Compliance for certain energy efficiency measures, as specified by the Commission, requires field verification and diagnostic testing of dwelling units by a certified ECC-Rater. The Commission approves ECC-Providers, subject to Title 24, Part 1, Section 10-103.3. Approved ECC-Providers are authorized to certify ECC-Raters and are required to maintain quality control over ECC-Rater field verification and diagnostic testing activities.

When the Certificate of Compliance documentation for a dwelling unit indicates that field verification and diagnostic testing of specific energy efficiency measures are required as a condition for complying 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 Appendix RA2. As specified by Section 10-103.3, “Providers and Raters shall be independent entities from the builder and from the subcontractor installer of energy efficiency improvements 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 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 purposes as specified in Section RA2.7.

The remainder of this Appendix RA2 describes the:

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

Table RA2-1 describes the measures that require installer certification and field verification and diagnostic testing, and identifies the protocol or test procedure in the Reference Residential Appendices that shall be used for completing installer and ECC-Rater field verification and diagnostic testing.

Air Conditioning Measures

Ventilation Cooling Measures

Mechanical Ventilation Measures for Improved Indoor Air Quality

Building Envelope Measures

Single Family Domestic Hot Water Measures

1. Note: Compliance credit for increased duct insulation R-value (not buried ducts) may be taken without field verification if the R-value is the same throughout the building, and for ducts located in crawlspaces and garages where all registers are either in the floor or within 2 feet of the floor. These two credits may be taken subject only to enforcement agency inspection.

2. Note: The requirement for verification of a high EER2 does not apply to equipment rated only with an EER2.

The building energy compliance features, field verification requirements, and applicable special feature eligibility criteria shall be identified on a Certificate of Compliance that conforms to the requirements in Standards Sections 10-103(a)1 and 10-103(a)2. The builder or subcontractor shall submit all applicable Certificate of Installation documentation in conformance with the requirements in Standards Section 10-103(a)3 and the procedures described in RA2, and shall provide certification that the construction/installation complies with all applicable requirements on the Certificate of Compliance and complies with all applicable field verification and eligibility criteria. Field verification shall be performed by an ECC-Rater and documented on applicable Certificate of Verification documentation that conforms to the requirements of Standards Section 10-103(a)5 and the procedures in RA2.

The performance compliance method allows for preparation of Certificate of Compliance documentation for multifamily buildings that precludes use of certain verification compliance credits that would otherwise be available for compliance credit as described in Section RA2.3.1.1 below. Document registration is required for all dwelling units that utilize building energy features for which verification is required as introduced in Section RA2.3.1.2 and described in the procedures in subsequent sections of RA2. Verification of electronic documentation is introduced in section RA2.3.1.3 and is applicable to many aspects of the documentation procedures described in subsequent sections of RA2.

For multifamily buildings, a single Certificate of Compliance may be prepared for the whole building, however dwelling unit-specific Certificates of Installation and dwelling unit-specific Certificates of Verification shall be required for each individual dwelling unit in the building. Thus, for the whole-building compliance approach in a multifamily building utilizing features that require verification, the required energy compliance documentation for each dwelling unit shall consist of a copy of the whole-building Certificate of Compliance, the applicable dwelling unit-specific Certificates of Installation, and the applicable dwelling unit-specific Certificates of Verification.

When the whole-building compliance approach is utilized for a multifamily building, some energy efficiency measures that require field verification shall not be used for compliance credit in performance compliance calculations. These measures require dwelling unit-specific information input to the compliance software, and dwelling unit-specific information that must be shown on the Certificate of Compliance, thus these measures cannot be properly documented using a whole-building Certificate of Compliance (which is not a dwelling unit-specific document type). The measures that shall not be utilized for the multifamily whole-building compliance approach are:

1. Buried Ducts credit
2. Deeply Buried Ducts credit
3. Reduced Duct Surface Area credit
4. Building Envelope Sealing credit for reduced outdoor air infiltration (blower door test)

All other measures that require field verification and diagnostic testing are allowed for use with the multifamily whole-building compliance approach.

For all low-rise residential buildings for which compliance requires field verification, all Registered Compliance Document and Compliance Registration Package (Certificate of Compliance, Certificate of Installation, and Certificate of Verification) required for the dwelling unit shall be submitted for registration and retention to an ECC-Provider data registry. When submittal of documentation to an ECC-Provider data registry is required, the completed documents are referred to as registered documents, and the process of completing these documents by submitting information (Compliance Registration Package) and certification signatures to the ECC-Provider data registry is called registration. Refer to Reference Joint Appendix JA1 for the definitions for ECC-Provider data registry, and for registered document. Additional specification for the document registration process is given in Reference Joint Appendix JA7.

Printed paper copies or electronic copies of the completed, signed, registered Certificate of Compliance, Certificate of Installation, and Certificate of Verification 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 ECC-Provider data registry for the applicable dwelling unit.

The ECC-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 ECC-Provider 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 ECC-Provider data registry for the applicable dwelling unit.

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, RA2.8, applies specifically to the differences in the requirements for alterations. Section RA2.7 applies specifically to the differences in the requirements for Third Party Quality Control Programs.

1. A Certificate of Compliance shall be prepared for each dwelling unit or building that requires a building permit. The Certificate of Compliance information shall be submitted to the ECC-Provider data registry, validated, and signed by the documentation author and the building’s designer or owner to register the documentation prior to submittal of the Certificate of Compliance to the enforcement agency for approval. The documentation author and the building designer or owner shall submit certification to the ECC-Provider data registry electronically.
2. The builder shall arrange for the services of a certified ECC-Rater prior to installation of the measures, 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 the dwelling unit 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 building designer or owner and submitted to the enforcement agency. The builder or subcontractor shall install the measure(s) that require field verification and diagnostic testing. When the installation is complete, the builder or subcontractor shall perform diagnostic testing on the installation using the applicable procedures specified in Reference Residential Appendix RA2.5, RA3, and RA1. If testing confirms compliance, the builder or subcontractor shall submit the required information and signatures electronically to the ECC-Provider data registry to register the applicable Certificate(s) of Installation, then post a copy of the applicable registered Certificate(s) of Installation at the building site for review by the enforcement agency in conjunction with requests for final inspection for each dwelling unit.
3. The ECC-Rater shall confirm that registration of the Certificate(s) of Compliance and the applicable Certificate(s) of Installation has been completed for each dwelling unit that requires verification. The ECC-Rater shall complete the applicable field verification and diagnostic testing as specified in Section RA2.6. The ECC-Rater shall submit the required field verification and diagnostic testing information and signatures electronically to the ECC-Provider data registry to register the applicable Certificate of Verification documentation.
4. The ECC-Provider shall make available registered copies of the Certificate(s) of Verification to the ECC-Rater, builder, enforcement agency and other authorized users of the ECC-Provider data registry. If a building owner is identifiable, the ECC-Provider shall make available registered copies of the Certificate(s) of Verification to that person.
5. The enforcement agency shall not approve a dwelling unit until the enforcement agency has received the required registered Certificate(s) of Verification, posted at the building site for review in conjunction with requests for final inspection for the dwelling. 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-Provider shall ensure that the content and approval signatures for copies of submitted Certificate(s) of Compliance, Certificate(s) of Installation, and Certificate(s) Verification are retained as specified by Title 24, Part 1, Section 10-103.3. 

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.

The builder shall make arrangements for submittal of the Certificate of Compliance information and certification signatures to the ECC-Provider data registry for dwelling units with features that require verification. 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 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 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 ECC-Rater copies of all applicable Certificates of Installation.

If the builder utilizes group sampling for verification compliance, the builder, builder’s authorized representative, or the ECC-Rater shall identify the dwelling 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 dwelling unit 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 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 ECC-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).

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 administration of all applicable document registration procedures and 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 ECC-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 verification for compliance, 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 in Title 24, Part 1, Section 10-103.3.

The ECC-Rater who provides field verification and diagnostic testing shall transmit the required test results and certification signatures to the ECC-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 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 dwelling unit that meets the 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 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 ECC-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 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 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.

The ECC-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.

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 RA2.7 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, or observe the field verification and diagnostic testing performed by builders, subcontractors or the certified ECC-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 ECC-Rater in conjunction with requests for final inspection for each dwelling unit. 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 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 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 an ECC-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 ECC-Provider shall track these projects to ensure a ECC-Rater conducts the required refrigerant charge verification for all such systems. When the outdoor temperature is 55°F or above, the ECC-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 ECC-Rater shall report the diagnostic results on the applicable Certificate of Verification and shall register the certificate with the ECC-Provider. When refrigerant charge verification testing performed by the ECC-Rater indicates adjustment to the charge is required, the ECC-Provider shall notify the installer, and the builder or building owner that corrective action is required. The ECC-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 ECC-Rater using one of the applicable refrigerant charge verification procedures. Compliance with verification requirements cannot utilize group sampling procedures when the installer utilized the Weigh-In Method.

Certificates of Installation are required when dwelling units utilize features, materials, components, or manufactured devices that are required for compliance with the Appliance Efficiency Regulations and Title 24, Part 6. Certificates of Installation shall indicate the installed features, materials, components, or manufactured devices are in conformance with the specifications listed on the Certificate of Compliance for the dwelling. The builder or the installing subcontractor eligible under Division 3 of the Business and Professions Code to accept responsibility for construction or installation, in the applicable classification for the scope of work, shall sign and submit Certificate of Installation documentation and post a copy of the Certificate(s) 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 the dwelling unit does not require field verification for compliance, 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 an ECC-Provider data registry, but shall conform to all other applicable requirements of 10-103(a)3. The remainder of Section RA2.5 describes the documentation procedures for Certificates of Installation for dwelling units that require verification.

For the features, materials, components, or manufactured devices that are listed on the Certificate of Compliance indicating verification is required for compliance, the builder shall arrange for the services of a certified ECC-Rater prior to installation of the measures so that once the installation is complete the ECC-Rater will have ample time to complete the required field verification and diagnostic testing without delaying final approval of the dwelling unit by the enforcement agency.

For all low-rise residential buildings for which compliance requires field verification and diagnostic testing, the Certificate(s) of Installation shall be signed and submitted to an ECC-Provider data registry as specified in Standards Section 10-103(a)3 to certify conformance with Part 6. When Standards Section 10-103(a)3 requires document registration, all Certificates of Installation that are applicable to the dwelling unit shall be registered.

When the installation of a measure is complete, the builder or the builder’s subcontractor shall perform all required field verification and diagnostic testing of the installation(s) to confirm compliance with the Standards utilizing the applicable procedures specified in Reference Residential Appendix RA3 or RA1, and submit, or make arrangements for submittal of all required Certificate of Installation information to an ECC-Provider data registry. Submittal of Certificate of Installation information to the ECC-Provider data registry shall be done electronically.

ECC-Raters or other authorized users of the ECC-Provider data registry may provide documentation author support to facilitate the submittal of the Certificate of Installation information to the ECC-Provider data registry on behalf of the builder or the builder’s subcontractor when such facilitation has been authorized by the builder or subcontractor. Documentation authors shall provide an electronic signature to certify the documentation is accurate and complete. The builder or subcontractor who is eligible under Division 3 of the Business and Professions Code to take responsibility for the construction or installation, or their authorized representative as specified in Standards Section 10-103(a)3A, shall provide an electronic signature to register the Certificate of Installation, to certify the information provided on the Certificate is true and correct, and confirm that the construction or installation complies with the requirements shown on the dwelling unit's Certificate of Compliance that was approved by the enforcement agency. The builder or subcontractor shall make available a copy of the registered Certificate of Installation to the ECC-Rater and post a copy of the registered Certificate of Installation 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.

At the builder’s option, field verification and diagnostic testing (verification) shall be completed either for each and every dwelling unit, or alternatively for a dwelling unit sample from a designated group of dwelling units in which the same measure(s) requiring verification is installed in each dwelling unit in the group. If the builder elects to demonstrate compliance utilizing group sampling, all applicable procedures described in Sections RA2.6.2, RA2.6.3, and RA2.6.4 shall be followed.

The general requirements in RA2.6.1 are applicable to all dwelling units that require verification for compliance, and shall be incorporated into procedures specified in Sections RA2.6.2, RA2.6.3, and RA2.6.4 whenever applicable.

The builder or the builder's authorized representative shall make available to the ECC-Rater the names and license numbers of the subcontractors responsible for the installations in the dwelling units that require verification; and a copy of the registered Certificate of Compliance that was signed and submitted by the person responsible for the building design and was approved by the enforcement agency.

The builder, builder's authorized representative, or subcontractor shall make available to the ECC-Rater a copy of the applicable registered Certificate(s) of Installation signed and submitted by the builder or subcontractors responsible for the construction or installation as described in Section RA2.5.

Prior to performing field verification and diagnostic testing, the ECC-Rater shall verify that registration of all applicable Certificate of Compliance documentation, and registration of all applicable Certificate of Installation documentation has been completed for all dwelling units for which compliance requires verification. The ECC-Rater shall confirm the installer’s diagnostic test results and all other Certificate of Installation information indicates compliance consistent with the requirements given in the plans and specifications and registered Certificate of Compliance documents approved by the enforcement agency for the dwelling.

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

If the ECC-Rater's 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 testing 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 certify the documentation is accurate and complete.

The Certificate of Verification shall be 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 for each dwelling unit. 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 dwelling unit of each model within a subdivision or multifamily housing development when the builder elects to demonstrate verification compliance utilizing group sampling. To be considered the same model, dwelling units shall have the same basic floor plan layout, energy design, and compliance features as shown on the Certificate of Compliance. Variations in the basic floor plan layout, energy design, compliance features, zone floor area, or zone volume, that do not change the features to be tested, the heating or cooling capacity of the HVAC unit(s), or the number of HVAC units specified for the dwelling units, shall not cause dwelling units to be considered a different model. For multifamily buildings, variations in exterior surface areas caused by location of dwelling units within the building shall not cause dwelling units to be considered a different model. This initial model testing allows the builder to identify and correct any potential construction flaws or practices in advance of the build out of each model. 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 data registry, whereupon the Provider shall make available a registered copy of the Certificate of Verification, to the ECC-Rater, the builder, the enforcement agency, and other authorized users of the ECC-Provider data registry.

Descriptions for verification compliance using group sampling, and details describing procedures for sampling of a “closed” group of up to seven dwellings, and for sampling of an “open” group of up to five dwellings are described in Section RA2.6.3.

After the initial model field verification and diagnostic testing is completed as specified in RA2.6.2, the builder, or the builder’s authorized representative shall determine a sampling procedure to be used, and shall designate the dwelling units to include in the group of dwellings that require verification. The maximum number of dwelling units allowed in a sample group may range from five, to seven, to thirty as described in Sections RA2.6.3.3, RA2.6.3.4, and RA2.7 respectively.

If multiple measures requiring verification are 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 to 100% sample test rate) be reported for such individual measures.

Dwelling units in a designated group shall all be located within the same enforcement agency jurisdiction and subdivision or multifamily housing development. Refer also to Section RA2.8 for requirements for sample groups applicable to alterations.

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

Registration of the first Certificate of Installation, for the first dwelling in a sample group shall be required to “open” a new group. The date of the responsible persons registration signature for the first Certificate of Installation for the group shall establish the start date for the group. Additional dwellings may be entered into the registry, and included in an “open” group over a period of time subject to registration of the Certificate of Installation documents for each additional dwelling. However, the group shall not remain “open” to receive additional dwellings for a period longer than six months after the start date of the group. A group may be “closed” at any time after the group has been “opened” at the option of the builder or builder’s authorized representative, thus the size of a “closed” group may range from a minimum of one dwelling to a maximum of seven dwellings. When a group becomes classified as “closed”, no additional dwellings shall be added to the group.

The following criteria shall be met as prerequisite to attaining verification compliance for the group:

1. All of the dwelling units contained in the sample group have been identified. A maximum of seven dwellings are allowed to be included in a “closed” sample group for compliance.
2. Installation of all the measures that require verification has been completed in all the dwellings that are entered in the group, and registration of the Certificates of Installation for all the dwellings entered in the group has been completed.
3. The group has been classified as a “closed” group in the Provider data registry.
4. At the request of the builder or the builder’s authorized representative, a ECC-Rater shall randomly select one dwelling unit from the “closed” sample group for field verification and diagnostic testing. If the dwelling unit meets the compliance requirements, this “tested” dwelling and also each of the other “not-tested” dwellings in the group shall receive a registered Certificate of Verification.

The following criteria shall be met as prerequisite to attaining verification compliance for the group:

1. At least one dwelling unit from the sample group has been identified. A maximum of five dwellings are allowed to be included in an “open” sample group for compliance.
2. Installation of all the measures that require verification shall be completed in all the dwellings that are entered in the group, and registration of the Certificates of Installation for all the dwellings entered in the group has been completed.
3. At the request of the builder, or the builder’s authorized representative, an ECC-Rater shall randomly select one dwelling unit from those currently entered into the “open” sample group for field verification and diagnostic testing. If the dwelling unit meets the compliance requirements, the “tested” dwelling and each of the other “not tested” dwellings currently entered into the group shall receive a registered Certificate of Verification. If less than five dwelling units have been entered into the group, the group shall be allowed to remain “open” and eligible to receive additional dwelling units. Dwelling units entered into the “open” group subsequent to the compliant verification of the “tested” dwelling shall also receive a registered Certificate of Verification as a “not tested” dwelling subject to receipt of the registered Certificate of Installation by the ECC-Provider data registry for the dwelling. The group shall be “closed” when it reaches the limit of five dwellings or when the six month limit for “open” groups has been exceeded, or when the builder requests that the group be closed.

The builder or the ECC-Rater may request removal of untested dwelling units from a group by notifying the ECC-Provider prior to selection of the dwelling sample that will be tested from an “open” or “closed” group and shall provide justification for the change. Removed dwelling units shall be field verified and diagnostically tested individually or shall be included in a subsequent group for sampling.

There are exceptions to the requirement to have completed Certificate of Installation data entered into the ECC-Provider data registry prior to selection of the dwelling unit to be tested in a group. Some measures require multiple verifications during the construction process. A sample group is not required to be closed before field verification and diagnostic testing can begin for the following measures. For these measures the ECC-Rater is allowed to randomly select the dwelling unit to be field verified from those that are at the proper stage of construction to enable the first of the multiple verifications to be completed.

1. Quality Installation of Insulation measure requires inspection of the air barrier and inspection of the insulation behind tubs and showers at framing rough-in. Verification of the wall, floor and ceiling insulation must be completed prior to drywall installation. Attic insulation installation may require follow-up verification.
2. Buried Ducts measure requires verification of the duct design prior to verification of the attic insulation.
3. Duct Surface Area requires verification of the duct design prior to installation of the attic insulation.

The ECC-Rater, with no direction from the installer or builder, shall randomly select one dwelling unit from a “closed” sample group for field verification and diagnostic testing upon receiving the builder’s or builder representative’s request for verification of that group. Alternatively, the ECC-Rater shall randomly select one dwelling unit from the dwellings currently entered into an “open” sample group upon receiving the builder’s or builder representative’s request for verification of that group. The ECC-Rater shall diagnostically test and field verify the selected dwelling unit. The ECC-Rater shall enter the test and/or field verification results into the ECC-Provider 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 Section RA2.6.4 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 ECC-Provider data registry. Whereupon the Provider shall make available to the ECC-Rater, the builder, the enforcement agency, and other approved users of the ECC-Provider data registry, a registered copy of the Certificate of Verification for the “tested” dwelling, and for all other “not tested” dwelling units entered in the group at the time of the sample test. The registered Certificate of Verification shall report the successful diagnostic testing results and conclusions regarding compliance for the tested dwelling unit. The registered Certificate of Verification shall also provide:

1. Building permit number for the dwelling 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 dwelling was a “tested” dwelling, or was a “not-tested” dwelling in a sample group.

Whenever the builder changes subcontractors who are responsible for a feature that is being diagnostically field verified and tested, the builder shall notify the ECC-Rater of the subcontractor change and terminate sampling for any affected groups. All dwelling units utilizing features that require verification for compliance that were installed by previous subcontractors or were subject to verification and testing under the supervision of a previous ECC-Provider, for which the builder does not have a completed Certificate of Verification, shall be individually tested or included in a separate group for sampling. Dwelling units with installations completed by new subcontractors shall be individually tested, or shall be included in a new sampling group.

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 registration of the Certificate of Installation.

The ECC-Provider shall “close” any “open” group within 6 months after the earliest signature date shown on any Certificate of Installation for a dwelling entered in the group. When such group closure occurs, the ECC-Provider shall notify the builder that the group has been “closed” and require that a sample dwelling shall be selected for field verification and diagnostic testing by a ECC-Rater if field verification has not yet been conducted on a sample dwelling entered in the group.

“Re-sampling” refers to the procedure that requires testing of additional dwellings within a group when the initial selected sample dwelling 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 ECC-Provider data registry. Corrective action shall be taken on the failed dwelling unit and the dwelling unit shall be retested to verify that corrective action was successful. Corrective action and retesting on the dwelling unit shall be repeated until the testing indicates compliance and the successful compliance results have been entered into the ECC-Provider data registry (or the dwelling unit complies using an alternative method). Whereupon a registered Certificate of Verification for the dwelling shall be made available to the ECC-Rater, the builder, the enforcement agency, and other authorized users of the ECC-Provider 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 dwelling units in the group are likely to have similar failings.

The ECC-Rater shall randomly select for re-sampling one of the remaining untested dwelling units in the group for retesting of the feature that failed. If the failed dwelling was entered in a “closed” group, and the testing of the second randomly selected dwelling unit in the group confirms that the requirements for compliance credit are met on that unit, then the dwelling unit with the initial failure shall not be considered an indication of failure in the remaining untested dwelling units in the group. The ECC-Rater shall transmit the re-sample test results to the ECC-Provider registry, whereupon the Provider shall make available to the ECC-Rater, the builder, the enforcement agency, and other authorized users of the ECC-Provider data registry, a registered copy of the Certificate of Verification for the remaining dwelling 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 dwelling units in the group must thereafter be individually field verified and diagnostically tested to confirm compliance for the feature that failed to comply with re-sampling. In cases where corrective action would require destruction of building components, 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. Even with a new Certificate of Compliance, the dwelling unit must be individually field verified and diagnostically tested. Upon verification of compliance, the ECC-Rater shall enter the test results into the ECC-Provider data registry. Whereupon the Provider shall make available to the ECC-Rater, the builder, the enforcement agency, and other authorized users of the ECC-Provider data registry, a registered copy of the Certificate of Verification for each individual dwelling in the group.

The ECC-Rater shall randomly select for re-sampling one of the remaining untested dwelling units in the group for retesting of the feature that failed. If the failed dwelling was entered in an “open” group, and there are no other untested dwellings entered in the “open” group at the time of the failed verification, subsequent dwellings entered into the “open” group shall not receive a Certificate of Verification until a second dwelling in the “open” group is tested and successfully complies. If the subsequent testing of the second dwelling unit in the group confirms that the requirements for compliance credit are met on that unit, then the dwelling unit with the initial failure shall not be considered an indication of failure in the untested dwelling units in the group. The ECC-Rater shall transmit the compliant re-sample test results to the ECC-Provider data registry, whereupon the Provider shall make available to the ECC-Rater, the builder, the enforcement agency, and other authorized users of the ECC-Provider data registry, a registered copy of the Certificate of Verification, for the re-sampled dwelling, and the remaining not yet tested dwelling units entered in the “open” group at the time of the re-sample test, and the group shall be allowed to remain open and eligible to receive additional dwelling units. Dwelling units entered into the “open” group of up to 5 dwellings following the successful verification of the re-sampled dwelling shall receive a Certificate of Verification as a “not tested” dwelling subject to registration of the Certificate of Installation by the ECC-Provider data registry for the dwelling.

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, and the Provider shall require the “open” group to be “closed”. All remaining untested dwelling units entered in the group at the time of the re-sample must thereafter be individually field verified and diagnostically tested. In cases where corrective action would require destruction of building components, 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. Even with a new Certificate of Compliance, the dwelling unit must be individually field verified and diagnostically tested. Upon verification of compliance, the ECC-Rater shall enter the test results into the ECC-Provider data registry. Whereupon the Provider shall make available to the ECC-Rater, the builder, the enforcement agency, and other authorized users of the ECC-Provider data registry, a registered copy of the Certificate of Verification for each individual dwelling in the group.

Builders shall offer to provide the necessary field verification and diagnostic testing services and any necessary corrective action at no charge to building owners (for a definition of “building owner” and of other terms used, see Reference Joint Appendix JA1) in occupied dwelling units in the group. Builders shall report to the ECC-Provider the identifying location of any dwelling unit in which the building owner or occupant declines field verification and diagnostic testing and corrective action. The ECC-Provider shall verify that the builder has made this offer. If a building owner of a dwelling unit declines this offer, field verification, diagnostic testing, and corrective action will not be required for that dwelling unit and the dwelling unit will no longer be considered a part of the group. If a building owner accepts this offer, the builder shall take corrective action, and the ECC-Rater shall conduct field verification and diagnostic testing to verify that problems have been corrected. Upon verification of compliance, the ECC-Rater shall transmit the test results to the ECC-Provider data registry. Whereupon the Provider shall make available to the ECC-Rater, the builder, the enforcement agency, and other authorized users of the ECC-Provider data registry, a registered copy of the Certificate of Verification for the dwelling unit.

The ECC-Provider shall file a report with the enforcement agency explaining all actions taken (including field verification, diagnostic testing, corrective action, offers to building owners for testing and corrective action, and/or building owner declines of such offers) to bring into compliance 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 ECC-Provider data registry shall not be made to a sampled dwelling unit after the ECC-Rater selects the sample dwelling unit. If it is evident that such corrections have been made to a sampled dwelling unit to avoid reporting a failure, field verification and diagnostic testing shall be required for 100 percent of the 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 a 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 RA2, with the exception that sampling procedures utilized for TPQCP installations shall be limited to sampling of a “closed” group as described in Section RA2.6.3. 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 RA2.6.4 with the exception that re-sampling as defined in RA2.6.4 shall be completed for a minimum of one out of every thirty dwelling units from the group.p

The TPQCP shall meet the requirements imposed on a 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 complies.
4. The 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 RA2.
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 ECC program regulations.

This section on alterations describes the differences that apply to alterations. Otherwise the procedures and requirements detailed in previous sections of Appendix RA2 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 RA2.

Applicable procedures for registration of compliance documents described in Appendix RA2 shall also apply to alterations.

When compliance for an alteration requires field verification and diagnostic testing, the  field verification and diagnostic testing shall be completed for the dwelling unit individually. Alterations to existing dwelling units, are not permitted to be part of a designated sample group.

When the enforcement agency does not require building design plans to be submitted with the application for a building permit for an alteration, the 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 ECC-Provider data registry may provide documentation author support to facilitate the submittal of the required Certificate of Compliance information to the ECC-Provider data registry 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. Documentation authors shall provide an electronic signature to certify the documentation is accurate and complete. 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 provide an electronic signature to register 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 registered Certificate of Compliance to the enforcement agency for approval.

The 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 shall perform diagnostic testing and the procedures specified in Section RA2.5.

When the installation is complete, the person responsible for the performance of the installation shall complete the Certificate of Installation in accordance with the procedures specified in Section RA2.5.

The ECC-Rater shall perform the applicable verification and diagnostic testing required for compliance following the procedures in Section RA2.6.

The enforcement agency shall not approve the alteration until the enforcement agency has received a completed Certificate of Installation as specified in Section RA2.5, and a completed Certificate of Verification as specified in Section RA2.6.

Third Party Quality Control Programs, as specified in Section RA2.7, 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 registration 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.