Effective compliance and enforcement requires coordination and communication among the architects, engineers, lighting and HVAC designers, permit applicant, contractors, plans examiner, and the field inspector. This manual recommends procedures to improve communication.
The building design and construction industry, as well as enforcement agencies, are organized around these engineering disciplines:
•The design of the electrical and lighting system of the building is typically the responsibility of the lighting designer, electrical engineer, or electrical contractor. This person is responsible for designing a system that meets the Energy Standards, producing the building plans and specifications, and for completing the compliance documents and worksheets.
•In larger enforcement agencies, an electrical plans examiner is responsible for reviewing the electrical plans, specifications, and compliance documents, and an electrical field inspector is responsible for verifying the correct installation of the systems in the field.
•The mechanical plans examiner is responsible for reviewing the mechanical plans, and a mechanical field inspector is responsible for verifying correct construction in the field.
•For the building envelope, the architect is typically responsible for designing the building and completion of the documents.
•The enforcement agency is responsible for reviewing the design and documents and the enforcement agency field inspector is responsible for verifying the construction in the field.
Unless the whole-building performance approach is used, the compliance and enforcement processes can be completed separately for each discipline. This enables each discipline to complete its work independently of others. To simplify this process, compliance documents have been grouped by discipline.
5537 and 6737.1 of California Business and Professions Code
The designer is responsible for the overall building design. The designer is also responsible for specifying the building features that determine compliance with the Energy Standards and other applicable building codes. They are required to provide a signature on the respective certificate(s) of compliance (see Table 2-1) to certify that the building has been designed to comply with the Energy Standards.
The designer may be an architect, engineer, or other California-licensed professional and may personally prepare the certificate(s) of compliance documents. This professional may delegate preparation of the energy analysis and certificate(s) 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 responsibility for the information submitted on the certificate of compliance. When the designer is a licensed professional, the signature block on the certificate(s) of compliance must include the designer's license number.
When certificate(s) of compliance document registration is required, the certificate(s) of compliance must be submitted to and registered with an approved nonresidential data registry before submittal to the enforcement agency for approval. All submittals to the nonresidential data registry must be made electronically.
The person responsible for the design of the building may delegate the energy analysis and preparation of the certificate(s) of compliance documentation to a building energy consultant or documentation author. Completed certificate(s) of compliance documentation must be submitted to the enforcement agency during the building permit phase. The certificate(s) of compliance demonstrate to the enforcement agency plans examiner that the building design complies with the Energy Standards. Moreover, the building energy features information submitted on the Certificate(s) of Compliance must be consistent with the building plans and specifications.
The documentation author is not subject to the same limitations and restrictions of the Business and Professions Code as 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 that 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(s) of compliance certifies that the documentation he/she has prepared is accurate and complete but does not indicate his/her responsibility for the specification of the features that define the building design. The documentation author provides completed certificate(s) of compliance documents to the building designer who must sign the certificate(s) of compliance prior to submittal of the certificate(s) of compliance to the enforcement agency at plan check. If registration of the certificate of compliance is required, the certificate(s) of compliance must be submitted to an approved nonresidential data registry 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 a 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 http://www.cabec.org/.
The term builder refers to the general contractor responsible for construction. During construction, the builder or general contractor usually hires specialty subcontractors to provide specific services, such as installing insulation and designing and installing HVAC systems. The builder or general contractor must ensure that the certificate(s) of installation is 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(s) of installation (as the responsible person) on behalf of the specialty subcontractors they hire, but generally, preparation and signature responsibility reside with the specialty subcontractor who provided the installation services. The certificate(s) of installation identifies the installed features, materials, components, or manufactured devices detailed in the building plans and the certificate(s) of compliance. A copy of the certificate(s) 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 Energy Standards require registration of the compliance documents, the builder or general contractor must ensure the transmittal/submittal of the required certificate(s) of installation information to an approved nonresidential data registry. Also, 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 all applicable completed and signed compliance documents for the building owner at occupancy in the building. Such information must, at a minimum, include information indicated on the following documents: certificate(s) of compliance, certificate(s) of installation, certificate(s) of acceptance, and certificates of field verification and diagnostic testing. These documents may be in paper or electronic format and must conform to the applicable requirements of §10-103(a).
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 building construction. The builder has ultimate responsibility for all aspects of building construction and has the authority to complete and sign/certify all sections of the required certificate(s) of installation documents. However, the licensed specialty subcontractor should be expected to complete and sign/certify all applicable certificate(s) of installation that document completion of the installation work they have performed for the builder. The subcontractor's responsibility for certificate(s) of installation documentation includes providing a signed and registered copy of all applicable certificate of installation documents to the builder and posting the documents at the building site for review by the enforcement agency.
When the Energy Standards require document registration, all copies of the certificate(s) of installation submitted to the builder and to the enforcement agency are required to be registered copies from an approved nonresidential data registry and prepared in accordance with the procedures described in Reference Joint Appendix JA7.
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.
A. Plan check: The enforcement agency performs the plan review of the certificate(s) of compliance documents and the building plans and specifications. During plan review, the certificate(s) of compliance documentation is compared to the plans and specifications for the building design to confirm that the building is specified consistently in all the submitted documents. If the specifications for the building design features shown on the certificate(s) of compliance do not conform to the specifications shown on the designer's submitted plans and specifications for the building, the submitted documents must be revised to make the design specification consistent in all documents. Thus, if the features on the certificate(s) of compliance are consistent with the features given in the plans and specifications for the building design and indicates that the building complies, then the enforcement agency may issue a building permit.
When the Energy Standards require document registration, the certificate(s) of compliance documentation that is submitted to plan review must be a registered document from an approved nonresidential data registry.
B. Construction inspection: During building construction, 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 building are consistent with the requirements given in the plans and specifications for the building approved during plan review.
•The installed features are described accurately on the certificate(s) of installation.
•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 building until it has received all applicable certificates of installation.
When the Energy Standards require registration of the energy compliance documents, the certificate(s) of installation must be registered with an approved nonresidential data registry.
C. Final approval: The enforcement agency may approve the building at the final inspection phase if the enforcement agency field inspector determines that the building conforms to the requirements of the building plans and specifications, the certificate(s) of compliance documents are approved by the enforcement agency at plan review, and it meets the requirements of all other applicable codes and standards. For buildings that have used an energy efficiency compliance feature that requires certificate(s) of installation documentation, the enforcement agency shall not approve the building until it has received a certificate(s) of installation that meets the requirements of §10-103(a) and has been completed and signed by the builder or subcontractor. The builder must ultimately take responsibility to ensure that all 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), must examine all required copies of certificate(s) of installation, certificate(s) of acceptance, and certificate(s) of field verification and diagnostic testing documentation made available with the building permits for the required inspections. It must confirm that these documents have been properly prepared and are consistent with the plans, specifications, and the certificate(s) of compliance documentation approved by the enforcement agency for the building at plan review.
D. Corroboration of information provided for the owner/occupant: At final inspection, the enforcement agency shall require the builder to leave energy compliance, operating, maintenance, and ventilation information documentation in the building (for the building owner at occupancy) as specified by §10-103(b).
Compliance documents for the building shall, at a minimum, include information indicated on:
•Certificate(s) of compliance.
•Certificate(s) of installation.
•Certificate of acceptance.
•Certificate(s) of field verification and diagnostic testing.
These documents 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 that 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, this information shall be provided to the person(s) responsible for operating the feature, material, component, or mechanical device installed in the building.
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 conditioned space of the building, 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.
The permit applicant is responsible for:
1. Providing information on the plans and/or specifications to enable the enforcement agency to verify that the building complies with the Energy Standards. It is important to provide all necessary detailed information on the plans and specifications. The plans are the official record of the permit. The design professional is responsible for certifying that the plans and specifications are consistent with the energy features listed on the certificate(s) of compliance, and that the design complies with the standards.
2. Performing the necessary calculations to show that the building or system meets the Energy Standards. These calculations may be documented on the drawing or on the worksheets provided in the manual and supported, when necessary, with data from national rating organizations or product and/or equipment manufacturers.
3. Completing the certificate(s) of compliance. The certificate(s) of compliance is a listing of each of the major requirements of the standards. The summary document includes information from the worksheets and references to the plans where the plans examiner can verify that the building or system meets the Energy Standards.
The plans examiner is responsible for:
1. Reviewing the plans and supporting material to verify that they contain the necessary information for a plan review.
2. Checking the calculations and data contained on the worksheets.
3. Indicating by checking a box on the summary documents that the compliance documentation is acceptable.
4. Making notes for the field inspector about which items require special attention.
The field inspector is responsible for:
1. Verifying that the building or system is constructed according to the plans.
2. Checking off appropriate items on the summary document at each relevant inspection.
3. Verifying that all the required compliance documentation (certificate[s] of installation, acceptance, and field verification and diagnostic testing) is completed, dated, signed, and registered (when applicable).
The certificate(s) of compliance may be used by the building permit applicant, the plans examiner, and the field inspector. This way, the permit application can call the plans examiner’s attention to the relevant drawings sheets and other information, and the plans examiner can call the field inspector’s attention to items that may require special attention in the field. The compliance documents and worksheets encourage communications and coordination within each discipline.