1. (a) Timing of Submittal and Enrollment

   1. (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. (2) The Eligible Financing Agreement must be submitted within 90 calendar days of the last Scope of Work Completion Date on the Project, unless it is for a Multifamily Property, in which case it must be submitted within 12 months.
   3. (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.

2. (b) Complete Financing Submittal Requirements

   1. (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:

      1. (A) Utility delivery confirmation: Verification of fuel delivery by each utility providing electric or gas fuel relevant to EEMs installed at the Eligible Property. For a Microloan, the verification of fuel delivery to the Eligible Property must be provided for at least one utility.
      2. (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 EEMs that include an IOU Custom rebate or incentive.
      3. (C) Eligible Commercial Financing Customer data authorizations: A signed Privacy Rights Disclosure Form, as described in Section 10092.13.
      4. (D) If the Project is being financed by an Affordable Multifamily Customer, a copy of the recorded affordability deed restriction or covenant showing income restriction and family size.

   2. (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 Commercial 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(bb), or status as an Affordable Multifamily Customer

      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 EEMs were installed

      Contractor, PD, FPE

      Not required for Microloans

      (L)

      The street address, city, and ZIP code

      Contractor, PD, FPE

      (M)

      Utility names and account numbers for all gas and electric providers at each Eligible Property, if applicable

      Contractor, PD, FPE

      For Microloans, name and account number for at least one utility

      Project Information (for each contractor or Self-Installer's scope of work)

      (N)

      The method by which each EEM qualifies for the Program

      Contractor, PD, FPE

      (O)

      The EEM category, e.g. “Lighting” or “Refrigeration”

      Contractor, PD, FPE

      (P)

      The EEM measure name

      Contractor, PD, FPE

      (Q)

      A brief description including size, energy performance, standard material descriptions, and/or specifications

      Contractor, PD, FPE

      Not required for Microloans

      (R)

      The quantity installed for each EEM

      Contractor, PD, FPE

      (S)

      An indication of whether the EEM 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 energy impact as a result of installing the EEM

      Contractor, PD, FPE

      Not required for Microloans unless being repaid through OBR

      (V)

      Total cost of all EEMs 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 EEMs, if applicable

      Contractor, PD, FPE

      (X)

      Description of all Non-EEMs installed as part of a Scope of Work

      Contractor, PD, FPE

      Not required for Microloans

      (Y)

      Total cost of all Non-EEMs 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 utility, 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 utility, 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-EEMs 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-EEMs 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-EEMs

      PD, FPE

      Only for projects with installations by non-participating contractors

      Data Related to Measures Qualifying through the Professionally Certified Measure Method pursuant to Section 10092.7(b)(3). For each measure:

      (JJ)

      Whether the reported energy cost savings result from Energy Efficiency, Demand Response measures, or Distributed Generation

      Energy Professional

      (KK)

      For Energy Efficiency and Demand Response: 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

      (LL)

      For Energy Efficiency and Demand Response: 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

      (MM)

      The Energy Professional's name, business name, city, e-mail address, and phone number

      Contractor, PD, FPE

      (NN)

      For Distributed Generation: Energy Professional's estimate of the annual energy generation or maximum energy capacity of storage. Energy must be reported in kWh, therms, or gallons

      Energy Professional

      (OO)

      The Energy Professional's estimate of the annual greenhouse gas emissions avoided or reduced, in pounds of CO2 equivalent

      Energy Professional

      (PP)

      An indication of whether the Energy Professional is a PE or CEM

      Contractor, PD, FPE

      (QQ)

      The Energy Professional's certification ID or license number, as applicable

      Contractor, PD, FPE

      Financing Data

      (RR)

      The Finance Provider Entity's internal financing agreement number

      FPE

      (SS)

      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

      (TT)

      Total Financed Amount

      FPE

      (UU)

      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

      (VV)

      Date the financing agreement funded or is anticipated to fund

      FPE

      (WW)

      Repayment term of the financing agreement and its maturity date or its contractual end date

      FPE

      (XX)

      Interest rate applied to the financing agreement

      FPE

      Only for Loans, Leases and Equipment Financing Agreements

      (YY)

      Whether the interest rate is fixed or variable

      FPE

      Not required for Microloans

      (ZZ)

      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

      (AAA)

      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

      (BBB)

      The interest rate the Eligible Commercial Financing Customer would have received without the benefit of the Loss Reserve

      FPE

      Only for Loans, Leases and Equipment Financing Agreements

      Not required for Microloans

   3. (3) Certifications. A completed financing submittal includes the following certifications provided to the Authority:

      1. (A) Participating Contractor Certifications. Certification, signed by an individual authorized to legally bind the Participating Contractor, of the following:

         1. (i) The Participating Contractor who completed the Scope of Work holds the relevant license(s) to perform the installation;
         2. (ii) All EEMs and Non-EEMs listed on the Scope of Work were installed and comply with Program requirements;
         3. (iii) The installation of the EEMs and Non-EEMs 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;
         4. (iv) All permits and approvals required to install the Scope of Work have been approved or are in the process of being approved; and
         5. (v) It complied with all Program regulations, rules, and requirements.

      2. (B) Project Developer Certification. Certification from an individual authorized to legally bind the Participating Project Developer of the following:

         1. (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.

      3. (C) Finance Provider Entity Certifications. Certification from the Primary Finance Provider Entity of the following:

         1. (i) All data provided by the Primary Finance Provider Entity is true and correct to the best of its knowledge.

      4. (D) Eligible Commercial Financing Customer Certification. Certification, signed by an individual authorized to legally bind the Eligible Commercial Financing Customer of the following:

         1. (i) For projects with equipment requiring installation by a Participating Contractor per the Program rules, all installation(s) by a Participating Contractor have been completed to its satisfaction;
         2. (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;
         3. (iii) The Eligible Financing Agreement funds were, or will be, used to pay for the eligible Project;
         4. (iv) All permits and approvals required to complete the Project have been approved or are in the process of being approved;
         5. (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
         6. (vi) Acknowledgement and agreement to be subject to post-project verifications, as described in Section 10092.7(d).

      5. (E) Energy Professional Certification. The Energy Professional's certification, for each Eligible Energy Measure qualifying by the Professionally Certified Measure Method, as described in Section 10092.7(b)(3), of the following:

         1. (i) Each energy efficiency measure will save energy;
         2. (ii) Each Demand Response measure is capable of reducing demand on the electric grid or gas pipeline during peak periods;
         3. (iii) Each Distributed Generation measure will produce clean energy with reduced greenhouse gas emissions compared to existing conditions;
         4. (iv) Each Battery Storage measure is capable of reducing greenhouse gas emissions, allowing for greater grid stability as part of a virtual power plant, and/or mitigating customer costs; and
         5. (v) Hydrogen produced through electrolysis must use renewable energy sources.

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).

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.

11. Amendment refiled 11-4-2024 as a deemed emergency pursuant to Public Resources Code section 26009; operative 11-13-2024 pursuant to Government Code section 11346.1(d) (Register 2024, No. 45). A Certificate of Compliance must be transmitted to OAL by 2-11-2025 or emergency language will be repealed by operation of law on the following day.

12. Amendment refiled 2-5-2025 as an emergency; operative 2-11-2025 pursuant to Government Code section 11346.1(d) (Register 2025, No. 6). A Certificate of Compliance must be transmitted to OAL by 5-12-2025 or emergency language will be repealed by operation of law on the following day.

13. Certificate of Compliance as to 2-5-2025 order transmitted to OAL 2-5-2025 and filed 3-20-2025 (Register 2025, No. 12).

14. Amendment of subsections (a)(2), (b)(2)(CC), (b)(2)(OO) and (b)(3)(E)(iv) filed 11-6-2025 as a deemed emergency pursuant to Public Resources Code section 26009; operative 11-6-2025 (Register 2025, No. 45). A Certificate of Compliance must be transmitted to OAL by 5-5-2026 or emergency language will be repealed by operation of law on the following day.

15. Amendment of subsections (a)(2), (b)(2)(CC), (b)(2)(OO) and (b)(3)(E)(iv) refiled 4-15-2026 as a deemed emergency pursuant to Public Resources Code section 26009; operative 5-5-2026 (Register 2026, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-3-2026 or emergency language will be repealed by operation of law on the following day.