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 installed correctly. 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 area weighted average calculation worksheet (CF1R-ENV-02-E), the solar heat gain coefficient (SHGC) worksheet (CF1R-ENV-03-E), the cool roof and SRI worksheet (CF1R-ENV-04-E) and the solar worksheets (CF1R-SRA-02-E, CF1R-STH-01-E, and CF1R-STH-02-E). 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, only the CF1R-STH worksheets are needed since the Energy Commission-approved software performs the calculations and provides the necessary documentation contained in all other worksheets. However, when the performance approach is used, only the CF1R forms are required on the building plans.

The compliance documentation enables the plans examiner to verify that the building design shown in the plans and specifications complies with the Energy Standards and enables 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 Energy 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 plan set sheets of the building design, 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 shorthand 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-01 form is required for alterations; and a CF1R-ALT-02 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), Mechanical (CF2R-MCH), Plumbing (CF2R-PLB), and Solar (CF2R-SPV and CF2R-STH) 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 (for example, in the garage) or kept with the building permit and made available to the enforcement agency upon request.

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 using 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.

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

Within the Energy 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 testing 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 HERS Rater must complete, register, and sign/certify by the certificate of verification (CF3R). 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 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 into whose registry the project has been entered. 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, and so forth 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, 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 before 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 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).