Energy Code Ace - Approval Process

1.8 Approval Process

1.8.1 Application Checklist

The following items shall be included in an application package submitted to the CEC for compliance software approval:

Compliance Software Vendor Certification Statement. A copy of the statement provided by the California Energy Commission to the applicant, signed by the candidate software vendor, certifying that the candidate software meets all CEC requirements, including accuracy and reliability when used to demonstrate compliance with the energy code.
Computer Runs. Copies of the computer runs specified in Chapter 3 Compliance Software Test Requirements of this manual on machine-readable forms as specified in Chapter 3 Compliance Software Test Requirements to enable verification of the runs.
Help System or User's Manual or Both. The vendor shall submit a complete copy of the help system or candidate software user's manual or both, including material on the use of the candidate software for compliance.
Copy of the candidate software and weather data. A machine-readable copy of the software for random verification of compliance analyses. The vendor shall use approved CEC weather files.
TDV Factor Documentation. The candidate software shall be able to apply the TDV multipliers described in Reference Appendix JA3 and calculate Efficiency TDV, and PV/flexibility TDV.
Source Energy. The software shall be able to calculate source energy as described in Chapter 1.7.5 Source Energy.
Application Fee. The vendor shall provide an application fee of $1,000.00 as authorized by §25402.1(b) of the Public Resources Code, payable to the "State of California" to cover costs of evaluating the application and to defray reproduction costs.

A cover letter acknowledging the shipment of the completed application package should be emailed to ExecutiveOffice@energy.ca.gov

Two copies of the full application package should be sent to:

Compliance Software Nonresidential Certification
California Energy Commission
715 P Street, MS-26
Sacramento, CA 95814-5512

Following submittal of the application package, the CEC may request additional information under Title 24, Part 1, Section 10-110. This additional information is often necessary due to the complexity of software. Failure to provide such information in a timely manner may be considered cause for rejection or disapproval of the application. A resubmittal of a rejected or disapproved application will be considered a new application and must include a new application fee.

1.8.2 Types of Approval

This manual addresses two types of candidate software approval: full program approval (including amendments to programs that require approval) and approval of new program features and updates.

If compliance software vendors make a change to their programs as described below, the change must be approved by the CEC. Furthermore, any compliance software change that affects the energy use calculations for compliance, the modeling capabilities for compliance, the format or content of compliance forms or both, or any other change that would affect compliance requires approval.

Changes that do not affect compliance, such as changes to the user interface, may follow a simplified or streamlined procedure for approval. To comply with this simpler process, the compliance software vendor shall certify to the CEC that the new program features do not affect the results of any calculations performed by the program, shall notify the CEC of all changes; and shall provide the CEC with one updated copy of the program and help system/user's manual. Examples of such changes include fixing logical errors in computer program code that do not affect the numerical results (bug fixes) and new interfaces.

Full Approval of Candidate Software and Reapproval of Compliance Software

The CEC requires program approval when candidate software has never been approved by the CEC, when the compliance software vendor changes the program algorithms, or when any other change occurs that in any way affects the compliance results. The CEC may also require that all approved software be approved again whenever substantial revisions are made to the Energy Code or to the CEC's approval process.

The CEC may change the approval process and require that all compliance software be approved again for several reasons, including the following:

If the Energy Code undergo a major revision that alters the basic compliance process, then software would have to be updated and reapproved for the new process.
If new analytic capabilities come into widespread use, then the CEC may declare them to be required compliance software capabilities and may require all software vendors to update their programs and submit them for reapproval.

When reapproval is necessary, the CEC will notify all compliance software vendors of the timetable for renewal, a new version of this manual will be published, and the CEC will provide instructions for reapproval.

Reapproval shall be accompanied by a cover letter explaining the type of amendment(s) requested and copies of other documents, as necessary. The timetable for reapproval of amendments is the same as for full program approval.

Approval of New Features and Updates

Changes to previously approved compliance software not affecting the compliance analysis may be approved through a streamlined procedure.

Modifications to previously approved compliance software, including new features and program updates, are subject to the following procedure:

The compliance software vendor shall prepare an addendum to the compliance supplement or software user's manual when new features or updates affect the outcome or energy efficiency measure choices, describing the change to the software. If the change is a new modeling capability, the addendum shall include instructions for using the new modeling capability for compliance.
The compliance software vendor shall notify the CEC by letter of the change that has been made to the compliance software. The letter shall describe in detail the nature of the change and the reason it is being made. The notification letter shall be included in the revised compliance supplement or compliance software user's manual.
The compliance software vendor shall provide the CEC with an updated copy of the compliance software and include any new forms created by the compliance software (or modifications in the standard reports).

The CEC will respond within 45 days. The CEC may approve the change, request additional information, refuse to approve the change, or require that the compliance software vendor make specific changes to either the compliance supplement addendum or the compliance software program itself.

With CEC approval, the vendor may issue new copies of the compliance software with the compliance supplement addendum and notify compliance software users and building officials.

1.8.3 Challenges

Building officials, program users, program vendors, CEC staff, or other interested parties may challenge any nonresidential candidate software approval. If any interested party believes that a compliance program, an algorithm, or method of calculation used in a compliance program, a particular capability, or other aspect of a program provides inaccurate results or results that do not conform to the criteria described in this manual, the party may challenge the program.

1.8.4 Decertification of Compliance Software Programs

The CEC may decertify (rescind approval of) an alternative calculation method through the following means:

All compliance software programs are decertified when the Energy Code undergo substantial changes, which occur about every three years.
Any compliance software can be decertified by a letter from the software vendor requesting that a particular version (or versions) of the compliance software be decertified. The decertification request shall briefly describe the nature of the program errors or "bugs" that justify the need for decertification.
Any "initiating party" may begin decertifying any compliance software according to the steps outlined below. The intent is to include a means whereby unfavorable compliance software tests, serious program errors, flawed numeric results, improper forms, and/or incorrect program documentation not discovered in the certification process or a combination thereof can be verified and use of the particular compliance software version discontinued. In this process, there is ample opportunity for the CEC, the compliance software vendor, and all interested parties to evaluate any alleged problems with the compliance software program.

NOTE 1: The primary rationale for a challenge is unfavorable compliance software tests, which means that for some particular building design with a set of energy efficiency measures, the compliance software fails to meet the criteria used for testing compliance software programs described in Chapter 3 Compliance Software Test Requirements.

NOTE 2: Another challenge rationale is flawed numeric results, where the compliance software meets the test criteria in Chapter 3 Compliance Software Test Requirements, in particular, when compliance software fails to properly create the standard design building.

Following is the process for challenging compliance software or initiating a decertification procedure:

Any party may initiate a review of compliance software approval by sending a written communication to the Executive Director. (The CEC may be the initiating party for this type of review by noticing the availability of the same information listed here.)
The initiating party shall:
- State the name of the compliance software and the program version number(s) that contain the alleged errors.
- Identify concisely the nature of the alleged errors in the compliance software that require review.
- Explain why the alleged errors are serious enough in the effect on analyzing buildings for compliance to justify a decertification procedure.
- Include appropriate data on any media compatible with Windows 7 or newer and/or information sufficient to evaluate the alleged errors.

The executive director shall make a copy or copies of the initial written communication available to the compliance software vendor and interested parties within 30 days.

Within 75 days of receipt of the written communication, the Executive Director may request any additional information needed to evaluate the alleged compliance software errors from the party who initiated the decertification review. If the additional information is incomplete, this procedure will be delayed until the initiating party submits complete information.
Within 75 days of receipt of the initial written communication, the executive director may convene a workshop to gather additional information from the initiating party, the compliance software vendor, and interested parties. All parties will have 15 days after the workshop to submit additional information regarding the alleged program errors.
Within 90 days after the executive director receives the application or within 30 days after receipt of complete additional information requested of the initiating party, whichever is later, the executive director shall either:
- Determine that the compliance software need not be decertified.
- Submit to the CEC a written recommendation that the compliance software be decertified.
The initial written communication, all relevant written materials, and the executive director's recommendation shall be placed on the consent calendar and considered at the next business meeting after submission of the recommendation. The matter may be removed from the consent calendar at the request of one of the commissioners.
If the CEC approves the compliance software decertification, it shall take effect 60 days later. During the first 30 days of the 60-day period, the Executive Director shall send out a notice to building officials and interested parties announcing the decertification.

All initiating parties have the burden of proof to establish that the review of alleged compliance software errors should be granted. The decertification process may be terminated at any time by mutual written consent of the initiating party and the executive director.

As a practical matter, the compliance software vendor may use the 180- to 210-day period outlined here to update the compliance software program, get it reapproved by the CEC, and release a revised version that does not have the problems initially brought to the attention of the CEC. The compliance software vendor may wish to be the initiating party to ensure that a faulty program version is taken off the market.