Follow-up Due Dilligence

PURPOSE: All Jurisdictions have a conditional set of requirements for PV installation. These requirements must be kept up-to-date to prevent high inflows of projects that need to be revised to meet new requirements. We need to proactively research and reach out to the jurisdictions to determine if and when they have new standards and requirements, and update our jurisdiction database along with contact information for any turnover that may occur at that same time. 

WORK QUEUE REPORT: 

 COMPLIANCE - Needs Due Diligence 

Order of priority:

1. Initial Due Diligence - Utilities

2. Initial Due Diligence - Permitting Jurisdictions

3. Follow-Up Due Diligence - Utilities

4. Follow-Up Due Diligence - Permitting Jurisdictions

TRAINING MATERIALS:

SLA EXPECTATIONS:

• Follow-Up Due Diligence: 2 business day SLA from time of assignment

DETAILED STEP BY STEP:

I.  Select and assign jurisdiction to research

1. Grab a new jurisdiction or utility from the *Follow-Up Due Diligence Queue* queue to complete the follow-up due diligence. Due diligence follow-ups should be completed every 12 months. The queue should filter these in automatically. Refer back to the order of priority as listed at the beginning of the SOP when selecting an AHJ or Utility.

   1. On the AHJ page under the compliance section, fill in your name in the “Due Diligence Last Follow Up Completed By” field to claim it AND make a note in the compliance group chat in the format of "ddf *name of AHJ*" until the filters have been updated to avoid multiple individuals claiming the same due diligence.

II. Identify the type of Jurisdiction to research 

A. The purpose of this section is to help identify the best way to follow up with the selected AHJ or Utility to avoid repeat questions and to   build continual trust with the AHJ or Utility.

1. The type of jurisdiction will determine which follow-up email template will be used. The types of jurisdictions are as follows: 

• AHJs in a state that enforces the same code years.

• AHJs not in a state that enforces the same code years.

• Utilities we regularly permit in.

• Utilities we do not regularly permit in.

Use the steps below to determine what type of jurisdiction you are following up on. For utilities proceed to step a, and for AHJs proceed to step b. 

a. To identify if the Utility is one we regularly have submitted and been approved in, use the “Utility Checker” report in the “D&E - Compliance - Work Queues”   Report Folder on Salesforce.

i. On the Utility Checker report use the filter in the top right corner to filter through all of the projects for the specific jurisdiction and timeline you are researching. 

ii.     The timeline should be within 1 month to identify if we have recently approved projects in the area.  A few or multiple projects will populate if this         is the case.

1.    If we regularly submit and are approved for the utility proceed to step 3 and if not proceed to step 4.

b.    Some states will have the same code years for all AHJs. Use the Code Adoption Map to determine if the AHJ is in a state with a state universal code.

i. On the Code Adoption Map select the state of the AHJ you’re researching.

ii. If it contains wording similar to “Codes are primarily adopted and enforced locally” then a state code is not enforced. In this case, proceed to step 2.

iii. If the state selected does not state that the code adoption takes place locally and provides a list of statewide codes it is a state where the AHJs must   follow a universal state code. If this is the case proceed to step 1.

III. Research online and email the jurisdiction

A. This section is laid out in such a way as to assist in efficiently approaching the data collection based on the regular interactions we have with the associated AHJ or Utility.

1. AHJs in a state that enforces the same code years.
   For AHJs that are in a state that shares the same code year we need to see if they have any upcoming meetings or new requirements. 

1. Check the Salesforce AHJ chatter to see if there is any important information. This may be in regard to the last follow-up, preferred emails, or other contact information you may need to know before contacting.

2. Perform a search on their website to verify if they have any news on upcoming meetings or new requirements & code changes. Use the below checklist of items to search for.

   1. Code cycle updates NEC & I-codes

   2. Updates to the submission requirements

   3. New required submission documents

3. On Highline go to the edit function of the AHJ and identify any missing information we need to obtain for each section.

   1. If any items are missing or there is a confusing requirement include it in the email from the next step.

   2. For any item updated on Highline, you are required to upload proof of the new requirement. This proof needs to be in the format of a jpg or screenshot until further notice.

4. Using the Compliance account, email the AHJ using the “Requirement Update - Residential PV for” template (also found below in the Email Templates section). Revise the template according to what was found on the website, and include any questions that came up while conducting research from the previous steps. CC your own email on the email sent to the AHJ and snooze the email for 2 business days, this is important for following up on the account.

5. Proceed to step IV.

2. AHJs that are not in a state that enforces the same code years.

   1. Check the Salesforce AHJ chatter to see if there is any important information. This may be related to the last follow-up, preferred emails, or other important information you may need to know before contacting.

   2. Perform a search on their website to verify if they have any news on upcoming meetings or new requirements & code changes. Use the below checklist of items to search for. 

      1. Code cycle updates NEC & I-codes

      2. Equipment requirements (disconnects, surge protector, etc) and their location requirements

      3. Fire Code setbacks

      4. Structural requirements (wind speed, snow load)

      5. Required documentation (spec sheets, eng letter, stamps, site plan, site notes, etc)

   3. Add any new information you've found to the AHJ on highline.

      1. Go to the edit function and find the applicable section of the item you're updating, add, and save.

      2. Any time a place updates to 2023 NEC or needs new labels, we need to (in addition to updating autocad and/or highline) send an email to Zachary Landers to let him know about the label change and where it applies to. For brand new labels, he'll need a good picture of it and the material, size, and other specs.  

   4. On Highline go to the edit function of the AHJ and identify any missing information we need to obtain for each section.

      1. If any items are missing or there is a confusing requirement, include it in the email for the next step.

   5. Using the compliance account, email the AHJ using the “Requirement Update - Residential PV for [original AHJ]” template (also found below in the Email Templates section). Revise the template according to what was found on the website, and include any questions that came up while conducting research from the previous steps. CC your own email on the email sent to the AHJ and snooze the email for 2 business days, this is important for following up on the account.

   6. Fill in the Due Diligence Last Follow-Up date field on the AHJ page.

   7. Proceed to step IV.

3. Utilities we regularly permit in.

   1. Check the Salesforce Utility chatter to see if there is any important information. This may be related to the last follow-up, preferred emails, or other important information you may need to know before contacting.

   2. Search the Utility website, if available, for new or upcoming requirements. 

      1. Specifications & equipment handbook updates

      2. Equipment requirements (disconnects, surge protector, etc) and their location requirements

      3. Battery requirements (wind speed, snow load)

      4. Required documentation (electrical notes, site notes, placards,  etc)

   3. On Highline go to the edit function of the Utility and identify any missing information we need to obtain for each section.

      1. If any items are missing or there is a confusing requirement include it in the email from the next step.

   4. Using the compliance account, email the Utility using the “Utility Requirement Updates - Common utility” template (also found below in the Email Templates section). Revise the template according to what was found on the website, and include any questions that came up while conducting research from the previous steps. CC your own email on the email sent to the AHJ and snooze the email for 2 business days, this is important for following up on the account.

   5. Fill in the Due Diligence Last Follow-Up date field on the Salesforce page.

   6. Proceed to step IV.

4. Utilities we do not regularly permit in.

   1. Check the Salesforce Utility chatter to see if there is any important information. This may be in regard to the last follow-up, preferred emails, or other important information you may need to know before contacting.

   2. Search the Utility website for new or upcoming requirements. 

      1. Specifications & equipment handbook updates

      2. Equipment requirements (disconnects, surge protector, etc) and their location requirements

      3. Battery requirements (wind speed, snow load)

      4. Required documentation (electrical notes, site notes, load calculations, placards,  etc)

   3. On Highline go to the edit function of the Utility and identify any missing information we need to obtain for each section.

      1. If any items are missing or there is a confusing requirement include it in the email from the next step.

   4. Using the compliance account, email the Utility using the “Utility Requirement Update” template (also found below in the Email Templates section). Revise the template according to what was found on the website, and include any questions that came up while conducting research from the previous steps. CC your own email on the email sent to the AHJ and snooze the email for 2 business days, this is important for following up on the account.

   5. Fill in the Due Diligence Last Follow-Up date field on the Salesforce page.

   6. Proceed to step IV.

IV. Contact jurisdiction for remaining items and set up a subscriber list 

1. If 3 business days have passed and we have not received an email back call the jurisdiction to obtain the needed information and confirm a responsive email to use in the future. Ask to be added to an email subscriber list for updated solar requirements if there is one.

2. When we receive a response from the Jurisdiction update the requirements with any new information.

   1. If they responded with something that is unclear email them back asking to clarify.

   2. If they mentioned a code update email them back asking if the code update will change any of the current requirements (wind speed, pathways, etc).

3. On the jurisdiction’s salesforce page chatter add who was emailed, who emailed back, and what the email contained. This will provide information for anyone who does follow-up due diligence in the future or for those looking into the jurisdiction.

4. If the jurisdiction provided a date to update specific requirements in the future go on Compliance’s Google calendar and add a task for the date when the requirement will need to be updated. Leave a detailed description and then on that date update the requirement and mark the task completed.

 EMAIL TEMPLATES

1. Select the template based on the above criteria and add or take away anything in RED to the title. These templates are on the compliance email under the same names they are here.

2. Label it under AHJ or Utility

Requirement Update - Residential PV for [AHJ]

Hello,

I work with Ion Solar's Compliance department. I've been asked to make sure that our requirements for each jurisdiction are up-to-date so that our plan sets will be easy to approve. Could you please provide answers to the following questions:

1. Are there any upcoming updated requirements meetings to attend? 

2. Are there any new and or upcoming changes to the current requirements?

3. If there is a current subscriber email list for requirement updates could we be added?

4. Currently, all plan sets include a NABCEP board-certified PV installation professional's seal. Could you please let us know under what circumstances, if any, you would require any additional seal, certification, stamp, etc.

Thank you for your time and help,

[SIGNATURE]

___________________________________________________________________________________________________________________________

Requirement Update - Residential PV for [original AHJ] (DELETE “[original AHJ]” INSERT [AHJ])

Hello,

I work with Ion Solar's Compliance department. I've been asked to make sure that our requirements for each jurisdiction are up-to-date so that our plan sets will be easy to approve. Could you please provide answers to the following questions:

1. Are there any upcoming updated requirements meetings to attend? 

2. Are there any new and or upcoming changes to the current requirements?

3. Are there plans to update to a new code cycle in the next 6 months?

4. Will there be any new equipment (disconnects, surge protector, etc) and their location requirements?

5. Are setbacks/pathways on roofs with solar panels enforced, such as those in IRC 324.6?

6. Will there be a change to the wind speed and or snow load in the next 6 months?

7. Currently, all plan sets include a NABCEP board-certified PV installation professional's seal. Could you please let us know under what circumstances, if any, you would require any additional seal, certification, stamp, etc.

8. Will there be any additional documentation to our plan set submission that will need to be added (spec sheets, eng letter, stamps, site plan, site notes, etc)?

9. If there is a current subscriber email list for requirement updates could we be added?

Thank you for your time and help,

[SIGNATURE]

___________________________________________________________________________________________________________________________

Utility Requirement Updates - Common utility (DELETE “Common Utility” INSERT [UTILITY])

Hello,

I work with Ion Solar's Compliance department. I've been asked to make sure that our requirements for each utility are up-to-date so that our plan sets will be easy to approve. Could you please provide answers to the following questions:

1. Is there an upcoming updated requirements meeting to attend? 

2. Are there any new and or upcoming changes to the current requirements?

3. If there is a subscriber email list for solar or permit requirement updates could we be added?   

Thank you for your time and help,

[SIGNATURE]

___________________________________________________________________________________________________________________________

Utility Requirement Update - [UTILITY]
Hello,

I work with Ion Solar's Compliance department. I've been asked to make sure that our requirements for each utility are up-to-date so that our plan sets will be easy to approve. Could you please provide me answers to the following questions:

1. Is there an upcoming updated requirements meeting to attend? 

2. What equipment is required (e.g. PV meters, AC disconnects, surge protectors, etc)?

3. Do you have specific equipment location requirements?

4. Are there any stipulations with regard to the interconnection method? We typically prefer to use a load-side breaker interconnection, but circumstances may require a different method. We would only consider methods in line with the NEC.

5. Are multiple interconnection points if needed allowed? 

6. Are meter collar interconnections allowed?

7. The following questions pertain to energy storage:
   a) Is there a specific location requirement for the system controller?
   b) In relation to the system controller is there a specific order(before or after) the following equipment needs to be placed in: battery unit, AC Disconnect, and the production meter?
   c) Are bollards always required?
   d) Are there any specific notes required to be placed on any sheet of the plans?
   e) Are the dimensions of the equipment required?
   f) Are spec sheets required?
   g) Are there any specific NEC labels or special labeling requirements?

8. Is there a checklist or other set of requirements for what needs to be shown on the plans? 

9. I am attaching an example plan set created using our standard template. Is there anything that the utility company would need to be added to the plans to make reviews easier for your company?

10. If there is a subscriber email list for solar or permit requirement updates could we be added?

Thank you for your time and help,

[SIGNATURE]