## NA1.2 Documentation and Communication Requirements for HERS Verification Compliance

The required building energy compliance features and the required field verification and diagnostic testing procedures shall be identified on a Certificate of Compliance completed in accordance with the requirements in Standards Sections 10-103(a)1 and 10-103(a)2. The builder or subcontractor shall complete all applicable Certificate of Installation documentation in accordance with the requirements in Standards Section 10-103(a)3 and the procedures described in NA1, and shall provide certification that the construction or installation complies with the applicable requirements on the Certificate of Compliance. The person responsible for the acceptance testing shall perform the required field verification and diagnostic testing and report the results on the Certificate of Acceptance documentation submitted in accordance with the requirements in Standards Section 10-103(a)4 and the procedures described in NA1, and shall provide certification that the construction or installation information reported on the Certificates of Installation are consistent with applicable requirements on the Certificate of Compliance. A certified HERS Rater shall perform all applicable HERS field verification and diagnostic testing and report the results on the applicable Certificate of Verification documentation submitted in accordance with the requirements of Standards Section 10-103(a)5 and the procedures in NA1, and shall provide certification that the construction or installation information reported on the Certificates of Installation, and the results of the Acceptance testing reported on the Certificate of Acceptance is consistent with applicable requirements on the Certificate of Compliance.

### NA1.2.1 Compliance Document Registration and Verification

Document registration requirements are introduced in Section NA1.2.1.1 and further described in the procedures in subsequent sections of NA1. Verification of electronic documentation is introduced in Section NA1.2.1.2 and is applicable to many aspects of the documentation procedures described in subsequent sections of Nonresidential Appendix NA1.

NA1.2.1.1 Document Registration Terminology and Effective Dates for Registration Requirements

When submittal of documentation to a Data Registry is required by applicable sections of Standards Section 10-103(a), the completed documents are referred to as registered documents, and the process of completing these documents by submitting information and certification signatures to the Data Registry is called registration. Refer to Reference Joint Appendix JA1 for additional terminology for Data Registries, registered documents and registration Providers. Additional specification for the document registration process is given in Reference Joint Appendix JA7.

Data Registry is a web service with a user interface and database maintained by a Registration Provider that complies with the applicable requirements in Reference Joint Appendix JA7, with guidance from the Data Registry Requirements Manual, and provides for registration of residential or nonresidential compliance documentation used for demonstrating compliance with Part 6.

Residential Data Registry is a Data Registry that is maintained by a HERS Provider that provides for registration, when required by Part 6, of all residential compliance documentation and the nonresidential Certificate of Verification.

Nonresidential Data Registry is a Data Registry that is maintained by a Registration Provider approved by the Commission that provides for registration, when required by Part 6, of all nonresidential compliance documentation. However, nonresidential Data Registries may not provide for registration of nonresidential Certificates of Verification.

Registration Provider is an organization that administers a Data Registry service that conforms to the requirements in Reference Joint Appendix JA7 and may conform to the guidance given in the Data Registry Requirements 'Manual.

##### NA1.2.1.1.1 Document registration requirements prior to January 1, 2015.

For all nonresidential buildings, high-rise residential buildings, and hotels and motels, when designated to allow use of an occupancy group or type regulated by Part 6:

(a) All Certificate of Verification compliance documents for duct leakage testing are required to be submitted for registration and retention to an approved Residential Data Registry, and

(b) Certificate of Compliance, Certificate of Installation, and Certificate of Acceptance compliance documents are not required to be registered.

##### NA1.2.1.1.2 Document registration requirements effective on January 1, 2015,

Contingent upon the approval of Nonresidential Data Registry(s) by the Commission, for all nonresidential buildings, high-rise residential buildings, and hotels and motels, when designated to allow use of an occupancy group or type regulated by Part 6:

(a) All Certificate of Compliance, Certificate of Installation, and Certificate of Acceptance documentation shall be submitted for registration and retention to an approved Nonresidential Data Registry.

(b) All Certificate of Verification documents for duct leakage testing are required to be submitted for registration and retention to an approved Residential Data Registry.

All submittals to the Data Registries shall be made electronically in accordance with the specifications in Reference Joint Appendix JA7.

NA1.2.1.2 Verification of Registered Documents

When document registration is required, printed paper copies or electronic copies of the applicable completed, signed, registered compliance documentation shall be allowed for use for required submittals to enforcement agencies, subject to verification that the information shown on the submitted document(s) conforms to the information shown on the current revision of the registered document(s) on file in the Data Registry for the building.

The document registration Provider shall make document verification services available via phone, internet, or utilization of digital technologies, to enable enforcement agency officials, builders, installation contractors, HERS Raters, and other authorized users of the Data Registry to verify that the information shown on submitted documentation is consistent with the information shown on the current revision of the registered document on file in the Data Registry for the applicable building.

### NA1.2.2 Summary of Documentation and Communication Procedures

The documentation and communication process for duct sealing field verification and diagnostic testing is summarized below. The subsequent sections of this chapter contain additional information and requirements that apply to all situations; however the section on alterations, NA1.8, applies specifically to the differences in the requirements for alterations. NA1.7 applies specifically to the differences in the requirements for Third Party Quality Control Programs.

(a) The documentation author and the principal mechanical designer shall complete the compliance documents for the building.

(b) The documentation author or the principal mechanical designer shall provide a signed Certificate of Compliance to the builder that indicates duct sealing with HERS Rater diagnostic testing and field verification is required for compliance.

(c) The builder or principal mechanical designer shall make arrangements for transmittal of a signed copy of the Certificate of Compliance, for units that require HERS verification, to a HERS Provider. The builder shall also arrange for the services of a certified HERS Rater prior to installation of the duct system, so that once the installation is complete the HERS Rater has ample time to complete the field verification and diagnostic testing without delaying final approval of occupancy by the enforcement agency. The builder or principal mechanical designer shall make available to the HERS Rater a copy of the Certificate of Compliance that was approved/signed by the principal designer/owner and submitted to the enforcement agency.

(d) The builder or subcontractor shall install the duct system(s) that requires field verification and diagnostic testing. The builder or the installing subcontractor shall perform diagnostic testing according to the procedures specified in Reference Nonresidential Appendix NA1.4 and NA2.

(e) When the installation is complete, the builder or the installing subcontractor shall complete and sign the Certificate of Installation, and Certificate of Acceptance, and post a copy of the completed signed Certificates at the building site for review by the enforcement agency in conjunction with requests for final inspection. The builder or subcontractor shall also provide a signed copy of the Certificate of Installation and Certificate of Acceptance to the HERS Rater.

(f) The HERS Rater shall confirm that the Certificate of Installation and Certificate of Acceptance has been completed as required, and that the installer’s diagnostic test results and all other Certificate of Installation and Certificate of Acceptance information shows compliance consistent with the requirements given in the plans and specifications and Certificate of Compliance approved by the local enforcement agency for the building.

(g) The HERS Rater shall complete the field verification and diagnostic testing as specified in NA1.6 and shall enter the test results into the HERS Provider Data Registry.

(h) The HERS Provider shall make available copies of the Certificate of Verification to the HERS Rater, builder, and the HERS Rater shall arrange to have a copy of the completed signed Certificate of Verification posted at the building site for review by the enforcement agency in conjunction with requests for final inspection.

(i) The enforcement agency shall not approve a building with individual single zone package space conditioning equipment for occupancy until the enforcement agency has received a completed signed copy of the Certificate of Installation, Certificate of Acceptance, and the Certificate of Verification at the building site in conjunction with requests for final inspection.

(j) The Registration Providers shall make document verification services available, via phone or internet communications interface, to the enforcement agency, builders and contractors, HERS Raters, the Energy Commission, and other authorized users of the Data Registry. The HERS Provider shall ensure that the Certificate of Verification information and approval signatures are retained as specified by Title 20 Section 1673(e).