Initial Due Diligence SOP

TRAINING MATERIALS:

• Jurisdiction Fundamentals

• Code Standards - NEC

• Code Standards - IBC/ASCE/NDS

• Plan Set Details

• Highline

SLA EXPECTATIONS:

• Initial Due Diligence Completed Within 2 Business Days of Entering the Queue 

• Updated Highline Requirements Completed the Day After Publication Via Tool Syncing

DETAILED STEP BY STEP: 

I.  Claim Ownership of Jurisdiction

1. For new jurisdictions in the Due Diligence queue: 

   1. Open the Jurisdiction’s salesforce account page and navigate to the details tab

   2. Place your name in the “Initial Due Diligence Completed” field.

   3. On the related tab under projects, if there is a project linked open it and copy the address for that account. If there is not a project linked to the account continue to “Research Level 1 Information”.

   4. Search the project's address on the AHJ registry page to confirm the AHJ name and location. Verify that the location on the AHJ page is the same location on the registry page. 

   5. If the location is not the same (Ex. The City of Genoa, OH is different from Genoa township, OH) modify the Salesforce page to reflect the correct location and information if it has already been filled in. Tag the person who created the page to let them know of the change and the specialist over licensing if they’ve left a note in the chatter.

2. For new jurisdictions in the Change Order queue: 

   1. Open the change order and place your name in the Owner field 

   2. Search the project's address on the AHJ registry page to confirm the AHJ.

   3. If the AHJ exists on Salesforce but is not in HL continue to "II.   Research Level 1 Information". 

   4. On the Salesforce service console change "Home" to "Accounts". Search for the Jurisdiction via the “Search this list…” GUI. You may need to couple this with browser searches for the Jurisdiction name and boundaries and the location of the project the change order object is attached to, to ensure you have the correct Jurisdiction and not a different Jurisdiction with a similar name (Ex. The City of Genoa, OH is different from Genoa township, OH).

   5. If the AHJ does not exist create the AHJ page in Salesforce.

      1. Click on the “New” button

      2. Select the account type “Permitting Jurisdiction” or “Utility”.

      3. Add the name of the AHJ and the State initials or the utility company followed by an official abbreviation in parenthesis (if one is evident).

      4. For Permitting Jurisdictions, hit the “Active Jurisdiction” checkbox and save the account

      5. For utility accounts, save the account and tag the utility department manager or research specialist. The utility department will need to get approval before we do further research

   6. Place your name in the “Initial Due Diligence Completed By” field.

II. Research Level 1 Information

1. All Level 1 information must be obtained and entered into Highline before the jurisdiction is saved in Highline or the Jurisdiction account marked “Approved”.

2. Search the AHJ name on google and find the applicable website. For permitting jurisdictions - In Ohio (and possibly more states in the future) verify the address of the project from the change order is in the same place as the one that pulled up on the AHJ registry. 

   1. For permitting jurisdictions verify if it's a town, city, village, county etc.

3. For Permitting Jurisdictions:

Search Highline for the Jurisdiction. If existing, verify the previously entered information is correct using the steps below.

3. 1. Create a Highline Jurisdiction 

      1. 1. Copy from an existing AHJ in the same state. Use the next biggest AHJ like the city or county. If those do not exist copy the nearest AHJ.

         2. Enter the official name of the Jurisdiction and the state, jurisdiction type, and territory.

            1. If a common name add the state initials after. (EX. Montgomery County -> Montgomery County, OH)

         3. Delete all information that does not fall under state/territory-level requirements.

            1. Some known state-level requirements: 

               1. NC - structural stamps and PIL required. 

               2. OH - wind speed 115 & most snow loads are 20. Reference this map, FIGURE 301.2(5)A ULTIMATE DESIGN WIND SPEEDS. 

               3. OR - Firecode. Verify with the baseline tool's jurisdiction database if unsure.

               4. Engineer of record requirements.

         4. Save the account before continuing with data collection, this will save the account and dates for when requirements were updated/added.

3. 2. Determine current code cycles through the AHJ website. This should be available through the building or fire department links on the main page. If unable to confirm building codes, do not proceed and ask your manager and/or supervisor to help locate and identify the current code cycles. Collecting this information incorrectly will lead to an incorrect Due Diligence process.

      1. Some states have a statewide code they follow, others allow individual permitting jurisdictions to determine which codes are adopted. If you are unsure which applies, go to the Code Adoption Map and click on the relevant state for related building codes. For electric code see the NEC Enforcement Map for locally adopted electrical codes. The entry should make it clear if codes are adopted statewide or locally.

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

      2. On the AHJ website search for the associated code years. Depending on the website these may be found on the main page, the permit information page, a page specifically for codes, or there may be a link to the AHJ’s municipal code book website. If they have a search bar, you can search for “Code”, "Solar", "Permits" or similar. Another place to look is in the permit application documents and application checklists. If the code years cannot be found after you have completed a thorough search and after consulting with the supervisor add the most common code years from the surrounding areas.

3. 3. Determine the weather information relevant to electrical systems

      1. Find the nearest weather station to the center of the permitting jurisdiction on the Solar Reference Map.

      2. In the Electrical Design Requirements section select the weather station out of the dropdown. If it does not exist in the drop-down go to the main sidebar and select the ‘Weather Stations’ tab under the ‘Jurisdiction Inputs’. Search for the weather station in the list and if non-existent, create a new one by clicking the “+” sign at the top of the page and enter the weather station name and data. Then select that station for the new AHJ.

3. 4. Determine the ASCE structural information

      1. Search for the information via the ASCE Hazard Tool for the relevant information.

      2. Enter the official name of the Jurisdiction and the state. Some places may also need the county.

      3. Under “Standard Version” select the option that is less than the building code year. Ex: 2018 IBC select “ASCE/SEI 7-16” (16<18) or if 2015 IBC select “ASCE/SEI 7-10” (10<15). (Note: States like OR and OH that have their owns codes are based off of the prior I-codes, verify which I-code year they are based on and that is the year that will be used for the ASCE reference)

      4. Under “Risk Category” select “II”

      5. Under “Site Soil Class” select “D - Stiff Soil” or under 7-16 select “D- Default”.

      6. “Measurements” will stay “customary”.

      7. In “Load Types” select: Wind, Seismic, and Snow. View Results.

      8. Use the corresponding information in the hazard tool to update the structural design requirements section of the database. Add the Ground Snow Load, Base Elevation (if this doesn’t show up on the hazard tool use an elevation finder), Wind Speed, Seismic Design Category(in seismic detail), and Seismic Risk.

3. 5. Add all information into Highline and double-check all fields, specifically search for items that you do not have filled out on the Jurisdiction Page before leaving any field blank or unknown.

3. 6. Search for any additional requirements on the website and available resources for:

• If stamps are required (structural or electrical)

• Custom setback requirements

• Custom site plan requirements

• Structural side views

• Module placement (location)

• Module orientation/array layout requirements

• Placards (even if equipment grouped)

• Custom 3-line diagram notes/details required

• Plan set dimensions/plan set printing requirements

• Site maps separate from roof layout page

• Custom warning labels/label types (coordinate with warehouse manager)

1. Add any found requirements to Highline in the "Site Drawing Custom Requirements" section.

3. 7. Save.

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4. For Utility Companies:

   1. Create Highline Utility

      1. Copy from existing utility in the state, this is the easiest method to avoid losing progress

      2. Delete everything you have not verified already

      3. Add in the name of the utility at the top of the new account

      4. Save the account before continuing to edit, this will save time and dates when items were added.

   2. Search for the available resources on the utility website for all of the following items:

      1. NEM agreement - online, portal, or PDF

      2. Solar contractor requirements and standards (sometimes listed as "Contractor Requirements and Standards")

      3. Parallel interconnection requirements for renewable energy interconnection, sometimes referred to as 'DER'

      4. Links to renewable energy programs associated with the utility company may be 3rd party or separate entities linked on the utility website.

      5. Battery and meter collar information, specifically for Tesla.

   3. Using the resources gathered, search for all items and proceed to add to the new Utility account on Highline

      1. Search for the requirements as listed in Highline, go in order for easy data entry

      2. Note any requirements not normally included that may be specific to the Utility

      3. Search and note for any mention of site plan requirements different from the regular note included (should be visible on the copied Utility on Highline)

      4. Requirements related to placards

   4. Once you have gathered all information from the utility or website, save and proceed to level 2 information.

III. Research Level 2 Information

1. Once you have completed Research level 1 Information and the HL page is created proceed with the following. Call the AHJ/Utility phone number for the permitting or building department available from the AHJ website 

   1. First, review the list of questions attached to the bottom of this SOP and identify all questions that you could not find a specific answer for from the online resources, make sure to note any additional context to the questions if required. Do not ask questions that you have already been able to find through your research on the AHJ beforehand. 

   2. Answer the phone with a typical greeting and make it clear that you are from the electrical compliance department at ION, which is a solar contractor, calling to address specific questions that we could not find answers to from the available online resources.

      1. This is included to direct you to the person who can answer your questions as long as you identify yourself and your purpose correctly. 

   3. Go through the questions one at a time and make sure you take notes as you go through the questions and include any additional information that may be useful to avoid a rejection upon submission. 

2. If you did not reach anyone, did not receive answers to all questions, or want to send a recap for further clarification, create an email from the correct template. Modify according to your specific situation.

   1. In the Compliance email account, hit “compose”, and in the new email, click on the 3 vertical dots near the bottom of the message (labeled “more options”)

   2. With the cursor, hover over “Templates” and select the “Solar Plan Set Requirements for” template for a permitting jurisdiction or the “Residential PV Interconnection Standards” template for a utility initial DD.

   3. Enter the name of the Jurisdiction/Utility at the end of the email’s subject line.

   4. Add preliminary information to the Jurisdiction for information that could not be found online.

   5. Remove items from the email that you have found and recorded in Highline.

   6. Add clarification questions to the email if you find information that is not clear.

   7. Add your tag and the “Permitting Jurisdiction” tag to the email and add your company signature to the bottom

   8. Send the email to the most appropriate email address you can find on the Jurisdiction’s website (plan reviewer, building official, or building inspector are usually the best choices)

3. Document Results

   1. If the AHJ was triggered from a change order complete out the CO and select Due Diligence in the rework. This will populate a due diligence record on the SHJ's SF related tab under due diligence. 

   2. On the AHJ sales force Related tab open a new Due Diligence if one was not triggered from a change order. 

      1. Fill in the information with compliance, initial, and a description of what you did. EX. Called, left voicemail, emailed john.smith@town.org, added AHJ to HL. Add completed date and save.