Complying with and enforcing the Energy Code in residential buildings involves many parties. Those involved may include the architect or designer, builder/developer, purchasing agent, general contractor, subcontractor/installer, energy consultant, plan examiner, inspector, Realtor®, and owner/first occupant. All these parties must communicate and cooperate for the compliance and enforcement process to run efficiently.
The Energy Code specifies detailed reporting requirements intended to provide design, construction, and enforcement parties with the information to ensure that the energy features are properly installed. Each party is accountable to ensure that the features that it is responsible for are correctly installed. This section outlines each phase of the process, responsibilities, and requirements.
The energy compliance documentation has been revised and reorganized. Prescriptive (Chapter 1.6) versions of the certificate of compliance (CF1R) have been designed to be used specifically with:
1. Single-family residential newly constructed buildings (CF1R-NCB-01).
2. Single-family residential additions (CF1R-ADD-01).
3. Single-family residential alterations (CF1R-ALT-01).
4. Single-family residential HVAC changeouts (CF1R-ALT-02).
5. Solar water heating worksheet (CF1R-STH-01).
The certificate of installation (CF2R) is separated into:
1. Envelope (CF2R-ENV).
2. Lighting (CF2R-LTG).
3. Mechanical (CF2R-MCH).
4. Plumbing (CF2R-PLB).
5. Photovoltaic and battery storage, solar-ready zone area, and solar thermal water heating (CF2R- PVB, SRA, and STH, respectively).
These categories and most compliance measures have a separate CF2R form that is specific to a particular installation. CF2R forms also incorporate references to applicable mandatory requirements. The HERS certificate of verification (CF3R) forms are categorized and organized in the same way as the CF2R forms. Refer to Appendix A of this manual for more information about the forms and to view samples of the forms. Additional information about the compliance documents will be provided throughout this manual.
When HERS Verification is required for compliance, the Energy Code requires all residential energy compliance documents to be registered with a HERS data registry. This registration accomplishes retention of a completed and signed copy of the submitted energy compliance documentation. To simplify the permit process for HVAC changeouts, §10-103 of the Energy Code allows the registered CF1R-ALT-02 document to be submitted to an enforcement agency at final inspection and not before obtaining a permit. More details are in Chapter 9 of this manual. Document retention is vital to compliance and enforcement follow-up and other quality assurance follow-up processes that ensure energy savings from installed energy features. Reference Residential Appendix RA2 and Reference Joint Appendix JA7 has more details about document registration procedures building energy code compliance and enforcement process.
This phase sets the stage for the construction project, whether it be a newly constructed building, an addition, or an alteration to an existing home. In addition to issues concerning zoning, lot orientation, property line easements, and infrastructure (such as utility hookups), the overall design and energy features of the building are described in the construction documents and specifications. The project owner must ensure that the building complies with the Energy Code and that the significant features required for compliance are documented on the plans and specifications and are consistent with the CF1Rs.
During the design process, an energy consultant or other professional may assist the building designer by providing energy compliance documentation services that determine the effect of building features being proposed for the design. These services help ensure that the final building design plans and specifications submitted to the enforcement agency will comply with the Energy Code. Throughout this phase, energy consultants or the documentation author may suggest recommendations or alternatives to help the designer achieve compliance.
The building design plans submitted to the enforcement agency must include the specifications for the building energy features needed to achieve compliance. The building features are insulation levels, window performance, equipment performance, lighting fixture types and controls, exhaust fan performance, envelope sealing, weather-stripping requirements, and any other feature that was used for compliance or is mandatory. The building design plans and specifications must be consistent with respect to the energy efficiency features information on the CF1R submitted to the enforcement agency. Any change in the building plans or specifications, during any phase of design or construction, that changes the energy feature specifications for the design may require recalculation of the building energy compliance. A revised CF1R that is consistent with the updated plans and specifications for the proposed building may need to be submitted to the enforcement agency for approval. If recalculation indicates that the building no longer complies, alternate building features must be selected so that it complies with the Energy Code.
When the design is complete, the construction documents are prepared (CF1Rs), and other approvals (planning department, water, and so forth) are secured, the owner or contractor applies for a building permit with the enforcement agency. This application is the last step in the planning and design process.
To help the enforcement agency verify that the proposed building complies with the Energy Code, compliance documents are submitted with the building permit application. These documents consist of a CF1R, which is required by the Energy Code. (See §10-103.) The length and complexity of the documentation vary depending on the scope of the project. For example, the number and type of components being replaced (windows, space conditioning equipment, roof replacement, ceiling insulation, and so forth), the number of buildings being constructed, the size of an addition, whether an orientation-independent permit is being requested, and whether the performance approach or the prescriptive approach is being used. An energy consultant who understands the code and is able to help the builder or owner comply with the standards often prepares the CF1R.
The administrative regulations in §10-103(a)2 require that documentation be submitted with permit applications that will enable the plans examiner to verify compliance. The forms used to demonstrate compliance must be readily legible and shall conform to a format and informational order and content approved by the CEC. If registration is required, the CF1R that is submitted to the enforcement agency must be a registered copy from an approved HERS registry.
The registration process requires the builder or designer to submit the certificate of compliance information and an electronic signature to an approved HERS registry to produce a completed, signed, and dated electronic CF1R that is retained by the registry. Copies of the registered CF1R are available to authorized users of the HERS registry for use in making electronic or paper copies of the registered document(s) for submitting to the enforcement agency as described in Section 10-103.
Local enforcement agencies check plans to ensure that the building design conforms to the Energy Code. This check focuses primarily on the fire, life, and safety requirements of the CBC and secondarily on the building energy efficiency requirements. Vague, missing, or incorrect information on the construction documents are identified by the plans examiner. The permit applicant is required to make corrections or clarifications then resubmit revised plans and specifications. Submitting complete and accurate plans and specifications provides the plans examiner with the information needed to complete the plan check review quickly.
The plans examiner verifies that the information on the construction documents is consistent with the requirements specified on the CF1R. Examples of how the plans examiner will verify that the features detailed on the CF1R are specified in the respective sections of the building plans include:
1. Verifying the window and skylight U-factor and solar heat gain coefficient (SHGC) values from the CF1R on the structural/architecture plans in a window/skylight schedule, window/skylight legend for the floor plan.
2. Verifying the HVAC equipment and distribution information from the CF1R is clearly documented on the plans, such as SEER, EER, AFUE, mandatory, prescriptive, and elective HERS measures, and other values necessary to verify compliance.
The plans examiner compares the data on the CF1Rs against the rest of the plans and documents submitted for the permit applications, including all the following subject areas:
•Envelope (walls, ceiling, floors)
o Windows, skylights, and doors solar heat gain coefficients
o Insulation and air sealing
o Advanced wall and ceiling construction and insulation
•Roofing materials and construction
o Roof-deck insulation
o E-barrier
o Ventilation or sealed attic
o Cool roof reflectivity requirements
•Heating, ventilating, and air conditioning (HVAC)
o SEER, EER and AFUE (if applicable) for HVAC equipment
o Ducting design and register placement
o Ventilation and indoor air quality requirements
o Duct insulation and placement (in or outside conditioned space)
o Thermostat requirements
o Manufacturer certification check
•Lighting requirements
o Luminaire efficacy requirements
o Switching and control devices
o Outdoor lighting and controls
•Domestic hot water
o Manufacturer certification check
o Water piping design and insulation
The enforcement agency should clearly articulate to the builder/designer the acceptable methods of specifying energy features on the building plans for approval.
Since those buying building materials and the construction staff may rely solely on a copy of the approved plans and specifications, it is important that the building design represented on the approved plans and specifications complies with the Energy Code as specified on the CF1R.
The enforcement agency’s plans examiner must also verify that the CF1R does not contain errors. Newly constructed buildings using the performance approach are required to use CEC-approved computer software; additions and alterations generally use the prescriptive method, with the option of using performance modeling software. When the CF1R is produced by CEC-approved computer software applications, there is less chance that there will be computational errors. The plans examiner must still verify that the design on the plans is consistent with the energy features on the certificate of compliance documents (CF1Rs). A list of CEC-approved energy code compliance software applications is available online at the CEC Compliance Software website (https://www.energy.ca.gov/programs-and-topics/programs/building-energy-efficiency-standards/online-resource-center/compliance).
The Building Energy Efficiency Standards Hotline at 1-800-772-3300 can assist with locating and installing this software.
With production homes, where a builder may be constructing several identical houses at roughly the same time, the compliance documentation may be prepared in such a way that a house or model can be constructed in any orientation. The plans examiner will verify that the home complies facing all four main compass points (north, south, east, and west) on the CF1R form.
After the plans examiner has approved the plans and specifications for the project, the enforcement agency may issue the building permit at the builder’s request. Issuing the building permit is the first significant milestone in the compliance and enforcement process. The building permit is the green light for the contractor to begin the work. In some cases, the building permits are issued in phases. Sometimes, there is a permit for site work and grading before the permit for actual building construction.
Upon receiving a building permit from the enforcement agency, the contractor begins construction. The permit requires the contractor to follow the plans and specifications, but often there are variations. Some variations are formalized through change orders. When change orders are issued, the permit applicant and the AHJ are responsible for verifying that the changes do not compromise compliance with the code. It is clear in some cases such as when a single-glazed, metal-frame window is substituted for a high-performance double-pane, vinyl-frame window. It may be difficult to determine compliance with changes such as orientation of the house or the location of a window. Field changes that result in noncompliance require enforcement agency approval of revised plans and revised energy compliance documentation to confirm that the building still complies with the Energy Code.
During construction, the general contractor or specialty subcontractors are required to complete various CF2Rs. These certificates verify that the contractor is aware of the Energy Code requirements and has followed the CEC-approved procedures for installation. These certificates are to identify the energy efficiencies and features of the installed building components. The CF2Rs are a collection of energy compliance information forms that apply to each regulated energy feature that may be included in the construction. The certificates are required to be completed by each of the applicable specialty contractors when they install regulated energy features such as windows, water heater and plumbing, HVAC ducts and equipment, lighting, and insulation.
The licensed person responsible for the building construction or installation of an energy-related feature must ensure their work is done in accordance with the approved plans and specifications for the building. The person must complete and sign a certificate of installation to certify that the installed features, materials, components, or manufactured devices for which they are responsible conform to the plans and specifications and the certificate of compliance documents approved by the enforcement agency for the building. A copy of the completed, signed, and dated CF2R must be posted at the building site for review by the enforcement agency in conjunction with requests for final inspection for the building. Copies of the registered CF2R forms shall be provided to the homeowner.
When any HERS verification is required for compliance, all CF2R forms must be registered with an approved HERS data registry. When registration is required, the builder or installing contractor must submit information to an approved registry to produce a completed, signed, and dated electronic CF2R that is retained by the registry for use by authorized users of the registry. After the information to complete the CF2R document is transmitted to the HERS registry and the form is electronically signed, the CF2R is assigned a registration number. Copies of the unique registered CF2R are made available to authorized users of the registry to make electronic or paper copies of the registered document(s) for submittal to the enforcement agency as required. The builder or installing contractor must provide a copy of the completed, signed, and registered CF2R to the HERS Rater and post a copy at the building site for review by the enforcement agency in conjunction with requests for final inspection and provide copies of the registered CF2R forms to the homeowner.
More information about registering CF2R documents can be found in Reference Residential Appendix RA2 and Reference Joint Appendix JA7.
Enforcement agency representatives inspect construction projects to ensure compliance with the Energy Code. Field construction changes and noncompliant energy features require parties associated with previous phases to repeat and revise their original energy compliance documents or reinstall building components that meet the building specifications and energy compliance documents.
Enforcement agencies make several visits to a building site to verify construction. The first visit is typically made before the slab or building foundation is poured. The building inspector verifies that the proper reinforcing steel is in place and necessary wiring and plumbing that will be embedded in the slab meet the requirements of the standards. The inspector should verify features that are to be installed in or under concrete slab floors, such as slab edge insulation or hot water recirculation loops that involve piping that must be installed in the slab. The inspector should also verify the front orientation and floor assembly types (such as slab on grade, raised floor, and others) of the building during this construction phase. Details of how the inspector should verify these components are in Chapter 3 of this manual.
The second visit occurs after the walls have been framed, and the HVAC equipment and ducting, fenestration, lighting cans, electrical wiring, plumbing, and other services have been constructed or installed. This inspection should be done before insulation is installed to ensure sealing and caulking around windows is completed, and the caulking and sealing of any holes bored through the framing members for installation of hot and cold water piping and electrical wiring. During the rough frame inspection, the inspector should also verify the installation of the high-efficacy lighting so that the contractor can make any necessary corrections before the final inspection. This verification avoids having to remove drywall, insulation, and so forth to remove an incandescent can. The inspector should also verify the window/skylight U-factor and SHGC values, proper sealing/installation of HVAC ducts and duct insulation R-value, installation of exhaust fan housing and ducting in bathrooms and kitchens (ASHRAE 62.2), and installation of a radiant barrier or cool roof or a combination thereof when required. Details of how the inspector should verify these components will be discussed in the respective chapters of this manual.
The third visit is the insulation inspection, which takes place after the wall, ceiling, and floor insulation have been installed. This inspection occurs before the drywall is installed to verify that the insulation R-value matches the CF1R form, and the insulation has been properly installed without compressions, voids, or gaps. The inspector should verify that insulation is installed correctly around and behind piping and all exterior walls are insulated (especially behind obstructing objects like a bathtub). Details of how the inspector should verify these components are in Chapter 3.
The next visit is a drywall inspection, where the inspector verifies that the drywall is installed properly to limit infiltration and exfiltration, especially at locations surrounding lighting cans, HVAC registers and vents, and electrical sockets.
The final inspection is conducted after the walls have been closed and the final electrical and plumbing fixtures are in place. The inspector should verify HVAC efficiency values, water heating efficiency values, exhaust fan and other ventilation system noise level ratings in bathrooms and kitchens (ASHRAE 62.2), filter MERV rating and thickness, exterior lighting and controls, and weatherstripping on exterior/demising doors. The inspector will also verify that all required CF2R and CF3R forms have been completed, signed, and registered. Copies of these forms should be provided to the building owner. Details of how the inspector should verify these components will be discussed in this manual.
The typical enforcement agency inspection sequence can vary from jurisdiction to jurisdiction. It can be difficult for the enforcement agency to verify every energy efficiency measure required to be installed in the building. For example, exterior wall insulation will likely not be installed at the time of the framing inspection. If the enforcement agency does not include the insulation inspection in its field inspection, the exterior wall insulation would be concealed from an inspector's view at the final inspection.
The CF2Rs and, when required, the CF3Rs are crucial. When inspection of an installed energy feature would be impossible because of subsequent construction, the enforcement agency may require the CF2R for the concealed feature to be posted at the site or made available to the inspector upon completion/installation of the feature. To simplify the inspection, the inspector would reference the efficiency values and building components specified on the submitted CF2R form to verify compliance with the Energy Code.
When registration is required, all certificates of installation must be registered through an approved HERS data registry. For all measures requiring field verification, a registered certificate of verification shall also be made available to the building inspector.
Some building features require field verification and diagnostic testing completed by a HERS Rater as a condition for compliance with the Energy Code. When compliance with the Energy Code is based on energy features that require a HERS verification, a certified HERS Rater is required to perform the test according to procedures in Reference Residential Appendix RA2 using the protocols in Reference Residential Appendix RA3.
There are mandatory requirements, prescriptive requirements, and performance credits (Chapter 1) that require HERS testing. Many requirements that require verification and testing involve air-conditioning equipment and forced-air ducts that deliver conditioned air to the dwelling. Examples of measures requiring HERS testing are refrigerant charge measurement and duct sealing. An example of an installed feature that does not require HERS testing is lighting control in spaces like a laundry room or bathroom.
The Energy Code mandates that all newly constructed homes with central HVAC systems have duct sealing (leakage testing), duct system airflow and fan watt draw (and installed HSPP/PSPP), and exhaust fans/systems (ASHRAE 62.2) verified by a HERS Rater when those systems are installed. Details about these measures are in Chapter 4 of this manual.
Additional measures requiring field verification include reduced duct surface area, increased duct R-value, high SEER and EER cooling equipment, and quality installation of insulation (QII). A full list of measures requiring field verification or diagnostic testing is in Table RA2-1 of the 2022 Reference Residential Appendices. The requirements for field verification and diagnostic testing apply only when equipment or systems are installed. If a house has no air distribution ducts, then a HERS Rater does not have to test them.
The HERS Rater must verify the required features and transmit all required data describing the feature and the test results to an approved HERS registry. The rater must confirm that the installed energy feature being verified is consistent with the requirements for that feature as specified on registered copies of the CF1R approved by the enforcement agency for the dwelling. The HERS Rater must confirm the information on the CF2R is consistent with the CF1R. The test results reported on the CF2R by the person responsible for the installation must be consistent with the HERS verification results determined by the HERS Rater’s diagnostic verification and meet the criteria for standards compliance. A copy of the registered CF2R must be posted at the building site for review by the enforcement agency and made available for applicable inspections. A copy of the registered CF2R must also be left in the dwelling for the homeowner at occupancy.
Results from the rater's field verification or diagnostic test are reported to the HERS registry with “pass” or “fail.” If the results are “pass,” the registry will make a registered copy of the CF3R available. A copy of the registered CF3R must be posted at the building site for review by the enforcement agency and made available for all applicable inspections. Copies must be given to the builder and left in the dwelling for the homeowner at occupancy. If results are “fail,” that failure must be entered into the registry. HERS Providers shall not permit any user of the registry to print or access forms for noncompliant entries unless the CF3R form contains a watermark with the word “FAIL” or “FAILURE.” Corrective action shall be taken by the builder or installer on the failed requirement. The rater will retest the requirement to verify that the corrective action was successful. Once the correction is made, the passing CF3R shall be entered into the registry.
For newly constructed buildings and additions, the final step in the permitting process is for the enforcement agency to issue an occupancy permit so occupants can move in. Single-family homes and duplexes are often approved for occupancy without an occupancy permit being issued. Often a signed-off final inspection serves as an approval for occupancy, but this depends on the enforcement agency. When HERS verification is required before occupancy approval, the HERS Rater must post paper copies of the registered CF3Rs for site review by the building owner, installers, and inspectors.
For alterations to existing buildings, the signed-off final inspection is all that is required. Since the project is in a building with an existing occupancy permit, the enforcement agency is not required to issue a new occupancy permit. It should be noted that the extent of the alteration is limited by the Energy Code and, typically, the local codes and standards. If an alteration is too extensive, it can be considered a newly constructed building. For example, removing all wallboards, insulation, and exterior walls from a building could be considered a newly constructed building and not an alteration by the enforcement agency.
At the occupancy phase, the enforcement agency must require the builder to leave all compliance documentation in the building, which includes at a minimum the CF1R and all applicable CF2R forms. When HERS field verification is required, copies of the registered CF3Rs must be left on site with the compliance documentation. When registration is required, the CF1R and all required CF2R compliance documentation shall be registered copies. The builder is required to provide the homeowner with a manual that contains instructions for operating and maintaining the features of his or her building efficiently. More details are in Section 2.3.5.