2.4   Roles and Responsibilities

2.4.1    Designer

The designer is the person responsible for the overall building design. As such, the designer is responsible for specifying the building features that determine compliance with the Building Energy Efficiency Standards and other applicable building codes. The designer is required to provide a signature on the Certificate of Compliance (CF1R) to certify that the building has been designed to comply with the Building Energy Efficiency Standards.

The designer may personally prepare the Certificate of Compliance documents, or may delegate preparation of the energy analysis and Certificate of Compliance documents to an energy documentation author or energy consultant. If preparation of the building energy Certificate of Compliance documentation is delegated, the designer must remain in responsible charge of the building design specifications, energy calculations, and all building feature information represented on the Certificate of Compliance. The designer's signature on the Certificate of Compliance affirms his or her responsibility for the information submitted on the Certificate of Compliance.

The designer may be an architect, engineer or other California-licensed professional; however, a licensed design professional may not always be required for low-rise residential buildings. The California Business and Professions Code allows unlicensed designers to prepare design documentation for wood-framed single family dwellings as long as the dwellings are no more than two stories in height (not counting a possible basement). Two-story wood-framed multifamily buildings may also be designed by unlicensed designers as long as the building has four or fewer dwelling units. When the designer is a licensed professional, the signature block on the Certificate of Compliance must include the designer's license number.

When Certificate of Compliance document registration is required, the Certificate of Compliance must be submitted to an approved HERS provider data registry. All submittals to the HERS provider data registry must be made electronically.

2.4.2    Documentation Author

The person responsible for the design of the building may delegate the energy analysis and preparation of the Certificate of Compliance documentation to a building energy consultant or documentation author. A completed Certificate of Compliance must be submitted to the enforcement agency during the building permit phase. The Certificate of Compliance demonstrates to the enforcement agency plan checker that the building design complies with the requirements of the Building Energy Efficiency Standards, thus the building energy features information submitted on the Certificate of Compliance must be consistent with the building design features defined in the plans and specifications for the building submitted to the enforcement agency.

The documentation author is not subject to the same limitations and restrictions of the Business and Professions Code as is the building designer because the documentation author is not responsible for specification of the building design features. The documentation author may provide the building designer with recommendations for building energy features and if those recommendations are approved by the building designer, the features must be incorporated into the building design plans and specification documents submitted to the enforcement agency at plan check. The documentation author’s signature on the Certificate of Compliance certifies that the documentation he or she has prepared is accurate and complete, but does not indicate documentation author responsibility for the specification of the features that define the building design. The documentation author provides completed Certificate of Compliance documents to the building designer who must sign the Certificate of Compliance prior to submittal of the Certificate of Compliance to the enforcement agency at plan check.

If registration of the Certificate of Compliance is required, the Certificate of Compliance must be submitted to the HERS provider data registry and signed electronically by both the designer and documentation author prior to submittal to the enforcement agency. When document registration is required, only registered Certificates of Compliance that display the registration number assigned to the certificate by an approved HERS provider data registry are acceptable for submittal to the enforcement agency at plan check.

For a list of qualified documentation authors, visit the California Association of Building Energy Consultants’ (CABEC) website at: www.cabec.org/ceperosterall.php

2.4.3    Builder or General Contractor

The term builder refers to the general contractor responsible for construction. For production homes, the builder may also be the developer with responsibility for arranging financing, acquiring the land, subdividing the property, securing the necessary land planning approvals and attending to the other necessary tasks that are required prior to actual construction. Many production builders are also involved in the marketing and sales of homes after they are constructed.

During the construction process, the builder or general contractor usually hires specialty subcontractors to provide specific services, such as installing insulation, designing and installing HVAC systems, installing windows and skylights, installing water heating systems, etc. For homes that do not require a licensed design professional, the builder may sign the Certificate of Compliance (CF1R) in the “Responsible Building Designer's” signature block.

The builder or general contractor must ensure that Certificate(s) of Installation (CF2R) are submitted to the enforcement agency by the person(s) responsible for construction/installation of regulated features, materials, components, or manufactured devices. The builder or general contractor may sign the Certificate of Installation on behalf of the specialty subcontractors they hire, but generally, Certificate of Installation preparation and signature responsibility resides with the specialty subcontractor who provided the installation services. The Certificate of Installation document identifies the installed features, materials, components, or manufactured devices detailed in the plans and specifications, and the Certificate(s) of Compliance approved by the local enforcement agency. If the installation requires field verification and diagnostic testing by a HERS rater, the Certificate of Installation must report the results of any of the installer's required testing of the regulated installations to measure their performance, and the CF2R shall be submitted to an approved HERS provider data registry. A copy of the registered Certificate of Installation is required to be posted at the building site for review by the enforcement agency in conjunction with requests for final inspection.

When the Building Energy Efficiency Standards require registration of the compliance documents, the builder or general contractor must ensure the transmittal/submittal of the required CF1R information to an approved HERS provider data registry. The builder or general contractor must make arrangements for the services of a certified HERS rater if the Certificate of Compliance indicates that third-party field verification and diagnostic testing by a HERS rater is required. The builder or general contractor must ensure that a copy of the Certificate of Compliance that was approved by the designer/owner and submitted to the enforcement agency during the permitting phase is transmitted to the HERS provider data registry and made available to the HERS rater who will perform any required field verification and diagnostic testing.

When installation work is complete, the builder or general contractor must ensure that the persons responsible for the installation work have transmitted/submitted the required Certificate of Installation information to the HERS provider data registry. Additionally, the builder must ensure that the HERS rater receives a copy of the completed Certificate of Installation (CF2R), or provide access to in the data registry, that has been registered and signed by the builder or subcontractors responsible for the installation that is to be verified by the HERS rater. When registration of the Certificate of Installation is required, the completed and signed copies that are posted at the building site for review by the enforcement agency, in conjunction with requests for final inspection, are required to be registered copies.

At final inspection, the builder or general contractor is required to leave in the building all applicable completed, signed, dated, and registered (when applicable) compliance documents for the building owner at occupancy. Such information must, at a minimum, include information indicated on the following forms: Certificate of Compliance (CF1R); Certificate(s) of Installation (CF2R); and for buildings for which compliance requires HERS field verification, Certificate(s) of Verification (CF3R). These forms must be in paper or electronic format and must conform to the applicable requirements of §10-103(a).

2.4.4    Specialty Subcontractors

Specialty subcontractors provide the builder with services from specific building construction trades for installation of features such as wall and ceiling insulation, windows, HVAC systems and/or duct systems, water heating and plumbing systems, and these subcontractors may perform other trade-specific specialty services during the building construction process. The builder has ultimate responsibility for all aspects of the building's construction and has the authority to complete and sign/certify all sections of the required Certificate(s) of Installation (CF2R) forms.  However, the licensed specialty subcontractor should be expected to complete and sign/certify all applicable Certificate(s) of Installation that document the completion of the installation work they have performed for the builder. The subcontractor's responsibility for Certificate of Installation documentation should include providing a registered (when applicable) and signed copy of all applicable CF2R's to the builder, posting a registered (when applicable) and signed copy of all applicable CF2R's at the building site for review by the enforcement agency, and making available to the HERS rater the registered and signed copies of the applicable CF2R's if HERS third-party field verification is required for compliance, as specified on the Certificate of Compliance (CF1R).

When the Standards require document registration, all copies of the Certificate(s) of Installation documentation submitted to the builder, the enforcement agency, and the HERS rater are required to be registered copies prepared in accordance with the procedures described in Reference Residential Appendix RA2, Reference Joint Appendix JA7, and Section 2.3 of this 'manual.

2.4.5    Enforcement Agency

The enforcement agency is the local agency with responsibility and authority to issue building permits and verify compliance with applicable codes and standards. The enforcement agency performs several key roles in the compliance and enforcement process.

Plan check: The enforcement agency performs plan check review of the Certificate(s) of Compliance documentation and of the plans and specifications that define the building design submitted to the enforcement agency at the building permit phase. During plan check, the Certificate of Compliance documentation is compared to the plans and specifications for the building design in order to confirm that the building features that describe the building are specified consistently in all of the documents submitted. If the specification for building design features shown on the Certificate of Compliance does not conform to the specifications shown on the designer's submitted plans and specifications for the building, revision of the submitted documents must be performed to make the design specification consistent in all documents. Thus, if the Certificate of Compliance indicates the building complies, and the features on the Certificate of Compliance are consistent with the features given in the plans and specifications for the building design, then the plan check process can confirm that the building design complies with the building energy code. If it is determined that the building design is in compliance with the building energy code, in 'addition to all of the other building codes, the enforcement agency may issue a building permit. When the Standards require document registration, the Certificate of Compliance documentation that is submitted to plan check must be a registered document from an approved HERS provider data registry.

Construction inspection: During the construction of the building, the enforcement agency should make several visits to the construction site to verify that the building is being constructed in accordance with the approved plans and specifications, and energy compliance documentation. As part of this process, at each site visit, the enforcement agency should review any applicable Certificate(s) of Installation that have been posted or made available with the building permit(s). The enforcement agency should confirm that the energy efficiency features installed in the house are consistent with the requirements given in the plans and specifications for the building approved during plan check; that the installed features are described accurately on the Certificate(s) of Installation; and that all applicable sections of the Certificate(s) of Installation have been signed by the responsible licensed person(s). The enforcement agency shall not approve a dwelling unit until the enforcement agency has received all applicable Certificate(s) of Installation. When the Standards require registration of the energy compliance documents, the Certificate(s) of Installation documentation must be registered with an approved HERS provider data registry.

Corroboration of field verification and diagnostic testing procedures: As described in Reference Residential Appendix Section RA2.4.4, at its discretion, the enforcement agency may require that field verification and diagnostic testing performed by the builder or subcontractors or the certified HERS rater must be scheduled to be performed at a time when the enforcement agency's field inspector can observe the verification or test procedures to corroborate the results reported/documented on the Certificate(s) of Installation (CF2R) and/or the Certificate(s) of Verification (CF3R).

Sampling within enforcement agency jurisdictions: When sampling is utilized for HERS verification compliance for newly constructed buildings, all dwellings in a designated sample group must be located within the same enforcement agency jurisdiction and subdivision or multifamily housing development, as specified in Reference Residential Appendix Section RA2.6.3.1

When sampling is utilized for HERS verification compliance for alterations, the dwellings in a designated sample group are not required to be located within the same enforcement agency jurisdiction, and the building owner may choose for the field verification and diagnostic testing to be completed as part of a designated sample group composed of dwelling units for which the same installing company has completed the work that requires field verification and diagnostic testing for compliance, as specified in Reference Residential Appendix Section RA2.8. However, to enable the enforcement agency to schedule testing to accomplish the corroboration described in the previous section, the enforcement agency may choose to require that a separate dwelling unit from the sample group that is located within its jurisdiction be tested.

Final approval: The enforcement agency may approve the dwelling at the final inspection phase of the process if the enforcement agency field inspector determines that the dwelling conforms to the requirements of the building's plans and specifications and Certificate of Compliance documents approved by the enforcement agency at plan check, and meets the requirements of all other applicable codes and standards. For dwelling units that have used an energy efficiency compliance feature that requires Certificate of Installation documentation, the enforcement agency shall not approve the dwelling unit until the enforcement agency has received a Certificate of Installation that meets the requirements of  §10-103(a) that has been completed, signed, and registered (when applicable) by the builder or subcontractor.

For dwelling units that require third party HERS field verification and diagnostic testing for compliance, the enforcement agency shall not approve the dwelling unit until the enforcement agency has received a registered copy of the Certificate of Verification that meets the requirements of §10-103(a) that has been signed and dated by the HERS rater. The builder must ultimately take responsibility to ensure that all such required energy compliance documentation has been completed properly and posted at the job site or submitted to the enforcement agency in conjunction with any of the enforcement agency's required inspections. However, the enforcement agency, in accordance with  §10-103(d), as prerequisite to approval of the building, must examine all required copies of Certificate(s) of Installation (CF2R) documentation and Certificate(s) of Verification (CF3R) documentation posted at the site or made available with the building permits for the required inspections, to confirm that they have been properly prepared and are consistent with the plans and specifications and the Certificate of Compliance documentation approved by the enforcement agency for the building at plan check.

When an alteration has been performed by a participating Third Party Quality Control Program (TPQCP) contractor (see Section 2.4.8 of this 'manual), the enforcement agency may conditionally approve the building based on the Certificate of Installation (CF2R) if the TPQCP data checking has indicated that the installation complies. However, if subsequent HERS compliance verification procedures determine that re-sampling, full testing or corrective action is necessary for such conditionally approved dwellings in the group, the corrective work must be completed. Refer to Reference Residential Appendix RA2.4.3, RA2.7, and RA2.8 for additional information on TPQCP requirements.

Corroboration of information provided for the owner/occupant: At final inspection, the enforcement agency shall require the builder to leave in the building (for the building owner at occupancy) energy compliance, operating, maintenance, and ventilation information documentation as specified by §10-103(b).

Compliance documents for the building shall, at a minimum, include information indicated on forms: Certificate of Compliance (CF1R); Certificate(s) of Installation (CF2R); and, for buildings for which compliance requires HERS field verification, Certificate(s) of Verification (CF3R). These forms shall be copies of the documentation submitted to or approved by the enforcement agency, and the copies must conform to the applicable requirements of §10-103(a).

Operating information shall include instructions on how to operate or maintain the buildings energy features, materials, components, and mechanical devices correctly and efficiently. Such information shall be contained in a folder or 'manual which provides all information specified in §10-103(b). This operating information shall be in paper or electronic format. For dwelling units, buildings or tenant spaces that are not individually owned and operated, or are centrally operated, such information shall be provided to the person(s) responsible for operating the feature, material, component, or mechanical device installed in the building. This operating information shall be in paper or electronic format.

Maintenance information shall be provided for all features, materials, components, and manufactured devices that require routine maintenance for efficient operation. Required routine maintenance actions shall be clearly stated and incorporated on a readily accessible label. The label may be limited to identifying, by title and/or publication number, the operation and maintenance 'manual for that particular model and type of feature, material, component, or manufactured device. For dwelling units, buildings or tenant spaces that are not individually owned and operated, or are centrally operated, such information shall be provided to the person(s) responsible for maintaining the feature, material, component, or mechanical device installed in the building. This maintenance information shall be in paper or electronic format.

Ventilation information shall include a description of the quantities of outdoor air that the ventilation system(s) are designed to provide to the building’s conditioned space, and instructions for proper operation and maintenance of the ventilation system. For buildings or tenant spaces that are not individually owned and operated, or are centrally operated, such information shall be provided to the person(s) responsible for operating and maintaining the feature, material, component, or mechanical ventilation device installed in the building. This information shall be in paper or electronic format.

2.4.6    HERS Provider

A HERS provider is an organization that the Energy Commission has approved to administer a HERS program. A HERS provider has responsibility to certify and train raters and maintain quality control over the activities performed by the HERS raters who provide third-party field verification and diagnostic testing on installed energy efficiency features in dwellings when required for compliance with the Building Energy Efficiency Standards. In California, the certified HERS providers currently are: ConSol Home Energy Efficiency Rating System (CHEERS); California Certified Energy Rating & Testing Services (CalCERTS); and U.S. Energy Raters Association (USERA) who was formerly CBPCA.

The HERS provider must maintain a database (data registry) that incorporates an internet website-based user interface that has sufficient functionality to accommodate the needs of the authorized users of the data registry who must participate in the administration of HERS compliance, document registration, and Building Energy Efficiency Standards enforcement activities. The data registry must receive and record information  that can adequately identify and track measures that require HERS verification in a specific dwelling, and must have the capability to determine compliance based on the information input from the results of applicable testing or verification procedures reported as input to the data registry for the dwelling. When the requirements for compliance are met, the data registry must make available a unique "registered" certificate for use in complying with document submittal requirements to enforcement agencies, builders, building owners, HERS raters, and other interested parties. Under the 2013 Building Energy Efficiency Standards, the data registry must have the capability to facilitate electronic submittal of the registered certificates to an Energy Commission document repository for retention of the certificates for use in enforcement of the regulations.

The HERS provider must make available via phone or internet communications interface a way for building officials, builders, HERS raters, and other authorized users of the provider’s data registry to verify the information displayed on copies of the submitted compliance documentation. Refer to Reference Residential Appendices Section RA2.4.2 and Reference Joint Appendix JA7 for additional information describing the HERS provider’s role and responsibilities.

2.4.7    HERS Rater

The HERS rater is trained and certified by an Energy Commission-approved HERS provider to perform the field verification and diagnostic testing that may be required to demonstrate and document compliance with the Building Energy Efficiency Standards. HERS raters receive special training in diagnostic techniques and building science as part of the HERS rater certification process administered by the HERS provider; thus HERS raters are to be considered special inspectors by enforcement agencies and shall demonstrate competence, to the satisfaction of the enforcement agency, to conduct the required visual inspections and diagnostic testing of the regulated energy efficiency features installed in the dwelling. 

HERS raters should be cognizant that some enforcement agencies charge a fee for special inspectors in their jurisdictions, and because HERS raters are deemed to be special inspectors for the enforcement agency, a HERS rater may be disciplined (e.g., prohibit a HERS rater from conducting field verifications/testing in a local jurisdiction) if the enforcement agency determines that a HERS rater willingly or negligently does not comply with the Building Energy Efficiency Standards.  HERS raters may also be required to attain business licenses in some jurisdictions.

If the documentation author who produced the Certificate of Compliance documentation for the dwelling is not an employee of the builder or subcontractor, the documentation author for the dwelling may also act to perform the responsibilities of a HERS rater, provided the documentation author has met the requirements and has been certified as a HERS rater, and is associated with one of the Energy Commission-approved HERS providers.

If requested to do so by the builder or subcontractor, the HERS rater may assist the builder or subcontractor in transmitting/submitting the Certificate(s) of Installation (CF2R) information to the HERS provider for registration. However, the HERS rater may not certify the information on a Certificate of Installation. The builder or subcontractor responsible for the installation must provide the Certificate of Installation certification/signature to confirm the information submitted to the HERS provider data registry, even if the HERS rater has assisted with transmittal of the data. Refer to Reference Residential Appendix Section RA2.5 and Reference Joint Appendix JA7 for more information that describes these procedures for document registration for which the HERS rater may assist the builder or subcontractor.

The HERS rater is responsible for conducting the field verification and diagnostic testing of the installed special features when required by the Certificate of Compliance (CF1R). The HERS rater must transmit the results of the field verification and diagnostic testing to the HERS provider data registry. The HERS rater must provide to the data registry all information required to complete the Certificate(s) of Verification (CF3R) form, and must also submit a certification/signature to the data registry. Whereupon, the data registry will make available registered copies of the Certificate(s) of Verification (CF3R) to the HERS rater, the builder, the enforcement agency, and other authorized users of the HERS provider’s data registry. Printed copies, electronic or scanned copies, and photocopies of the completed, signed, and registered Certificate(s) of Verification (CF3R) are allowed for document submittals, subject to verification that the information contained on the copy conforms to the registered document information currently on file in the HERS provider data registry for the dwelling. A completed, signed, and registered copy of the Certificate(s) of Verification (CF3R) must be posted at the building site or made available to the inspector for review by the enforcement agency in conjunction with requests for final inspection for each dwelling unit.

For more information on the roles and responsibilities for HERS raters, refer to Reference Residential Appendix Section RA2.4.2.

2.4.8    Third Party Quality Control Program

The Energy Commission may approve Third Party Quality Control Programs (TPQCP) that serve some of the functions of HERS raters for field verification purposes but do not have the authority to sign compliance documentation as a HERS rater. Third Party Quality Control Programs:

A.   Provide training to installers, participating program installing contractors, installing technicians and specialty Third Party Quality Control Program subcontractors regarding compliance requirements for measures for which diagnostic testing and field verification is required.

B.   Collect data from participating installers for each installation completed for compliance credit.

C.   Perform data checking analysis of information from diagnostic testing performed on participating TPQCP contractor installation work to evaluate the validity and accuracy of the data and to independently determine whether compliance has been achieved.

D.   Provide direction to the installer to retest and correct problems when data checking determines that compliance has not been achieved.

E.   Require resubmission of data when retesting and correction is directed.

F.   Maintain a database of all data submitted by the participating TPQCP contractor in a format that is acceptable and made available to the Energy Commission upon request.

The HERS provider must arrange for the services of an independent HERS rater to conduct independent field verifications of the installation work performed by the participating TPQCP contractor and Third Party Quality Control Program. If group sampling is utilized for HERS verification compliance for jobs completed by a participating TPQCP contractor, the sample from the group that is tested for compliance by the HERS rater may be selected from a group composed of up to 30 dwellings for which the same participating TPQCP contractor has performed the installation work. For alterations, the installation work performed by TPQCP contractors may be approved at the enforcement agency's discretion, based upon a properly completed Certificate of Installation (CF2R) as described in Section 2.4.5, on the condition that if subsequent HERS compliance verification procedures determine that re-sampling, full testing or corrective action is necessary for such conditionally approved dwellings in the group, the corrective work must be completed. If the Standards require registration of the Certificate of Installation, the certificate must be a registered copy from a HERS provider data registry.

Refer to Reference Residential Appendix RA2.4.3, RA2.7, and RA2.8 for additional information about the Third Party Quality Control Program, and for additional information about document registration.

2.4.9    Owner

Building owner means the owner of the dwelling unit. In the context of production homes, the owner is the person or family that the builder sells the house to. In custom homes and remodels, the owner may be the “builder” or developer, and a general contractor, architect, or engineer, etc. may be in their employment.

As part of the compliance process, the owner must receive Compliance, Operating, Maintenance, and Ventilation information documents at the time of occupancy. The enforcement agency must require the builder to leave this information in the building for the building owner at occupancy as specified in §10-103(b).