5900-423 Application for EPA Recognition Verification Oversight O

EPA RECONGITION OF VERIFICATION OVERSIGHT ORGANIZATIONS

The hallmark of ENERGY STAR for New Homes Program is the requirement for independent,
third-party verification of the energy performance of homes that earn the ENERGY STAR label.
For site-built homes, this verification is provided by entities collectively referred to as ‘verifiers’
or ‘verification organizations’ (e.g., Home Energy Raters and Accredited Providers). A
Verification Oversight Organization (VOO) is defined as an independent, national organization
that accredits these verification organizations and provides administrative processes for the
training, certification, and quality assurance of businesses and individuals who verify homes to
earn the ENERGY STAR label.

An organization that is interested in becoming a VOO must submit an Application for
Recognition to EPA. Applicants are required to demonstrate that they meet the program’s
eligibility criteria and can successfully perform the required roles and responsibilities set forth
in the application. EPA’s recognition of a VOO relates solely and specifically to the ENERGY
STAR for New Homes program and does not qualify the organization to implement or
participate in other programs (e.g., tax credit verification).

ELIGIBILITY CRITERIA for VERIFICATION OVERSIGHT ORGANIZATIONS:
1. Demonstration of Impartial Governance

Impartiality is of critical importance for Verification Oversight Organizations. As such, these
organizations must be organized and operated to safeguard the objectivity and impartiality of
their activities. The petitioning VOO must ensure a balanced representation of interested
parties, with no single party predominating.

U.S. Environmental Protection Agency
Climate Protection Partnerships Division
ENERGY STAR Residential Programs

Last Updated: October 26, 2011

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To be eligible for recognition by EPA as a Verification Oversight Organization, the petitioning
organization must demonstrate impartial governance and meet, at a minimum, the following
criteria:

Be a 501(c)(3) or 501(c)(6) not-for-profit corporation;
Maintain an open participation/membership policy;
Be governed by a Board of Directors or Executive Committee; and
Maintain policies to ensure that potential conflict of interest issues are identified and
avoided (e.g., not being directly involved in qualifying homes to earn the ENERGY STAR
label).
2. Demonstration of National Scope of Operations for Verification Oversight1
Petitioning Verification Oversight Organizations must demonstrate the ability to offer
Verification Oversight services at a national level. EPA reserves the right to reject any
application for recognition that the Agency believes cannot meet this requirement. EPA also
reserves the right to suspend or terminate recognition of a Verification Oversight Organization
if it does not maintain a national scope of operations.

ROLES AND RESPONSIBILITIES for VERIFICATION OVERSIGHT ORGANIZATIONS:
The specific roles and responsibilities for Verification Oversight Organizations are set forth in
the application form provided below. These include: establishing and maintaining governing
policies and procedures for verifying homes to earn the ENERGY STAR label consistent with the
specific sections of the Mortgage Industry National Home Energy Rating Standards; accrediting
and certifying verifiers; establishing a business code of conduct for verifiers; requiring that
verifiers maintain a database of all homes qualified as ENERGY STAR; working collaboratively
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EPA will consider allowing non-national scope VOO applications from organizations for specific states or regions
when unique geographic situations or code structures warrant different oversight models.
U.S. Environmental Protection Agency
Climate Protection Partnerships Division
ENERGY STAR Residential Programs

Last Updated: October 26, 2011

2

with EPA on quality assurance issues related to the labeling of ENERGY STAR qualified homes;
conducting quality assurance of participating verifiers; and maintaining a participating verifier
dispute resolution process that includes procedures for investigation of complaints, probation,
dismissal, and appeals.
MODIFICATIONS:
EPA reserves the right to modify or amend the required roles and responsibilities for
Verification Oversight Organizations as needed to ensure the value of the ENERGY STAR label
for new homes. Organizations that have been previously recognized by EPA will be given a
period of 180 days to implement any policies or procedures needed to comply with new EPA
requirements.

TERMINATION:
If, after recognition, EPA determines that a Verification Oversight Organization is not meeting
its required roles or responsibilities or not ensuring consumer and industry confidence in the
ENERGY STAR program, EPA will provide the VOO with written notification and allow a period of
30 days to resolve identified issues and provide EPA with a written response summarizing the
changes made. If the VOO fails to submit a satisfactory response to EPA that addresses the
deficiencies identified, EPA will suspend or rescind the Verification Oversight Organization’s
recognition. Further, EPA reserves the right to suspend or rescind recognition of a Verification
Oversight Organization in situations including, but not limited to, when the deficiencies
represent a pattern of improper actions by the organization or the organization does not
demonstrate substantive effort to maintain a national scope of operations.

U.S. Environmental Protection Agency
Climate Protection Partnerships Division
ENERGY STAR Residential Programs

Last Updated: October 26, 2011

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OMB Control No. 2060-0586

APPLICATION FOR EPA RECONGITION: VERIFICATION OVERSIGHT ORGANIZATIONS
Completed applications for recognition should be submitted to EPA at:
U.S. Environmental Protection Agency
Attn: Team Leader/ENERGY STAR for New Homes
ENERGY STAR for New Homes (MC 6202J)
1200 Pennsylvania Ave, NW
Washington, DC 20460
EPA will use its best efforts to confirm receipt of applications received within 10 business days
and make a determination on the application and notify the petitioning organization within 60
business days. Note that all petitioning organizations must also participate in a formal
interview process, to be conducted either at EPA’s offices or via conference call. EPA also
strongly encourages organizations considering applying for recognition to contact ENERGY STAR
to discuss their interest prior to submitting an application.

EPA reserves the right to modify or amend the required roles and responsibilities for
Verification Oversight Organizations as needed to ensure consumer and industry confidence in
the value of the ENERGY STAR label for new homes. Organizations that have been previously
recognized by EPA will be given a period of 180 days to implement any new policies or
procedures needed to comply with EPA requirements.
PART ONE: General Applicant Information
Organization Name: _____________________________________________________________
Mailing Address:

____________________________________________________________
____________________________________________________________

Contact:

_________________________ E-mail Address:

________________________

Primary Contact Telephone #: ______________________ Fax #: _________________________
Organization Web Site Address: ___________________________________________________

U.S. Environmental Protection Agency
Climate Protection Partnerships Division
ENERGY STAR Residential Programs
EPA Form 5900-423

Last Updated: October 26, 2011

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PART TWO: Demonstration of Impartial Governance
Applicant must initial/affirm that the petitioning organization meets the following criteria for
eligibility and provide documentation as necessary:
1. 501(c)(3) or 501(c)(6) not-for-profit corporation _____ (applicant initial and attach
documentation)
2. Open participation/membership policy _____ (applicant initial and attach policy)
3. Governed by a Board of Directors or Executive Committee _____ (applicant initial and
attach list and qualifications of actual or proposed members)
4. Maintain policies to ensure that potential conflict of interest issues are identified and
avoided (e.g., not being directly involved in qualifying homes to earn the ENERGY STAR
label) _____ (applicant initial)

PART THREE: Demonstration of National Scope of Operations for Verification Oversight

Petitioning Verification Oversight Organizations must demonstrate the ability to offer
Verification Oversight services at a national level2. EPA reserves the right to reject any
application for recognition that the Agency believes cannot meet this requirement. EPA also
reserves the right to suspend or terminate recognition of a Verification Oversight Organization
if it does not maintain a national scope of operations.

2

EPA will consider allowing non-national scope VOO applications from organizations for specific states or regions
when unique geographic situations or code structures warrant different oversight models.

U.S. Environmental Protection Agency
Climate Protection Partnerships Division
ENERGY STAR Residential Programs

Last Updated: October 26, 2011

5

For example, national scope of operations can be demonstrated through the following types of
organizational characteristics:

1. Maintaining a Board of Directors/Executive Committee with demonstrated experience in
conducting Home Energy Ratings and/or technical expertise in building science across the
U.S.;
2. Maintaining a quality assurance (QA) and oversight mechanism for verifiers that are
distributed across the U.S.; and
3. Maintaining a general membership of verification organizations that are geographically
distributed across the U.S. to provide services for ENERGY STAR builder partners.
PART FOUR: Demonstration of Satisfaction of Required Roles and Responsibilities for
Verification Oversight Organizations
Applicants must attach documentation that describes their organization’s policies, approach,
and demonstrated experience in conducting each of the following activities:

Establishing and maintaining comprehensive by-laws, governing policies, and
procedures for verifying homes to earn the ENERGY STAR label that comply with the
standards set forth in the effective published edition of the Mortgage Industry National
Home Energy Rating Standards3,4:
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The applicant must specifically cite the technical standards governing conduct of on-site
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inspection procedures and minimum rated features specified in Appendix A .

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The Residential Energy Services Network (RESNET) is the copyright holder of the Mortgage Industry National
Homes Energy Rating Standards and has permitted the direct citation of Chapter 6 and Appendix A of the
Standards by applicants. Petitioning Verification Oversight Organizations must directly cite these portions of the
Standards in fulfilling the requirements of their application. However, if the applicant wishes to cite other
Chapters or Sections of the Standards, they must seek permission of the copyright holder.
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These requirements are not applicable when the petitioning VOO will provide oversight services exclusively for
verifiers who will qualify for homes as ENERGY STAR using EPA’s prescriptive path. In these cases, the petitioning
VOO must demonstrate an equivalent approach to meeting the requirement of establishing and maintaining
comprehensive by-laws, governing policies, and procedures for verifying homes to earn the ENERGY STAR label
under EPA’s prescriptive path.
U.S. Environmental Protection Agency
Climate Protection Partnerships Division
ENERGY STAR Residential Programs

Last Updated: October 26, 2011

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o

The applicant must establish and maintain policies requiring that only home energy modeling
software programs that are accredited through the process specified in Chapter 3 of the
Mortgage Industry National Home Energy Rating Standards be used for verifying ENERGY STAR
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qualified homes .
o

For homes qualified through a Sampling Protocol, the applicant must cite the technical standards
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for sampling that are specified in Chapter 6 .

Developing and maintaining a training, examination, certification, and continuing
education program for verifiers that is consistent with the requirements of Chapter 2 of
the Mortgage Industry National Home Energy Rating Standards.
Establishing and maintaining a business code of ethics for verifiers, including a conflict
of interest policy and an ethics complaint resolution process that includes procedures
for investigation of complaints, verifier dismissal, and appeals that are at least as
stringent as those specified in Chapter 9 of the Mortgage Industry National Home
Energy Rating Standards.
Maintaining a database and a publicly-available, on-line list of certified verifiers.
Establishing a requirement that all verifiers maintain a database of homes qualified as
ENERGY STAR and report qualified homes to EPA and/or utilize a national on-line
registry, as may be required by program policies.
Working collaboratively with EPA on quality assurance activities related to the labeling
of ENERGY STAR qualified homes to facilitate comprehensive and coordinated oversight
of verifiers and responding to consumer complaints that arise about the verification of
ENERGY STAR qualified homes.
Developing and implementing quality assurance (QA) systems and procedures for
participating verifiers related to both the conduct of Home Energy Ratings and all
applicable ENERGY STAR for Homes Inspection Checklists, including both file reviews
and field inspections at a rate at least as stringent as those required in Chapter 9 of the
Mortgage Industry National Home Energy Rating Standards.

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This requirement applies to Verification Oversight Organizations that will oversee verifiers who will qualify homes
for the ENERGY STAR under either EPA’s performance or prescriptive paths.

U.S. Environmental Protection Agency
Climate Protection Partnerships Division
ENERGY STAR Residential Programs

Last Updated: October 26, 2011

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Maintaining a dispute resolution process for participating verifiers that includes
procedures for probation, suspension, and revocation. Note that EPA also reserves the
right to terminate the ENERGY STAR Partnership Agreement of verifiers that violate the
terms of their partnership or the Federal ENERGY STAR trademark.
Maintain open lines of communication with EPA to address questions and concerns in a
timely manner and provide annual reports to ENERGY STAR on program administration,
quality assurance, and dispute resolution activities (or more frequently, upon request by
EPA).

PART FIVE: Application Certification and Representation
As an officer of ____________________________________________________,
I, the undersigned, hereby swear that I have the authority to submit this Application for
Recognition as a Verification Oversight Organization to the U.S. Environmental Protection
Agency. I understand that intentionally submitting false information to the U.S. government is
a criminal violation of the False Statements Act, Title 18 U.S.C. section 1001.

Name: _________________________________________________________
Signature: ______________________________________________________
Title: ___________________________________________________________
Organization: ____________________________________________________
Date: ___________________________________________________________
The public reporting and recordkeeping burden for this collection of information is estimated to average 2 hours per response. Send comments on
the Agency's need for this information, the accuracy of the provided burden estimates, and any suggested methods for minimizing respondent
burden, including through the use of automated collection techniques to the Director, Collection Strategies Division, U.S. Environmental Protection
Agency (2822T), 1200 Pennsylvania Ave., NW, Washington, D.C. 20460. Include the OMB control number in any correspondence. Do not send the
completed form to this address.

U.S. Environmental Protection Agency
Climate Protection Partnerships Division
ENERGY STAR Residential Programs

Last Updated: October 26, 2011

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