Effective compliance and enforcement require coordination and communication among the architects, engineers, lighting and HVAC designers, permit applicant, contractors, plans examiner, and 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 Code, producing the building plans and specifications, and 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 completing 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 the work independently of others. For example, an applicant can use the prescriptive approach for the water heating and indoor lighting, then use the performance approach for all other building components. 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 Code and other applicable building codes. Designers are required to provide a signature on the respective NRCCs to certify that the building has been designed to comply with the Energy Code.
The designer may be an architect, engineer, or other California-licensed professional and may personally prepare the NRCCs. This professional may delegate preparation of the energy analysis and certificate of compliance documents to an energy documentation author or energy consultant. If preparation of the building energy NRCC documentation is delegated, the designer must remain in charge of the building design specifications, energy calculations, and all building feature information represented on the NRCC. The designer's signature on the NRCC affirms responsibility for the information submitted on the NRCC. When the designer is a licensed professional, the signature block on the NRCCs must include the designer's license number.
The person responsible for the design of the building may delegate the energy analysis and preparation of the NRCCs documentation to a building energy consultant or documentation author. Completed NRCCs documentation must be submitted to the enforcement agency during the building permit phase. The NRCCs demonstrate to the enforcement agency plans examiner that the building design complies with the Energy Code. Moreover, the building energy features information submitted on the NRCCs 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 NRCCs certifies that the documentation they have prepared is accurate and complete but does not indicate their responsibility for the specification of the features that define the building design. The documentation author provides completed NRCC documents to the building designer, who must sign the NRCCs prior to submittal of the NRCCs to the enforcement agency at plan check.
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 NRCIs (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 NRCIs identify the installed features, materials, components, or manufactured devices detailed in the building plans and the NRCCs. A copy of each NRCI is required to be posted at the building site for review by the enforcement agency in conjunction with requests for final inspection.
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: NRCCs, NRCIs, NRCAs, and HERS verifications. 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 or duct systems or both, water heating, and plumbing systems. 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 NRCIs documents. However, the licensed specialty subcontractor should be expected to complete and sign/certify all applicable NRCIs that document completion of the installation work they have performed for the builder. The subcontractor's responsibility for NRCI documentation includes providing a signed and registered copy of all applicable NRCIs to the builder and posting the documents at the building site for review by the enforcement agency.
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 NRCCs and the building plans and specifications. During plan review, the NRCCs are 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 NRCCs 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 NRCCs 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.
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 NRCIs 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 NRCIs.
•All applicable sections of the NRCIs have been signed by the responsible licensed person(s).
The enforcement agency does not approve a building until it has received all applicable NRCIs.
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 NRCCs are approved by the enforcement agency at plan review,
•and the building meets the requirements of all other applicable codes and standards.
For buildings that have used an energy efficiency compliance feature that requires an NRCI, the enforcement agency shall not approve the building until it has received an NRCI that meets the requirements of §10-103(a) and has been completed and signed by the builder or subcontractor for each compliance feature. 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 NRCIs, NRCAs, and HERS verification made available for the required inspections. It must confirm that these documents have been properly prepared and are consistent with the plans, specifications, and the NRCCs 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:
•NRCCs.
•NRCIs.
•NRCAs.
•HERS verification.
These documents are 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 includes instructions on how to operate or maintain the energy features, materials, components, and mechanical devices of the building 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 is 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 is provided to the person(s) responsible for operating the feature, material, component, or mechanical device installed in the building.
Maintenance information is provided for all features, materials, components, and manufactured devices that require routine maintenance for efficient operation. Required routine maintenance actions are clearly stated and incorporated on a readily accessible label. The label may be limited to identifying, by title or publication number or both, 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 is 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 includes 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 is provided to the person(s) responsible for operating and maintaining the feature, material, component, or mechanical ventilation device installed in the building. This information is in paper or electronic format.
The permit applicant is responsible for:
1. Providing information on the plans or specifications or both to enable the enforcement agency to verify that the building complies with the Energy Code. 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 NRCCs, and that the design complies with the standards.
2. Performing the necessary calculations to show that the building or system meets the Energy Code. 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 or equipment manufacturers or both.
3. Completing the NRCC summary document. The NRCC is a listing of each of the major requirements of the Energy Code that applies to the project. 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 Code.
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 (NRCIs, NRCAs, and HERS Verifications) is completed, dated, signed, and registered (when applicable).
The NRCCs 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 drawing 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