2.3   Compliance Documentation

Compliance documentation includes the forms, reports and other information that are submitted to the enforcement agency with an application for a building permit. It also includes documentation completed by the contractor or subcontractors to verify that certain systems and equipment have been correctly installed. It may include reports and test results by third-party inspectors (HERS raters). Ultimately, the compliance documentation is included with a homeowner’s 'manual so that the end user knows what energy features are installed in the house.

Compliance documentation is completed at the building permit phase, the construction phase, the field verification and diagnostic testing phase, and at the final phase. The required forms and documents are shown in Table 2-1 and described in the rest of this section in more detail. When registration is required, all of the compliance documentation shall be registered copies from an approved HERS provider data registry.

Table 2-1 – Documentation Requirements, Prescriptive and Performance Compliance Methods

2.3.1    Building Permit Phase Documentation

The compliance documentation required at the building permit phase consists of the Certificate of Compliance (CF1R) on the building plans, and depending on the compliance approach, the energy compliance documentation package may also include the Thermal Mass Worksheet (WS1R), the Area Weighted Average Calculation Worksheet (WS2R), the Solar Heat Gain Coefficient (SHGC) Worksheet (WS3R), and the Solar Water Heating Calculation Form (CFSR). Blank copies of these documents are included in Appendix A of this 'manual for use with the prescriptive compliance requirements. When the performance approach is used, these worksheet documents are not needed since the Energy Commission-approved software performs the calculations and provides the necessary documentation as part of the software output.  However, when the performance approach is used, only the CF1R forms are required on the building plans.

The purpose of the compliance documentation is to enable the plans examiner to verify that the building design shown in the plans and specifications complies with the Building Energy Efficiency Standards, and to enable the field inspector to identify which building features are required for compliance and will be verified in the field.

2.3.2    Certificate of Compliance (CF1R)

The standards require the certificate of compliance to be incorporated into the plans for the building and submitted to the enforcement agency.   The CF1R form identifies the minimum energy performance specifications selected by the building designer or building owner for compliance, and may include the results of the heating and cooling load calculations. 

To meet the requirement for filing a copy of the CF1R with the plans for the building, builders/contractors should ask the local enforcement agency for information about their preferences or requirements for document submittal procedures. Most local jurisdictions may require the CF1R to be embedded in the building design computer aided drafting (CAD) file for plotting on sheets that are the same size as the building design's plan set sheets, thus the CF1R documentation would be submitted as energy compliance design sheets integral to the entire plan set for the building.  On the other hand, some jurisdictions may allow taping CF1R document sheets to the submitted design drawings for the building, while others may allow simply attaching 8-1/2 inch x 11 inch printed CF1R document reports to the submitted design drawing package.

When the prescriptive approach is used for additions and alterations, a short-hand version of the certificate of compliance shall be submitted with the building plans or with the permit application when no plans are required. In these instances: a CF1R-ADD form is required to be submitted for additions; a CF1R-ALT form is required for alterations; and a CF1R-ALT-HVAC form is required for HVAC changeouts.  (See Chapter 9 for more details)

For low-rise residential buildings for which compliance requires field verification, the CF1R submitted to the enforcement agency must be a registered copy, from an approved HERS provider data registry. Refer to Reference Residential Appendix RA2 and Reference Joint Appendix JA7 for more information about document registration.

2.3.3    Construction Phase Documentation (CF2R)

The Certificate(s) of Installation (CF2R) are separated into Envelope (CF2R-ENV), Lighting (CF2R-LTG), and Mechanical (CF2R-MECH) categories, and most compliance measures have a separate CF2R form that is specific to a particular installation. The CF2R forms must be completed during the construction or installation phase of the compliance and enforcement process. The CF2R documents must be completed by the applicable contractors who are responsible for installing regulated energy features such as windows (fenestration), the air distribution ducts and the HVAC equipment, the exhaust fans/ventilation system, the measures that affect building envelope tightness, the lighting system, and the insulation. The CF2R must be posted at the job site in a conspicuous location (e.g., in the garage) or kept with the building permit and made available to the enforcement agency upon request.  Certificate(s) of Installation will include, but not limited to, the following:

A.   HVAC Systems. The contractor who installs mechanical equipment signs the applicable Certificate of Installation. Heating and cooling equipment are listed and the energy efficiency, capacity, design loads and other properties of each piece of equipment are documented.

B.   Water Heating Systems. The Certificate of Installation includes information about the water heating equipment installed in the building, including model number, energy efficiency, tank size, input rating, tank insulation and other properties. The installer also verifies that faucets and shower heads are certified and comply with the Appliance Efficiency Regulations.

C.   Fenestration/Glazing. The Certificate of Installation is completed and signed by the contractor responsible for installing the windows and skylights.  The U-factor, SHGC, area, number of panes, etc. for each window and skylight are documented.  The installer also verifies that all windows and skylights are installed according to the manufacture recommendations .

D.   Insulation Certificate. The Certificate of Installation is completed and signed by the contractor responsible for installing the insulation. The manufacturer, brand, R-value, etc. of the insulation installed in the roof/ ceiling, walls, floor and slab edge are documented.  The installer also verifies compliance with the applicable mandatory measures (i.e. infiltration and exfiltration) for the building envelope.

E.   Duct Leakage and Design Diagnostics. The Certificate of Installation is signed by the contractor responsible for installing the HVAC air distribution system. The results of duct leakage diagnostic testing, which will later be verified by a third-party inspector (HERS rater), are documented on this form. The duct leakage testing requirements are a mandatory measure under the 2013 Building Energy Efficiency Standards.  Refer to Chapter 4 of this 'manual for more details.

F.   Refrigerant Charge and Airflow Measurement. The Certificate of Installation is signed by the contractor responsible who verifies that air conditioners and heat pumps have the correct refrigerant charge. This form contains diagnostic data that is later verified by a third-party inspector (HERS rater). The Prescriptive requirements for refrigerant charge and airflow under the 2013 Building Energy Efficiency Standards were expanded and will be applicable to ducted packaged systems and mini-split systems.  See Chapter 4 of this 'manual for more details.

G.   Duct Location and Area Reduction Diagnostics. The Certificate of Installation must be completed and signed by the contractor who installs the HVAC air distribution ducts. It verifies that the installed duct system conforms to the duct system design layout that was submitted to the enforcement agency at plan check. The person responsible for the duct system installation must certify on the Certificate of Installation that the installed system features, such as supply register and return grill locations, duct diameters, duct R-values and other duct system design details conform to the requirements for energy compliance credit for improved duct design, as specified on the Certificate of Compliance, approved by the enforcement agency.   This form contains system features that will later be verified by a third-party inspector (HERS rater). See Chapter 4 of this 'manual for more details.

H.   Exhaust Fans/Ventilation Systems. The Certificate of Installation includes information about the exhaust fans or ventilation system installed to meet the requirements of ASHRAE Standard 62.2.  The airflow (cfm), sone rating, duct diameter and length for each exhaust fan are documented. Under the 2013 Energy Efficiency Standards, this form contains test results that will later be verified by a third-party inspector (HERS rater).  See Chapter 4 of this 'manual for more details.

I.    Building Envelope Leakage Diagnostics. The Certificate of Installation is completed by the contractor responsible for testing building envelope leakage through pressurization of the house. This form contains test results that will later be verified by a third-party inspector (HERS rater). See Chapter 3 of this 'manual for more details.

J.   Insulation Quality Checklist. The Certificate of Installation is completed and signed by the insulation contractor when compliance credit is taken for quality insulation installation. Two forms must be completed to verify the proper installation of insulation: one during the rough frame stage of construction, and the second during the insulation phase of construction. This form contains verification results that are later verified by a third-party inspector (HERS rater). See Chapter 3 of this 'manual for more details.

K.   Lighting Systems. The Certificate of Installation is completed and signed by the contractor responsible for installing hard-wired lighting systems. The installer verifies compliance with the mandatory requirements for lighting, and whether high efficacy lighting or the alternate controls (occupancy sensors, dimmer switches, etc.) were installed. Kitchen lighting and cabinet lighting wattages are indicated on this form when applicable.  See Chapter 6 of this 'manual for more details.

When field verification and/or diagnostic testing of a feature is required for compliance (as shown in the HERS Required Verification section of the CF1R), the builder or the builder’s subcontractor must perform the initial field verification or diagnostic testing of the installation to confirm and document on the applicable CF2R compliance with the Standards utilizing the applicable procedures specified in Reference Residential Appendix RA3.  The builder, the builder’s subcontractor, or authorized representative must submit the CF2R information to an approved HERS provider data registry. All CF2R information submittals must be done electronically (registration) when HERS verification/testing is required.

HERS raters or other authorized users of the HERS provider data registry shall be allowed to facilitate the transmittal/submittal of the Certificate(s) of Installation information to the HERS provider data registry website on behalf of the builder or the builder’s subcontractor when such facilitation has been authorized by the builder or subcontractor. However, the builder or subcontractor responsible for the installation is still required to sign/certify the completed Certificate of Installation (CF2R) to confirm the accuracy of the information, and confirm that the installation complies with the requirements shown on the Certificate of Compliance (CF1R) for the building.

After submittal the Certificate of Installation information to the HERS provider data registry, the builder or subcontractor must access the registered Certificate of Installation from the provider data registry, submit an electronic certification/signature to the registry, and provide a copy to the HERS rater.  The registered copy submitted to the HERS rater may be in paper or electronic format, or the HERS rater may access the completed, signed and registered copy of the Certificate of Installation directly from the registry. 

After providing the HERS rater a copy (or access to in the registry) of the Certificate of Installation, the builder or subcontractor shall provide a copy of the completed, signed, and 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. The builder or subcontractor shall also leave a copy of the completed and registered CF2R, along with the homeowners’ 'manual (see section 2.3.5 for details), in the building for the building owner to receive at occupancy.

2.3.4    Field Verification and/or Diagnostic Testing Documentation (CF3R)

For the 2013 Building Energy Efficiency Standards, some of the mandatory measures, some of the prescriptive requirements, and some of the measures that may be used for compliance in the performance approach may require field verification and/or diagnostic testing. This must be performed by a third-party inspector who is specially trained and independent from the builder or general contractor. The Energy Commission recognizes HERS raters for this purpose.

When field verification and/or diagnostic testing is required, the Certificate of Verification (CF3R) must be completed, registered, and signed/certified by the HERS rater. The CF3R documents include information about the measurements, tests, and field verification results that were required to be performed. The HERS rater must verify that the requirements for compliance have been met.

The HERS rater who has been chosen for the project must transmit the CF3R information to an approved HERS provider data registry. This must be the same HERS provider data registry through which the previous compliance documents (CF1R, CF2R) for the project were registered. The HERS rater used for the project must be certified by the HERS Provider whose registry the project has been entered into. A registered CF3R from the provider that has been signed or certified by the rater is made available to the enforcement agency and to the builder when HERS verification confirms compliance. The builder is ultimately responsible for ensuring that the enforcement agency has received the CF3R prior to the occupancy permit or final inspection.

Raters shall provide a separate registered CF3R form for each house that the rater determines has met the verification or diagnostic requirements for compliance. The HERS rater shall not sign a CF3R for a house that does not have a registered CF2R that has been signed/certified by the installer. If the building was approved as part of a sample group, the CF3R will include additional information that identifies whether the building was a tested or a "not tested" building from the sample group. The CF3R form for the tested home of a sample group will include the test/verification results, but the “not tested” homes will not. CF3R forms for “not tested” homes in a sample group will still have a registration number, date, time, etc. and a watermark of the HERS Provider’s seal. Refer to Reference Residential Appendix RA2 for more details on HERS verification and CF3R documentation procedures.

2.3.5    Compliance, Operating, and Maintenance, and Ventilation Information to be Provided by Builder

The final documentation in the compliance and enforcement process is the information that is provided to the homeowner. At the completion of construction and prior to occupancy, the enforcement agency shall require the builder to leave in the building the applicable completed, signed and dated compliance documentation including, at a minimum, the applicable CF1R forms, CF2R forms, and if compliance required HERS verification, the applicable CF3R forms. When registration is required, all of these compliance documents shall be registered copies. In 'addition to the compliance documentation, the builder must leave in the building all operating and maintenance information for all installed features, materials, components, and manufactured devices. The operating and maintenance information must contain the details needed to provide the building owner/occupant with instructions on how to operate the home in an energy-efficient manner and to maintain it so that it will continue to work efficiently into the future.

For individually-owned units in a multifamily building, the documentation must be provided to the owner of the dwelling unit or to the individual(s) responsible for operating the feature, equipment, or device. Information must be for the appropriate dwelling unit or building (paper or electronic copies of these documents are acceptable).