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 Tables 150.1-A and 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 the prescriptive component package for single-family houses and townhouses. The calculations for documenting this are done using the approved performance compliance software at https://www.energy.ca.gov/programs-and-topics/programs/building-energy-efficiency-standards/2019-building-energy-efficiency-2. The calculation approach is described in the Residential 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 lists special modeling 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 separately on the CF1R under the following headings. For the purposes of this manual, only HVAC-related features are listed below.

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 whole-dwelling unit mechanical ventilation airflow for IAQ
17. Intermittent dwelling unit mechanical ventilation airflow for IAQ
18. Kitchen exhaust fan verification for IAQ (Local Mechanical Exhaust)
19. Whole-house fan (WHF) airflow and fan efficacy
20. Central fan ventilation cooling system (CFVCS)
21. Variable capacity heat pump (VCHP)
22. HRV/ERV fan efficacy

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

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 a HERS Data Registry for retention according to the procedures described in Section 10-103 and RA2. Registration ensures that the project follows the appropriate verification process, provides tracking, and provides electronic access to authentic documentation.

During construction, the general contractor or specialty subcontractors must complete all applicable CF2Rs for the building design special features specified on 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 RA2. CF2R documents corresponding to the list of special features requiring HERS Rater verification in Section 4.9.1 are required.

When the CF1R and CF2Rsrequire HERS field verification, a HERS Rater must visit the site to perform the tests necessary to complete the applicable heating and cooling system certificates of verification (CF3R). A CF3R is available for each special feature requiring HERS Rater verification given in Section 4.9.1.

Field verification for nonmandatory features is necessary only when performance credit is taken for the measure. Some field verifications are mandatory in all homes unless they are exempted in the Energy Code by specific exceptions.

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