Appendix NA1 provides direction for communication and documentation processes that must be completed for compliance with the verification requirements for multifamily dwelling units (dwelling units) that require field verification and diagnostic testing by an ECC-Rater, using the testing procedures in Reference Nonresidential Appendix NA2. The Commission approves ECC-Providers, subject to the Commission’s program regulations, which appear in Title 24, Part 1, Section 10-103.3.  Approved ECC-Providers are authorized to certify ECC-Raters and maintain quality control over field verification and diagnostic testing.

When the Certificate of Compliance indicates that field verification and diagnostic testing of specific energy efficiency measures are required as a condition for compliance with Title 24, Part 6, an approved ECC-Provider and certified ECC-Rater shall be used to conduct the field verification and diagnostic testing according to the applicable procedures in Reference Nonresidential Appendix NA2. As specified by Title 24, Part 1, Section 10-103.3, ECC-Providers and ECC-Raters shall be independent entities from the builder or subcontractor installer of the energy efficiency improvements being field verified or diagnostically tested. An “Independent Entity means having no financial interest in, and not advocating or recommending the use of any product or service as a means of gaining increased business with, firms or persons specified in Title 24, Part 1, Section 10-103.3. Third Party Quality Control Programs approved by the Commission may serve some of the functions of ECC-Raters for field verification and diagnostic testing purposes as specified in NA1.7. Also, Acceptance Test Technicians may serve the function of an ECC-Rater for field verification and diagnostic testing purposes as specified in NA1.9.

The remainder of Reference Nonresidential Appendix NA1 describes the:

1. Requirements for documentation and communication for verification compliance processes;
2. Responsibilities assigned to each of the parties involved in the field verification and diagnostic testing process;
3. Requirements for procedures for installing contractors and Certificate of Installation documentation;
4. Requirements for ECC-Rater field verification and diagnostic testing and documentation procedures;
5. Requirements for sampling procedures for verification compliance;
6. Requirements for Third Party Quality Control Programs;
7. Requirements for verification compliance for alterations to existing buildings.

Table NA1-1 describes the measures that require installer certification and ECC-Rater field verification and diagnostic testing and identifies the protocol or test procedure in the Reference Nonresidential Appendices that shall be used for completing installer and ECC-Rater field verification and diagnostic testing.

The required building energy compliance features and the required field verification and diagnostic testing procedures shall be identified on a Certificate of Compliance completed in accordance with the requirements in Standards Sections 10-103(a)1 and 10-103(a)2. The builder or subcontractor shall complete all applicable Certificate of Installation documentation in accordance with the requirements in Standards Section 10-103(a)3 and the procedures described in NA1, and shall provide certification that the construction or installation complies with the applicable requirements on the Certificate of Compliance and all applicable field verification and eligibility criteria. The person responsible for the acceptance testing shall perform the required field verification and diagnostic testing and report the results on the Certificate of Acceptance documentation submitted in accordance with the requirements in Standards Section 10-103(a)4 and the procedures described in NA1, and shall provide certification that the construction or installation information reported on the Certificates of Installation are consistent with applicable requirements on the Certificate of Compliance. A certified ECC-Rater shall perform all applicable  field verification and diagnostic testing and report the results on the applicable Certificate of Verification documentation submitted in accordance with the requirements of Standards Section 10-103(a)5 and the procedures in NA1. 

Document registration requirements are introduced in Section NA1.2.1.1 and further described in the procedures in subsequent sections of NA1. Verification of electronic documentation is introduced in Section NA1.2.1.2 and is applicable to many aspects of the documentation procedures described in subsequent sections of Nonresidential Appendix NA

When submittal of documentation to a Data Registry is required by applicable sections of Standards Section 10-103(a), the completed documents are referred to as registered documents, and the process of completing these documents by submitting information and certification signatures to the Data Registry is called registration. Refer to Reference Joint Appendix JA1 for additional terminology for Data Registries, registered documents and registration Providers. Additional specification for the document registration process is given in Reference Joint Appendix JA7.

Data Registry is a web service with a user interface and database maintained by a Registration Provider that complies with the applicable requirements in Reference Joint Appendix JA7, with guidance from the Data Registry Requirements Manual, and provides for registration of residential or nonresidential compliance documentation used for demonstrating compliance with Part 6.

Residential Data Registry is a Data Registry that is maintained by an ECC-Provider that provides for registration, when required by Part 6, of all residential compliance documentation and the nonresidential Certificate of Verification.

Nonresidential Data Registry is a Data Registry that is maintained by a Registration Provider approved by the Commission that provides for registration, when required by Part 6, of all nonresidential compliance documentation. However, nonresidential Data Registries may not provide for registration of nonresidential Certificates of Verification.

Registration Provider is an organization that administers a Data Registry service that conforms to the requirements in Reference Joint Appendix JA7 and may conform to the guidance given in the Data Registry Requirements Manual.

Contingent upon the approval of Nonresidential Data Registry(s) by the Commission, for all nonresidential buildings, high-rise residential buildings, and hotels and motels, when designated to allow use of an occupancy group or type regulated by Part 6:

1. All Certificate of Compliance, Certificate of Installation, and Certificate of Acceptance documentation and Compliance Registration Package shall be submitted for registration and retention to an approved Nonresidential Data Registry. When submittal of documentation to a Data Registry is required, the completed documents are referred to as registered documents, and the process of completing these documents by submitting information and certification signatures to the Data Registry is called registration.
2. All Certificate of Verification documents for applicable measures are required to be submitted for registration and retention to an approved Residential Data Registry.

All submittals to the Data Registries shall be made electronically in accordance with the specifications in Reference Joint Appendix JA7.

When document registration is required, printed paper copies or electronic copies of the applicable completed, signed, registered compliance documentation shall be allowed for use for required submittals to enforcement agencies, subject to verification that the information shown on the submitted document(s) conforms to the information shown on the current revision of the registered document(s) on file in the Data Registry for the building.

The document registration Provider shall make document verification services available via phone, internet, or utilization of digital technologies, to enable enforcement agency officials, builders, installation contractors, ECC-Raters, and other authorized users of the Data Registry to verify that the information shown on submitted documentation is consistent with the information shown on the current revision of the registered document on file in the Data Registry for the applicable building.

The documentation and communication process for measures that require field verification and diagnostic testing is summarized below. The subsequent sections of this chapter contain additional information and requirements that apply to all situations; however the section on alterations, NA1.8, applies specifically to the differences in the requirements for alterations. NA1.7 applies specifically to the differences in the requirements for Third Party Quality Control Programs.

1. The documentation author and the principal mechanical designer shall complete the compliance documents for the building.
2. The builder or principal mechanical designer shall make arrangements for transmittal of a signed copy of the Certificate of Compliance, for units that require verification, to an ECC-Provider. The builder shall also arrange for the services of a certified ECC-Rater prior to installation of the duct system, so that once the installation is complete the ECC-Rater has ample time to complete the field verification and diagnostic testing without delaying final approval of occupancy by the enforcement agency. The builder or principal mechanical designer shall make available to the ECC-Rater a copy of the Certificate of Compliance that was approved/signed by the principal designer/owner and submitted to the enforcement agency.
   
   
3. When the installation is complete, the builder or the installing subcontractor shall complete and sign the Certificate of Installation, and Certificate of Acceptance, and post a copy of the completed signed Certificates 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 builder or subcontractor shall also provide a signed copy of the Certificate of Installation and Certificate of Acceptance to the ECC-Rater.
4. The ECC-Rater shall confirm that the Certificate of Installation and Certificate of Acceptance has been completed as required, and that the installer’s diagnostic test results and all other Certificate of Installation and Certificate of Acceptance information shows compliance consistent with the requirements given in the plans and specifications and Certificate of Compliance approved by the local enforcement agency for the building.
5. The ECC-Rater shall complete the field verification and diagnostic testing as specified in NA1.6 and shall enter the test results into the ECC-Provider Data Registry.
6. The ECC-Provider shall make available copies of the Certificate of Verification to the ECC-Rater, builder, and the ECC-Rater shall arrange to have a copy of the completed signed Certificate of Verification posted at the building site for review by the enforcement agency in conjunction with requests for final inspection. Alternatively, the enforcement agency may elect to view the certificates on an approved Data Registry.
7. The enforcement agency shall not approve a building for occupancy until the enforcement agency has received a completed signed copy of the Certificate of Installation, Certificate of Acceptance, and the Certificate of Verification at the building site 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.
8. The Registration Providers shall make document verification services available, via phone or internet communications interface, to the enforcement agency, builders and contractors, ECC-Raters, the Energy Commission, and other authorized users of the Data Registry. The ECC-Provider shall ensure that the Certificate of Verification information and approval signatures are retained as specified by Title 24, Part 1, Section 10-103.3.

Section NA1.3 summarizes responsibilities set forth in Appendix NA1 and organizes them by the responsible party. This section is not, however, a complete accounting of the responsibilities of the respective parties.

The builder shall make arrangements for submittal of a copy of the Certificate of Compliance, for buildings with features requiring verification, to the ECC-Provider. The builder shall make arrangements for the services of a certified ECC-Rater prior to installation of the features, so that once the installation is complete the ECC-Rater has ample time to complete the field verification and diagnostic testing without delaying final approval of occupancy for the building permit by the enforcement agency. The builder shall make available to the ECC-Rater a copy of the Certificate of Compliance that was approved/signed by the principal designer or owner and submitted to the enforcement agency.

The builder’s employees or subcontractors responsible for the installation shall perform diagnostic testing, as specified in Reference Nonresidential Appendix NA1.4, NA1.5 and NA2, and shall complete and sign the Certificate of Installation and Certificate of Acceptance to certify the diagnostic testing results and that the installation work meets the requirements for compliance as shown on the Certificate of Compliance. The builder or subcontractor shall post a copy of the Certificate of Installation and Certificate of Acceptance at the construction 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 builder or subcontractor shall also make available a completed signed copy of the Certificate of Installation and Certificate of Acceptance to the ECC-Rater.

If the builder chooses to utilize group sampling for verification compliance, the builder, the builder’s authorized representative, or the ECC-Rater shall identify the units to be included in the sample group for field verification and diagnostic testing. The ECC-Rater, with no direction from the installer or builder, shall randomly select one system from a sample group for field verification and diagnostic testing upon receiving the builder’s or builder representative’s request for  verification of that group. The builder or the ECC-Rater shall arrange for registered copies of all 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 individual system. Alternatively, the enforcement agency may elect to view the certificates on an approved Data Registry.

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).

The ECC-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 the administration of compliance verification procedures and documentation procedures as described in NA1 and 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 as specified by Reference Joint Appendix JA7. The ECC-Provider shall maintain a list of the buildings in the group from which sampling is drawn, the units selected for sampling, the units sampled and the results of the sampling, the units selected for re-sampling, the units that have been tested and verified as a result of re-sampling, and the corrective action taken.

The ECC-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 24, Part 1, Section 10-103.3.

The ECC-Rater providing the diagnostic testing and verification shall transmit the test results to the 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 ECC-Rater, the builder, the enforcement agency, and to other authorized users of the ECC-Provider data registry.

The ECC-Rater shall produce a separate Certificate of Verification for each system that meets the diagnostic requirements for compliance. The registered Certificate of Verification shall have unique ECC-Provider-designated identifiers for registration number, and sample group number, and shall include the lot location, building permit number, time and date stamp of issuance of the certificate, Provider logo or seal, and indicate if the space conditioning unit has been “tested or if it was a “not tested” unit approved as part of sample group. The ECC-Rater shall not provide a Certificate of Verification for a building with a space conditioning unit that does not have a completed signed Certificate of Installation as specified in Section NA1.4 and Certificate of Acceptance as specified in Section NA1.5.

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

If re-sampling identifies another failure, the ECC-Rater shall report to the ECC-Provider, the builder, and the enforcement agency that corrective action, diagnostic testing, and field verification will be required for all the untested space conditioning units in the group. The report shall identify each space conditioning unit that shall be fully tested and corrected.

The ECC-Provider shall also report to the builder when diagnostic testing and field verification has shown that the failures have been corrected for all of the space conditioning units.

When individual space conditioning unit testing and verification confirms that the requirements for compliance have been met, the ECC-Provider shall make available to the builder and the enforcement agency a registered copy of the Certificate of Verification for each space conditioning unit in the group.

The ECC-Provider shall file a report with the enforcement agency if there has been a sample group failure, explaining all actions taken (including field verification, testing, and corrective actions) to bring into compliance space conditioning units for which full testing has been required.

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  ECC-Raters, who remain responsible for this documentation.

An approved Third Party Quality Control Program shall:

1. Provide training to participating program installers, installing but not limited to contractors, subcontractors, and technicians, to ensure proficiency in:
   1. Quality HVAC installation procedures, common causes of failure, and corrections.
   2. Understanding of the Standards requirements for field verification and diagnostic testing of measures, which are subject to TPQCP program procedures.
   3. Understanding all applicable specifications for field verification and diagnostic testing procedures specified in the Reference Residential Appendices.
   4. Any applicable specialized TPQCP-specific procedures.
2. Collect field verification and diagnostic test data (data) from participating installers for each installation completed,
3. Confirm the location of the system undergoing testing using an electronic tracking means such as Global Positioning System (GPS) technology,
4. 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,
5. 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,
6. Ensure the installer resubmits updated data from new testing when retesting and correction is completed,
7. Maintain a database of all data submitted by participating TPQCP installers, and
8. Enable Energy Commission staff to query retained TPQCP data or documents.

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

Refer to NA1.7 for additional detail describing the roles and responsibilities and approval procedures for TPQCP.

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. The enforcement agency may also require that it observe the diagnostic testing and field verification performed by builders or subcontractors and the certified ECC-Rater in conjunction with the enforcement agency’s required inspections to corroborate the results documented on the Certificate of Installation, Certificate of Acceptance, and the Certificate of Verification.

For buildings for which field verification and diagnostic testing is required for compliance, the enforcement agency shall not approve a building for occupancy until the enforcement agency has received a completed Certificate of Installation and Certificate of Acceptance that has been signed by the builder/owner or installing subcontractor, and a completed registered copy of the Certificate of Verification that has been made available by the ECC-Provider Data Registry. The Certificates 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.

Certificates of Installation are required for all buildings and shall include the required compliance information for all of the installed space conditioning systems in the building that must comply. When compliance requires verification, the builder’s employees or subcontractors shall perform diagnostic testing according to the procedures specified in Reference Nonresidential Appendix NA2 and verify that the measures meet the requirements for compliance shown on the Certificate of Compliance. The owner or installer shall complete a Certificate of Installation and sign the certificate to certify that the installation work meets the requirements for compliance.

A signed copy of the Certificate of Installation shall be posted at the job 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. A copy shall be provided to the ECC-Rater.

When the Standards do not require the Certificate of Installation to be registered, the Certificates of Installation that are posted in the field for review by the enforcement agency at final inspection are not required to be registered certificates from a Data Registry, but shall conform to all other applicable requirements of 10-103(a)3.

When compliance requires acceptance testing, the acceptance test Field Technician shall perform the required field verification and diagnostic testing according to the procedures specified in Reference Nonresidential Appendix NA2, and verify that the work meets the requirements for compliance as shown on the Certificate of Compliance. The owner or installer shall complete a Certificate of Installation and sign the certificate to certify that the installation work meets the requirements for compliance credit.

A signed copy of the Certificate of Acceptance shall be posted at the job 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. A copy shall be provided to the ECC-Rater.

When the Standards do not require the Certificate of Acceptance to be registered, the Certificates of Acceptance that are posted in the field for review by the enforcement agency at final inspection are not required to be registered certificates from a Data Registry, but shall conform to all other applicable requirements of 10-103(a)4.

At the builder’s or owner’s option,  field verification and diagnostic testing shall be completed either for each system or dwelling unit, or alternatively for a sample from a designated group of systems or dwelling units. Field verification and diagnostic testing for compliance shall use the diagnostic procedures in Reference Nonresidential Appendix NA2. If the builder or owner elects to demonstrate verification compliance utilizing group sampling, the applicable procedures described in NA1.6.2, NA1.6.3 and NA1.6.4 shall be followed.

The general requirements in NA1.6.1 are applicable to all measures that require verification for compliance, and shall be incorporated into procedures specified in Sections NA1.6.2, NA1.6.3, and NA1.6.4 whenever applicable.

The builder or subcontractor shall make available to the ECC-Rater a copy of the Certificate of Compliance approved/signed by the system designer/builder or owner, a copy of the Certificate of Installation as described in NA1.4, and a copy of the Certificate of Acceptance as described in NA1.5. Prior to performing field verification and diagnostic testing, the ECC-Rater shall confirm that the Certificate of Installation and the Certificate of Acceptance have been completed as required, and that the installer’s diagnostic test results and all other Certificate of Installation and Certificate of Acceptance information indicate compliance consistent with the Certificate of Compliance.

The ECC-Rater shall perform all applicable field verification and diagnostic testing.

If field verification and diagnostic testing determines that the requirements for compliance are met, the ECC-Rater shall submit or make arrangements for submittal of the Certificate of Verification information to the ECC-Provider data registry.

Authorized users of the ECC-Provider data registry that are not certified ECC-Raters may provide documentation author support to facilitate submittal of the Certificate of Verification information to the ECC-Provider data registry on behalf of the ECC-Rater when such facilitation has been authorized by the ECC-Rater. Documentation authors shall provide an electronic signature to the Data Registry to certify the documentation is accurate and complete.

The Certificate of Verification shall be electronically signed by the ECC-Rater who performed the field verification and diagnostic testing services to certify that the information provided on the Certificate is true and correct.

A completed signed registered copy of the Certificate of Verification shall be posted at the building site for review by the enforcement agency in conjunction with requests for final inspection. Alternatively, the enforcement agency may elect to view the certificates on an approved Data Registry.

The ECC-Provider shall make document verification services available, to enforcement agencies, builders and contractors, ECC-Raters, the Energy Commission, and other authorized users of the ECC-Provider data registry.

The ECC-Rater shall diagnostically test and field verify the first system or dwelling unit of each building when the builder elects to demonstrate verification compliance utilizing group sampling. This initial testing allows the builder to identify and correct any potential construction flaws or practices in advance of subsequent further installations. If field verification and diagnostic testing determines that the requirements for compliance are met, the ECC-Rater shall transmit the test results to the ECC-Provider registry, whereupon the Provider shall make available a copy of the registered Certificate of Verification to the ECC-Rater, the builder, and the enforcement agency.

After the initial field verification and diagnostic testing is completed, the builder or the ECC-Rater shall identify a group of up to seven individual systems or dwelling units in the building from which a sample will be selected and identify the names and license numbers of the subcontractors responsible for the installations requiring field verification and diagnostic testing. The date the first system or dwelling unit in the group is identified shall establish the start date for the new opened sample group. The ECC-Provider shall record and track the start date for each sample group.

If dwelling units have multiple measures requiring verification installed, each dwelling unit in a designated group shall have the same measures requiring verification as the other dwelling units in the designated group. If some dwelling units have installed a different set of measures requiring verification, those dwelling units shall be in a separate group.

If the dwelling units in a designated group have multiple measures that require verification, sample testing for individual measures may be conducted in any of the dwelling units in the group - it is not required that all of the sample tests for all of the individual measures be completed in the same dwelling unit. Individual measures shall be allowed to be included in a group regardless of whether compliance requires one sample test, or if compliance requires more than one sample test (up to100% sample test rate) be reported for such individual measures.

If dwelling units have central forced-air space conditioning equipment that introduces outside air into the conditioned space utilizing means that connect outside air ventilation ducts directly to the dwelling unit’s central forced air duct system (Central Fan-Integrated Ventilation System or CFI Ventilation System), the CFI ventilation technology shall be considered a separate measure for verification sampling purposes, and dwellings with CFI ventilation systems shall be placed in separate groups from other dwelling units that do not utilize CFI ventilation technology.

For newly constructed buildings, systems or dwelling units in a designated group shall all be located within the same enforcement agency jurisdiction. Refer to Section NA1.8 for requirements for sample groups applicable to alterations.

The ECC-Rater shall verify that a Certificate of Compliance, a Certificate of Installation, and a Certificate of Acceptance have been completed for each unit having features requiring verification. The ECC-Rater shall also confirm that the Certificate of Installation and Certificate of Acceptance have been completed as required, and that the field technician’s diagnostic test results and all other Certificate of Acceptance information shows compliance consistent with the Certificate of Compliance. The Certificates of Acceptance for each group shall be submitted to the Provider but are not required to be registered, in preparation for potential future quality assurance audits. The group shall be closed prior to selection of the sample that will be field verified and diagnostically tested.

The builder or the ECC-Rater may request removal of units from the group by notifying the ECC-Provider prior to selection of the sample that will be tested and shall provide justification for the change. Removed units which are installed shall either be field verified and diagnostically tested individually or shall be included in a subsequent group for sampling.

The ECC-Rater, with no direction from the installer, builder, or owner shall randomly select one system or dwelling unit from the “closed” group for field verification and diagnostic testing upon receiving the builder’s or builder representative’s request for verification of that group. The ECC-Rater shall enter the test and/or field verification results into the Data Registry regardless of whether the results indicate a pass or fail. If the test fails, then the failure must be entered into the Provider’s Data Registry even if the installer immediately corrects the problem. In addition, the procedures in NA1.6.4 shall be followed.

If field verification and diagnostic testing determines that the requirements for compliance are met, the ECC-Rater shall enter the test results into the Data Registry. Whereupon, the Provider shall make available to the ECC-Rater, the builder, the enforcement agency and other approved users of the Data Registry, a copy of the registered Certificate of Verification for the “tested” system or dwelling unit and a Certificate of Verification shall also be provided for each “not tested” system or dwelling unit in the sample group. The Certificate of Verification shall report the successful diagnostic testing results and conclusions regarding compliance for the ”tested” system or dwelling unit. The Certificate of Verification shall also provide:

1. Building permit number for the unit.
2. Registration Number – that conforms to the numbering convention specified in Reference Joint Appendix JA7.
3. Group Number – that conforms to the numbering convention specified in Reference Joint Appendix JA7.
4. Time and date stamp of the Provider’s issuance of the registered Certificate of Verification.
5. Provider’s logo, water mark, or official seal.
6. Indication that the conditioning unit was a “tested” unit, or was a “not tested” unit from the sample group.

The registered Certificate of Verification shall not be provided for measures that have not yet been installed.

Whenever the builder changes subcontractors who are responsible for installation of the systems or dwelling unit measures, the builder shall notify the ECC-Rater of the subcontractor change and terminate sampling for any affected group. All units requiring ECC-Rater field verification and diagnostic testing for compliance that were installed by previous subcontractors or were subject to field verification and diagnostic testing under the supervision of a previous ECC-Provider, for which the builder does not have a completed Certificate of Verification, shall either be individually tested or included in a separate group for sampling. Systems or dwelling units completed by new subcontractors shall either be individually tested or shall be included in a new separate group for sampling.

The ECC-Rater shall not notify the builder when sample testing will occur prior to the completion of the work that is to be tested, or prior to entry of the data from the Certificate of Installation.

The ECC-Provider shall close a group within 6 months after the group was started/opened. When such group closure occurs, the ECC-Provider shall notify the builder or contractor and ECC-Rater that the group has been closed, and a sample shall be selected for field verification and diagnostic testing.

“Re-sampling” refers to the procedure that requires testing of additional systems or dwelling units within a group when the selected sample from a group fails to comply with the verification requirements.

When a failure is encountered during sample testing, the failure shall be entered into the Provider’s Data Registry. Corrective action shall be taken on the failed system and then retested to verify that corrective action was successful. Corrective action and retesting on the system shall be repeated until the testing indicates compliance and the results have been entered into the Data Registry, whereupon, a registered Certificate of Verification for the system shall be made available to the ECC-Rater, the builder, the enforcement agency, and other authorized users of the Data Registry.

In addition, the ECC-Rater shall conduct re-sampling to assess whether the first failure in the group is unique or if the rest of the units in the group are likely to have similar failings.

The ECC-Rater shall randomly select for re-sampling one of the remaining untested systems or dwelling units in the group for testing.

If testing in the re-sample confirms that the requirements for compliance credit are met, then the system or dwelling unit with the failure shall not be considered an indication of failure in the other units in the group. The ECC-Rater shall transmit the re-sample test results to the Data Registry, whereupon the Provider shall make available to the ECC-Rater, the builder, the enforcement agency, and other authorized users of the Data Registry, a copy of the registered Certificate of Verification for each of the remaining units in the group including the dwelling unit in the re-sample.

If field verification and diagnostic testing of the second sample results in a failure, the ECC-Rater shall report the second failure to the ECC-Provider, the builder, and the enforcement agency. All systems or dwelling units in the group must thereafter be individually field verified and diagnostically tested.

The builder shall take corrective action on any system or dwelling unit in the group that failed to comply when tested. In cases where corrective action would require destruction of building components, and the performance compliance method is used, the builder may choose to reanalyze compliance and choose different measures that will achieve compliance. In this case a new Certificate of Compliance shall be completed and submitted to the ECC-Provider, the ECC-Rater and the enforcement agency. The ECC-Rater shall conduct field verification and diagnostic testing for each of these measures to verify that problems have been corrected and that the requirements for compliance have been met. Upon verification of compliance, the ECC-Rater shall enter the test results into the Data Registry. Whereupon the Provider shall make available to the ECC-Rater, the builder, the enforcement agency, and other authorized users of the Data Registry a copy of the registered Certificate of Verification for each individual unit in the group.

The ECC-Provider shall file a report with the enforcement agency explaining all action taken (including field verification, diagnostic testing, and corrective action,) to bring into compliance systems or dwelling units for which full testing has been required. If corrective action requires work not specifically exempted by the CMC or the CBC, the builder shall obtain a permit from the enforcement agency prior to commencement of any of the work.

Corrections to avoid reporting a failure to the Data Registry shall not be made to a sampled or re-sampled feature after the ECC-Rater selects the sample feature, or during the course of testing of the unit. If it becomes evident that such corrections have been made to a sampled or re-sampled feature to avoid reporting a failure, field verification and diagnostic testing shall be required to be performed on 100 percent of the individual systems or dwelling units in the group.

The Energy Commission may approve Third Party Quality Control Programs (TPQCP) to 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 TPQCP installation contractors do not have the authority to sign Certificate of Verification documentation as an ECC-Rater.

An approved Third Party Quality Control Program shall:

1. Provide training to participating program installers (including contractors, subcontractors, and technicians) to ensure proficiency in:
   1. Quality HVAC installation procedures, common causes of failure, and corrections.
   2. Understanding of the Standards requirements for field verification and diagnostic testing of measures, which are subject to TPQCP program procedures
   3. Understanding all applicable specifications for field verification and diagnostic testing procedures specified in the Reference Residential Appendices.
   4. Any applicable specialized TPQCP-specific procedures.
2. Collect field verification and diagnostic test data (data) from participating installers for each installation completed.
3. Automatically confirm the location of the system undergoing testing using an electronic tracking means such as Global Positioning System (GPS) technology if available.
4. Provide data checking analysis to evaluate the validity and accuracy of the collected data to independently determine whether compliance has been achieved. Data checking based on more detailed data than is required for showing compliance must be able to uncover invalid or erroneous information supplied by installers.
5. Provide direction to the installer to retest and correct problems when data checking determines that compliance has not been achieved. The direction to the installer shall occur in real time so that testing can be redone, and corrections can be made before the installer leaves the site.
6. Ensure the installer resubmits updated data from new testing when retesting and correction is completed.
7. Maintain a database of all data submitted by all participating TPQCP installers.
8. Provide functionality that enables Energy Commission staff to query retained TPQCP data or documents.
9. TPQCP shall not impose restrictions on the ECC-Rater or the ECC-Provider that limit their independence, or the ability of the ECC-Rater or the ECC-Provider to properly perform their functions.
10. TPQCP shall not impose restrictions on the ECC-Rater’s use of equipment beyond those required by the Energy Commission.

TPQCP data collection shall conform to the following requirements:

1. Data shall be more detailed than the data required for showing compliance with the Standards.
2. Data shall enable the TPQCP to conduct an independent check on the validity and accuracy of the installer’s claim that compliance has been achieved.
3. Data shall not be alterable by the installer to indicate that compliance has been achieved when in fact compliance has not been achieved.

ECC-Providers shall conform to the following requirements:

1. ECC-Providers shall assign an ECC-Rater to conduct independent field verification and diagnostic testing of the installation work performed by the participating Third Party Quality Control Program installing contractors, and to submit Certificates of Verification at the close of the sampling group.
2. ECC-Providers shall notify enforcement agencies when groups close or exceed six months without closing.
3. ECC-Providers shall explain, in their applications for approval by the Energy Commission, the way in which their program will work with TPQCPs.

ECC-Raters shall conform to the following requirements:

1. Complete all of the responsibilities of an ECC-Rater as specified in Appendix NA1, with the exception that sampling procedures utilized for TPQCP installations shall be limited to sampling of a “closed” group as described in Section NA1.6. However, the sample tested shall be selected and field verified from within a group of up to thirty dwelling units.
2. ECC-Raters shall be independent entities from the Third Party Quality Control Program.
3. If re-sampling is required, the ECC-Rater shall perform full testing and corrective action as specified in Section NA1.6 with the exception that re-sampling shall be completed for a minimum of one out of every thirty dwelling units from the group.

The TPQCP shall meet the requirements imposed on an ECC-Rater specified in the Energy Commission’s program regulations (Title 24, Part 1, Section 10-103.3), including the requirement to be an independent entity from the builder, the ECC-Provider, the ECC-Rater that provides independent field verifications, and the subcontractor installer as specified by Section 1673(j). However, a Third Party Quality Control Program may have business relationships with installers participating in the program to advocate or promote the program and an installer’s participation in the program, and to advocate or promote products that the Third Party Quality Control Program sells to installers as part of the Program.

Prior to approval by the Commission, the Third Party Quality Control Program shall provide a detailed explanation to the Commission of the following:

1. The data that is to be collected from the installers.
2. The data checking process that will be used to evaluate the validity and accuracy of the data submitted by the TPQCP installation contractors.
3. The justification for why this data checking process will provide strong assurance that the installation actually complies.
4. A detailed description of the database that will be maintained by the TPQCP, and the functionality that will allow Energy Commission staff to query retained data or documents.
5. A detailed explanation of how their data input complies with Reference Joint Appendix JA7.9.
6. A detailed description of the training that will be provided to TPQCP installers.
7. The procedures the TPQCP will follow to ensure the installer makes appropriate on-site data submittals, installation corrections.

The Third Party Quality Control Program may apply for a confidential designation for information submitted to the Energy Commission as specified in the Commission’s Administrative Regulations (California Code of Regulations, Title 20, Division 2, Chapter 7, Article 2, Section 2505).

As a condition to participation in the TPQCP program, all approved TPQCP installing contractors and the TPQCP installing contractor’s responsible installation technicians shall be trained and confirmed to be proficient in the following:

1. Quality installation procedures.
2. The requirements of this Appendix.
3. Any applicable specialized TPQCP-specific procedures.

The training requirements also apply to the installing contractor’s specialty subcontractors who provide Third Party Quality Control Program services. All installation verification and diagnostic work performed in the program shall be subject to the same quality assurance procedures as required by the Energy Commission’s program regulations.

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 testing and field verification shall be completed for the permitted system or dwelling unit alone. Alterations to existing space conditioning systems are not permitted to be part of a designated sample group.

The building permit applicant shall submit or make arrangements for submittal of the required Certificate of Compliance information to the ECC-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 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.

ECC-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 ECC-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 ECC-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 ECC-Rater.

The ECC-Rater shall verify that the Certificate of Compliance, Certificate of Installation, and Certificate of Acceptance have been completed for each unit having features requiring 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.

The enforcement agency shall not approve the alteration until the enforcement agency has received a completed Certificate of Installation as specified in 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, shall not use group sampling for 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.

When field verification and diagnostic testing is required to be performed in accordance with NA1 and NA2 procedures, compliance with verification may alternatively be satisfied by a certified Acceptance Test Technician (ATT) according to the requirements specified in this section.

Under this alternative procedure, when the Certificate of Compliance indicates that field verification and diagnostic testing is required as a condition for compliance with Title 24, Part 6, a certified ATT may perform the verification to satisfy the condition of compliance. Systems verified under this procedure are not eligible for use of the sampling procedures described in NA1.6.

The ATT shall perform the required field verification and diagnostic testing according to the procedures specified in Reference Nonresidential Appendix NA2 and verify that the work meets the requirements for compliance as shown on the Certificate of Compliance. The owner or installer shall complete a Certificate of Installation and sign the certificate to certify that the installation work meets the requirements for compliance credit.

The ATT shall sign a copy of the Certificate of Acceptance and submit a copy to the approved ATTCP. The acceptance procedures for the Certificate of Acceptance shall conform to the requirements in NA1.5.

A signed copy of the Certificate of Acceptance shall be posted at the job site for review by the enforcement agency, in conjunction with requests for final inspection in accordance with NA1.3.4.

The Certificate of Acceptance that is posted in the field for review by the enforcement agency at final inspection shall conform to all applicable requirements of 10-103(a)4.