements. Recertification is required for all ATTs following an update to the Energy Standards and the Energy Commission approval of the ATTCP training and testing materials. The ATTCP will submit their training and testing materials and recertification process to the Energy Commission for approval. Once approved, the ATTCP will implement the recertification process.

• ATTCPs are required to have procedures for accepting and addressing complaints regarding the performance of any certified ATT or ATE and must have a clear explanation on how building departments and the public can complete these procedures.

• ATTCPs have the authority to decertify ATTs and ATEs based upon poor quality or ineffective work, failure to perform acceptance tests, falsification of documents, failure to comply with the documentation requirements of these regulations or other specified actions that justify decertification.

o ATTCPs must include quality assurance, independent oversight and accountability measures, such as, independent oversight of the certification processes and procedures, visits to building sites where certified ATTs are completing acceptance tests, certification process evaluations, enforcement agency surveys to determine acceptance testing effectiveness, and expert review of the training curricula developed for the Standards. Independent oversight may be demonstrated by accreditation under the ISO/IEC 17024 standard. The regulations require that the ATTCP review a random sample of no less than 1 percent of each technician’s completed compliance documents, and perform randomly selected on-site audits of no less than 1 percent of each ATT’s completed acceptance tests. The consequences of failed audits should be fully described by the ATTCP. ATTCPS might consider whether to require a higher percentage of document and on-site audits the first few years of operation in order to ensure that any initial issues with training or compliance are identified and addressed. For example, one ATTCP proposed the following: For the first three years of operation, review a random sample of 6 percent of each technician's completed documents and perform on-site audits of 6 percent of acceptance tests.

o For years 4 and 5 of the ATTCP operation, review a random sample of 4 percent of each technician's completed documents and perform on-site audits of 4 percent of acceptance tests.

o After 5 years of operation, reduce a random sample of 2 percent of each ATT's completed compliance documents and perform on-site audits of 2 percent of acceptance tests.

• Once approved, the ATTCP will issue a unique certification identification number to the ATT and maintain an accurate record of the certification status of the ATT. The regulations require that ATTCPs provide verification of current ATTs' certification status upon request to authorized document Registration Provider personnel or enforcement agency personnel to determine the ATTs' eligibility to sign Certificate of Acceptance documentation according to all applicable regulations. Energy Standards compliance will also be facilitated by requiring the ATT to include their assigned certification number on the compliance documentation, thereby allowing the enforcement agency and the Energy Commission to track the effectiveness of this certification program.

• The ATTCP is not required to implement an on-line presence of any kind for the purposes of compliance with these regulations. However, the applications that the Energy Commission has approved all include the implementation of an on-line presence to contend with the ATT/ATE application processing, complaints process, certification status and ATT/ATE contact information.

### 13.38.2. Requirements for ATTCPs to Provide Regular Reports

A. Requirements: The ATTCP shall provide the following regular reports to the Energy Commission (§10-103.1(d) and §10-013.2(d)):

a. Annual Report: The ATTCP shall provide an annual report to the Energy Commission summarizing the certification services provided over the reporting period, including the total number of Acceptance Test Technicians and Employers certified by the ATTCP:

i. During the reporting period.

ii. To date.

The annual report shall include a summary of all actions taken against any Acceptance Test Technician or Employer as a result of the complaint or quality assurance procedures described by the ATTCP as required under §10-103.1(c)3D and §10-103.1(c)3F and §10-103.2(c)3D and §10-103.2(c)3F.

a. Update Report: The ATTCP shall have not less than six months following the adoption of an update to the Energy Standards to prepare an Update Report. The ATTCP shall submit an Update Report to the Energy Commission not less than six months prior to the effective date of any newly adopted update to the Energy Standards, The ATTCP shall report to the Energy Commission what adjustments have been made to the training curricula, if any, to address changes to the Energy Standards Acceptance Testing requirements, adopted updates to the Energy Standards or to ensure training is reflective of the variety of lighting controls (or mechanical systems) that are currently encountered in the field. All required update reports shall contain a signed certification that the ATTCP has met all requirements under §10-103.1(c) or §10-103.2(c)). Update reports shall be approved through the Amendment Process provided under §10-103.1(f).

All required reports shall contain a signed certification that the ATTCP has met all requirements for this program.

B. Intent: There are two basic reporting requirements for the ATTCP. These reporting requirements are intended to ensure that the Energy Commission has a reasonable level of control on the ATTCP without being unnecessarily involved in the day to day operations of the ATTCP.

Compliance:The regulations require the ATTCP to submit two periodic reports to the Energy Commission. The first is an annual report documenting the training and certification activities during that year. This report can include adjustments that are proposed, however, these proposals must be approved by the Energy Commission staff or possibly at a formal Energy Commission business meeting. The second report is an update report, where the ATTCP identifies what changes they will need to make to their training and certification requirements in response to changes the Energy Commission has made to the Energy Standards.

### 13.38.3. Amendment of ATTCP Approved Applications

A. Requirement: The ATTCP may amend a submitted or approved application as described in this Section (§10-103.1(f) and §10-103.2(f)).

a. Amendment Scope.

i. Nonsubstantive Changes. A nonsubstantive change is a change that does not substantively alter the requirements of the application materials for the ATTCP, ATT, or ATT Employer. For amendments making only nonsubstantive changes, the ATTCP shall submit a letter describing the change to the Energy Commission as an addendum to the application.

ii. Substantive Changes. A substantive change is a change that substantively alters the requirements of the application materials for the ATTCP, ATT, or ATT Employer. For amendments making any substantive changes, the ATTCP shall submit the following:

• A document describing the scope of the change to the application, the reason for the change and the potential impact to the ATTCP, ATT, and ATT Employer as an addendum to the application;

• A replacement copy of the affected sections of the ATTCP application with the changes incorporated; and

• A copy of the affected sections of the ATTCP application showing the changes in underline and strikeout format.

b. Amendment Review. Amendments submitted prior to approval of an ATTCP application shall be included in the application’s Application Review and Determination process specified in §10-103.1(e) or §10-103.2(e).

Amendments submitted after approval of an ATTCP’s application that contain only nonsubstantive changes shall be reviewed by the Executive Director for consistency with §10-103.1 or §10-103.2. Amendments determined to be consistent with this Section shall be incorporated into the approval as errata.

Amendments submitted after approval of an ATTCP’s application that contain any substantive changes shall be subject to the Application Review and Determination process specified in §10-103.1(e) or §10-103.2(e). If the Energy Commission finds that the amended application does not meet the requirements of §10-103.1or §10-103.2, then the ATTCP shall either abide by the terms of their previously approved application or have their approval suspended.

B. Intent: The amendment process is intended to give the ATTCP an opportunity both during their initial application approval process and post-approval to modify their application or operations. The intent is for ATTCPs to operate as openly as possible with the Energy Commission and address issues as they arise.

C. Compliance: the amendment process is divided in to two groups, substantive and nonsubstantive changes, both during an application review and after the approval of an application. The substantive issues will generally result in an approval from the Energy Commission at a regular Business Meeting. While nonsubstantive issues can be resolved by Staff.

### 13.38.4. Nonresidential Mechanical Acceptance Test Training and Certification

The Mechanical ATTCP has one additional consideration that is no longer a requirement for the Lighting Controls ATTCP. The Lighting Controls ATTCP has satisfied the Industry Certification Thresholds, which requires that only Certified ATTs can be the signatory for the lighting controls acceptance testing. The Mechanical ATTCP, as of this writing, has not surpassed this threshold.

A. Requirement: Industry Certification Thresholds

Field Technicians can complete acceptance tests for mechanical found in §120.5 without being a certified Mechanical Acceptance Test Technician until the following ATTCP requirements are met (§10-103.2(b)):

a. A minimum of 300 Mechanical Acceptance Test Technicians have been trained and certified to complete the acceptance tests of §120.5 by ATTCP(s) approved by the Energy Commission.

b. ATTCPs provide reasonable access, determined by the Energy Commission, for the training and certification for the majority of professions qualified to complete the work of mechanical field technicians. These professions include: Professional engineers, HVAC installers, mechanical contractors, TABB certified technicians, controls installation and startup contractors and certified commissioning professionals who have verifiable training, experience and expertise in HVAC systems. The Energy Commission will consider, in its determination of “reasonable access,” factors such as certification costs commensurate with the complexity of the training being provided, prequalification criteria, curriculum and, class availability throughout the state.

B. Intent

The Threshold requirements have several goals:

1. To make sure that there are enough certified technicians to cover the entire acceptance testing workload that exists in all counties of California.

2. To make sure that any qualified person has access to become certified if they so choose.

3. To ensure that the market is not impacted significantly by a scarcity of certified ATTs.

C. Compliance

When appropriate, the Energy Commission will take up the question of the Threshold requirements for the Nonresidential Mechanical ATTCP program.