## 4.9 Compliance and Enforcement

This section describes compliance documentation and field verification requirements related to heating and cooling systems.

### 4.9.1 Design-Phase Documentation

The initial compliance documentation consists of the certificate of compliance (CF1R). It lists the features that the house needs for compliance with the prescriptive or performance requirements.

For the prescriptive compliance approach, the required features are based on the Prescriptive Component Package, shown in Table 150.1-A or 150.1-B.

For the performance compliance approach, the required features are based on a set of features that the designer has documented to result in a level of efficiency at least as good as Prescriptive Component Package A. The calculations for documenting this are done using the approved performance compliance software. The calculation approach is described in the Alternative Calculation Method (ACM) Reference Manual.

The performance compliance approach provides maximum design flexibility. It also allows compliance credit for special additional features to be quantified.

The CF1R has a section where special modeling features are listed. These are features for which special compliance credit was taken using the performance approach. They require additional visual verification by the enforcement agency to ensure proper installation. Some require field verification and diagnostic testing by a HERS Rater. These will be listed in a separate section.

The following are heating and cooling system features that will be listed in this section if they exist in the proposed design:

Special Features Not Requiring HERS Rater verification:

1. Ducts in a basement

2. Ducts in a crawlspace

3. Ducts in an attic with a radiant barrier

4. Hydronic heating and system design details

5. Gas-fired absorption cooling

6. Zonal control

7. Ductless wall heaters

Special features requiring HERS Rater verification:

1. Duct sealing

2. Verified duct design – for reduced duct surface area and ducts in conditioned space

3. Low-leakage ducts in conditioned space

4. Low-leakage air handlers

5. Verification of return duct design

6. Verification of air filter device design

7. Verification of bypass duct prohibition

8. Refrigerant charge verification

9. Installation of a fault indicator display (FID)

10. Verified system airflow

11. Air handler fan watt draw

12. High energy efficiency ratio (EER)

13. Verified seasonal energy efficiency ratio (SEER)

14. Heating seasonal performance factor (HSPF)

15. Heat pump - rated heating capacity

16. Continuous dwelling unit mechanical ventilation airflow for IAQ

17. Intermittent dwelling unit mechanical ventilation airflow for IAQ

18. Kitchen range hood verification for IAQ

19. Building or dwelling unit enclosure air leakage

20. High-quality insulation installation (QII)

21. Whole-house fan airflow and fan efficacy

22. Central fan ventilation cooling system verification

Information summarizing measures requiring field verification and diagnostic testing is presented in Table RA2-1 of the Reference Residential Appendix RA2. The field verification and diagnostic testing protocols that must be followed to qualify for compliance credit are described in RA3 of the Reference Residential Appendix.

Registration of the CF1R with an approved HERS Provider is required. The building owner or the person responsible for the design must submit the CF1R to the HERS Provider Data Registry for retention according to the procedures described in Section 10-103, and Section RA2 of the Reference Residential Appendix. Registration ensures that the project follows the appropriate verification process, provides tracking, and provides electronic access to the documentation.

### 4.9.2 Construction-Phase Documentation

During construction, the general contractor or specialty subcontractors must complete all applicable certificate of installation (CF2R) documents for the building design special features specified on the certificate of compliance (CF1R).

Like the CF1R, registration of the CF2R is required. The licensed contractor responsible for the installation must submit the CF2R information that applies to the installation to a HERS Provider Data registry using procedures described in Section 10-103, and Section RA2 of the Reference Residential Appendix. CF2R documents corresponding to the list of special features requiring HERS Rater verification in Section 4.9.1 above are required.

### 4.9.3 Field Verification and/or Diagnostic Testing

For buildings for which the certificate of compliance (CF1R) requires HERS field verification for compliance with the Energy Standards, a HERS Rater must visit the site to perform field verification and diagnostic testing to complete the applicable heating and cooling system certificates of field verification and diagnostic testing (CF3R). CF3R documents corresponding to the list of special features requiring HERS Rater verification in Section 4.9.1 above are required

Field verification for nonmandatory features is necessary only when performance credit is taken for the measure. Some field verification is for mandatory measures and will occur in all homes, unless they are exempt from the measure.

Like the CF1R and CF2R, registration of the CF3R is required. The HERS Rater must submit the field verification and diagnostic testing information to the HERS Provider Data Registry as described in Chapter 2. For additional details describing HERS verification and the registration procedure, refer to RA2 of the Reference Residential Appendix.