## 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 intended to provide design, construction, and enforcement parties with the information to ensure that the energy features are properly installed. Each party is accountable to ensure that the features that they are responsible for are correctly installed. This section outlines each phase of the process and the responsibilities and requirements

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 CF2R forms. Refer to Appendix A of this manual for more information about the forms and to view samples of the forms. Additional information about the compliance documents will be provided throughout this manual.

When HERS verification is required for compliance, the Energy Standards require all residential energy compliance documents to be registered with a HERS provider data registry. 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|§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. More details are in Chapter 9 of this manual. Document retention is vital to compliance and enforcement follow-up and other quality assurance follow-up processes that ensure energy savings from installed energy features. Reference Residential Appendix RA2 and Reference Joint Appendix JA7 has more details about document registration procedures 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 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 assist the building designer by providing energy compliance documentation that determine the effect of building features being proposed for the design. This helps to ensure that the final building design plans and specifications submitted to the enforcement agency will comply with the Energy Standards. Throughout this 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 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 requires recalculation of the building energy compliance. A revised CF1R that is consistent with the updated plans and specifications for the proposed building needs to be issued. If recalculation indicates that the building no longer complies, alternate building features must be selected so that it complies with the Energy Standards.

### 2.2.3 Permit Application

§10-103(a)2
§10-103(a)1C

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 the last step in the planning and design process. At this point, the infrastructure (streets, sewers, water lines, electricity, gas, and so forth) is in place or is being constructed, and construction on the building(s) begins.

To help the enforcement agency verify that the proposed building complies with the Energy Standards, compliance documents are submitted with the building permit application. These documents consist of a CF1R, which is required by the Energy Standards (see §10-103). The length and complexity of the documentation varies depending on factors such as the number of buildings that are being permitted, whether an orientation-independent permit is being requested, and whether the performance approach or the prescriptive approach is being used. An energy consultant who understands the code and is able to help the builder or owner comply with the standards 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 compliance. 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 registry to produce a completed, signed, and dated electronic CF1R that is retained by the registry. The CF1R is assigned a unique registration number. Copies of the registered CF1R are available to authorized users of the HERS Provider data registry for use in making electronic or paper copies of the registered document(s) for submitting to the enforcement agency as required.

Local enforcement agencies check plans to ensure that the building design conforms to the Energy 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 the permit applicant is required to make corrections or clarifications and then resubmit revised plans and specifications. Submitting complete and accurate plans and specifications provides the plans examiner with the information needed to complete the plan check review quickly.

The plan checker verifies that the information on the construction documents is consistent with the requirements specified on the compliance documents. Examples of how the plans examiner will verify that the features detailed on the certificate of compliance 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 and distribution information from the CF1R is clearly documented on the plans, such as SEER, EER, AFUE, HERS measures, and other values necessary to verify compliance.

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

Since those buying building materials and the construction staff may rely solely on a copy of the approved plans and specifications, it is important that the building design represented on the approved plans and specifications complies with the Energy Standards as specified on the CF1R.

The enforcement agency’s 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. The plans examiner must still verify that the design on the plans is consistent with the energy features on the certificate of compliance documents. A list of Energy Commission-approved energy code compliance software applications is at: http://www.energy.ca.gov/title24/2019standards/index.html

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. 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. Issuing 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 before 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 follow the plans and specifications, but often there are variations. Some variations are formalized through change orders. When orders are issued, the permit applicant and the local jurisdiction are responsible to verify that the changes do not compromise compliance with the code. It is clear in some cases such as when a single-glazed, metal frame window is substituted for a high-performance double-pane, vinyl frame window. It may be difficult to determine compliance with changes such as orientation of the house or the location of a window. 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 CF2R. These certificates verify that the contractor is aware of the Energy Standards requirements 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 CF2R’s are a collection of energy compliance information forms that apply 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 work is done in accordance with the approved plans and specifications for the building. The person must complete and sign a certificate of installation 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 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. Copies of the registered CF2R forms shall be provided to the homeowner.

When any HERS verification is required for compliance, all 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 registry to produce a completed, signed and dated electronic 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. Copies of the unique registered CF2R are made available to authorized users of the registry to make electronic or paper copies of the registered document(s) for submittal to the enforcement agency as required. The builder or installing contractor 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.

More information about registering CF2R documents can be found in Reference Residential Appendix RA2 and Reference Joint Appendix JA7.

### 2.2.7 Enforcement Agency Field Inspection

§10-103(d)

Local enforcement agency representatives inspect 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 make multiple visits to a building site to verify construction. The first visit is typically made before the slab or the building foundation is poured. 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 or under 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 is in Chapter 3 of this manual.

The second visit 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 should be done before insulation is installed to ensure sealing and caulking around windows is completed, 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, the inspector should also verify the installation of the high-efficacy lighting so that the contractor can make any necessary corrections before the final inspection. This avoids 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.), and the installation of a radiant barrier and/or cool roof when required. Details of how the inspector should verify these components will be discussed in 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 is in Chapter 3.

The next visit is 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, and electrical sockets.

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 and other ventilation system noise level ratings in bathrooms and kitchens (ASHRAE 62.2), filter MERV rating and thickness, exterior lighting and controls, and weather stripping on exterior/demising doors. The inspector will also verify that all required CF2R and CF3R forms have been completed, signed, and registered. Copies of these forms should be provided to the building owner. Details of how the inspector should verify these components will be discussed further in this manual.

The typical enforcement agency inspection sequence can vary from jurisdiction to jurisdiction. 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.

The certificate(s) of installation and, when required, the certificate(s) of verification 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. 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 must be registered through an approved HERS Provider data registry. For all measures requiring field verification, a registered certificate of verification 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 procedures in Reference Residential Appendix RA2 using the protocols in Reference Residential Appendix RA3.

There are mandatory measures, prescriptive measures, and performance credits that require HERS field verification and/or diagnostic testing. Most measures that require verification and 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 with central HVAC systems 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 measures are in Chapter 4 of this manual.

Additional measures requiring field verification include reduced duct surface area, increased duct R-value, high SEER and EER cooling equipment, and quality installation of insulation. A full list of measures requiring field verification and/or diagnostic testing is in Table RA2-1 of the 2019 Reference Residential Appendices. The requirements for field verification and/or diagnostic testing apply only when equipment or systems are installed. If a house has no air distribution ducts, then a HERS Rater does not have to test them.

The 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 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. The person also must confirm 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 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 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 registry with “pass” or “fail”. If the results are “pass”, the registry will make a registered copy of the certificate of verification (CF3R) available. 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. Copies must be given to the builder and left in the dwelling for the homeowner at occupancy. If results are “fail,” that failure must be entered into registry. HERS Providers shall not permit any user of the registry to print or access forms for noncompliance entries unless the CF3R form contains a watermark with the word “FAIL” or “FAILURE.” Corrective action shall be taken by the builder or installer on the failed measure. The rater will retest the measure to verify that the corrective action was successful. Once the correction is made, the passing measure shall be entered into the registry.

### 2.2.9 Approval for Occupancy

In multifamily dwellings of three or more units, the final step is the enforcement agency to issue an occupancy permit so occupants can 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 rater must post a signed and registered CF3R in the field for the building inspector to verify at final inspection. The rater must also provide copies of the registered CF3R to the builder and for the building owner at occupancy. Only registered CF3R documents are allowed for these submittals. Handwritten versions of the CF3R are not allowed.

### 2.2.10 Occupancy

At the occupancy phase, the enforcement agency shall require the builder to leave all compliance documentation in the building, which includes at a minimum the CF1R and all applicable CF2R forms. When HERS field verification is required, a copy of the registered CF3R must be left on site with the compliance documentation. When registration is required, the CF1R and all required CF2R compliance documentation shall be registered copies. 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. More details are in Section 2.3.5.