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Chapter 9: Certification

Regulatory references: 28 CFR 36.601-36.608.

III-9.3000 Procedure Application and preliminary review.

The certification process begins with an application to the Department by a "submitting official." The submitting official is one who has principal responsibility for administration of a code or who is authorized to submit a code on behalf of a jurisdiction.

In some States, the local jurisdictions are required to follow and enforce the State code. Can the State submit a single application on behalf of the State as well as on behalf of all the local jurisdictions? Yes, the State can submit one application on behalf of the State and on behalf of any local jurisdiction that has authorized the State to do so.

What does the State or local agency have to do before it applies for certification? Four things are required:

  1. The code or law must have been formally approved by the issuing body. In those States where an administrative agency (rather than the legislature) is charged with developing a code, and it becomes law on a certain date if it is not modified by the legislature before that time, the Department will accept an application based on the code as approved by the agency.
  2. The agency has to give public notice of its intent to request certification and notice of a hearing.
  3. The agency has to hold a hearing within the State or locality at which the public is invited to comment on the proposed request for certification. The hearing must be held after adequate notice to the public and must be on the record (that is, a transcript of the hearing must be produced). This procedure ensures input from the public at the State or local level.
  4. The agency has to make the materials and the certification request available for public examination and copying.
What should the application include? The submitting official must include two copies of --
  1. The code;
  2. Standards or other documents referenced in the code;
  3. The law creating the agency;
  4. Any relevant manuals, guides, or other interpretive information;
  5. Any formal legal opinions that pertain to the code;
  6. Any model code or statute on which the code is based, along with an explanation of any differences between the model and the code being submitted for certification;
  7. The transcript of the public hearing; and
  8. Any other information that the submitting official wants to be considered.