## NA1.8 Installer Requirements and HERS Procedures for Alterations

This section on alterations describes the differences that apply to alterations. Otherwise the procedures and requirements detailed in previous sections of NA1 shall also apply to alterations. For alterations, building owners or their agents may carry out the actions that are assigned to builders in previous sections of Appendix NA1.

Applicable procedures for registration of compliance documents described in Appendix NA1 shall also apply to alterations.

When compliance for an alteration requires diagnostic testing and field verification, the building permit applicant may choose for the testing and field verification to be completed for the permitted system or dwelling unit alone, or alternatively as part of a designated sample group of space conditioning systems for which the same installing company has completed work that requires field verification and diagnostic testing for compliance.

When sampling is utilized for HERS verification compliance for alterations, the buildings in a designated sample group are not required to be located within the same enforcement agency jurisdiction. However, to enable the enforcement agency to schedule testing to accomplish the corroboration of field verification and diagnostic testing procedures performed by builders, subcontractors, or certified HERS Raters as described in Section NA1.3.4, the enforcement agency may require that a separate system from the sample group that is located within its jurisdiction be tested.

The building permit applicant shall submit or make arrangements for submittal of the required Certificate of Compliance information to the HERS Provider and complete the applicable Certificate of Compliance documentation in accordance with the requirements in Standards Section 10-103(a)1 and 10-103(a)2.

When the enforcement agency does not require building design plans to be submitted with the application for a building permit for an alteration, any applicable registered Certificate of Compliance documentation specified in Section 10-103(a)1 is not required to be approved by the enforcement agency prior to issuance of a building permit, but shall be approved by the enforcement agency prior to final inspection of the dwelling unit, and shall be made available to the enforcement agency for all applicable inspections as specified in Standards Section 10-103(a)2A.

HERS Raters or other authorized users of the Data Registry may provide documentation author support to facilitate the submittal of any required Certificate of Compliance information to the enforcement agency on behalf of the building owner or agent of the building owner, when such facilitation has been authorized by the building owner or agent of the building owner. The building owner or agent of the building owner who is eligible under Division 3 of the Business and Professions Code to take responsibility for the design specification for the alteration shall sign the Certificate of Compliance, to certify the information provided on the Certificate is true and correct, to certify conformance with Part 6, and shall submit the Certificate of Compliance to the enforcement agency for approval.

The building permit applicant or building owner or agent shall make available to the HERS Rater a copy of the registered Certificate of Compliance approved by the enforcement agency.

The installer or field technician shall perform diagnostic testing and the procedures specified in Reference Nonresidential Appendix NA1.4 and NA2.

When the installation is complete, the person responsible for the installation shall complete and sign the Certificate of Installation, and post a copy at the building site for review by the enforcement agency in conjunction with requests for final inspection. Alternatively, contingent upon approval of a Nonresidential Data registry, the enforcement agency may elect to view the certificates on an approved Data Registry. The owner or subcontractor shall also provide a completed signed copy of the Certificate of Installation to the HERS Rater.

The field technician responsible for performing the acceptance test on the system shall complete the Certificate of Acceptance. The Certificate of Acceptance shall be signed by the system designer or installing contractor who is responsible for the system performance. A copy of the completed signed Certificate shall be posted at the building site for review by the enforcement agency in conjunction with requests for final inspection. Alternatively, contingent upon approval of a Nonresidential Data registry, the enforcement agency may elect to view the certificates on an approved Data Registry. The owner or subcontractor shall also provide a completed signed copy of the Certificate of Installation to the HERS Rater.

The HERS Rater shall verify that the Certificate of Compliance, Certificate of Installation, and Certificate of Acceptance have been completed for each unit having features requiring HERS verification, and that the field technician’s diagnostic test results and all other Certificate of Acceptance information shows compliance consistent with the Certificate of Compliance for the system.

If group sampling is utilized for compliance, the HERS Rater shall define a group of up to seven systems or dwelling units for sampling purposes, requiring that all systems or dwelling units within the group have been installed by the same company. The installing company may request a group for sampling that is smaller than seven systems or dwelling units. Whenever the HERS Rater for an installing company is changed, a new group shall be established.

Re-sampling, full testing and corrective action shall be completed if necessary as specified in NA1.6.4. For alterations, the installing company shall offer to complete field verification and diagnostic testing and any necessary corrective action at no charge to building owners in the group.

The enforcement agency shall not approve the alteration until the enforcement agency has received a completed Certificate of Installation as specified in Section Appendix NA1.4, Certificate of Acceptance as specified in Section NA1.5, and a copy of the registered Certificate of Verification as specified in NA1.6.

Third Party Quality Control Programs, as specified in NA1.7, may also be used with alterations. When a Third Party Quality Control Program is used, the enforcement agency may approve compliance based on the Certificate of Installation prior to completion of the Certificate of Verification, where data checking has indicated that the unit complies, on the condition that a Certificate of Verification will be submitted if the required HERS verification procedures determine that re-sampling, full testing or corrective action is necessary, such work shall be completed.