All compliance documents for which registration is required shall be produced by a method approved by the Commission and then registered with an approved Data Registry by authorized users of the Data Registry. Procedures for submittal of required documentation to enforcement agencies and other parties to the building construction project are given in Reference Residential Appendix RA2, and Reference Nonresidential Appendices NA1. Standards Section 10-103(a) defines the administrative requirements for the compliance documents (Certificate of Compliance, Certificate of Installation, Certificate of Acceptance, and Certificate of Verification).
Compliance document layouts shall be defined by standardized data structures implemented according to the requirements given in JA7.7. Compliance documents produced by the Data Registry shall conform to the applicable informational content and graphical layout formatting approved by the Energy Commission.
The Data Registry shall be capable of tracking all compliance documentation and maintaining the correct associations between related documents within a building project. Any revisions to compliance documents shall be tracked and reported.
The Data Registry shall ensure that registered documents are retained such that they are available to authorized users for submittals to enforcement agencies or other parties to the building construction project that require copies of the registered compliance documents.
Contingent upon the availability of a Commission Compliance Document Repository, the Data Registry shall immediately and automatically, upon concluding the registration of compliance documents, transmit a copy of each registered compliance document to the Commission Compliance Document Repository.
The compliance document informational content, graphical layout, and formatting used by the Data Registry shall conform to the document layouts and data structures approved by the Energy Commission as further described in Section JA7.7. The Data Registry shall be capable of receiving electronic compliance documents and compliance data produced by the methods approved by the Commission, and append the compliance documents received from authorized users according to the requirements in JA7.5.
When data exchange procedures for compliance documents are required, the data definitions and data formatting required by Section JA7.7 shall be used.
Electronic document layouts implemented in Commission-approved methods for producing compliance documents shall include specifications indicating coordinate locations and positions where the Data Registry will affix Registration Signer's Electronic Signatures, registration numbers, registration date and time record information and Data Registry provider logos and watermarks.
The ACM Reference Manual will include additional detailed guidance necessary to assist compliance software tools in providing document output formatted to coordinate with these Data Registry-specific information features.
The following conventions shall be enforced:
JA7.5.2.1 Registration Number
The registration number for a multiple-page document shall be visible on all pages of the document.
JA7.5.2.2 Registration Date and Time
The registration date and time shall reflect the point in time corresponding to the submittal of the electronic certification signature by the person responsible for the information on the document. The format for the registration date and time record shall be calendar date (year-month-day) with time of day (hour-minutes-seconds). Hour of the day shall utilize 24-hour format. Additional guidance describing the formatting and location for these features may be given in the Data Registry Requirements Manual.
JA7.5.2.3 Performance Compliance Software Calculation Date and Time
The performance compliance calculation date and time information that is generated by the compliance software tool shall be retained as data in the record for the registered Certificate of Compliance document in the Data Registry.
The date and time information for the compliance calculation for a multiple-page performance Certificate of Compliance document shall be visible on all pages of the compliance document.
JA7.5.2.4 Electronic Signatures
Registered documents shall be electronically signed by the documentation authors, and by the persons who are eligible to assume responsibility for the documentation as specified by Standards Section 10-103(a) and who are authorized users of the Data Registry who have established an electronic signature authority with the Data Registry. The Registration Provider shall ensure that all required electronic signature features and procedures specified in Section JA7.6 are implemented and enforced. The electronic signature layouts and locations shall be consistent with the document layouts approved by the Energy Commission. Additional guidance on the location and formatting may be given in the Data Registry Requirements Manual.
JA7.5.2.5 Digital Signatures
The Registration Provider shall ensure that the required digital signature procedures specified in Section JA7.6 are enforced. Guidance for the location for the visible aspects of the Registration Provider's digital signature may be described in the Data Registry Requirements Manual.
Data Registries shall have the capability to automatically perform validation of data entered by a documentation author to complete a compliance document as required by the document data validation procedures in Section JA7.6.3.2.2.
There shall be a data validation rule set specific to each compliance document.
Detailed guidance for the data validation rules may be provided in the Data Registry Requirements Manual.
Compliance document data validation rules may be implicit in the formatting of the data elements that define a compliance document for data exchange processes, or data validation rules may be implemented by the Data Registry software.
Data validation rules or specifications may be defined in the XML schema that represents the compliance data for a compliance document as further described in Section JA7.7. Validation criteria such as whether data is required or optional, the required data type, the data numeric upper and lower bounds, acceptable enumeration values, calculations that must be performed, etc., can all be defined in the XSD file.
The Data Registry Requirements 'Manual will provide guidance for the methods for validation of the data taking into consideration the specifications for the data elements for the data exchange processes described in Section JA7.7.
The Data Registry may flag data entry errors at any time during data entry, however all data validation shall be completed prior to allowing a documentation author signature action to be completed. Documents shall not be marked as ready for registration signing unless all required data validation errors have been corrected, and a documentation author signature action has been completed successfully.
The following conventions shall be enforced as a condition for registration of a document:
JA7.5.3.1 Null Entries
When completion of a compliance document requires data entry for an information field, the data shall be entered, otherwise registration shall not be allowed. However, if data entry for a particular information field is optional, a null entry shall not prevent registration from concluding.
JA7.5.3.2 Calculated Values
Whenever possible or practical, the Data Registry shall perform the calculations required for determining compliance results. Guidance for calculations may be given in the Data Registry Requirements Manual.
JA7.5.3.3 Look-up Functions for Calculations
Whenever possible or practical, the Data Registry shall use lookup functions that provide values needed for completing calculations as referenced from the applicable protocols in the Reference Appendices or from Standards compliance criteria. Guidance for application of lookup functions may be given in the Data Registry Requirements Manual.
Registration numbers used for the document registration procedures described in Joint Appendix JA7 are alphanumeric sequences of digits and delimiters that are appended to a compliance document when the document's registration signer performs an electronic signature action in the Data Registry to conclude the registration procedure for a document. Each registration number shall be unique to only one document. The registration numbering convention assigns significance to certain digits in order to define the document type, document revision level, and the parent-child relationships between the compliance documents contained in a project. As the compliance document types required for residential projects are different than those required for nonresidential projects, the numbering conventions used shall conform to the conventions specified in sections JA7.5.4.1 and JA7.5.4.2 respectively.
Registration numbering conventions for other documentation processes are possible. Any new document process for which the Commission requires the documents to be registered shall use a registration numbering convention that is approved by the Commission.
JA7.5.4.1 Nonresidential Registration Numbering Convention
Contingent upon approval of nonresidential Data Registries, a nonresidential registration numbering convention shall be determined and approved by the Commission in conjunction with the approval of the first nonresidential Data Registry, and shall be used by all nonresidential data registries thereafter. The nonresidential registration numbering convention specification shall use a similar design concept as used in the residential registration numbering convention specified in Section JA7.5.4.2 which assigns significance to digits in order to define the document type, document revision level, and the relationships between the compliance documents contained in a project.
JA7.5.4.2 Residential Registration Numbering Convention
The registration numbers assigned to residential compliance documents by the Data Registry at the conclusion of the registration process shall conform to the conventions described in this section. Refer to Figure JA7.5-1 for information that defines the numbering convention, and an example registration number.
As shown in Figure JA7.5-1, the significance of the digits provides descriptors for: the Registration Provider; the year; the type of compliance document; relationships between the documents; and the revision level of the respective documents. The digit type (Alpha or Numeric) and sequencing are also given.
The following are examples of registration numbers and the interpretation of the significance of the numbering as consistent with the descriptions given in Figure JA7.5-1.
113-N0007321B-000000000-0000: CHEERS Provider, 2013 year project, residential new construction Certificate of Compliance document type, and sequential number 0007321, revision B.
113-N0007321B-M2100052A-0000: Certificate of Installation document type associated with the above Certificate of Compliance #113-N0007321B-00000000-0000, MECH-21 Certificate of Installation type, and sequential number 00052, revision A.
113-N0007321B-M2100052A-M21C: Certificate of Verification associated with the above Certificate of Installation #113-N0007321B-M2100052A-0000, MECH-21 HERS Certificate of Verification document type, revision C.
For projects for which Standards Section 10-103(a) requires the documents to be registered, compliance requires that documents shall first be registered with a Data Registry before being submitted to an enforcement agency for approval. Additionally, when revisions to the compliance documents are necessary, compliance requires the revised documents to be registered with the Data Registry prior to re-submittal to the enforcement agency for approval. Thus, the current revision of a registered document in the Data Registry shall be the reference document for validation of the authenticity of a document submitted to an enforcement agency or to another party to the construction project.
Registration Providers shall make available document verification services to authorized users of their Data Registry.
Methods for verification of a document's authenticity shall include basic visual comparison of a copy of a registered document to the current version of the registered document on file in the Data Registry.
Additionally, the automated document validation utility that is made possible by digital signature technology makes it possible for a document recipient to automatically verify an electronic copy of a registered compliance document without having to manually inspect it against the registered document in the Data Registry. As described in Section JA7.3, the last step in the document registration procedure in the registry applies the Registration Provider's digital certificate containing their digital signature to the entire compliance document, thus providing the capability for automated verification of authenticity of electronic copies of the registered document.
Additional guidance for use of the Data Registry digital signature technology for verification of document authenticity may be given in the Data Registry Requirements Manual, and in the Residential and Nonresidential Compliance Manuals.
Data Registries shall be capable of tracking all compliance documentation and maintaining the correct associations between related documents, including revisions and completion statuses for all documents within a building project.
A certificate of compliance establishes the requirements for project documentation for prescriptive and performance compliance methods.
2013 Standards introduced mandatory HERS verification for residential projects for which there are options for compliance with the mandatory requirement. Thus, indication of the option selected for compliance with a residential mandatory measure may not be known until after a Certificate of Installation is submitted to a Data Registry to demonstrate compliance with the mandatory requirement. The Data Registry shall track when Certificate of Installation documents are registered for any mandatory measure that has an option for compliance; shall report any HERS verification requirement that is triggered by the mandatory measure; and ensure that any required HERS verification is completed as a condition of compliance. Additional guidance describing residential Data Registry tracking of mandatory measure options and the required documentation for the mandatory options may be provided in the Data Registry Requirements Manual.
JA7.5.6.1 Project Status Reports
The status of completion of a project shall be reported by the Data Registry.
The Data Registry shall determine the documents required for a project based on the Certificate of Compliance and maintain a summary that reflects the current status of completion of the required documents and shall be readily accessible to authorized users of the Data Registry. Access to the report shall be facilitated by use of search parameters relevant to the project as 'listed in Sections JA7.5.6.1.1 and JA7.5.6.1.2.
Enforcement Agencies may be authorized to enter notations into project records in data registries to communicate plan check and field inspection information to builders, designers, installers and raters.
The project status report shall be made available in a printable format.
Minimum information requirements for the project status report shall include the following:
(a) Project name
(b) Project location (or address)
(c) Listing of the Certificate of Compliance documents required; date registered (or indicate not complete if the document record has been started but is not yet registered); registration number
(d) Listing of the Certificate of Installation documents required; date registered (or indicate not complete if the document record has been started but is not yet registered); registration number
(e) Listing of the Certificate of Verification documents required; date registered or indicate not complete if the document record has been started but is not yet registered); registration number
(f) Listing of the mandatory measure options required; options selected (refers to the Certificate of Installation and Certificate of Verification documentation).
Note: Nonresidential Document registration is contingent upon approval of a nonresidential Data Registry by the Commission, and the requirement for nonresidential document registration is not effective until January 1, 2015.
(a) Project name
(b) Project location (or address)
(c) Listing of the Certificate of Compliance documents required; date registered (or indicate not complete if the document record has been started but is not yet registered); registration number
(d) Listing of the Certificate of Installation documents required; date registered (or indicate not complete if the document record has been started but is not yet registered); registration number
(e) Listing of the Certificate of Acceptance documents required; date registered (or indicate not complete if the document record has been started but is not yet registered); registration number
(f) Listing of the Certificate of Verification documents required; date registered (or indicate not complete if the document record has been started but is not yet registered); registration number.
JA7.5.6.2 Revision Control
When a revision to a compliance document is made, the revised version of the compliance document shall also be registered (a registration signer must sign again to register the revision), and the revision digit for the compliance document shall be incremented. Thus a copy of each registered revision of each registered document shall be transmitted to the Commission Compliance Document Repository.
When a revision is made to a compliance document that is associated with one or more registered dependent (child) documents, the dependent documents shall have their registered status revoked, and their status shall be reported as incomplete (orphaned) until signed again by the registration signer subsequent to making any necessary changes to the "orphaned child" document made necessary by the revision of the applicable dominant (parent) document. A new registration signature is required for the orphaned child document in order to update the registration number such that the new revision level of both the parent and the child documents is shown.
A copy of the new revision of a document shall be submitted to the enforcement agency for all applicable approvals or inspections.
The data that was used to create obsolete versions of compliance documents shall not be required to be retained in the Data Registry history or memory. However, a copy of each revision of each registered electronic document shall be retained.
The current revision of any document in the registry shall be considered to be the only valid version of that document. All previous revisions of that document shall be considered obsolete, thus not valid for use for submittal to enforcement agencies to demonstrate compliance.
JA7.5.7.1 Prescriptive Certificate of Compliance Document
Procedures for submittal of prescriptive Certificate of Compliance documents may be by direct keyed-in data entry as described in Section JA7.7.1.1, or by other methods if approved in accordance with Section JA7.9. Guidance for the procedures and requirements for Data Registry features for prescriptive certificate of compliance document registration may be given in the Data Registry Requirements Manual.
JA7.5.7.2 Performance Certificate of Compliance Document:
Procedures for submittal of the performance Certificate of Compliance shall use Compliance Software approved by the Commission pursuant to all applicable procedures in Title 24 Part 1, Section 10-109, and shall conform to all applicable data exchange requirements given in Section JA7.7.
JA7.5.7.3 Multiple Orientation Plans (Residential)
The Data Registry shall ensure that multiple orientation performance Certificate of Compliance documents are configured in the Data Registry such that the registered multiple orientation Certificate of Compliance document is referenced for all build-outs of that master plan. The registered Certificate of Compliance that was approved by the enforcement agency shall be the Certificate of Compliance document that is the parent document for each and every dwelling unit built from that master plan.
Detailed guidance describing the procedures for tracking revisions to multiple orientation Certificate of Compliance Documents may be given in the Data Registry Requirements Manual.
JA7.5.7.4 Multifamily Dwelling units
The Data Registry shall ensure that multifamily whole-building performance Certificate of Compliance documents are configured in the Data Registry such that the registered multifamily Certificate of Compliance document is referenced for all dwelling units in the multifamily building. The registered Certificate of Compliance that was approved by the enforcement agency shall be the Certificate of Compliance document that is the parent document for each and every dwelling unit specified by that whole-building certificate of Compliance document.
Detailed guidance describing the procedures for tracking revisions to multifamily whole-building Certificate of Compliance Documents may be given in the Data Registry Requirements Manual.
JA7.5.8.1 Residential Certificate of Installation
Procedures for submittal of residential Certificate of Installation documents may be by direct keyed-in data entry as described in Section JA7.7.1.1, or by other methods if approved in accordance with Section JA7.9. Detailed guidance for the functional and technical elements necessary for registration of residential Certificate of Installation for a Data Registry may be given in the Data Registry Requirements Manual.
JA7.5.8.2 Nonresidential Certificate of Installation
Nonresidential Certificate of Installation document registration is contingent upon the approval of nonresidential Data Registries, and in any event shall not be required before January 01, 2015.
Procedures for submittal of Nonresidential Certificate of Installation documents may be by direct keyed-in data entry as described in Section JA7.7.1.1, or by other methods if approved in accordance with Section JA7.9. Detailed guidance for the functional and technical elements necessary for registration of Nonresidential Certificate of Installation documents for a Data Registry may be given in the Data Registry Requirements Manual.
Certificate of Verification documents are always registered documents.
Procedures for submittal of Certificate of Verification documents may be by direct keyed-in data entry as described in Section JA7.7.1.1, or by other methods if approved in accordance with Section JA7.9. Detailed guidance for the required functional and technical elements necessary for registration of Certificate of Verification documents for a Data Registry may be given in the Data Registry Requirements Manual.
JA7.5.9.1 Managing Sample Groups
HERS Provider Data Registries are required to manage the group sampling procedures. Details that describe the requirements for managing sample groups are given in Reference Residential Appendix RA2 and in Reference Nonresidential Appendix NA1.
JA7.5.9.2 Group Numbering Convention
Group number is a HERS Provider-designated identification number unique to the sample group to which a dwelling has been assigned. The Providers shall utilize the numbering convention given in Figure JA7.5-2. below. The group number shall be reported on all Certificate of Verification documents that utilize group sampling for compliance.
The following is an example group number and the interpretation of the significance of the numbering consistent with the descriptions given in Figure 4-1.
113-0731: CHEERS, group opened during year 2013, sequential group number 0731
Certificate Acceptance document registration is contingent on the approval of nonresidential Data Registries, and in any event shall not be required before January 01, 2015.
Procedures for submittal of Certificate Acceptance documents may be by direct keyed-in data entry as described in Section JA7.7.1.1, or by other methods if approved in accordance with Section JA7.9. Detailed guidance for the required functional and technical elements necessary for registration of Certificates of Acceptance documents for a Data Registry may be given in the Data Registry Requirements 'Manual.