11.2   Compliance and Enforcement

This section covers the compliance forms and enforcement process applicable to multifamily buildings. Refer to Chapter 2 of the Nonresidential Compliance Manual for a more complete description of the compliance and enforcement process.

11.2.1      Compliance Documentation

Compliance documentation is required at the design phase (see Table 11-2), the construction phase (see Table 11-3), and the diagnostic testing and verification phase (see Table 11-4). All compliance documentation must be completed prior to the final inspection by the enforcement agency.

For multifamily buildings with three or fewer habitable stories, when a project includes a HERS verification requirement, all Certificates of Compliance, Certificates of Installation, and Certificates of Verification must be registered copies from an approved HERS registry. For multifamily buildings with four or more habitable stories, only the Certificates of Verification must be registered copies from an approved HERS registry. More details on field verification and diagnostic testing and the HERS provider data registry are in the 2022 Reference Residential Appendices and 2022 Reference Joint Appendices, described below:

•    Reference Joint Appendix JA7 – Data Registry Requirements

•    Reference Residential Appendix RA2 – Residential HERS Verification, Testing, and Documentation Procedures

•    Reference Residential Appendix RA3 – Residential Field Verification and Diagnostic Test Protocols

11.2.1.1    Design Phase

At the design phase, the Certificates of Compliance must be incorporated into the building plans submitted to the enforcement agency. Depending on the compliance approach, compliance documentation can also include the following worksheets:

•    Area weighted average calculation worksheet (for roofs, walls, floors, and fenestration)

•    Solar heat gain coefficient worksheet

•    Cool roof and SRI worksheet

When the performance approach is used for compliance, additional worksheets are not required, since the Energy Commission-approved software performs the calculations and provides the documentation contained in all other worksheets.

When the prescriptive approach is used for additions and alterations, a shorthand version of the Certificates of Compliance must be submitted with the building plans, or with the permit application when no plans are required. Additions, alterations, and HVAC changeouts each have unique Certificates of Compliance.

For multifamily buildings up to three habitable stories for which compliance requires HERS verification, the Certificates of Compliance submitted to the enforcement agency must be a registered copy from an approved HERS registry. For a more detailed explanation of the HERS program and document registration, see Chapter 2 of the Nonresidential Compliance Manual.

Table 11-2 shows the Certificates of Compliance documents required, based on the permit application and number of stories.

Table 11-2: Certificates of Compliance by Application and Number of Stories

Source: California Energy Commission

11.2.1.2    Construction Phase Documentation

§10-103(a)3)

The Certificates of Installation are separated into envelope, lighting, mechanical, plumbing, and solar categories. Most compliance features have a separate Certificate of Installation form that is specific to a particular trade (electrical, plumbing, HVAC, etc.). The Certificate of Installation forms are completed during the construction or installation phase by the contractors responsible for installing regulated energy features such as windows (fenestration), air distribution ducts and other requirements that affect building energy performance. The Certificates of Installation must be posted at the job site, kept with the building permit, or otherwise submitted to the enforcement agency.

When HERS verification of a feature is required, the builder or subcontractor performs the diagnostic test (Reference Residential Appendix RA3) of the installation to confirm compliance with the approved design requirements and the Energy Code. The Certificates of Installation for multifamily buildings with three or fewer habitable stories are registered with a HERS Registry and made available to the enforcement agency. Table 11-3 shows Certificates of Installation based on the application and number of stories.

Table 11-3: Certificates of Installation by Application and Number of Stories

Source: California Energy Commission

11.2.1.3    HERS Verification Documentation

§10-103(a)5

Within the Energy Code, some mandatory, prescriptive, and performance approach requirements may have HERS verification. HERS verifications involve HERS Raters and field technicians, and can involve Acceptance Test Technicians (ATTs).

Registration of Certificates of Compliance, Installation, and Verification is required for all multifamily buildings up to three habitable stories for which compliance requires HERS field verification. There are some exceptions for additions and alterations. When registration is required, compliance documents are electronically submitted to an approved HERS registry for registration and retention. Certificates of acceptance are not required to be registered with a HERS registry. Certificates of acceptance must be made available to the enforcement agency for all applicable inspections. Certificates of acceptance for lighting controls and mechanical systems acceptance testing must be completed through an Acceptance Test Technician Certification Provider (ATTCP).

Compliance documents submitted to a HERS registry must be certified by the appropriate responsible person (§10-103). The registry will assign a unique registration number to each document when completed, and certification (by electronic signature) is provided by the responsible person. The HERS registry will retain the registered documents, which are available via secure internet access to authorized users. This allows authorized users to provide copies of registered documents for enforcement agencies or other purposes as needed.

HERS Raters provide a separate registered certificate of verification for each dwelling unit that the rater determines has met the verification and/or diagnostic requirements for compliance. For multifamily buildings with three or fewer habitable stories, the HERS Rater must not sign a certificate of verification for a dwelling unit that does not have a registered certificate of installation that has been signed/certified by the installer. If the dwelling unit was approved as part of a sample group, the certificate of verification will include additional information that identifies whether the dwelling was tested or not tested within the sample group. The certificate of verification for the tested dwelling unit of a sample group will include the HERS verification results, while the certificate of verification for the non-tested dwelling units will not include the HERS verification results. Refer to Reference Residential Appendix RA2 for more details on the HERS verification and certificate of verification documentation procedures.

Table 11-4 shows certificates of verification and acceptance by the application and number of stories.

Table 11-4: Certificates of Verification and Acceptance by Application and Number of Stories

Source: California Energy Commission

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

At the completion of construction and before occupancy, the builder is required to leave the completed (signed and dated) compliance documentation in the building. This includes the certificates of compliance, installation, verification (if HERS verification was required) and acceptance. For multifamily buildings with three or fewer habitable stories, when HERS verification is required, the certificates of compliance, installation, and verification must be copies from the HERS Registry. For multifamily buildings with four or more habitable stories, only the certificates of verification must be registered with a HERS provider.

In addition to the compliance documentation, the builder must leave in the building operating and maintenance information for all applicable features, materials, components, and manufactured devices. The operation and maintenance information must contain the details needed to provide the building owner/operator/occupant with instructions on how to operate the building and systems in an energy-efficient manner that ensures satisfactory indoor air quality and to maintain it so that it will continue to operate efficiently. 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.

For mixed-use buildings with 10,000 square feet of total nonresidential space or greater, building commissioning will also be required for the nonresidential spaces only. See Chapter 13 for information about building commissioning requirements.

11.2.2      HERS Field Verification and Diagnostic Testing

For multifamily buildings up to three habitable stories, HERS verifications are performed by HERS Raters that are specially trained and certified by an Energy Commission-approved HERS provider to perform these services. Raters cannot be employees of the builder or contractor whose work they are verifying. Also, raters cannot have a financial interest in the builder’s or contractor’s business or advocate or recommend the use of any product or service that they are verifying. The training, quality assurance, and general oversight of the raters are conducted by Energy Commission-approved HERS providers.

For multifamily buildings with four or more habitable stories, dwelling unit leakage rate (compartmentalization) and kitchen exhaust airflow and sound rating must be verified by a HERS Rater. ERV/HRV and central ventilation shaft sealing must be verified by an acceptance test technician. Also, for multifamily buildings with four or more habitable stories, duct leakage testing, refrigerant charge testing, and airflow and fan watt draw measurements are only required to be completed by the person responsible for the installation. HERS-verified compliance credits available to multifamily buildings with three or fewer habitable stories are not available for multifamily buildings with four or more habitable stories.

The Energy Code’s detailed reporting requirements are intended to provide design, construction, and enforcement personnel with the information to ensure that the energy features are properly installed. Each party is accountable to ensure that the features that they are responsible for are correctly installed. The HERS provider makes available via phone or internet a way for building officials, builders, HERS Raters, and other authorized users of the data registry to verify that the information displayed on copies of the submitted certificate(s) conforms to the registered document information on file in the registry for the dwelling unit.

11.2.2.1    Features Requiring HERS Verification

HERS verifications are required when certain regulated efficiency requirements or equipment features are installed. The following features require HERS verification:

•    Building envelope air leakage

•    Quality insulation installation (QII)

•    Quality insulation installation for spray polyurethane foam

•    Continuous whole-dwelling unit mechanical ventilation airflow

•    Intermittent whole-building mechanical ventilation airflow

•    Kitchen exhaust fan HVI or AHAM airflow, sound, and capture efficiency ratings

•    Duct sealing

•    Supply duct location, surface area, and R-value

•    Low-leakage ducts in conditioned space

•    Low-leakage air handlers

•    Return duct design

•    Air filter device design, MERV rating, and labeling

•    Bypass duct prohibition

•    Refrigerant charge in ducted split-system and ducted packaged unit air conditioners and heat pumps, and mini-split systems

•    Refrigerant fault indicator display (FID)

•    System airflow

•    Air handler fan efficacy

•    Energy efficiency ratio (EER)

•    Seasonal energy efficiency ratio (SEER)

•    Heat pump rated heating capacity

•    Maximum rated total cooling capacity

•    Evaporatively-cooled condensers

•    Central fan-integrated ventilation cooling systems

•    Zonal controls

•    Parallel piping

•    Compact hot water distribution system

•    Pipe insulation credit

•    Drain water heat recovery system

•    Point of use

•    Demand recirculation: manual control

•    Demand recirculation: sensor control

•    Multiple recirculation loop design for DHW systems serving multiple dwelling units

11.2.2.2    Verification, Testing, and Sampling

Field verification and diagnostic testing may be completed for each dwelling unit or for a sample of dwelling units. Sampling is permitted only when multiple dwelling units of the same type are constructed within the same multifamily development by the same subcontractor. Sampling may also be used for alterations to groups of dwelling units having the same features installed that require HERS verification, and where the same installing contractor has installed the features. More details are in RA2.6 and RA2.8, or NA1.6 and NA1.8 Sampling is also explained in the Residential Compliance Manual Chapter 2, section 2.5.2.

The HERS Rater must transmit and certify the test results to the HERS registry.

11.2.2.3    First Dwelling Unit Field Verification and Diagnostic Testing

The HERS Rater must diagnostically test and field-verify the first dwelling unit of each model of a multifamily development. To be considered the same model, dwelling units must have the same basic floor plan layout, energy design, and compliance features as shown on the certificate of compliance for each dwelling unit. Variations in the basic floor plan layout, energy design, compliance features, zone floor area, or zone volume, that do not change the HERS features to be tested or the heating or cooling capacity of the HVAC unit(s) must not cause dwelling units to be considered a different model. For multifamily buildings, variations in exterior surface areas caused by location of dwelling units within the building must not cause dwelling units to be considered a different model.

The HERS Rater will transmit the test results to the data registry. The HERS provider will make available a registered copy of each certificate of verification to the rater, the builder, the enforcement agency, and other authorized users of the data registry.

11.2.2.4    Group Sample Field Verification and Diagnostic Testing

For each unique dwelling unit model, after the first dwelling unit field verification and diagnostic testing are completed, the builder or the builder’s authorized representative determines which sampling procedure to use for the group of dwellings that require HERS field verification. There are two procedures for HERS verification compliance using group sampling: (1) sampling a closed group of up to seven dwelling units; and (2) sampling of an open group of up to five dwelling units. The group sampling requirements for each procedure are discussed in this section.

For multifamily buildings with three or fewer habitable stories, registration of all dwelling unit-level (as opposed to building-level) certificates of installation for at least one dwelling unit to the HERS registry is required to open a new group. Additional dwellings may be entered into the registry and included in an “open” group over a specific period, subject to transmittal/submittal of the certificate(s) of installation information to the registry for each additional dwelling. However, the group must not remain open to receive additional dwellings for a period longer than six months from the earliest date shown on any certificate of installation for a dwelling included in a group. A group may be closed at any time after the group has been opened at the option of the builder or builder’s authorized representative. The size of a closed group may range from a minimum of two dwelling units to a maximum of seven dwellings. When a group is closed, no additional dwelling units must be added to the group. Whenever the HERS Rater for the group changes, a new group must be established.

Sampling of a closed group of up to seven dwelling units requires the following conditions to be met prior to receiving HERS compliance verification for the group:

1.    All dwelling units in the sample group have been identified. Up to seven dwellings are allowed in a closed sample group.

2.    Installation of all features that require HERS verification has been completed in all dwelling units in the group and registration of the certificates of installation for all dwelling units has been completed.

3.    The group has been classified as a closed group in the data registry.

4.    At the request of the builder or the builder’s authorized representative, a rater will randomly select one dwelling unit from the closed sample group for field verification and diagnostic testing. If the dwelling unit meets the compliance requirements, this tested dwelling and each of the other non-tested dwelling units in the group will receive a registered certificate of verification.

Sampling of an open group of up to five dwelling units requires the following conditions to be met prior to receiving HERS compliance verification for the group:

1.    At least one dwelling unit from the sample group has been identified. Up to five dwelling units are allowed in an open sample group.

2.    Installation of all features that require HERS verification must be completed in all dwelling units. Registration of the certificates of installation for all dwelling units has been completed.

3.    At the request of the builder or the builder’s authorized representative, a rater will randomly select one dwelling unit from the open sample group for field verification and diagnostic testing. If the dwelling unit meets the compliance requirements, the tested dwelling and each of the other non-tested dwelling units must receive a registered certificate of verification. If there are fewer than five dwelling units, the group must be allowed to remain open and eligible to receive additional dwelling units. Dwelling units admitted to the open group after successful HERS compliance verification of the tested dwelling unit must also receive a registered certificate of verification as a non-tested dwelling unit, subject to receipt of the registered certificates of installation by the data registry for the dwelling. The group must be closed when it reaches the limit of five dwelling units, when the six-month limit for open groups has been exceeded, or when the builder requests that the group be closed.

The rater must confirm that the certificates of installation have been completed as required and that the installer’s diagnostic test results and the certificates of installation show compliance consistent with the certificate of compliance for the dwelling unit.

The rater must diagnostically test and field verify the selected dwelling unit and enter the test results into the data registry regardless of whether the results indicate a pass or fail. If the test fails, then the failure must be entered into the data registry, even if the installer immediately corrects the problem. In addition, any applicable procedures for resampling, full testing, and corrective action must be followed.

The provider will make available to the rater, the builder, the enforcement agency, and other approved users of the data registry a registered copy of the certificate of verification for the tested dwelling unit and for all other non-tested dwelling units in the group at the time of the sample test.

11.2.2.5    Installer Requirements and HERS Procedures for Alterations to Buildings up to Three Habitable Stories

When compliance for an alteration requires field verification and diagnostic testing by a certified HERS Rater, the building owner may choose for field verification and diagnostic testing to be completed for each dwelling unit or as part of a designated sample group of dwelling units for which the same installing company has completed work that requires testing and field verification for compliance. The only alterations that require HERS testing and verification are HVAC changeouts in multifamily buildings with three or fewer habitable stories. The building owner or agent of the building owner must complete the applicable portions of a shorthand version of the certificate of compliance for the appropriate climate zone. When compliance requires verification, the building owner or agent must arrange for transmittal/submittal of the certificate of compliance to the data registry, identifying the altered HVAC system and features that require verification. The building owner must submit an approved/signed copy of the certificate of compliance to the rater.

When the installation is complete, the person responsible for performing the installation must complete the certificates of installation. All required certificates of installation must be registered with an approved data registry when field verification and diagnostic testing are required.

After verifying that the certificate of compliance and all required certificates of installation are completed, signed, and registered, the rater must verify compliance. If group sampling is used for compliance, the sampling procedures described in Reference Residential Appendix RA2.6.3.3 and RA2.8, for sampling of a closed group of up to seven dwelling units must be used. The installing company may request a sample group that has fewer than seven dwelling units. Resampling, full testing, and corrective action must be completed, if necessary, as specified by Reference Residential Appendix RA2.6.4.

The enforcement agency cannot approve the alteration until the agency has verified completed, signed, and registered certificate of compliance, certificates of installation, and certificates of verification documentation for the altered HVAC system.

Third-party quality control programs, as specified in Reference Residential Appendix RA2.7, may be used with alterations and must be limited to closed sample group sizes of 30 dwelling units (HVAC systems) or fewer. When a third-party quality control program is used, the enforcement agency may approve compliance based on the certificates of installation, where data checking has indicated that the unit complies, on the condition that if the required HERS verification procedures determine that resampling, full testing, or corrective action is necessary, such work must be completed.

11.2.3      Acceptance Testing

For common use areas and dwelling units in multifamily buildings with four or more habitable stories, as well as site-built fenestration in all multifamily buildings, acceptance testing by a field technician or ATT may be required. Refer to Chapter 14 for an explanation of acceptance testing requirements. Multifamily features requiring acceptance testing include:

•    Site-built fenestration

•    Common use area mechanical systems:

o  Outdoor air ventilation

o  Constant volume, single zone air conditioning and heat pump unit controls

o  Duct systems

o  Air economizers

•    Whole-dwelling unit mechanical systems in buildings four or more habitable stories:

o  Dwelling unit ventilation systems

o  Dwelling unit enclosure leakage (compartmentalization)

o  Central ventilation duct leakage

o  Central ventilation heat recovery or energy recovery systems

•    Common use area indoor and outdoor lighting controls

•    Parking garage ventilation

•    Elevator lighting and ventilation