2.3    Compliance Documentation

Compliance documentation includes the forms, reports, and other information that are submitted to the enforcement agency with an application for a building permit. It also includes documentation completed by the contractor or subcontractors to verify that certain systems and equipment have been installed correctly. It may include reports and test results by HERS Raters. The compliance documentation (CF1R, CF2R, and CF3R) is included with a homeowner’s manual so that the end user knows what energy features are installed in the house.

Compliance documentation is completed at the building permit phase, the construction phase, the field verification and diagnostic testing phase, and the final inspection phase. The required forms and documents are in Table 2.3-1 and described later. When registration is required, all the compliance documentation shall be registered copies from an approved HERS data registry.

Table 2.3-1: Documentation Requirements, Prescriptive and Performance Compliance Methods
A complete list and samples of energy compliance forms is in Appendix A.

Source: California Energy Commission

2.3.1  Building Permit Phase Documentation

The compliance documentation required at the building permit phase consists of the CF1R and is based on the building plans. Depending on the compliance approach, the energy compliance documentation package may also include the area weighted average calculation worksheet (CF1R-ENV-02-E), the solar heat gain coefficient (SHGC) worksheet (CF1R-ENV-03-E), and the cool roof and SRI worksheet (CF1R-ENV-04-E). Blank copies of these worksheets are in Appendix A of this manual to use in the prescriptive compliance approach. When the performance approach is used, only the CF1R-STH worksheets are needed since the CEC-approved software performs the calculations and provides the necessary documentation contained in all other worksheets. When the performance approach is used, only the registered CF1R-PRF documents are required on the building plans.

The compliance documentation enables the plans examiner to verify that the building design shown in the plans and specifications complies with the Energy Code. It enables the field inspector to identify which building features are required for compliance and will be verified in the field.

2.3.2  Certificate of Compliance (CF1R)

The Energy Code requires the CF1R to be incorporated into the plans for the building and submitted to the enforcement agency. The CF1R form identifies the minimum energy performance specifications selected by the building designer or building owner for compliance and may include the results of the heating and cooling load calculations.

To meet the requirement for filing a copy of the CF1R with the building plans for a permit application, builders/contractors should ask the enforcement agency for information about their preferences or requirements for document submittal procedures. Most local jurisdictions may require the CF1R to be embedded in the building design computer-aided drafting (CAD) file for plotting on sheets that are the same size as the plan set sheets of the building design. Thus, the CF1R documentation would be submitted as energy compliance design sheets integral to the entire plan set for the building. Some jurisdictions may allow taping CF1R document sheets to the submitted design drawings for the building. Others may allow attaching 8½-inch x 11-inch printed CF1R document reports to the submitted design drawing package.

When the prescriptive approach is used for additions and alterations, a shorthand version of the certificate of compliance shall be submitted with the building plans or with the permit application when no plans are required. In these instances, a CF1R-ADD form is required to be submitted for additions, a CF1R-ALT-01 form is required for alterations, and a CF1R-ALT-02 form is required for HVAC changeouts. More details are in Chapter 9.

For low-rise residential buildings for which compliance requires field verification, the CF1R submitted to the enforcement agency must be a registered copy from an approved HERS data registry. More information is in the Reference Residential Appendix RA2 and Reference Joint Appendix JA7.

2.3.3  Construction Phase Documentation (CF2R)

The CF2Rs are separated into envelope (CF2R-ENV), lighting (CF2R-LTG), mechanical (CF2R-MCH), plumbing (CF2R-PLB), and solar (CF2R-PVB and CF2R-STH) categories. Most compliance requirements have a separate CF2R form that is specific to a particular installation. The CF2R forms must be completed during the construction or installation phase. The documents must be completed by the applicable contractors responsible for installing regulated energy features such as windows (fenestration), the air distribution ducts and the HVAC equipment, the exhaust fans/ventilation system, the measures that affect building envelope tightness, the lighting system, and the insulation. The CF2Rs must be posted at the job site in compliance with instructions from the enforcement agency. Most typically, these forms will be with the building permit folder in a window or other accessible location.

When HERS verification of a feature is required for compliance (as shown in the HERS required certification section of the CF1R), the builder or the builder’s subcontractor must perform the initial field verification or diagnostic testing of the installation to confirm and document the applicable CF2R compliance with the standards using the applicable procedures specified in Reference Residential Appendix RA3. The builder, the builder’s subcontractor, or authorized representative must submit the CF2R information to an approved registry. All CF2R information submittals must be done electronically when HERS verification/testing is required.

2.3.4  Field Verification and Diagnostic Testing Documentation (CF3R)

Within the Energy Code, some mandatory requirements, some prescriptive requirements, and some requirements that may be used for compliance credit in the performance approach may require field verification or diagnostic testing or both. This testing must be performed by a HERS Rater who is specially trained and independent from the builder or general contractor.

When HERS verification is required, the HERS Rater must complete, register, and sign/certify the CF3R. The CF3R documents include information about the measurements, tests, and field verification results that were required to be performed. The HERS Rater must verify that the requirements for compliance have been met.

The HERS Rater chosen for the project must transmit the CF3R information to an approved HERS registry. This must be the same HERS registry through which the previous compliance documents (CF1R, CF2R) for the project were registered. The HERS Rater used for the project must be certified by the HERS provider. A registered CF3R is made available to the enforcement agency and the builder when HERS testing confirms compliance. The builder ensures that the enforcement agency has received the CF3R. The enforcement agency cannot issue the certificate of occupancy before receiving all required compliance documents, including the CF3Rs.

The HERS Rater shall provide a separate registered CF3R form for each house that the HERS Rater determines has passed the HERS verification performed for compliance. The rater shall not sign a CF3R for a house that does not have a registered CF2R that has been signed/certified by the installer. The only exception is for homes or projects within a sample group.

Sampling is a process wherein a builder or contractor may coordinate with a HERS Rater to allow the HERS verification for one home or project stand for all homes or projects within the sample group. Sample groups may include similar homes or projects from one builder, contractor, or installer for a particular HERS verification. For example, an HVAC contractor, after installing or replacing a ducted HVAC system, may request up to seven existing homes in one sample group. Working with one HERS Rater, the contractor will test only one of the seven homes for fan watt draw, duct air leakage, and refrigerant charge. If it passes, the HERS verification on this one home will stand for all seven installations in the sample group.

If the building was included in a sample group, the CF3R will identify whether the requirement passed compliance by testing or by sampling. The CF3R form for the tested home of a sample group will include the HERS test results, but the untested homes will not. CF3Rs for tested and untested homes in a sample group will still have a registration number, date, time, and watermark of the HERS provider’s seal as any other CF3R that is not included in sampling. Refer to Reference Residential Appendix RA2 for more details on HERS verification and CF3R documentation procedures.

2.3.5  Compliance, Operating, Maintenance, and Ventilation Information to Be Provided by Builder

The final documentation in the process is the information that is provided to the homeowner. At the completion of construction and before occupancy (for newly constructed homes and additions) and before final inspections (for alterations), the enforcement agency will require the builder to leave in the building the applicable completed, signed, and dated compliance documentation. Provide at a minimum, the applicable CF1R forms, CF2R forms, and, if compliance required HERS verification, the applicable CF3R forms. When registration is required, these compliance documents shall be registered copies. In addition to the compliance documentation, the builder must leave in the building operating and maintenance information for all installed features, materials, components, and manufactured devices. The operating and maintenance information must contain the details needed to provide the building owner/occupant with instructions on how to operate the home in an energy-efficient manner that ensures satisfactory indoor air quality and to maintain it so that it will continue to work efficiently. Paper or electronic copies of these documents are acceptable.