## 9.6 Alterations

This section provides a road map and a few relevant summaries that identify the requirements in the Energy Standards that are unique to alterations. Envelope, mechanical and water heating system alterations must meet all applicable mandatory measures as discussed in Section 9.4; and must comply with the Energy Standards using the prescriptive or performance approach. If a building does not meet all applicable prescriptive measures, then the performance method using of approved compliance software is the alternative, see Section 9.7.

Residential lighting alterations need to meet applicable mandatory measures since there are no prescriptive lighting requirements in residential buildings.

### 9.6.1 Prescriptive Requirements

Although alterations must meet many of the same prescriptive requirements for new construction and additions, there are several exceptions or special allowances for certain types of alterations. Table 9-5 provides a detailed outline of envelope requirements for alterations, and Table 9-10 provides a similar outline for HVAC and water-heating alterations. For each type of alteration, the tables list:

1. The highlights of the mandatory measures applicable to that kind of alteration.

2. A summary of the relevant prescriptive measures.

3. Key exceptions, exemptions, or special allowances to the prescriptive measures.

4. The list of prescriptive compliance forms that must be submitted for permit.

9.6.1.1 Prescriptive Envelope Alterations

Table 9-5 summarizes requirements for the following types of residential envelope alterations:

1. Adding ceiling or roof insulation to an existing roof, or constructing a new roof on an existing building.

2. Replacing the roof sheathing of an existing roof.

3. Replacing part or the entire roof surface of an existing building.

4. Replacing or adding skylights.

5. Adding exterior wall insulation, or constructing new walls in an existing building.

6. Adding raised floor insulation over unconditioned space.

7. Replacing vertical fenestration: windows, clerestories, and glazed doors.

8. Adding vertical fenestration: windows, clerestories, and glazed doors.

#### Table 9-5: For Residential Alterations, Summary of Mandatory and Prescriptive Measures

Type of Envelope Alteration | Highlight(s) of Applicable MandatoryMeasures1 | Summary of Relevant Prescriptive Measure(s)2 | Exception(s) to the Prescriptive Measures | Prescriptive Compliance Form(s)
Adding Ceiling or Roof Insulation to an Existing Roof; or a New Roof on an Existing Building | Ceiling w/ Attic and Roof Rafters: R-19, U=0.054 §150.0(a) Exception: Where the space in the attic or rafter area is not large enough to accommodate R-19, the entire space shall be filled with insulation provided it does not violate Section 1203.2 of Title 24, Part 2. |  | N/A | CF1R-ALT |
Adding Exterior Framed Wall Insulation3 or a New Wall in an Existing Building | In 2x4 Framing: R-13, U=0.102 In 2x6 Framing: R-19, U=0.074 Exception: Walls already insulated to R-11 §150.1(c) | In 2x4 Framing: R-13, U=0.102 In 2x6 Framing: R-19, U=0.074 (same as Mandatory) | N/A | CF1R-ALT
Replacing Roof Sheathing | §110.8(j) | CZ 2 - 15: Radiant Barrier above Attic Spaces | (a) No requirement in CZ1 and CZ16; (b) Not required when installing below roof deck insulation | CF1R-ALT
Replacing > 50% of the Existing Roof Surface | §110.8(i) | Steep Sloped (> 2:12): CZ 10 - 15: Reflect.=0.20 and Emittance=0.75; or SRI=16 | (a) Air space of 1.0" between roof deck and bottom of roofing product. (b) Profile ratio of rise to width of 1:5 for >50% width of roofing product. (c) Existing ducts in attic insulated and sealed per §150.1(c)9. (d) Roof has > R-38 ceiling insulation. (e) Roof has a radiant barrier per §150.1(c)2. (f) There are no ducts in the attic. (g) In CZ10-15, >R-4.0 insulation above the roof deck. | CF1R-ALT
Low Sloped< 2:12: CZ13 & 15: Reflect.=0.63 and Emittance=0.75; or SRI=75 | (a) There are no ducts in the attic. (b) Reflectance and Roof Deck Insulation R-value in Table 150.2-A are met. | CF1R-ALT
Replacing Entire Roof, including sheathing | §150.0(a) Ceilings and rafter roofs achieve R19 or weighted U=0.054 | CZ 4, 8-16: Roof deck, ceiling insulation, and radiant barrier according to §150.1(c)1A using Option A or B. | N/A | CF1R-ALT
Adding or Replacing Skylight3 | Weighted average U-factor = or < 0.58 Exemption: Up to 10 ft2 or 0.5% of Conditioned Floor Area, whichever is greater, is exempt from the U-factor requirement §150.1(q) | Must not exceed the 20% Total or 5% West Fenestration Area with a U-factor = 0.32 (all CZs); in CZ2, 4 & 6-16: SHGC = 0.25 §150.2(b)1.A. | Added fenestration up to 75 ft2 need not meet Total or West-facing fenestration area per §150.2(b)1.A Exception 1. Replacement skylights up to 16 ft2 with a U=0.55 and SHGC=0.30 and not meet the total fenestration and West-facing area requirements per §150.2(b)1.A Exception 2. | CF1R-ALT
Adding Raised Floor Insulation | R-19 or equivalent U-factor Exception: Floors over controlled ventilation or unvented crawlspaces per §150.1(d) | R-19 or equivalent U-factor (same as Mandatory) | N/A | CF1R-ALT
Replacing Vertical Fenestration4 (Altered Glazing) | Weighted average U-factor = or < 0.58 Exemption: Up to 10 ft2 or 0.5% of Conditioned Floor Area, whichever is greater, is exempt from the U-factor requirement §150.0(q) | All CZs: U-factor = 0.32 CZ 2, 4 & 6-16: SHGC = 0.25 §150.2(b)1.B. | Replacement of vertical fenestration up to 75 ft2: U=0.40 (in all CZs) and SHGC=0.35 in CZs 2, 4 & 6-16 as per §150.2(b)1B Exception 1 . | CF1R-AL*T
Adding Vertical Fenestration4 (New Glazing) and Greenhouse | Weighted average U-factor = or < 0.58 Exemption: Up to 10 ft2 or 0.5% of Conditioned Floor Area, whichever is greater, is exempt from the U-factor requirement §150.0(q) | Must not exceed the 20% Total or 5% West Fenestration Area U-factor = 0.32 (in all CZs); In CZ2, 4 & 6-16: SHGC = 0.25 §150.2(b)1.A. | Added fenestration up to 75 ft2 need not meet total or west-facing fenestration area requirements as per §150.2(b)1.A Exception 1. Added Greenhouse must either meet the maximum U-factor of 0.58 or weighted average U-factor of 0.58 or up to 10ft2 or 0.5% of CFA whichever is greater as per §150.0(q) | CF1R-AL
1: Alterations must comply with all applicable mandatory measures in §110.0 and §150.0 of the Energy Standards as explained in Chapters 3, 4, 5 and 6 of this Manual, except as noted in §150.2(b).
2: Several prescriptive measures are Climate Zone (CZ) specific.
3: There are no mandatory measures or prescriptive requirements when altering below-grade or exterior mass walls.
4: Replacement fenestration is new fenestration that is located in the same existing wall or roof in which the same or larger area of existing fenestration is being removed. It labeled as "altered.” Any new fenestration area that increases the total net area of fenestration in any existing wall or roof is labeled as "new."

9.6.1.2 Greenhouse Windows

Greenhouse or garden windows are special windows that project from the façade of the building and are typically five sided structures. An NFRC-rated U-factor for greenhouse windows is typically high and may not meet the mandatory requirements for the fenestration U-factor of 0.58.

To meet this mandatory measure, greenhouse windows:

1. Must have a maximum U-factor of 0.58 or better; or

2. Must use the area-weighted average for all new and replacement fenestration with a combined mandatory maximum of 0.58 U-factor as per §150.0(q)2; or

3. Must meet the Exception to §150.0(q)1 for up to 10 ft2 or 0.5 percent of CFA, whichever is greater; or

4. When using the performance approach Exception 1 as per §150.2(b) - Any dual-glazed greenhouse or garden window installed as part of an alteration complies automatically with the U-factor and meets the requirements as per §150.1(c)3.

9.6.1.3 Adding Insulation to Existing Roof/Ceilings, Walls and Raised Floors

The prescriptive requirement for alterations is to add the equivalent of the specified level of insulation that fits within the cavity of wood framed assemblies:

1. R-19 or greater in between wood-framing members or a weighted average U-factor equal to or less than 0.054 for insulation installed at ceilings and rafter roofs; and

2. R-13 in 2x4 exterior walls, and R-19 in 2x6 or greater exterior walls, with no exterior rigid insulation required; or

3. R-19 in raised floors over crawl spaces, over open outdoor areas, unheated basements and garages.

9.6.1.4 Replacing the Roof Surface or Roof Sheathing (partial or entire replacement)

A. Steep-Sloped Roofs (> 2:12)

In Climate Zones 10 through 15, if 50 percent or more of the existing building’s roof surface is being replaced, the minimum cool roof requirement for the replaced steep-sloped roofing area shall have an aged solar reflectance of 0.20, thermal emittance equal to 0.75, or a minimum SRI of 16. The requirements above apply unless one of the following is present (considered equivalent to the cool roof requirements in §150.2(b)1Hi):

1. Air space of 1.0" (25mm) between the roof deck and the bottom of the roofing product.

2. Roofing product profile ratio of rise to width is at least 1:5 for >50 percent width of roofing product.

3. Existing ducts in attic are insulated and sealed according to §150.1(c)9.

4. Building has at least R-38 roof/ceiling insulation.

5. Roof of attic spaces has a radiant barrier according to §150.1(c)2.

6. There are no ducts in the attic space.

7. In Climate Zones 10 through 15, greater than R-2.0 insulation above the roof deck.

B. Low-Sloped Roofs (< 2:12)

In Climate Zones 13 and 15, if 50 percent or more of the existing building’s roof surface is being replaced, the minimum cool roof requirements for low-sloped roofs shall have an aged solar reflectance of 0.63, thermal emittance of 0.75, or a minimum SRI of 75 per §150.2(b)1Hii. These apply unless one of the following is present which are considered equivalent to the cool roof requirements in §150.2(b)1Hii:

1. There are no ducts in any attic space.

2. The aged solar reflectance can be traded off with additional insulation added at the roof deck as specified in Table 150.2-A of the Energy Standards.

#### Table 9-6: Aged Solar Reflectance Insulation Trade Off

Aged Solar Reflectance | Roof Deck Insulation R-value | Aged Solar Reflectance | Roof Deck Insulation R-value
0.62 – 0.60 | 2 | 0.44 – 0.40 | 12
0.59 -0.55 | 4 | 0.39 – 0.35 | 16
0.54 - 0.50 | 6 | 0.34 – 0.30 | 20
0.49 – 0.45 | 8 | 0.29 – 0.25 | 24

C. Roof Sheathing

In Climate Zones 2 through 15, if roof sheathing over an attic space with a continuous radiant barrier is being replaced, a continuous radiant barrier must be re-installed.

In Climate Zones 4, and 8 through 16, if the entire roof sheathing over a ventilated attic space is being replaced, roof and ceiling insulation must be installed to meet the following prescriptive requirements (as specified in §150.1(c)1A):

1. Option A: R-8 or R-6 above roof deck insulation (see explanation on required R-value in Chapter 3) and R-38 ceiling insulation.

2. Option B: R-18 or R-13 below roof deck insulation (see explanation on required R-value in Chapter 3) and R-38 ceiling insulation.

3. Option C: Verified ducts in conditioned space and R-30 or R-38 ceiling insulation.

Example 9-13

Question

There is a Victorian building that has been converted to an office building and needs to have a shake roof replacement. This building has a vented unconditioned attic with the insulation on the ceiling. Would I need to meet §150.2(b)Hi?

Answer

No, this section does not apply. The occupancy type has been changed to nonresidential. Since the Victorian building has a shake roof and is considered a steep sloped roof, §141.0(b)2Bib for nonresidential buildings would apply.

Example 9-14

Question

On an existing building, 50 ft2 of 85 ft2 of vertical glazing is being removed from an existing south facing wall and new glazing will be replaced as part of the alteration in the same opening. What requirements apply?

Answer

Since 50 ft2 is treated as “replacement” fenestration and 35 ft2 is considered existing, the replaced fenestration must comply with the requirements in §150.2(b)1B; or for this example Exception 1 to §150.2(b)1B can used. Vertical fenestration no greater than 75 ft2 can meet the requirements by installing fenestration no greater than a U-factor of 0.40 in Climate Zones 1-16 and SHGC of 0.35 in Climate Zones 2, 4, and 6 through 16.

9.6.1.5 Replacement Fenestration

Any fenestration (i.e., windows, skylights, clerestories, and glazed doors) that is being removed and replaced in an exterior wall or roof is considered “replacement fenestration”.

Replacement fenestration is an area of new fenestration that replaces an equal or greater area of glazing removed in the same existing wall or roof area. It is labeled as “altered” fenestration, and it need not occur in the same exact openings as the glazing being removed as long as it is being installed in the same existing wall or roof surface which remains a part of the existing building. Any added fenestration area that is larger than the total altered glazing area) is labeled as “new.”

9.6.1.6 New Fenestration in Alterations

The Energy Standards have relaxed some of the prescriptive restrictions on new vertical fenestration for alterations in existing dwellings. When new vertical fenestration is added in existing dwellings, up to 75 ft2 are not required to meet the overall total fenestrations limit (20 percent of the CFA) and the west facing area limit (5 percent of the CFA). This provides for additional flexibility to meet the Energy Standards requirements using the prescriptive approach, without having to resort to the performance approach. However, this additional fenestration must meet the prescriptive U-factor and SHGC requirements of Package A or meet the U-factor and SHGC requirements of Exceptions 1 and 2 to §150.2(b)1B.

Example 9-15

Question

An existing house in Climate Zone 12 has all single-pane windows. All of the windows (300 ft2 total) will be replaced within existing openings, except a pair of 40 ft2 French doors, which will replace an existing 30 ft2 window. What requirements apply?

Answer

For prescriptive compliance, replacement fenestration (equal to or less than the area of existing windows in each wall being altered) and new additional fenestration area must both meet the U-factor (0.32) and SHGC (0.25) in Package A. There are only 10 ft2 of added fenestration, so the project meets Exception 1 to 150.2(b)1A and is not required to meet the Package A total glazing area requirement. All installed fenestration also must meet applicable mandatory measures.

To use the performance approach, two or more energy measures must be used as a trade-off within the house per §150.2(b)2 The two altered components may be the same type, such as trade-off between two or more windows, or different types such as replacing one window and a water heater. Once the project has at least two altered components, then the Existing + Alterations calculation is available as a compliance alternative. In that case:

(a) In the Existing + Alterations approach without third party verification, replacement fenestration that achieves the fenestration values in Table 150.2-B of the Energy Standards is compared to those same values in the Standard Design. Replacement fenestration that does not reach these values is penalized.

(b) In the Existing + Alterations approach with third party verification, replacement fenestration that achieves the fenestration values in Table 150.2-B of the Energy Standards is compared to §Tables 110.6-A and 110.6-B default values for the existing fenestration condition. Replacement fenestration that does not reach these values is penalized.

(c) The use of window films in lieu of fenestration replacement are considered as an alteration option to existing fenestration for energy compliance. Similar to fenestration replacement, the window film must also meet the Standard Design for an altered component with or without third party verification as indicated in Table 150.2-B of the Energy Standards. Also, see window film installation protocols in RA4.2.3.

Example 9-16

Question

An existing building has all single-pane, metal-frame windows. A proposed remodel will replace all the windows; no other work is being done as part of the remodel. What applies?

Answer

Since only the windows are being replaced, all replacement windows must meet the prescriptive requirements of Package A, and new fenestration must also meet applicable mandatory measures of §110.6, §110.7 and §150.0.

If the prescriptive requirements of Package A cannot be met, the Existing + Alteration performance method can be used because more than two windows are being replaced.

Example 9-17

Question

An existing building has all single-pane, wood-frame windows. Two double-pane, metal-frame greenhouse

windows will be added as part of a remodel. How should the greenhouse windows be treated?

Answer

Since greenhouse windows add conditioned volume, but do not add conditioned floor area, this remodel is considered an alteration rather than an addition. For the purposes of alterations, any dual-glazed greenhouse windows installed as part of an alteration may use §150.0(q) to meet the U-factor and Package A to meet SHGC requirement.

If two or more types of altered energy measures are in the existing building, the Existing + Alterations performance method may be used. All applicable mandatory measures must be met.

Note: Any dual gazed greenhouse or garden window installed as an alteration shall comply with the U-factor requirements in §150.1(c)3.

Example 9-18

Question

Why are low-sloped roofing products requirement only listed for Climate Zones 13 and 15?

Answer

These two climate zones are the only climate zones which show energy cost-effectiveness for having a low-slope roofing product (cool roof) requirement.

Example 9-19

Question

Why are there so many exceptions to the addition and alterations section that can be considered equivalents to roofing products?

Answer

There are several energy features that are equivalent or having greater impact on energy savings than the roofing products. For example, older homes often have ducts under the house, and newer homes may have materials slightly below current requirements or equal to one of the items considered to be equivalent. If the ducts are insulated and air leakage controlled to meet current requirements, energy savings are expected to be at least equal the benefit of reflective roof coverings.

Example 9-20

Question

What happens if I have a low-slope roof on most of the house but steep-sloped roof on another portion? Do I have to meet two different criteria for the roofing products?

Answer

Yes. If your house is in Climate Zones 13 or 15, you will need to meet the low-slope criteria for the areas with low-slope. The areas with steep-slope roof will need to meet the other cool roof criteria.

Example 9-21

Question

I am replacing my existing wood shake roof with asphalt shingles. Would this be considered a repair?

Answer

No. A repair is defined as a reconstruction or renewal for the purpose of maintenance of any component, system or equipment of an existing building. A replacement of any component (i.e., roof top), system, or equipment for which there are requirements in the Energy Standards is considered an alteration and not a repair.

Example 9-22

Question

Where do radiant barriers need to be installed when using prescriptive Package A or meeting the performance standards where credit is taken for retrofitting a radiant barrier in the existing house?

Answer

The radiant barrier only needs to be installed on the underside of an attic roof assembly and the gable wall ends associated with an addition. The prescriptive requirement is the same for entirely new buildings.

Example 9-23

Question

I am considering reroofing my house. Under what conditions will I be required to put on a cool roof?

Answer

Cool roof requirements are triggered when 50 percent or more of the roof area is being replaced. Prescriptive requirements are waived if one of the Exceptions to §150.2(b)1 below applies:

Prescriptive Exceptions for Steep-Sloped Roofs

1. Air-Space of 1.0 inch (25 mm) is provided between the top of the roof deck and the bottom of the roofing product.

2. The installed roofing product has a profile ratio of rise to width of 1 to 5 for 50 percent or greater of the width of the roofing product.

3. If existing ducts in the attic are insulated and sealed according to §150.1(c)9.

4. Buildings with at least R-38 ceiling insulation.

5. Buildings with an attic radiant barrier meeting the requirements of §150.1(c)2.

6. Buildings with no ducts in the attic.

7. Buildings in Climate Zones 10-15, R-2 or greater insulation above the roof deck.

Prescriptive Exceptions for Low-Sloped Roofs

1. Buildings with no ducts in the attic.

2. Aged solar reflectance and roof deck insulation R-value in Table 150.2-A are met.

Alternatively, the building may show compliance using the performance approach.

Example 9-24

Question

I am building a 450 ft² addition on my house. Do I have to meet cool roof requirements in the prescriptive package?

Answer

Yes. If using prescriptive compliance, the roof must meet the cool roof requirements of Package A for the type of roof slope and density. To avoid the cool roof requirements, you may use the performance approach and tradeoff against other energy efficiency features of the addition alone or the existing building by using the Existing + Addition + Alterations approach.

### 9.6.2 Prescriptive HVAC System and Water Heating Alterations

The Energy Standards apply to alterations of the heating and cooling system whether or not the alterations correspond to an addition to the building. This section describes the conditions where compliance is necessary and describes the corresponding prescriptive requirements.

If the heating and cooling system is left unchanged as part of an addition or alteration, then compliance with the requirements for altered HVAC systems is not necessary. Extension of a duct is not considered a change to the existing heating and cooling equipment. However, the new ducts must meet mandatory requirements described in Section 9.4.2; and prescriptive requirements described below.

To meet the prescriptive alteration requirement for water heating, the water heating system shall be one of the following:

1. A natural gas storage or propane, non-recirculating water heater with an EF (Energy Factor) equal to or greater than the federal minimum; or

2. If no natural gas is connected to the building, electric storage tank water heater less than 60 gallons, or electric instantaneous with an EF equal to or greater than the federal minimum standards.

3. A water-heating system determined by the Executive Director to use no more TDV energy than item 1 above, or item 2 above if no natural gas is connected to the building.

Note: The performance compliance approach can be used to demonstrate that the proposed water heating system uses no more TDV energy than the system defined in item 1 above.

If it takes an extended period of time for hot water to get to a fixture, a common and cost effective solution may be to install a demand recirculation system. These systems can reduce both wait time and water waste (see Section 5.3.2 for more information). The installation of a manually controlled demand recirculation system that meets the requirement of RA4.4.9 meets the prescriptive alteration requirement of the Standards. Any other alteration to the hot water distribution system, such as timer or temperature control recirculation systems, must be analyzed using the performance compliance approach to show that the energy use of the building has not been increased.

To decrease the wait time, another alternative may be to install a second water heater close to the fixture. Installing an additional water heater into an existing building’s water heating system must be analyzed using the performance compliance approach to show that the energy use of the building has not been increased. However, if a natural gas or propane instantaneous water heater is added, the water heating system is pre-determined to comply with the prescriptive water heating alteration requirements. If instead, an additional storage water heater were to be added, the performance compliance approach must be used, as the added storage will increase the standby losses of the water heating system and that energy increase will need to be offset with other efficiency improvements.

Example 9-25

Question

I want to install an additional water heater to a single family residence with an existing natural gas water heater. Does this comply?

Answer

When there is an increase in the number of water heaters with an existing water heating system, the system must be analyzed using the performance compliance approach to show that the energy use of the system has not been increased. However, if the additional water heater is a natural gas or propane instantaneous water heater, the system automatically complies. No water heating calculations are needed.

The following table lists replacement heat pump water heating systems by climate zones that have equal or lower TDV energy than a standard design system with natural gas, LPG, or electric fuel source. These systems have been pre-calculated to comply with the prescriptive water heating alteration requirements when serving a single dwelling unit, with or without natural gas connection. These are only a few of many possible combinations that will comply using the performance compliance approach.

#### Table 9-7: Pre-calculated Replacement Heat Pump Water Heating Systems
for Single Dwelling Units

CZ | Energy Factor greater than or equal to
1 | 2.75
2 | 2.75
3 | 2.75
4 | 2.8
5 | 2.75
6 | 2.33
7 | 2.5
8 | 2.33
9 | 2.33
10 | 2.33
11 | 2.5
12 | 2.8
13 | 2.5
14 | 2.5
15 | 2.33
16 | EF ≥ 3, plus a solar water heating system with solar saving fraction ≥ 0.4

Example 9-26

Question

An existing 1,500 ft² single family residence is getting a 500 ft² addition. A new 50 gallon gas water heater will replace the existing water heating system. How do the water heating requirements apply?

Answer
Since this is an alteration to an existing water heating system, no water heating calculations are required for compliance of the addition alone. However, applicable mandatory measures apply. For newly installed piping, all the applicable insulation requirements of §150.0(j)2 shall be met. For existing piping that are accessible, the insulation requirements §150.0(j)2i, iii, and iv shall be met, which include the first five feet of hot and cold water lines from the storage tank, piping between heating source to storage tank, and all piping associated with a recirculation system. If building energy compliance is achieved with the Existing + Addition + Alterations calculation, the EF and other energy features of the water heating system are modeled in the performance method.

Example 9-27

Question

An existing 2,000 ft² single family residence has one 50 gallon gas water heater, and a 600 ft² addition with a new instantaneous gas water heater is proposed. How does this comply?

Answer

When there is an increase in the number of water heaters with an addition, the Energy Standards allow addition alone compliance in certain circumstances. Since this is an instantaneous gas water heater, it may be installed prescriptively with no water heating calculations. The mandatory requirements still apply.

The alternative to show compliance is by using the existing-plus-addition or whole building compliance.

Example 9-28

Question

An existing single family residence with one electric water heater has a 500 ft² addition with a 30 gallon electric water heater proposed. Does this comply?

Answer

When there is an increase in the number of water heaters with an addition, the Energy Standards allow addition alone compliance in certain circumstances.

If this residence does not have natural gas connected to the building and the new water heater has an EF equal to or greater than the federal minimum standards, the system complies prescriptively. No water heating calculations are required.

If it does have natural gas connected, then the new water heater must be natural gas, or calculations are required to show the proposed water heater would use no more TDV energy than an instantaneous natural gas water heater.

### 9.6.3 HVAC "Changeouts"

The Energy Standards make a distinction between two HVAC "changeout" situations:

1. Entirely new or complete replacement space conditioning systems.

2. Altered space conditioning systems.

The differences in the requirements for these two types of HVAC changeout situations are discussed in the following sections.

A. Entirely New or Complete Replacement Space Conditioning Systems

When an Entirely New or Complete Replacement Space Conditioning Systems is installed, the system must meet all applicable mandatory measures, including:

§150.0(h) – Space conditioning equipment loads, design, installation, etc.

§150.0(i) – Thermostat requirements.

Note: The Mercury Thermostat Collection Act of 2008 requires manufacturers to establish a collection and recycling program for out-of-service mercury-added thermostats. For more information go to: www.dtsc.ca.gov/thermostats

§150.0(j)2 – Refrigerant line insulation thickness.

§150.0(j)3 – Refrigerant line insulation protection.

§150.0(m)1 – California Mechanical Code(CMC) compliance.

§150.0(m)2 – Factory fabricated duct system UL requirements.

§150.0(m)3 – Field fabricated duct system UL requirements.

§150.0(m)4 – Duct R-value minimum ratings.

§150.0(m)5 – Duct insulation thickness and R-value.

§150.0(m)6 – Duct labeling requirements.

§150.0(m)7 – Backdraft damper requirements on vent systems.

§150.0(m)8 – Gravity ventilation system dampers.

§150.0(m)9 – Protection of insulation.

§150.0(m)10 – Prohibition of using porous inner core.

§150.0(m)11 – Duct system sealing and leakage testing for new systems.

§150.0(m)12 – Air filtration requirements.

§150.0(m)13A – HSPP/PSPP, mandatory return duct sizing (or diagnostically tested airflow and fan efficacy).

§150.0(m)13B-C – Requirements for zonally controlled systems.

These systems must also meet the prescriptive requirements found in:

§150.1(c)6 – Allowed heating system types.

§150.1(c)7 – Space heating and cooling system minimum efficiencies and refrigerant charge verification in Climate Zones 2, 8 through 15.

§150.1(c)9 - Duct insulation requirements.

§150.1(c)10 – Central fan integrate systems added or required as part of an addition or alteration must meet the 0.58 watts per cfm requirement.

These requirements are discussed in detail in Chapter 4, HVAC Requirements.

Note: Completely New or Replacement Duct Systems in multifamily dwelling units shall meet the 12 percent (total leakage protocol), or 5 percent (leakage to outside protocol) criteria used for newly constructed systems (may also use the smoke test protocol if the system does not meet these criteria). Otherwise, altered duct systems in multifamily dwelling units shall meet the 15 percent (total leakage protocol), or 10 percent (leakage to outside protocol), or smoke test criteria given in §150.2(b)1Dii(b).

A system installed in an existing dwelling shall be considered an Entirely New or Complete Replacement Space Conditioning System when:

1. The air handler and all of the system heating/cooling equipment ( e.g. outdoor condensing unit and indoor cooling or heating coil for split systems; or complete replacement of a package unit),are new, and

2. The duct system meets the definition of an Entirely New or Complete Replacement Duct System (including systems less than 40 feet in length).

An altered duct system installed in an existing home shall be considered an Entirely New or Complete Replacement Duct System when:

1. At least 75 percent of the duct material is new, and

2. Any remaining components from the previous system are accessible and can be sealed.

Altered duct systems that do not meet the definition of Entirely New or Complete Replacement Duct Systems shall be considered an Extension of an Existing System.

Space conditioning systems that do not meet the definition of Entirely New or Complete Replacement Space Conditioning Systems shall be considered Altered Space Conditioning Systems.

B. Altered Duct Systems – Duct Insulation and Sealing Requirements

When more than 40 linear feet of ducts are installed in an unconditioned space, it must be insulated to an installed minimum R-value as described in Table 9-8.

#### Table 9-8: Duct Minimum R-Value

Climate Zone | 1 -10, 12 & 13 | 11, 14 -16
Duct R-value | R-6 | R-8

When more than 40 linear feet of ducts are installed in conditioned space, the ducts must be insulated to the minimum mandatory insulation level of R-4.2 and be verified to be in conditioned space by both visual verification and diagnostic testing in accordance to RA3.1.4.3.8.

Entirely New or Complete Replacement Duct Systems must meet the mandatory requirements of:

1. §150.0(m)12 – Air filtration requirements, and

2. §150.0(m)13 – HSPP/PSPP, mandatory return duct sizing (or diagnostically tested airflow and fan efficacy).

These requirements are discussed in detail in Chapter 4.

Entirely New or Complete Replacement Duct Systems must also be sealed to the criteria for “new duct systems” found in Table RA3.1-2, discussed below.

An Entirely New or Complete Replacement Duct Systems may also include the original air handler, which may leak substantially more than the new equipment. Therefore, an attempt should be made to seal the duct system and the air handler to meet the 5 percent (of nominal system central fan airflow) leakage rate criteria. If the 5 percent leakage rate criteria cannot be met, a smoke test should be performed to verify that the excess leakage is non-accessible, and not from other accessible portions of the duct system. Note that the protocol for Smoke Test for accessible-duct sealing is given in RA3.1.4.3.7.

Note that this will satisfy the sealing requirement and does not cause the system to no longer meet the definition of an Entirely New or Complete Replacement Duct Systems.

Altered duct systems that do not meet the definition of Entirely New or Complete Replacement Duct Systems shall be considered an Extension of an Existing System. These duct systems are required to meet one of the leakage criteria for “altered existing systems” cases in Table RA3.1-2.

Duct sealing is a mandatory measure, therefore, alterations to an existing duct system, such as adding or replacing sections of duct, will trigger duct sealing. However, cost-effectiveness must also be taken into account. Having to seal an entire system because one foot of duct is being removed may not be cost effective. The Energy Standards set the length of 40 feet of duct that triggers this requirement.

If 40 feet of duct are being added or replaced, this work alone can trigger the requirement for duct sealing and field verification. The system would have to meet one of the leakage criteria for “altered existing systems” cases in Table RA3.1-2.

In 'addition to the duct sealing requirements, the added or replaced ducts must also meet the air distribution requirements of §150.0(m) and the duct insulation requirements of §150.1(c)9. The air distribution and duct insulation requirements must comply in all climate zones; however, these requirements apply to only new or replaced ducts, the existing and unaltered ducts do not need to comply with these requirements.

Installing 40 feet or less of new or replacement ducts alone will not trigger the sealing requirements described above; however, the new ducts and connections must still meet the air distribution and duct insulation requirements of §150.0(m) and §150.1(c)9.

C. Altered Space-Conditioning Systems - Duct Sealing

Existing duct systems must be sealed and verified by a HERS rater when portions of the heating and cooling system are altered. The requirement applies in all climate zones.

An air handler is installed or replaced.

Ducts must be sealed (as described below) under any of the following conditions:

1. An outdoor condensing unit of a split system air conditioner or heat pump is installed or replaced.

2. A cooling or heating coil is installed or replaced.

3. More than 40 feet of new or replacement ducts are installed.

If a residence has more than one duct system, only the ducts connected to the altered equipment need to be sealed and verified.

There are three options for showing compliance for existing duct systems 'listed below. The HERS Rater or installing contractor must at least attempt compliance with the first option (15 percent leakage); then any of the other options can be utilized:

1. Total leakage is less than 15 percent of nominal system fan airflow (RA3.1.4.3.1);

2. Leakage to the outside is less than 10 percent of system fan airflow (RA3.1.4.3.4);

3. If the first option (15 percent) leakage target cannot be met, then compliance can be achieved by sealing all accessible leaks verified by a HERS Rater inspection. When using this option sampling is not allowed (RA3.1.4.3.5-7).

a. HERS field verification is required for all options 'listed above. For options 1, and 2, verification can be accomplished through sampling as described in Sampling for Additions or Alterations below. For option 3, sampling is not allowed; a certified HERS Rater must do the visual inspection and the smoke test on every house

.

b. Since test equipment must be set up for the first three options, it may be most efficient to test and record the results for the existing system and then attempt to meet each option sequentially until compliance is achieved.

c. There are a few cases where duct sealing and duct leakage verification are not required. These exceptions include the following:

• Ducts that have already been sealed, tested, and certified by a HERS rater;

• Duct systems with less than 40 feet of duct;

• Duct systems that are insulated or sealed with asbestos.

A. Accessible Ducts

Several code sections and protocols require a smoke test to demonstrate that all accessible leaks have been sealed.

Accessible is defined JA1 as “having access thereto, but which first may require removal or opening of access panels, doors, or similar obstructions.”

Ducts located in an attic or crawlspaces are generally considered accessible because code requires access to those spaces. Access is usually gained by opening a door, hatch, or other moveable panel. If this can be done without causing damage that would need to be repaired, this is considered accessible. It is not expected that drywall sections have to be cut or damaged to gain access,

Some judgment is required in determining if ducts are accessible. The local code enforcement agency will have the final say when it is not immediately obvious.

For example:

If a boot is buried in insulation, then the boot would be considered accessible since the insulation could be moved or the register could be taken off to gain access so that it can be sealed.

When an air handler is replaced, the removal of the air handler would give the installer access to the attached plenums and ducts. These newly accessible areas of the duct work shall be sealed since they may be source of air leakage. Special attention should be given to where wall cavities are used as plenums and ducts.

If the ducts are buried under insulation, and gaining access to the leaks in these ducts would require moving insulation, this would also be considered accessible.

If a leak in the duct system is in a space between framing members that is too small for the average person to reach the joint to seal it, this area is probably not accessible.

If ducts are suspended far above the ground and reaching them would require scaffolding or special equipment other than normal ladders, then these are probably not accessible.

If sheet metal ducts are wrapped with insulation and a smoke test indicates multiple small leaks along the lengthwise seams in the ducts in many locations, it is probably not cost effective to remove the insulation to find and seal these leaks. However, if one or more location shows a very obvious and substantial leak, it must be sealed.

All other portions of the duct system for which a smoke test identifies the presence of leakage must be sealed to comply. The exemption for inaccessible portions of the duct system is applicable only if the other criteria for duct leakage compliance cannot be met.

The installing contractor may perform a smoke test to locate and seal accessible leaks, or assess whether or not the duct leaks are accessible. However, compliance by smoke test and sealing all accessible leaks must be determined by a smoke test that has been conducted by a HERS rater.

B. Refrigerant Charge Verification

In climate zones 2, and 8 through 15, when a refrigerant containing component of an air conditioner or heat pump is replaced or installed in an existing building, §150.2(b)1F requires a system that does not have a fault indicator display (FID) installed to have refrigerant charge field verified in accordance with all applicable procedures specified in Sections RA3.2.2, or RA1.

The Refrigerant Charge Verification (RCV) procedures in RA3.2 are not intended to replace the equipment manufacturer’s charging procedures and specifications. The installer must first charge the system according to the manufacturer’s instructions and specifications. It is important to know that the procedures in RA3.2 are not procedures for charging a system; rather, they are procedures for verifying proper charge. HERS raters are not allowed to adjust the refrigerant charge in systems that they are verifying. Raters are also prohibited from performing the weigh-in charge verification procedures. However, when specified by the Energy Standards, a rater may observe the installer while the installer performs the weigh-in procedure to verify compliance as specified in RA3.2.3.2 (described below).

In both cases the HERS Rater must also confirm minimum system airflow.

1. Fault indicator display. As an alternative to RCV, the installer may install a special device called a fault indicator display(FID). When this alternative is used by the installer, a HERS rater must still field verify the installation and operation of the FID as well as confirm minimum system airflow.

This device provides real-time monitoring of the air conditioning system and will show a warning visible to the home’s occupants when the system is either over or undercharged, or if the system airflow rate does not meet the minimum requirement. The display unit must be located within one foot of the thermostat.

When applicable, systems shall) be equipped with an FID device that provides a clearly visible indication to the occupant when the air conditioner fails to meet the required system operating parameters specified in Section JA6 for the installed FID technology. The FID indication display shall be constantly visible and within one foot of the air conditioners thermostat. FID installations shall be confirmed by field verification and diagnostic testing utilizing the procedures specified in RA3.4.2.

2. Minimum Airflow. When RCV is required for compliance, the system must also comply with the minimum airflow of 300 cfm/ton according to the procedures specified in RA3.3

Entirely New or Complete Replacement Space Conditioning Systems, as specified in §150.2(b)1C, must meet the minimum 350 cfm/ton airflow rate compliance criterion or the duct design alternative specified in 150.0(m)13.

3. Alternative to Refrigerant Charge and Verification requiring at least 300 cfm per ton of airflow. If the altered HVAC that requires RC&V is not able to comply with the 300 cfm per ton of airflow, the HVAC installer may choose the alternative procedure outlined in RA3.3.3.1.5, Alternative to Compliance with Minimum System Airflow Requirements for Altered Systems, provided that the system thermostat is an Occupant Controlled Smart Thermostat (OCST) which conforms to the requirements of JA5.

Under RA3.3.3.1.5, the installer must take a series of remedial steps, including but not limited to cleaning filters, removing obstructions from registers and dampers, replacing crushed or blocked ducts, cleaning the evaporator coil, making sure that the air handler is set to high speed and conforms to manufacturer specifications, and enlarging/adding the return duct and the return grill. These steps must be verified by a HERS Rater. Again, as mentioned above, when the installer chooses this option, the system thermostat must be an OCST.

4. Applicability of the protocols. The (RCV) protocols in RA3.2 and RA1 are applicable only to air-cooled air conditioners and air-source heat pumps. Equipment types such as ground source, water source, and absorption air conditioners and heat pumps cannot be verified using the protocols in RA3.2 and RA1. When a system other than an air-cooled air conditioner or air-source heat pump is installed, the requirements in §110.1 may provide further direction for compliance.

If an aspect of the RA3.2.2 or RA1 verification protocol is not applicable to the system, alternative requirements may be specified §150.2(b)1F, however, the procedures in RA3.2.2 or RA1 that are applicable to the system shall be performed.

For example, if a system does not have both a high side and low side refrigerant access port, and cannot conform to the sub-cooling or superheat RCV procedure, but is a ducted system that can conform to the airflow measurement protocol, the system must comply with the minimum airflow requirement specified in RA3.2.2.7. Similarly, if the outdoor temperature is below 55°F which precludes use of the RA3.2.2 protocol for verification of the charge, and if the RA1 protocol cannot be used, then the weigh-in charging procedure in RA3.2.3.1 shall be used, and the minimum system airflow rate shall be verified using the protocols in RA3.3.

The installer must determine which procedures are applicable to a system and verify compliance accordingly.

5. Thermostats. When an existing system has a refrigerant containing component added or replaced, the thermostat must be upgraded to a digital setback type that meets §110.2(c)

6. Package Units. Package units are typically pre-charged at the factory prior to shipment. When a new package unit is being installed or is replacing an older unit it may not require RCV if the installer certifies that it is factory charged and the installation did not alter the system in any way that would affect the refrigerant. The installer must submit a certificate of installation documenting this and third party verification of refrigerant charge by a HERS rater is not required. This only applies to new equipment shipped from the manufacturer. Any modification to existing equipment that adds or replaces refrigerant containing components voids this exception. It is important to note that this does not relieve the contractor from the requirement to verify that the system meets the minimum 300 cfm per ton airflow rate requirement.

7. Mini-Splits and Other System Types. Some air-cooled air conditioning systems and air-source heat pumps cannot use the standard charge verification procedure, as specified in RA3.2.2, due to the design or construction of the system components. These include certain “mini-split” systems and variable speed condenser systems. In these cases, the installer must use the weigh-in charge procedures, specified in RA3.2.3.1, and these systems must be HERS verified using the RA3.2.3.2 procedure for HERS Rater observation of the weigh in charge procedure. These systems must also be equipped with an Occupant Controlled Smart Thermostat (OCST) which complies with the requirements of JA5.

It is important that the installation of these types of systems be coordinated with the third party verification. When these systems are ducted, they are still subject to the minimum system airflow requirements.

1. Winter Refrigerant Charge Verification. Most systems will normally be verified using the RA3.2.2 standard charge verification procedure to demonstrate compliance. However, when the outdoor temperature is less than 55oF, and the standard charge verification procedure or an RA1 protocol cannot be used, the installer may elect to use the weigh-in charge method to demonstrate compliance. Compliance with HERS verification when the outdoor temperatures are less than 55oF can be demonstrated using one of the following alternatives:

a. The installer may use the weigh-in charging procedure, but elect to have the system verified by a HERS rater using the RA3.2.2 standard charge verification procedure at a time when the temperature is warmer. However, this option can delay the project In this case, the installer must include the signatures of the homeowner and the HERS Rater on the CF2R - MCH25c form to notify the local enforcement agency that a correct refrigerant charge will be verified at a later time (RA 2.4.4). The installer must also provide written notice to the homeowner that the charge has not yet been verified (RA2.4.4).

b. EXCEPTION 1 to §150.2(b)1Fiib provides for an alternative HERS verification procedure if the weigh-in method is used. This exception allows the installer to use the HERS Rater verification procedure in RA3.2.3.2 in which the rater observes the installer while the installer performs the weigh-in charging procedure. However, when the HVAC installer elects this option, as specified in RA3.2.3.2, the system thermostat must be an (OCST) that conforms to the requirements of JA5.

2. Weigh-in Procedure During Warm Weather. The installer may use the weigh-in procedure when the outdoor temperature is at or above 55oF; in this case the rater must use the standard charge verification procedure.

3. Weigh-in Procedure Description. The weigh-in procedure involves charging the system by determining the appropriate weight of refrigerant based on the size of the equipment and refrigerant lines rather than by actual performance of the system. Systems using the weigh-in procedure by the installer for any reason may not be third party verified by using sample groups.

There are two variations of the weigh-in procedures. One involves the adjustment to the amount of refrigerant in a system by adding or removing a fraction of the refrigerant as specified by the manufacturer (weigh-in charge adjustment). The other involves evacuating the entire system and recharging it with the correct amount of refrigerant by weight (weigh-in total charge).

The weigh-in charge adjustment procedure may only be used when a new factory-charged condenser is being installed and the manufacturer provides adjustment specifications based on evaporator coil size and refrigerant line size and length.

The weigh-in total charge may be used for any weigh-in procedure but still requires manufacturer’s adjustment specifications.

4. Standard Charge Procedure Description. The standard charge verification procedure also has two variations. One is for systems that have a fixed orifice and the other is for systems that have a variable metering device such as a thermostatic expansion valve (TXV) or electronic expansion valve (EXV).

Both procedures, whether performed by the installer or the rater require that adequate airflow be confirmed prior to verifying charge. If the airflow is less than the minimum requirement of 300 cfm per ton, the system is not operating near its designed capacity or efficiency and the standard charge verification procedure is not valid.

The standard charge verification procedures involve taking refrigerant line temperatures and pressures, calculating equipment performance parameters and comparing those to targets either provided by the manufacturer or obtained from standard tables. All temperature and pressure measurements must be taken using calibrated digital meters. Analog gauges are no longer allowed for refrigerant charge verification procedures due to a lack of accuracy and precision.

In systems that have metering devices, the proper installation and performance can be verified by similar measurements and is an important part of the standard charge verification procedure for systems that have metering devices.

5. Verifying Minimum System Airflow. The procedures for measuring total system airflow are found in RA3.3. They include plenum pressure matching using a fan flow meter, a flow grid, a powered flow hood and the traditional (non-powered flow hood). The airflow verification procedures for refrigerant charge verification no longer include the temperature split method.

If a system does not meet the minimum airflow requirements, remedial steps may be required to bring the airflow up. More airflow is generally better for systems with air conditioning. Not only does this allow proper refrigerant charge to be verified, but it also improves the overall performance of the system. Minimum system airflow must always be verified regardless of the refrigerant charge verification procedure, §150.2(b)1F states that systems must be installed with “all applicable procedures” which includes the minimum system airflow requirements.

In some cases, improving airflow may be cost prohibitive. The process for documenting this is in RA3.3.3.1.5. When this option is used, verification by sample groups is not allowed.

6. Temperature Measurements. To properly perform the standard RCV procedure, a means of taking an accurate return air dry-bulb temperature must be provided by the installer. In most systems, this is accomplished by drilling a 5/16” measurement access hole in the return side of the air handler or return plenum as shown in Figure RA3.2-1. If the correct location for these holes is not accessible, an alternative location may be provided as long as an accurate return air temperature measurement of the air as it enters the return side of the equipment can be made.

In other cases, taking the return air dry-bulb temperature at the return grill may be appropriate. This is true when the return is located entirely within conditioned space and not subject to leakage or conduction that may change the temperature of the air after it passes through the return grill and before it enters the evaporator coil. This may also apply to equipment where the return grill is an integral part of the air handler, such as enclosed soffit-mounted air handlers (pancake units).

7. Maintaining 70°F Return Air Temperature. During the data collection portion of the standard charge verification procedures, the return air dry bulb temperature, as measured at the measurement access hole, must remain at or above 70°F. This is to ensure proper refrigerant charge conditions, including but not limited to preventing the moisture on the coil from freezing. This requirement may be problematic during cooler outdoor conditions (above 55°F but below 70°F). The return air temperature can be maintained above 70°F by utilizing the home’s heating system or supplemental heaters. Note that the weigh-in method is always an option for the installer in these cases.

C. Airflow and Fan Efficacy

In all climate zones when an entirely new or replacement duct system is installed, the central forced air fan of all ducted air conditioners and heat pumps must simultaneously, in every zonal control mode, demonstrate airflow of greater than 350 CFM/ton of nominal cooling, and a fan watt draw of less than 0.58 W/CFM in accordance with the procedures in RA3.3

As an alternative to the field verified air flow and fan efficacy requirements, the system’s return ducts can be sized according to Tables 150.0-C or 150.0-D.

In 'addition to either the airflow/fan efficacy or return duct sizing alternative, the system installer must provide in the supply plenum, a hole for the placement of a static pressure probe (HSPP) or a permanently installed static pressure probe (PSPP), downstream of the evaporator coil that meets the specifications of RA3.3.1.

#### Figure 9-4: Hole for the Placement of a Static Pressure Probe
(HSPP) or Permanently Installed Static Pressure Probe (PSPP)

These requirements are mandatory measures and cannot be traded off by using the performance approach which is discussed in detail in Chapter 4.

Heating-only space-conditioning systems are not required to meet the prescriptive cooling coil airflow and fan watt draw requirements.

D. Sampling for Alterations

When compliance for an alteration requires field verification and diagnostic testing, the building owners or their agents may choose to have testing and field verification completed for the dwelling unit alone, or as part of a closed sample group of dwelling units for which the same installing company has completed work that requires testing and field verification for compliance.

Registration of the compliance documentation is required and the procedures for this must be followed as described in Chapter 2 of this 'manual, and in RA2.

Notes regarding sampling for alterations:

1. The sample group shall be no larger than seven.

2. The installing company may request a smaller group for sampling.

3. Homes in a sample group must all have the same set of features to be verified (duct testing, airflow/fan efficacy, refrigerant charge, etc.).

4. Homes with systems utilizing the weigh in method for refrigerant charge verification by the installer cannot be sampled.

5. Whenever the HERS Rater for the group is changed, a new group will be established.

6. Field verification and diagnostic testing shall be completed by the HERS rater for at least one randomly selected dwelling unit in each group.

7. Re-sampling, full testing and corrective action shall be completed if necessary, as specified in RA2.6.3.

8. The installing contractor must self test and register certificates of installation for all features to be tested prior to the rater choosing a home for verification by sampling.

9. Third Party Quality Control Program. An approved Third Party Quality control Program may serve some of the functions of HERS raters for field verification and diagnostic testing purposes but does not have authority to sign the Certificate of Verification (CF3R) as a HERS rater, as specified in RA2.7.

When a Third Party Quality Control Program is used, the HERS Rater must still submit completed, signed, registered copies of the CF3R to the enforcement agency, the installing contractor, and the builder or building owner for all dwellings that must demonstrate compliance.

1. Setback Thermostat.When a split system air conditioner or heat pump is altered by the installation or replacement of any refrigerant containing component and the existing thermostat is not a setback thermostat, then a new setback thermostat must be installed as described in Chapter 4 of this 'manual and as specified in §150.2(b)1Fi.

2. Fuel Switching.For prescriptive compliance, new electric resistance heating systems are prohibited in alterations unless the system being replaced is an electric resistance heating system. If the existing system is gas, propane, or LPG, then new electric resistance systems are not permitted. However, changing from a gas, propane, or LPG space heating system to an electric heat pump is allowed as long as the heat pump efficiency meets minimum efficiency standards, and the heat pump installed size is shown to result in no more TDV energy use than the standard design heat pump using the performance method as specified in §150.2(b)1C.

#### Table 9-9: Acceptable Replacement Heating System Fuel Source(s)

Existing Heating System Fuel Source | Acceptable Replacement Heating System Fuel Source(s)
Electric | Electric, natural gas, or equipment with efficiency equal to or better than existing system*
Natural gas | Natural gas, or equipment with efficiency equal to or better than existing system* or a heat pump with equal or lower TDV energy use than a standard design system.
LPG | Liquefied petroleum gas, natural gas, or equipment/ system with efficiency equal to or better than existing system* or a heat pump with equal or lower TDV energy use than a standard design system.
* Proof that equipment has an efficiency that is equal to or better than the existing system can be demonstrated by an approved compliance program or other approved alternative calculation method to compare the TDV energy use of the existing system to the proposed system.

Table 9-10 summarizes requirements for the following types of residential mechanical and water heating system alterations:

1. New or complete replacement space conditioning system: all new equipment and all new ducts with more than 40 linear feet of duct.

2. Altered space conditioning system with forced air ducts.

3. Altered mechanical cooling system.

4. Altered duct systems: when more than 40 linear feet of new or replacement ducts.

5. Installed a zonally controlled central forced air system.

6. Replaced water heater(s) and altered hot water pipe(s).

It is important to accurately identify the type(s) of alteration within the permitted scope of work. For example, duct sealing and HERS testing is a mandatory measure when there is a new or complete replacement space conditioning system and greater than 40 linear feet of duct. However, when only new or replacement ducts are being installed, and there is no new space conditioning equipment involved, duct sealing and HERS testing is a prescriptive measure. A key to using Table 9-10 effectively is to have a good understanding of the scope of the proposed alterations.

Example 9-29

Question

Do I have to seal the ducts if I replace the outdoor units in my house without changing the indoor unit?

Answer

Yes, replacing the outdoor unit (or indoor unit) by itself will trigger the duct sealing and verification requirement (§150.2(b)1E). However, there are two exceptions that might apply:

1. If the ducts have been previously sealed and verified as sealed, the ducts do not have to be sealed again and re-verified.

2. If there is less than 40 linear feet of the duct.

Example 9-30

Question

I have an existing electric furnace and I’m adding a new bedroom. Can I extend the existing ducts to the new room and use the existing furnace?

Answer

Yes. If ducts are extended from an existing space conditioning system, §150.2(b)1D allows the existing system but requires duct sealing if more than 40 linear feet of the new duct work is installed. such as in an attic or crawl space. The existing furnace must have adequate heating capacity to meet California Building Code requirements for the additional space.

Example 9-31

Question

I am adding a bedroom to a house that has a central forced air natural gas furnace. I would like to heat the room with an electric resistance baseboard heater rather than extend the existing ductwork to reach the new space. Is this allowed?

Answer

No. If using prescriptive compliance and since the existing system is gas, the addition cannot use an electric heating system. Options for heating the space include:

1. Extending the existing natural gas furnace system as long as there is adequate capacity to meet the California Building Code requirement.

2. Heating the added bedroom with an electric resistance heater is allowed if the performance approach is taken and the relatively high TDV energy consumption of the electric resistance heater is made up by TDV energy reductions from energy efficiency measures in the addition or in an accompanying alteration.

Note: If there are more than 40 linear feet of added ducts, then the ducts must be sealed, tested and verified as sealed by a HERS rater.

Example 9-32

Question

My central gas furnace stopped working. Since it is about 30 years old I decided to get a new more efficient unit rather than repair the existing one. What are the requirements?

Answer

Mandatory requirements apply to the components being replaced. The furnace, of course, must meet minimum efficiency requirements, but all systems sold in California should already meet the minimum efficiency requirements. If the existing thermostat is not a setback thermostat, it must be replaced with a setback thermostat, as specified in §150.2(b)1Fi that meets the requirements described earlier in this chapter.

All new ducts must meet insulation and construction requirements. All existing and new ducts must be sealed and HERS verified, as specified §150.2(b)1E.

Prescriptively, the new heating unit must be natural gas or heat pump.

The performance approach could be applied but only if the alteration includes “tradeoffs between two or more altered components that are 'listed in Table 150.2-B (insulation, fenestration, space conditioning equipment, air distribution systems, water heating system, roofing and other measures). Thus if other alterations are also being done one could specify other heating equipment such as a high efficiency heat pump, condensing gas furnace, or electric resistance, as long as the overall project has a lower TDV energy consumption than the “standard design.” When using the performance approach one can decide to either use the default standard design efficiencies that the alteration is compared against. Alternately one can hire a HERS rater to document the existing efficiencies and these existing efficiencies can be used in the standard design of performance calculation.

Example 9-33

Question

As part of an upgrade in an existing house, one of the ducts is being replaced because of deterioration of the insulation and jacket. What requirements apply to the replacement duct?

Answer

This is an alteration to the space conditioning system; therefore the mandatory measures for ducts apply. If more than 40 feet of the ducts are altered, then the requirements of §150.2(b)1D would trigger diagnostic testing and HERS verification of the whole duct system.

Example 9-34

Question

An upflow air-handling unit with a furnace and air conditioning coil is located on a platform in the garage of an existing house. The platform is used as a return air plenum. The air-handling unit is being replaced and the platform is being repositioned to the corner of the garage (three feet away from the current location). What requirements apply to this alteration?

Answer

The mandatory requirements apply to this alteration. In particular, §150.0(m) prohibits raised platforms or building cavities from being used to convey conditioned air (including return air and supply air). When the platform is relocated, it is being altered, and the mandatory requirement applies. Ducts made from sheet metal, duct board or flexible ducts must be installed to carry the return air to the replaced air handler. This requirement would not apply if the platform were not being altered.

Since the air handler is being replaced the prescriptive duct sealing requirements apply per §150.2(b)1E , unless the ducts have been previously sealed and confirmed through verification or there is less than 40 linear feet of duct.

Example 9-35

Question

What is meant by the term "air handler?"

Answer

The term "air handler" is used to identify the system component that provides the central system forced air movement for the ducted heating or cooling space-conditioning system. The term "air handler" may be properly used to identify various types of central system forced air-moving components that must meet the functional requirements for different types of space-conditioning systems. For instance a "gas furnace" air handler includes a gas combustion heat exchanger, and the central system fan, but does not include a DX cooling coil; an "electric furnace" air handler has electric heating coils, and the central system fan, but does not include a DX cooling coil; a "fan-coil unit" air handler for a split system heat pump has a DX cooling/heating coil and a central system fan; a hydronic heat pump air handler includes the air-side DX coil, compressor, water-cooled condenser, and the central system fan. There are other air handler configuration variations as well.

Example 9-36

Question

I have a residential building that was constructed in the 1920s. It has a freestanding gas furnace and I want to change it to an electric wall heater. Is this permitted?

Answer

No. §150.2(b)1Cii states that the new space-conditioning system be limited to natural gas, liquefied petroleum gas, or the existing fuel type unless it can be demonstrated that the TDV energy use of the new system is more efficient than the existing system. For your situation you would have to use gas or a heat pump for compliance.

#### Table 9-10: Residential Alteration, Summary of Mandatory and Prescriptive Measures

Type of Mechanical System Alteration | Highlight(s) of Applicable Mandatory Measures1 | Summary of Relevant Prescriptive Measure(s) | Exception(s) to the Prescriptive Measures | Prescriptive Compliance Form(s)
New or Complete Replacement Space Conditioning System (New Equipment and All New Ducts > 40 ft. | New equipment must meet all minimum efficiency and other requirements in §150.0(h), 150.0(i), 150.0(j)2, 150.0(j)3, 150.0(m)1 thru 11: duct sealing & HERS testing with forced air duct systems | All requirements of §150.1(c)6, 7, 9 &10; 150.2(b)1D;and heating system limited to natural gas, LPG or existing fuel type | Exemption from fuel type requirement if new system can be shown to use less TDV energy than the existing system. | CF1R-ALT or CF1R-ALT-HVAC; (CF1R must be registered w/a HERS Provider)
Altered Space Conditioning System with Forced Air Ducts | New equipment must meet all the minimum efficiency and other requirements in §150.0(h), §150.0(i), §150.0(j)2, §150.0(j)3, §150.0(m)1 | Duct sealing & HERS testing per §150.2(b)1.E | (1) Duct systems documented as previously sealed and HERS tested; or, (2) Duct systems with < 40; or, (3) Existing duct system constructed, insulated or sealed with asbestos | CF1R-ALT or CF1R-ALT-HVAC; (CF1R must be registered w/a HERS Provider)
Altered(5) Mechanical Cooling (Refrigerant-Containing) System | New equipment must meet all the minimum efficiency and other requirements in §110.2(c), §150.0(h), §1550.0(i), §150.0(j)2, §150.0(j)3, §150.0(m)1 thru 11 | In CZ2, 8-15: refrigerant charge per RA3.2.2 and & HERS testing per §150.2(b)1.F.i.b. Minimum system airflow per §150.2(b)1Fia | (1) Packaged systems w/correct, verified and documented refrigerant charge do not require HERS testing (2) When outdoor temperature < 55o F. and refrigerant weigh-in charging used and HERS test RA3.2.3.2 used, system thermostat must be Demand Response. | CF1R-ALT or CF1R-ALT-HVAC; (CF1R must be registered w/a HERS Provider)
Altered Duct Systems: When > 40 ft. of New or Replacement Ducts are installed | New ducts must meet applicable portions of §150.0(m)1 thru 11 including duct insulation in Table 150.1-A Entirely new and complete replacement duct systems must meet additional requirements in Sections §150.0(m)12 & 13. | New or Replacement Duct System: duct insulation per §150.2(b)1i., sealing & HERS testing per §150.2(b)1.D.ii.a. Extension of Existing Ducts By > 40 ft: HERS testing of existing duct system per §150.2(b)D.ii.b. | Exception to 150.2(b)D.ii.b. Duct Sealing: when existing duct system is constructed, insulated or sealed with asbestos. | CF1R-ALT or CF1R-ALT-HVAC; (CF1R must be registered w/a HERS Provider)
Installing Zonally Controlled Central Forced Air System | Airflow > 350 CFM/Ton cooling Fan < 0.58 W/CFM: HERS testing §150.0(m)13 | Bypass ducts that deliver conditioned supply air directly to the return duct airflow may not be used. §150.1(c)13 | N/A | CF-1R-ALT or CZ-Specific CF-1R-ALT-HVAC; MF-1R (CF-1R must be registered w/ a HERS Provider)
Replacement Water Heaters and Altered Piping | New equipment must meet minimum efficiency and other requirements in Sections §110.1, §110.3 and §150.0(j)2 Exception to §150.0(j)2 Inaccessible piping requires no insulation | (1) A natural gas or propane water heater with recirculation system, only Demand Recirculation with manual controls or, (2) If no natural gas is connected to the building: an electric water heater. For electric resistance storage water heaters, storage tank < or = 60 gallons. With recirculation system, only Demand Recirculation with manual controls | According to a calculation method approved by the CEC. Any water heating system that uses no more TDV energy than the prescriptive natural gas/propane water heater, or When no natural gas is connected to the building, any heating system that uses no more TDV energy than the prescriptive electric water heater. | CF-1R-ALT, or CF-1R-ALT-HVAC
Note: Alterations must comply with all applicable mandatory measures in §110.0 and §150.0 of the Energy Standards as explained in Chapters 3, 4, 5, and 6 of this manual, except as noted in §150.2(b).