## 2.2 Compliance Phases

### 2.2.1 Compliance and Enforcement

Complying with and enforcing the Energy Standards in residential buildings involve many parties. Those involved may include the architect or designer, builder/developer, purchasing agent, general contractor, subcontractor/installer, energy consultant, plan checker, inspector, Realtor, and owner/first occupant. All these parties must communicate and cooperate for the compliance and enforcement process to run efficiently.

The Energy Standards specify detailed reporting requirements that are intended to provide design, construction, and enforcement parties with required information to complete the building process and ensure that the energy features are properly installed. Each party is accountable for ensuring that the energy features of the building are correctly installed in the area of responsibility. This section outlines each phase of the process and discusses responsibilities and requirements associated with them.

The energy compliance documentation has been revised and reorganized. Prescriptive versions of the certificate of compliance (CF1R) have been designed to be used specifically with:

1. Residential Newly Constructed Buildings (CF1R-NCB-01).

2. Residential Additions (CF1R-ADD-01).

3. Residential Alterations (CF1R-ALT-01).

4. Residential HVAC Changeouts (CF1R-ALT-02).

5. Solar (CF1R-SRA-01).

The certificate of installation (CF2R) is separated into:

1. Envelope (CF2R-ENV).

2. Lighting (CF2R-LTG).

3. Mechanical (CF2R-MCH).

4. Plumbing (CF2R-PLB).

5. Solar (CF2R-SPV and CF2R-STH).

These categories and most compliance measures have a separate CF2R form that is specific to a particular installation. CF2R forms also incorporate references to applicable mandatory measures. The HERS certificate of verification (CF3R) forms are categorized and organized in the same way as the certificate of installation (CF2R) forms. Refer to Appendix A of this 'manual for more information about the forms or to view samples of the forms. Additional information about use of the compliance forms will be provided in applicable sections of this chapter and throughout this 'manual.

When HERS verification is required for compliance, the Energy Standards require residential energy compliance documents to be registered with a HERS Provider data registry prior to submittal to an enforcement agency This accomplishes retention of a completed and signed copy of the submitted energy compliance documentation. To simplify the permit process for HVAC changeouts, §10-103 of the Energy Standards allows the registered CF1R-ALT-02 document to be submitted to an enforcement agency at final inspection, and not before obtaining a permit. Refer to Chapter 9 of this 'manual for more details. Document retention is vital to compliance and enforcement follow-up and other quality assurance follow-up processes that ensure realization of energy savings from installed energy features. Refer also to Reference Residential Appendix RA2 and Reference Joint Appendix JA7 for more detailed descriptions of these document registration procedures that apply to each phase of the building energy code compliance and enforcement process.

### 2.2.2 Design Phase

§10-103(a)2

This phase sets the stage for the type and style of building to be constructed. In 'addition to issues concerning zoning, lot orientation and infrastructure, the overall design and energy features of the building are documented in the construction documents and/or specifications. Parties associated with this phase must ensure that the building complies with the Energy Standards and that the significant features required for compliance are documented on the plans and/or specifications.

During the design process, an energy consultant or other professional will typically assist the building designer by providing energy calculations that determine the effect of building features being proposed for the design to ensure that the final building design plans and specifications submitted to the enforcement agency will comply with the Energy Standards. Throughout the design phase, energy consultants or the documentation author may suggest recommendations or alternatives to help the designer achieve compliance.

The building design plans submitted to the enforcement agency must include the specifications for the building energy features needed to achieve compliance, including insulation levels, window performance, equipment performance, lighting fixture types and controls, exhaust fan performance, envelope sealing, weather stripping requirements, and any other feature that was used for compliance or is mandatory. The building design plans and specifications must be consistent with respect to the energy efficiency features information on the certificate of compliance (CF1R) submitted to the enforcement agency. Any change in the building plans or specifications, during any phase of design or construction, that changes the energy feature specifications for the design necessitates recalculation of the building energy compliance, and issuance of a revised certificate of compliance (CF1R) that is consistent with the revised plans and specifications for the proposed building. If recalculation indicates that the building no longer complies, alternate building features must be selected that brings the design back into compliance with the Energy Standards.

### 2.2.3 Permit Application

§10-103(a)2

When the design is complete, the construction documents are prepared, and other approvals (planning department, water, and so forth) are secured, the owner or contractor applies for a building permit. This is generally the last step in a long process of planning and design. At this point, the infrastructure (streets, sewers, water lines, electricity, gas, and so forth) is in place or is being constructed and it is time to begin constructing the building(s).

To help the enforcement agency verify that the proposed building complies with the Energy Standards, a set of compliance documents is submitted with the building permit application. These documents consist of a certificate of compliance (CF1R), which is required by the Energy Standards (see §10-103). The length and complexity of the documentation can vary considerably depending on: the number of buildings that are being permitted whether an orientation-independent permit is being requested; whether the performance approach or the prescriptive approach is being used; and many other factors. An energy consultant who understands the code and is able to help the builder or owner comply with the standards in the most cost-effective manner often prepares the certificate of compliance documentation.

The administrative regulations §10-103(a)2 require that documentation be submitted with permit applications that will enable the plans examiner to verify the compliance of the building. The forms used to demonstrate compliance must be readily legible and shall conform to a format and informational order and content approved by the Energy Commission. If registration is required, the CF1R that is submitted to the enforcement agency must be a registered copy from an approved HERS Provider data registry.

### 2.2.4 Plan Check

The registration process requires the builder or designer to submit the certificate of compliance information and an electronic signature to an approved HERS Provider data registry in order to produce a completed, signed, and dated electronic certificate of compliance (CF1R) that is retained by the registry. The CF1R is assigned a unique registration number, and then copies of the unique registered CF1R are made available to authorized users of the HERS Provider data registry for use in making electronic or paper copies of the registered document(s) for submittal to the enforcement agency as required.

Local enforcement agencies check plans to ensure that the building design conforms to the building standards. This check includes health and safety requirements, such as fire and structural, and the building energy efficiency requirements. Vague, missing, or incorrect information items on the construction documents are identified by the plans examiner, and when necessary, the permit applicant is required to make corrections or clarifications and then resubmit revised plans and specifications for verification by the plans examiner. When the permit applicant submits accurate, clearly defined plans and specifications, it helps speed up the plan check process, because this provides the plans examiner with all the information needed to complete the plan check review. If the plans examiner must go back to the applicant to request more information, it can be a time-consuming process that would be simplified when complete and accurate construction documents are submitted for plan check approval.

With regard to energy code concerns, from the enforcement agency's perspective, the plan checker's responsibility is to verify that the information contained on the construction documents is consistent with the requirements specified on the energy efficiency compliance documents (the CF1R). Some examples of how the plans examiner will verify that the energy efficiency features detailed on the certificate of compliance (CF1R) forms are specified in the respective sections of the building plans include:

1. Verifying the window and skylight U-Factor and Solar Heat Gain Coefficient (SHGC) values from the CF1R on the structural/architecture plans in a window/skylight schedule, window/skylight legend for the floor plan

2. Verifying the HVAC equipment SEER, EER, AFUE, and other efficiency values from the CF1R on the Title 24 plans, mechanical plans and so forth in an equipment schedule.

Note: The enforcement agency should clearly articulate to the builder/designer the acceptable methods of specifying energy features on the building plans for approval.

Since personnel that purchase building materials, and the building construction craftsmen in the field may rely solely on a copy of the approved plans and specifications for direction in performing their responsibilities, it is of utmost importance that the building design represented on the approved plans and specifications complies with the Energy Standards as specified on the certificate(s) of compliance (CF1R).

The enforcement agency plans examiner must also verify that the compliance documents do not contain errors. When the compliance documents are produced by Energy Commission-approved computer software applications, there is less chance that there will be computational errors, but the plans examiner must still verify that the building design represented on the plans is consistent with the building energy features represented on the certificate of compliance (CF1R) documents. To obtain a list of Energy Commission-approved energy code compliance software applications, visit the Energy Commission website at:

www.energy.ca.gov

Or call the Efficiency Standards Hotline at 1-800-772-3300.

With production homes, where a builder may be constructing several identical houses at roughly the same time, the compliance documentation may be prepared in such a way that a house or model can be constructed in any orientation. In these instances, the plans examiner shall verify that the home complies facing all four main compass points (north, south, east, and west) on the CF1R form.

### 2.2.5 Building Permit

After the plans examiner has approved the plans and specifications for the project, the enforcement agency may issue the building permit at the builder’s request. Issuance of the building permit is the first significant milestone in the compliance and enforcement processes. The building permit is the green light for the contractor to begin the work. In some cases, the building permits are issued in phases. Sometimes there is a permit for site work and grading that precedes the permit for actual building construction.

### 2.2.6 Construction Phase

Upon receiving a building permit from the local enforcement agency, the contractor begins construction. The permit requires the contractor to construct the building in accordance with the plans and specifications, but often there are variations. Some of these variations are formalized through change orders. When change orders are issued, it is the responsibility of the permit applicant and the local jurisdiction to verify that compliance with the code is not compromised by the change order. In some cases, it will be clear if a change order would compromise compliance, for instance, when an inexpensive single glazed window is substituted for a more expensive high performance window. It may be difficult however, to determine if a change order would compromise compliance; for instance, when the location of a window is changed, or when the orientation of the house is changed. Field changes that result in noncompliance require enforcement agency approval of revised plans and revised energy compliance documentation to confirm that the building still complies with the Energy Standards.

During construction, the general contractor or specialty subcontractors are required to complete various certificate(s) of installation (CF2R). These certificates verify that the contractor is aware of the requirements of the Energy Standards and that they have followed the Energy Commission-approved procedures for installation, and to identify the energy efficiencies and features of the installed building components. The certificate(s) of installation (CF2R) are a collection of energy compliance information forms that are applicable to each regulated energy feature that may be included in the construction. The certificates are required to be completed by each of the applicable specialty contractors when they install regulated energy features such as windows, water heater and plumbing, HVAC ducts and equipment, lighting, and insulation.

The licensed person responsible for the building construction, or for installation of an energy-related feature, must ensure their construction or installation work is done in accordance with the approved plans and specifications for the building, and must complete and sign a certificate of installation (CF2R) to certify that the installed features, materials, components or manufactured devices for which they are responsible conform to the plans and specifications and the certificate of compliance (CF1R) documents approved by the enforcement agency for the building. A copy of the completed, signed and dated CF2R must be posted at the building site for review by the enforcement agency in conjunction with requests for final inspection for the building, and copies of the registered CF2R forms shall be provided to the homeowner.

When any HERS verification is required for compliance, all of the CF2R forms must be registered from an approved HERS Provider data registry. When registration is required, the builder or installing contractor must submit information to an approved HERS Provider data registry to produce a completed, signed and dated electronic certificate of installation (CF2R) that is retained by the registry for use by authorized users of the registry. After the information to complete the CF2R document is transmitted to the data registry and the form is electronically signed, the CF2R is assigned a registration number, and copies of the unique registered CF2R are made available to authorized users of the HERS Provider data registry for use in making electronic or paper copies of the registered document(s) for submittal to the enforcement agency as required. The builder or installing contractor responsible for the installation must provide a copy of the completed, signed, and registered certificate of installation to the HERS Rater, and post a copy at the building site for review by the enforcement agency in conjunction with requests for final inspection, and provide copies of the registered CF2R forms to the homeowner.

For additional information and details regarding the registration of CF2R documents, refer to Reference Residential Appendix RA2 and Reference Joint Appendix JA7.

### 2.2.7 Enforcement Agency Field Inspection

§10-103(d)

Local enforcement agency representatives inspect all new buildings to ensure compliance with the Energy Standards. Field construction changes and noncomplying energy features require parties associated with previous phases to repeat and revise their original energy compliance documents, or reinstall building components that meet the building specifications and energy compliance documents.

Enforcement agencies generally make multiple visits to a building site to verify construction. The first visit is typically made just before it is time to pour the slab or the building foundation. At this visit, the building inspector verifies that the proper reinforcing steel is in place and that necessary wiring and plumbing that will be embedded in the slab meet the requirements of the standards. The inspector should verify features that are to be installed in concrete slab floors, such as slab edge insulation or hot water recirculation loops that involve piping that must be installed in the slab. The inspector should also verify the front orientation and floor assembly types (such as slab on grade, raised floor, and others) of the building during this phase of construction. Details of how the inspector should verify these components will be discussed further in Chapter 3 of this 'manual.

The second visit generally occurs after the walls have been framed, and the HVAC equipment and ducting, fenestration, lighting cans, electrical wiring, plumbing, and other services have been constructed or installed. This inspection is recommended to be made before the insulation is installed, since it is the best time to assure the completion of sealing and caulking around windows, and the caulking and sealing of any holes bored through the framing members for installation of hot and cold water piping and electrical wiring. During the rough frame inspection, it is also best for the inspector to verify the installation of the high efficacy lighting (or the applicable lighting control alternatives) so that the contractor has ample time to make any necessary corrections before the final inspection, and to avoid having to remove drywall, insulation, and so forth to remove an incandescent can. The inspector should also verify the window/skylight U-factor and SHGC values, the proper sealing/installation of HVAC ducts and duct insulation R-value, the installation of exhaust fan housing and ducting in bathrooms and kitchens (ASHRAE 62.2.), installation of a radiant barrier and/or cool roof when required for compliance during this phase of construction. Details of how the inspector should verify these components will be discussed further in the respective chapters of this 'manual.

The third visit is the insulation inspection, which takes place after the wall, ceiling, and floor insulation have been installed. This inspection occurs before the drywall is installed to verify that the insulation R-value matches the CF1R form, and that the insulation has been properly installed without compressions, voids, or gaps. The inspector should verify that insulation is installed correctly around and behind piping, and that all exterior walls are insulated (especially behind obstructing objects like a bathtub). Details of how the inspector should verify these components will be discussed further in Chapter 3 of this 'manual.

The next visit is usually a drywall inspection, where the inspector verifies that the drywall is installed properly to limit infiltration and exfiltration, especially at locations surrounding lighting cans, HVAC registers and vents, electrical sockets, and so forth.

The final inspection is conducted after the walls have been closed and the final electrical and plumbing fixtures are in place. The inspector should verify HVAC efficiency values, water heating efficiency values, exhaust fan cfm and sone (noise level) ratings in bathrooms and kitchens (ASHRAE 62.2), exterior lighting and controls, weatherstripping on exterior/demising doors, etc. during this phase of construction. The inspector will also verify that all required CF2R and CF3R forms have been completed, signed, and registered (when applicable), and that copies of all of these forms have been provided to the building owner. Details of how the inspector should verify these components will be discussed further in the respective chapters of this 'manual.

The typical enforcement agency inspection sequence can vary from jurisdiction to jurisdiction, and it can be difficult for the enforcement agency to verify every energy efficiency measure required to be installed in the building. For example, exterior wall insulation will likely not be installed at the time of the framing inspection, if the enforcement agency does not include the insulation inspection in its field inspection process, the exterior wall insulation would be concealed from an inspector's view at the time of the final inspection.

For this and other reasons, the certificate(s) of installation (CF2R), and when required, the certificate(s) of verification (CF3R) are crucial. When inspection of an installed energy feature would be impossible because of subsequent construction, the enforcement agency may require the CF2R for the concealed feature to be posted at the site or made available to the inspector upon completion/installation of the feature. In these instances, to simplify the inspection, the inspector would reference the efficiency values and building components specified on the submitted CF2R form to verify compliance with the Energy Standards.

When registration is required, all certificate(s) of installation (CF2R) must be registered copies from an approved HERS Provider data registry. For all measures requiring field verification, a registered certificate of verification (CF3R) shall also be made available to the building inspector.

### 2.2.8 Field Verification and/or Diagnostic Testing

Some building features require field verification and/or diagnostic testing completed by a third party inspector, called a HERS Rater, as a condition for compliance with the standards. The Energy Commission has established the California Home Energy Rating System (HERS) program to train and certify HERS Raters who are considered special inspectors by enforcement agencies. When compliance with the Energy Standards is based on energy features that require third party (HERS) verification, a certified HERS Rater is required to perform field verification and/or diagnostic testing according to the procedures in Reference Residential Appendix RA2 using the protocols specified in Reference Residential Appendix RA3.

There are mandatory measures, prescriptive measures, and performance credits that require HERS field verification and/or diagnostic testing. Most of the typical measures that require HERS field verification and/or diagnostic testing involve air-conditioning equipment and forced air ducts that deliver conditioned air to the dwelling. Examples of measures requiring HERS verification are refrigerant charge measurement and duct sealing.

The Energy Standards mandate that all newly constructed homes have duct sealing (leakage testing), duct system airflow and fan watt draw (and installed HSPP/PSPP), and exhaust fans/systems (ASHRAE 62.2.) verified by a HERS Rater when those systems are installed. Details about these specific HERS measures and others will be discussed in the HVAC chapter (Chapter 4) chapter of this 'manual.

Additional measures requiring field verification include reduced duct surface area, increased duct R-value, high EER cooling equipment, and quality installation of insulation. For a full list of measures requiring field verification and/or diagnostic testing, refer to Table RA2-1 of the 2016 Reference Residential Appendices. The requirements for field verification and/or diagnostic testing apply only when equipment or systems are installed. For example, if a house has no air distribution ducts, then a HERS Rater does not have to test them.

The HERS Rater must verify the required features and transmit all required data describing the feature and the results of the verification or diagnostic test to an approved HERS Provider data registry. The HERS Rater must also confirm that the installed energy feature being verified is consistent with the requirements for that feature as specified on registered copies of the CF1R approved by the enforcement agency for the dwelling, and that the information on the CF2R is consistent with the CF1R. The test results reported on the CF2R by the person responsible for the installation must be consistent with the test results determined by the HERS Rater's diagnostic verification and meet the criteria for compliance with the standards. A copy of the registered CF2R must be posted at the building site for review by the enforcement agency, and made available for all applicable inspections. A copy of the registered CF2R must also be left in the dwelling for the homeowner at occupancy.

Results from the rater's field verification or diagnostic test are reported to the HERS Provider data registry with either a “pass” or “fail”. If the results indicate “pass”, the HERS Provider data registry will make available a registered copy of the certificate of verification (CF3R). A copy of the registered CF3R must be posted at the building site for review by the enforcement agency, and made available for all applicable inspections. A copy of the CF3R must be provided to the builder, and a copy must also be left in the dwelling for the homeowner at occupancy. If field verification and /or diagnostic testing indicates “fail”, that failure must be entered into the HERS Provider data registry. HERS Providers shall not permit any user of the registry to print or access electronically CF3R forms for noncompliance entries unless the CF3R form contains a watermark with the word “FAIL” or “FAILURE”, making it abundantly clear the result of the test was a failure. Corrective action shall be taken by the builder or installer on the failed measure and the measure shall be retested by the HERS Rater to verify that the corrective action was successful. Once determined to be corrected, the passing measure shall be entered into the HERS Provider data registry.

### 2.2.9 Approval for Occupancy

In multifamily dwellings of three or more units, the final step in the compliance and enforcement process is the issuance of an occupancy permit by the enforcement agency. This is the “green light” for occupants to move in. Single-family homes and duplexes may be approved for occupancy without an occupancy permit being issued. Often a signed-off final inspection serves as an approval for occupancy. When HERS verification is required before occupancy approval, the HERS Rater must post a signed and registered CF3R in the field for the building inspector to verify at final inspection. The HERS Rater must also provide a copy of the registered CF3R to the builder, and a copy must be left in the building for the building owner at occupancy. Only registered CF3R documents are allowed for these document submittals. Handwritten versions of the CF3R are not allowed for document submittals.

### 2.2.10 Occupancy

At the occupancy phase, the enforcement agency shall require the builder to leave inside the building all completed, signed and dated compliance documentation which includes at a minimum the CF1R and all applicable CF2R forms. When HERS field verification is required, a copy of the registered CF3R is also required to be left on site with the compliance documentation. When registration is required, the CF1R and all required CF2R compliance documentation shall be registered copies as well. The builder is required to provide the homeowner with a 'manual that contains instructions for operating and maintaining the features of his or her building efficiently. See Section 2.3.5 for more details.