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§ 10092.8. Financing Submittal and Enrollment.

4 CA ADC § 10092.8Barclays Official California Code of RegulationsEffective: August 15, 2022

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: August 15, 2022
4 CCR § 10092.8
§ 10092.8. Financing Submittal and Enrollment.
Currentness
(a) Timing of Submittal and Enrollment
(1) Once all Scopes of Work are completed and certified by all Participating Contractors, and, if applicable, the Participating Project Developer, and the FPE has closed the agreement with the Eligible Commercial Financing Customer, a complete financing submittal may be submitted to the Authority for enrollment as described in Section 10092.8(b).
(2) The Eligible Financing Agreement must be submitted within 90 calendar days of the last Scope of Work Completion Date on the Project.
(3) Within 10 business days of receipt of a complete set of data elements, documentation, and certifications as described in Section 10092.8(b), for an Eligible Financing Agreement, the Authority will enroll or deny the Eligible Financing Agreement in the Program and communicate this decision to the Finance Provider Entity.
(b) Complete Financing Submittal Requirements
(1) Documentation. A complete financing submittal must include the following documentation provided to the Authority by the Participating Contractor, Project Developer, and/or Finance Provider Entity:
(A) IOU delivery confirmation: Verification of fuel delivery by each IOU providing electric or gas fuel to the Eligible Property. For a Microloan, the verification of fuel delivery to the Eligible Property must be provided for at least one IOU.
(B) IOU Custom incentive documentation: A copy of the IOU Custom incentive approval letter or notice to proceed must be provided to the Authority for all Projects with ESMs that include an IOU Custom rebate or incentive.
(C) Eligible Commercial Financing Customer data authorizations: A signed CHEEF Privacy Rights Disclosure Form, as described in Section 10092.13.
(D) Invoice(s): The Participating Contractor must supply the Program with a copy of the final invoice for the contractor's Scope of Work.
(2) Data. A completed submittal includes the following data provided to the Authority in a format approved by the Authority:
Data Points
Data Must be Provided by One of These Parties:
Exceptions
Eligible Small Business Financing Customer Information
(A)
Customer name, e-mail address, and phone number
Contractor, Project Developer (PD), FPE
(B)
North American Industry Classification System (NAICS) Code applicable to the type of business
FPE
(C)
Method by which the customer qualifies as an Eligible Small Business Financing Customer pursuant to Section 10092.1(x)
FPE
Not required for Microloans
(D)
The number of years in business
FPE
(E)
An indication of how the entity is organized, e.g., sole proprietorship, corporation, or LLC
FPE
Not required for Microloans
(F)
The customer's credit score
FPE
(G)
Credit scoring or reporting service relied upon to calculate the customer's credit score
FPE
(H)
The customer's annual revenue
FPE
Only for Eligible Financing Agreements greater than $350,000
(I)
Special business characteristics if known, e.g. woman-owned, veteran-owned, or minority-owned
FPE
(J)
Whether the customer owns the Eligible Property(ies) or is a tenant occupant
Contractor, PD, FPE
Property Information
(K)
Number of units or spaces at the Eligible Property for which ESMs were installed
Contractor, PD, FPE
Not required for Microloans
(L)
The street address, city, and ZIP code
Contractor, PD, FPE
(M)
IOU names and account numbers for all IOU gas and electric providers at each Eligible Property
Contractor, PD, FPE
For Microloans, name and account number for at least one IOU
Project Information (for each contractor or Self-Installer's scope of work)
(N)
The method by which each ESM qualifies for the Program
Contractor, PD, FPE
(O)
The ESM category, e.g. “Lighting” or “Refrigeration”
Contractor, PD, FPE
(P)
The ESM measure name
Contractor, PD, FPE
(Q)
A brief description including size, efficiency performance, standard material descriptions, and/or specifications
Contractor, PD, FPE
Not required for Microloans
(R)
The quantity installed for each ESM
Contractor, PD, FPE
(S)
An indication of whether the ESM is replacing existing equipment or is a new installation
Contractor, PD, FPE
Not required for Microloans
(T)
An indication of whether the installation resulted in a fuel substitution for that measure
Contractor, PD, FPE
Not required for Microloans
(U)
The fuel for which there is expected savings as a result of installing the ESM
Contractor, PD, FPE
Not required for Microloans unless being repaid through OBR
(V)
Total cost of all ESMs installed as part of a Scope of Work
Contractor, PD, FPE
(W)
Total cost and brief description of improvements that were legally and practically required to complete a Scope of Work not accounted for in the total cost of ESMs, if applicable
Contractor, PD, FPE
(X)
Description of all Non-ESMs installed as part of a Scope of Work
Contractor, PD, FPE
Not required for Microloans
(Y)
Total cost of all Non-ESMs installed as part of a Scope of Work
Contractor, PD, FPE
(Z)
The Scope of Work Completion Date for any work performed by a Participating Contractor
Contractor
(AA)
Any fees charged by the Participating Project Developer and, if there are fees, a brief description of the services provided
PD
Not required for Microloans
(BB)
The amount of any Capitalized Interest included in the Total Financed Amount
FPE
Not required for Microloans
(CC)
An indication of whether the Participating Contractor or Eligible Commercial Financing Customer is seeking or has received a rebate or incentive from an IOU, REN, or CCA for a Scope of Work
Contractor, PD, FPE
(DD)
The amount of any IOU, REN, or CCA rebate or incentive sought for a Scope of Work
Contractor, PD, FPE
Only for projects with rebates or incentives
Not required for Microloans
(EE)
The name of the IOU, REN, or CCA issuing a rebate or incentive sought for a Scope of Work, the rebate or incentive name, and, if known, the project identification code
Contractor, PD, FPE
Only for projects with rebates or incentives
Not required for Microloans
(FF)
Date that the IOU, REN, or CCA approved the Eligible Commercial Financing Customer's custom measure(s), if applicable
Contractor, PD, FPE
Only for projects with a custom IOU, REN, or CCA incentive.
(GG)
A description of any Non-ESMs installed by contractors not enrolled with the Program or by Self-Installers
PD, FPE
Only for projects with installations by non-participating contractors
Not required for Microloans
(HH)
The total cost of any Non-ESMs installed by contractors not enrolled with the Program or by Self-Installers
PD, FPE
(II)
The name and CSLB number of the non-participating contractor company who installed Non-ESMs
PD, FPE
Only for projects with installations by non-participating contractors
(JJ)
A description for the Distributed Generation measure(s) installed
PD, FPE
Only for projects with Distributed Generation installations
Not required for Microloans
(KK)
The total cost for the Distributed Generation measure(s) installed
PD, FPE
(LL)
The name and CSLB number of the contractor company who installed the Distributed Generation
PD, FPE
Only for projects with Distributed Generation installations
Data Related to Measures Qualifying through the Professionally Certified Measure Method pursuant to Section 10092.7(b)(3). For each measure:
(MM)
Whether the reported savings result from Energy Efficiency or Demand Response measures
Energy Professional
(NN)
Energy Professional's estimate of the electric savings of each EE or DR measure certified by the Energy Professional. Savings must be reported in annual kWh for EE and peak kW for DR
Energy Professional
(OO)
Energy Professional's estimate of the gas savings of each EE or DR measure certified by the Energy Professional. Savings must be reported as annual therms for EE and peak therms for DR
Energy Professional
(PP)
The Energy Professional's name, business name, city, e-mail address, and phone number
Contractor, PD, FPE
(QQ)
An indication of whether the Energy Professional is a PE or CEM
Contractor, PD, FPE
(RR)
The Energy Professional's certification ID or license number, as applicable
Contractor, PD, FPE
Financing Data
(SS)
The Finance Provider Entity's internal financing agreement number
FPE
(TT)
An indication as to whether the financing agreement is an Eligible Loan, Eligible Lease or Eligible Equipment Finance Agreement, Eligible Energy Service Agreement, or an Eligible Savings-Based Payment Agreement
FPE
(UU)
Total Financed Amount
FPE
(VV)
Whether a security interest was taken against the financing agreement, and, if so, an indication of the type of security interest taken
FPE
Not required for Microloans
(WW)
Date the financing agreement funded or is anticipated to fund
FPE
(XX)
Repayment term of the financing agreement and its maturity date or its contractual end date
FPE
(YY)
Interest rate applied to the financing agreement
FPE
Only for Loans, Leases and Equipment Financing Agreements
(ZZ)
Whether the interest rate is fixed or variable
FPE
Not required for Microloans
(AAA)
Amount of the interest rate bought down by the contractor, if applicable
FPE
Only for Loans, Leases and Equipment Financing Agreements
Not required for Microloans
(BBB)
Monthly charges for ongoing service and maintenance related to the upkeep or performance of all installed measures
FPE
Only for Eligible Service Agreements and Eligible Savings-Based Payment Agreements
(3) Certifications. A completed financing submittal includes the following certifications provided to the Authority:
(A) Participating Contractor Certifications. Certification, signed by an individual authorized to legally bind the Participating Contractor, of the following:
(i) The Participating Contractor who completed the Scope of Work holds the relevant license(s) to perform the installation;
(ii) All ESMs and Non-ESMs listed on the Scope of Work were installed and comply with Program requirements;
(iii) The installation of the ESMs and Non-ESMs complies with all applicable California building standards including, but not limited to, Title 24 of the California Code of Regulations. The installation also complies with all laws, ordinances, regulations and standards applicable in the jurisdiction where the installation occurred;
(iv) All permits and approvals required to install the Scope of Work have been approved or are in the process of being approved;
(v) It has reported to the Authority any Distributed Generation that was installed at the Eligible Property(ies); and
(vi) It complied with all Program regulations, rules, and requirements.
(B) Project Developer Certification. Certification from an individual authorized to legally bind the Participating Project Developer of the following:
(i) All of the information provided by the Project Developer and Participating Contractor is true and correct to the best of the Participating Project Developer's knowledge.
(C) Finance Provider Entity Certifications. Certification from the Primary Finance Provider Entity of the following:
(i) All data provided by the Primary Finance Provider Entity is true and correct to the best of its knowledge.
(D) Eligible Commercial Financing Customer Certification. Certification, signed by an individual authorized to legally bind the Eligible Commercial Financing Customer of the following:
(i) All Scopes of Work have been installed and completed to its satisfaction;
(ii) It understands that the Authority and its directors, officers, and agents, and the IOUs and its directors, officers and agents, do not guarantee the performance, quality, or workmanship of any installation in the Project;
(iii) The Eligible Financing Agreement funds were, or will be, used to pay for the eligible Project;
(iv) All permits and approvals required to complete the Project have been approved or are in the process of being approved;
(v) The Participating Contractor, Participating Project Developer, or the Finance Provider Entity has provided the Eligible Commercial Financing Customer with a Bill Impact Estimate; and
(vi) Acknowledgement and agreement to be subject to post-project verifications, as described in Section 10092.7(d).
(E) Energy Professional Certification
(i) The Energy Professional certifies that each Energy Saving Measure qualifying by the Professionally Certified Measure Method, as described in Section 10092.7(b)(3), will save energy and its estimates of savings are true and correct to the best of its knowledge.

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)(D), (b)(2)(D)(ii)e.-f., and (b)(2)(D)(iv)b., repealer of subsection (b)(2)(D)(vii)c., subsection relettering 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 (b)(2), 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).
This database is current through 4/12/24 Register 2024, No. 15.
Cal. Admin. Code tit. 4, § 10092.8, 4 CA ADC § 10092.8
End of Document