## RA2.4 Summary of Responsibilities

Section RA2.4 summarizes responsibilities set forth in Appendix RA2 and organizes them by the responsible party. This section is not, however, a complete accounting of the responsibilities of the respective parties.

### RA2.4.1 Builder

The builder shall make arrangements for submittal of the Certificate of Compliance information and certification signatures to the HERS Provider data registry for dwelling units with features that require HERS verification. The builder shall make arrangements for the services of a certified HERS Rater prior to installation of the features, so that once the installation is complete the HERS Rater has ample time to complete the field verification and diagnostic testing without delaying final approval of the building permit by the enforcement agency. The Builder shall make available to the HERS Rater a copy of the Certificate of Compliance that was approved/signed by the building designer or owner and submitted to the enforcement agency.

The builder or subcontractor responsible for the installation shall complete and sign all applicable Certificates of Installation to certify that the installation work meets the requirements for compliance credit shown on the Certificate of Compliance and that all applicable field verification and diagnostic test results reported on Certificates of Installation are accurate. The builder or subcontractor shall post a copy of all applicable Certificates of Installation at the construction site for review by the enforcement agency in conjunction with requests for final inspection for each dwelling unit. Alternatively, the enforcement agency may elect to view the certificates on an approved Data Registry. The builder or subcontractor shall also make available to the HERS Rater copies of all applicable Certificates of Installation.

If the builder utilizes group sampling for HERS verification compliance, the builder, builder’s authorized representative, or the HERS Rater shall identify the dwelling units to be included in the sample group for field verification and diagnostic testing. The HERS Rater, with no direction from the installer or builder, shall randomly select one dwelling unit from a sample group for field verification and diagnostic testing upon receiving the builder’s or builder representative’s request for HERS verification of that group.

The builder shall arrange for copies of all applicable registered Certificates of Verification to be posted at the building site for review by the enforcement agency in conjunction with requests for final inspection for each dwelling unit. Alternatively, the enforcement agency may elect to view the certificates on an approved Data Registry.

When re-sampling reveals a failure (see Section RA2.6.4), the builder is required to offer at no charge to all building owners for occupied dwelling units in the group to complete field verification, diagnostic testing and corrective action if necessary. Building owners may decline to have field verification and diagnostic testing and corrective action completed for the dwelling unit. The builder shall report the identifying location of any dwelling unit in which the building owner declines field verification and diagnostic testing and corrective action to the HERS Provider. The builder shall take corrective action as required in all unoccupied dwelling units in the group and in occupied dwelling units in the group where building owners have accepted field verification, diagnostic testing and corrective action.

The builder shall leave in the building, for the building owner at occupancy, copies of all compliance, operating, maintenance, and ventilation information specified in applicable sections of Title 24, Part 1, Section 10-103(b).

### RA2.4.2 HERS Provider and Rater

The HERS Provider shall maintain a data registry with the capability to receive and store electronic data and image information provided by authorized users of the data registry sufficient to facilitate administration of all applicable document registration procedures and HERS compliance verification procedures as described in Reference Residential Appendix RA2 and Reference Joint Appendix JA7. Data registry capabilities include a secure web-based interface accessible by authorized users, and the ability to receive and process data transfer files generated by the Title 24 performance compliance software tools or other approved data input software. For sampling purposes, the HERS Provider shall maintain a list of the dwelling units in a group, the features that require Field Verification and Diagnostic Testing, the dwelling units selected for sample testing for each feature and the dwelling units that were not tested, the results of the sample testing, the dwelling units that were tested and verified as a result of re-sampling, and any corrective action taken.

For all dwelling units that require HERS verification for compliance, the HERS Provider shall retain records of all information and approval signatures for completed Certificates of Compliance, Certificates of Installation, and Certificates of Verification for a period of ten years as specified by Title 20, Division 2, Chapter 4, Article 8, Section 1673(e).

The HERS Rater who provides field verification and diagnostic testing shall transmit the required test results and certification signatures to the HERS Provider data registry. Registered Certificates of Verification from the Provider shall be made available for the tested dwelling unit and each of the remaining untested dwelling units from a designated group for which compliance is verified based on the results of a sample test. The registered Certificates of Verification shall be made available to the HERS Rater, the builder, the enforcement agency, and to other authorized users of the HERS Provider data registry.

The HERS Rater shall produce a separate Certificate of Verification for each dwelling unit that meets the requirements for compliance. The registered Certificate of Verification shall have unique HERS Provider-designated identifiers for registration number and sample group number, and shall include lot location or address, building permit number, time and date stamp, Provider logo, water mark or official seal, and indicate if the dwelling unit has been tested or if it was an untested dwelling unit approved as part of sample group. The HERS Rater shall not submit a Certificate of Verification for a dwelling unit that does not have a completed Certificate of Installation submitted by the installer as required in Section RA2.5.

If field verification and diagnostic testing on a sampled dwelling unit identifies a failure to meet the requirements for compliance credit, the HERS Rater shall report to the HERS Provider, the builder, and the enforcement agency that re-sampling will be required.

If re-sampling identifies another failure, the HERS Rater shall report to the HERS Provider, the builder, and the enforcement agency that field verification and diagnostic testing will be required for all the untested dwelling units in the group. The report shall specify the identifying location of all dwelling units that shall be fully tested.

(a) The HERS Provider shall also report to the builder once diagnostic testing and field verification has shown that the failures have been corrected in all of the dwelling units except those for which the building owner has declined field verification, diagnostic testing, and corrective action. When field verification and diagnostic testing confirm that the requirements for compliance have been met, the HERS Provider shall make available the applicable registered Certificate(s) of Verification for each dwelling unit in the group.

The HERS Provider shall file a report with the enforcement agency if there has been a failure on a re-sample within a group, explaining all actions taken (including field verification, testing, corrective actions, offers to building owners for testing and corrective action, and building owner declines of such offers) to bring into compliance dwelling units for which full testing has been required.

### RA2.4.3 Third Party Quality Control Program

Third Party Quality Control Programs (TPQCP) verify the work of participating installers, collect and evaluate more detailed data than necessary for compliance, identify in real time during the installation invalid and inaccurate installer testing and noncompliant installations, and enable corrected testing with the goal of bringing installations into compliance before the installer leaves the job site. TPQCP personnel and participating TPQCPs do not sign Certificate of Verification documentation, given that they provide assistance and quality control to HERS Raters, who remain responsible for this documentation.

An approved Third Party Quality Control Program shall:

(a) Provide training to participating program installers, installing but not limited to contractors, subcontractors, and technicians, to ensure proficiency in:

i. Quality HVAC installation procedures, common causes of failure, and corrections.

ii. Understanding of the Standards requirements for field verification and diagnostic testing of measures, which are subject to TPQCP program procedures

iii. Understanding all applicable specifications for field verification and diagnostic testing procedures specified in the Reference Residential Appendices.

iv. Any applicable specialized TPQCP-specific procedures.

(b) Collect field verification and diagnostic test data (data) from participating installers for each installation completed,

(c) Confirm the location of the system undergoing testing using an electronic tracking means such as Global Positioning Satellite (GPS) technology,

(d) Provide data checking analysis to evaluate the validity and accuracy of the collected data to independently determine whether compliance has been achieved, and to uncover invalid or erroneous information,

(e) Provide real-time direction to the installer to retest and correct problems when data checking determines that compliance has not been achieved, or erroneous information is present, so that testing can be redone and corrections can be made before the installer leaves the site,

(f) Ensure the installer resubmits updated data from new testing when retesting and correction is completed,

(g) Maintain a database of all data submitted by participating TPQCP installers, and

(h) Enable Energy Commission staff to query retained TPQCP data or documents.

TPQCPs do not impose restrictions on HERS Raters or Providers that limit their independence or ability to properly perform their functions, nor do they impose restrictions on the HERS Rater’s use of equipment (beyond those required by the Energy Commission).

Refer to RA2.7 for additional detail describing the roles and responsibilities and approval procedures for TPQCP.

### RA2.4.4 Enforcement Agency

The enforcement agency at its discretion may require independent testing and field verification to be scheduled so that it can be completed in conjunction with the enforcement agency’s required inspections, or observe the field verification and diagnostic testing performed by builders, subcontractors or the certified HERS Rater in conjunction with the enforcement agency’s required inspections to corroborate the results documented on the Certificate(s) of Installation and on the Certificate(s) of Verification.

For dwelling units that have used a compliance alternative that requires field verification and diagnostic testing, the enforcement agency shall not approve a dwelling unit until the enforcement agency has received, in accordance with Title 24, Part 1 Section 10-103(a), Section 10-103(d) and the procedures in Appendix RA2, a registered copy of the Certificate of Compliance that has been completed and signed by the person responsible for the design; all applicable registered Certificates of Installation that have been completed and signed by the builder or subcontractor, and all applicable registered Certificates of Verification that have been completed and signed by the HERS Rater in conjunction with requests for final inspection for each dwelling unit. The HERS Provider shall make document verification services available to enforcement agencies, builders and contractors, HERS Raters, the Energy Commission, and other authorized users of the Provider data registry.

If necessary to avoid delay of approval of dwelling units completed when outside temperatures are below 55°F, the enforcement agency may approve compliance with the refrigerant charge verification requirements when installers have used the Weigh-in Charging Method described in Reference Residential Appendix RA3, Section RA3.2.3.1 and have not used the Section RA3.2.3.2 option for HERS verification compliance. This approval will be on the condition that installers submit to the enforcement agency a registered Certificate of Installation that includes a signed declaration indicating agreement to return to correct refrigerant charge if a HERS Rater determines at a later time when the outside temperature is 55°F or above, that correction is necessary. Installers must also notify homeowners that their systems have not had their charge verified. The HERS Provider shall track these projects to ensure a HERS Rater conducts the required refrigerant charge verification for all such systems. When the outdoor temperature is 55°F or above, the HERS Rater shall use the RA3.2.2 standard charge verification procedure, or a procedure approved by the HVAC system manufacturer and Energy Commission for the refrigerant charge verification. The HERS Rater shall report the diagnostic results on the applicable Certificate of Verification, and shall register the certificate with the HERS Provider. When refrigerant charge verification testing performed by the HERS Rater indicates adjustment to the charge is required, the HERS Provider shall notify the installer, and the builder or building owner that corrective action is required. The HERS Provider may also notify the enforcement agency that corrective action is required. All air-cooled air conditioners and air-source heat pumps that utilize the Weigh-In Method shall be verified by a HERS Rater using one of the applicable refrigerant charge verification procedures. Compliance with HERS verification requirements cannot utilize group sampling procedures when the installer utilized the Weigh-In Method.