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§ 10092.4. Contractor and Project Developer Participation.

4 CA ADC § 10092.4Barclays Official California Code of RegulationsEffective: May 13, 2024

Barclays California Code of Regulations
Title 4. Business Regulations
Division 13. California Alternative Energy and Advanced Transportation Financing Authority
Article 6. Commercial Energy Efficiency Financing Program
Effective: May 13, 2024
4 CCR § 10092.4
§ 10092.4. Contractor and Project Developer Participation.
(a) Description of Contractor and Project Developer Program Roles
(1) “Participating Contractor” is a contractor or contractor company who installs the EEMs and/or Non-EEMs on a Project. For the purpose of the regulations within this Article, a contractor has the same definition as defined in Section 7026 of the Business and Professions Code. The Participating Contractor provides data pursuant to Section 10092.8(b)(2) and certifications for Projects pursuant to Section 10092.8(b)(3)(A).
(2) “Participating Project Developer” is an individual or entity who develops one or more Scope(s) of Work for the Eligible Commercial Financing Customer and facilitates data exchange between the Authority, the Eligible Commercial Financing Customer, the Finance Provider Entity, and/or the Participating Contractor. The Participating Project Developer does not perform installations on a Project. The Participating Project Developer provides data pursuant to Section 10092.8(b), and certifications for Projects pursuant to Section 10092.8(b)(3)(B). A Participating Project Developer with the requisite CSLB license(s) may also apply to be a Participating Contractor in the Program.
(3) One or more Participating Contractors are required to complete a Project, except for Projects that are completely self-installed. A Participating Project Developer is required to certify a Project if the Project includes a Self-Installer and the Project is not financed with a Microloan. Only one Participating Project Developer may be active on a Project.
(b) Eligibility Requirements for Program Participation
(1) Eligible Contractor Requirements. To participate in the Program as a Participating Contractor, an Eligible Contractor must:
(A) Provide installation service of at least one measure on the EEM List;
(B) Complete a training made available by the Authority;
(C) Submit an application to the Authority pursuant to Section 10092.4(c)(1);
(D) Have no outstanding judgments or liens;
(E) Have no disciplinary action taken by the CSLB against its license within the past 24 months;
(F) Hold a CSLB license(s) relevant to the work performed under the Program; and
(G) Be covered by general liability insurance of at least $1 million per occurrence.
(2) Project Developer Eligibility Requirements. To be eligible to participate in the Program as a Participating Project Developer, an Eligible Project Developer must:
(A) Complete a training made available by the Authority;
(B) Submit an application to the Authority pursuant to Section 10092.4(c)(2);
(C) Have no outstanding judgments or liens;
(D) Be covered by general liability insurance of at least $1 million per occurrence; and
(E) Demonstrate to the Authority that it has completed at least 10 projects in a project developer role. Any organization with a verifiable contract as an IOU, REN, or CCA demand-side energy management implementer at the time of their application to the Program is exempt from this requirement.
(c) Application to Participate in the Program
(1) To participate in the Program, the Eligible Contractor must submit an application in a format approved by the Authority that:
(A) Includes the data points specified in Section 10092.4(c)(3);
(B) Includes the acknowledgements specified in Section 10092.4(c)(5) and certifications specified in Section 10092.4(c)(7);
(C) Includes proof of current insurance coverage as described in Section 10092.4(b)(1)(H); and
(D) Is signed by an individual authorized to legally bind the Eligible Contractor.
(2) To participate in the Program, the Eligible Project Developer must submit an application in a format approved by the Authority that:
(A) Includes the data points specified in Section 10092.4(c)(4);
(B) Includes the acknowledgements specified in Section 10092.4(c)(6) and certifications specified in Section 10092.4(c)(7) and (8);
(C) Includes proof of current insurance coverage as described in Section 10092.4(b)(2)(D);
(D) Demonstrates that it has completed at least 10 projects in a project developer role or, if the Eligible Project Developer is implementing an IOU, REN, or CCA program as described in Section 10092.4(b)(2)(E), the Eligible Project Developer must provide the name of the IOU, REN, or CCA, the name of the demand-side energy management program, and the term of its implementer contract; and
(E) Is signed by an individual authorized to legally bind the Eligible Project Developer.
(3) Data points supplied by the Eligible Contractor
(A) The Eligible Contractor's business name, address, and, if applicable, website URL;
(B) Name, title, business address, business phone number, and e-mail address of the Eligible Contractor's Program contact person;
(C) Name, phone number, and e-mail address the Eligible Contractor will make publicly available for sales and marketing purposes;
(D) CSLB license number(s) and type(s) held relevant to the work performed under the Program;
(E) The name(s) and e-mail address(es) of individual(s) who are authorized to provide data to the Authority;
(F) The name(s) and e-mail address(es) of individual(s) who are authorized to certify and submit data to the Authority;
(G) A description of the types of services offered by the Eligible Contractor as part of the Program;
(H) Any languages, in addition to English, in which the Eligible Contractor can communicate with customers;
(I) The geographic area(s) serviced by the Eligible Contractor;
(J) List of any IOU, REN, or CCA trade professional programs in which the Eligible Contractor is currently participating; and
(K) The date the Eligible Contractor completed the mandatory training.
(4) Data points supplied by the Eligible Project Developer
(A) The project developer organization's name, address, and, if applicable, website URL;
(B) Name, title, business address, business phone number, and e-mail address of the project developer's Program contact person;
(C) Name, phone number, and e-mail address the Eligible Project Developer will make publicly available for sales and marketing purposes;
(D) The name(s) and e-mail address(es) of individual(s) who are authorized to provide data to the Authority;
(E) The name(s) and e-mail address(es) of individual(s) who are authorized to certify and submit data to the Authority;
(F) A description of the types of services offered by the Eligible Project Developer as part of the Program;
(G) Any languages, in addition to English, in which the Eligible Project Developer can communicate with customers;
(H) The geographic area(s) serviced by the Eligible Project Developer;
(I) List of any IOU, REN, or CCA demand-side energy management programs in which the Eligible Project Developer is currently participating; and
(J) The date the Eligible Project Developer completed the mandatory training.
(5) Acknowledgements of the Eligible Contractor. The application must include the Eligible Contractor's acknowledgement, signed by an individual authorized to legally bind the Eligible Contractor, that:
(A) Its representatives and agents are not employees of the Authority or any of the participating IOUs, and must not represent themselves as such;
(B) The Authority and the State of California will have no liability to the Eligible Contractor under the Program; and
(C) The IOUs are not responsible for, and will have no liability for:
(i) The energy improvements funded through the Enrolled Financing Agreements supported through the Loss Reserve Accounts;
(ii) The assessment of potential benefits and costs associated with those improvements;
(iii) The selection of Eligible Contractors;
(iv) The Eligible Contractor's marketing policies and practices; and
(v) The Authority's educational and outreach activities.
(6) Acknowledgements of the Eligible Project Developer. The application must include the Eligible Project Developer's acknowledgement, signed by an individual authorized to legally bind the Eligible Project Developer, that:
(A) Its representatives and agents are not employees of the Authority or any of the participating IOUs, and must not represent themselves as such;
(B) The Authority and the State of California will have no liability to the Eligible Project Developer under the Program; and
(C) The IOUs are not responsible for, and will have no liability for:
(i) The energy improvements funded through the Enrolled Financing Agreements supported by the Loss Reserve Accounts;
(ii) The assessment of potential benefits and costs associated with those improvements;
(iii) The selection of Eligible Project Developers;
(iv) The Eligible Project Developer's marketing policies and practices; and
(v) The Authority's educational and outreach activities.
(7) Certifications of the Eligible Contractor and Eligible Project Developer. The application must include the Eligible Contractor or Eligible Project Developer's representation, warranty, and covenant, signed by an individual authorized to legally bind the applicant, that as a Participating Contractor or Participating Project Developer the entity:
(A) Is responsible for identifying and making all disclosures required under applicable finance laws;
(B) Must comply with all applicable laws and tariffs, possess and maintain all required state licenses, and remain in good standing with all governmental authorities having jurisdiction over its business;
(C) Must follow Program rules as set forth in the regulations within this Article including, but not limited to, the Project requirements set forth in Section 10092.7;
(D) Must hold and maintain a commercial general liability insurance policy or policies of not less than $1 million per occurrence throughout its participation in the Program. The Eligible Contractor and Eligible Project Developer must submit proof of that insurance in its application to the Authority;
(E) Must permit an audit, by the Authority, of any of its records relating to the Projects financed by Enrolled Financing Agreements during normal business hours on its premises, and must supply any other information relating to those projects as requested by the Authority;
(F) Indemnifies and holds the Authority harmless from any and all damages resulting from its representations, energy impacts estimates, sales, warranties, maintenance, any installed measure, product, and/or system, and service for all installed measures, products, and/or systems;
(G) Must not make false or misleading claims about any part of the Program or its performance, including energy performance, or engage in fraudulent or deceitful conduct in the sale or installation of measures;
(H) Has no outstanding judgments and/or liens; and
(I) Agrees that its employees and representatives are solely responsible for all representations made to Eligible Commercial Financing Customers regarding the Program or work performed for an Eligible Commercial Financing Customer under the Program, and are responsible for all energy impact estimates, sales, warranties, maintenance, and service for all products and systems installed.
(8) Additional Certifications of the Eligible Project Developer. In addition to the certifications in Section 10092.4(c)(7), the application must include certifications of the Eligible Project Developer, signed by an individual authorized to legally bind the Eligible Project Developer, that for all forthcoming Projects that will be submitted for enrollment in the Program as a Participating Project Developer:
(A) Any developer services costs were for services related to the Project;
(B) It complied with all Program regulations, rules, and requirements;
(C) The Project complied with Program requirements; and
(D) Any EEMs reported as self-installed were installed and comply with Program requirements.
(9) Upon receipt of a completed application, the Authority will, within 10 business days, review and determine whether additional information is required or whether the application meets the above requirements in a manner sufficient to permit the applicant to be a Participating Contractor or Participating Project Developer, or both. The Authority's decision regarding enrollment will be final. The Authority will notify the Eligible Contractor or Eligible Project Developer of its decision.
(d) Program Participation
(1) The Authority will publish the names of Participating Contractors and Participating Project Developers on its website(s). If a Participating Contractor or Participating Project Developer fails to enroll a project within a one-year period, the Authority may remove them from its website.
(2) Participating Contractors must maintain a license free of active discipline and notify the Authority within 10 business days if disciplinary action has been taken against its license.
(3) Participating Contractors and Participating Project Developers must maintain general liability insurance of at least $1 million per occurrence throughout its enrollment with the Program.
(4) On an annual basis, the Authority may request updated proof of insurance, pursuant to Section 10092.4(c)(7)(D).
(5) Participating Contractors and Participating Project Developers must maintain, for a period of no less than 18 months following the Scope of Work Completion Date, all documentation they produced or relied upon in completing the Project, including, but not limited to, invoices, scope(s) of work, permitting documentation, and records conveying location of installed measures within each Eligible Property.
(A) If documents are requested by the Authority as part of a compliance verification pursuant to Section 10092.7(d), the Participating Contractor and/or Participating Project Developer must supply the documentation.
(e) Removal from the Program
(1) In the event of a misrepresentation or failure to comply with the requirements set forth in the regulations within this Article on the part of a Participating Contractor or Participating Project Developer, or if the Participating Contractor or Project Developer fails to enroll a project with the Program within a three-year period, the Executive Director may remove the Participating Contractor or Participating Project Developer from the Program. In addition, if a Participating Project Developer that qualified for the Program as an IOU, REN, or CCA demand-side energy management program implementer, as described in Section 10092.4(b)(2)(E), has an IOU, REN, or CCA contract terminated due to misconduct, the Executive Director may remove the Participating Project Developer from the Program. Upon the removal of a Participating Contractor or Participating Project Developer, the Executive Director will remove the contractor or project developer from the Authority's website and other promotional materials. The Authority may notify other governmental agencies and/or the IOUs.
(2) Upon removal from the Program, the contractor or project developer must cease utilizing any Program or associated brand logos or promotional materials and must not represent themselves as affiliated with the Program.
(3) The Executive Director will provide written notice of the removal, the basis for removal, and the right to appeal in accordance with the procedures set forth in this Section.
(A) Any Participating Contractor or Participating Project Developer receiving a notice of removal has the right to submit information, in writing, to the Authority explaining the misrepresentation or failure to comply with Program requirements and asking that the Executive Director reconsider the removal. The Authority must receive that information within 15 business days of the date of the notice of removal.
(B) The Executive Director will have 10 business days to respond to any information submitted pursuant to Section 10092.4(e)(3)(A), either reversing or affirming the removal. The Executive Director must provide written notice of the decision and the right to appeal the decision to the Authority pursuant to Section 10092.4(e)(3)(C).
(C) Within 15 business days of the date of the notice from the Executive Director pursuant to Section 10092.4(e)(3)(B), the Participating Contractor or Participating Project Developer will have the right to seek an appeal to the Authority. The appeal must be in writing and must set forth the information the Participating Contractor or Participating Project Developer believes warrants a reversal of the Executive Director's decision. The Authority must consider the appeal at the first regularly scheduled board meeting occurring at least 20 business days after the appeal is received.
(f) Withdrawal of Participating Project Developer and Participating Contractor
(1) A Participating Project Developer or a Participating Contractor may withdraw from the Program after giving written notice to the Authority.

Credits

Note: Authority cited: Sections 26006 and 26009, Public Resources Code. Reference: Sections 26002, 26002.5, 26003, 26006, 26011 and 26040, Public Resources Code.
History
1. New section filed 12-17-2018 as a deemed emergency pursuant to Public Resources Code section 26009; operative 12-17-2018 (Register 2018, No. 51). A Certificate of Compliance must be transmitted to OAL by 6-17-2019 or emergency language will be repealed by operation of law on the following day.
2. Change without regulatory effect amending section filed 4-4-2019 pursuant to section 100, title 1, California Code of Regulations (Register 2019, No. 14).
3. New section refiled 6-11-2019 as a deemed emergency pursuant to Public Resources Code section 26009, including amendment of subsections (b)(1)(H), (b)(2)(D), (c)(3)(A), (c)(7)(D), (d)(3) and (e)(1) and amendment of Note; operative 6-18-2019 (Register 2019, No. 24). A Certificate of Compliance must be transmitted to OAL by 9-16-2019 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 9-12-2019 as a deemed emergency pursuant to Public Resources Code section 26009; operative 9-16-2019 pursuant to Government Code section 11343.4(b)(2) (Register 2019, No. 37). A Certificate of Compliance must be transmitted to OAL by 12-16-2019 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 9-12-2019 order, including further amendments, transmitted to OAL 12-13-2019 and filed 1-21-2020; amendments operative 1-21-2020 pursuant to Government Code section 11343.4(b)(3) (Register 2020, No. 4).
6. Amendment of section and Note filed 7-19-2021 as an emergency; operative 7-19-2021 (Register 2021, No. 30). A Certificate of Compliance must be transmitted to OAL by 1-18-2022 or emergency language will be repealed by operation of law on the following day.
7. Amendment of section and Note refiled 12-30-2021 as a deemed emergency pursuant to Public Resources Code section 26009; operative 1-18-2022 (Register 2021, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-18-2022 or emergency language will be repealed by operation of law on the following day.
8. Amendment of section and Note refiled as a deemed emergency pursuant to Public Resources Code section 26009; operative 4-18-2022 (Register 2022, No. 15). A Certificate of Compliance must be transmitted to OAL by 7-18-2022 or emergency language shall be repealed by operation of law on the following day.
9. Certificate of Compliance as to 4-18-2022 order, including amendment of subsection (d)(5), transmitted to OAL 7-12-2022 and filed 8-15-2022; amendments effective 8-15-2022 pursuant to Government Code section 11343.4(b)(3) (Register 2022, No. 33).
10. Amendment filed 5-13-2024 as a deemed emergency pursuant to public Resources Code section 26009; operative 5-13-2024 (Register 2024, No. 20). A Certificate of Compliance must be transmitted to OAL by 11-12-2024 or emergency language will be repealed by operation of law on the following day.
This database is current through 7/5/24 Register 2024, No. 27.
Cal. Admin. Code tit. 4, § 10092.4, 4 CA ADC § 10092.4
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