602 Technical Requirements for Sampling

602.1 Compliance Requirements

The testing and inspection of Dwelling Units or Sleeping Units for minimum rated features shall be conducted in compliance with the procedures for conducting Dwelling Units or Sleeping Units energy ratings contained in this Standard.

602.2 Dwelling Units or Sleeping Units Eligible to be Sampled

The Dwelling Units and Sleeping Units being sampled shall be of the same construction type using the same envelope systems.

602.3 Analysis of Dwelling Units or Sleeping Units

A Worst-Case Analysis shall be performed on each Dwelling Unit or Sleeping Unit plan in the sample set. If an option or change in the design of the structure is made that differs from those used in the initial analysis in a way that would require more stringent threshold specifications, then that Dwelling Units and Sleeping Units must be individually rated. At a minimum, a certified Rater shall oversee this process.

602.4 Labeling of Dwelling Units or Sleeping Units

602.4.1 Every Dwelling Unit or Sleeping Unit within a given sample set shall be assigned the HERS Index Score as determined by the worst-case analysis and threshold specification for the floor plan for that Dwelling Unit or Sleeping Unit.

602.4.2 Every Dwelling Unit or Sleeping Unit subjected to this sampling Standard shall be provided with a label in accordance with Section 303 of these standards, which contains the following statement: “This Dwelling Unit or Sleeping Unit has been certified using a sampling protocol in accordance with Chapter 6 of the RESNET Standards (see http://www.resnet.us). This label shall be located on the electrical panel and the font shall be a minimum of 10 points.

602.5 Sample Set of Dwelling Units or Sleeping Units

Sampling controls may be applied to any sample set of Dwelling Units or Sleeping Units within the same subdivision, community or metropolitan area and climate zone (as specified in the most current edition of the IECC), provided the criteria in Item 602.2 are met and:

602.5.1 Each sample set is made up of Dwelling Units or Sleeping Units at the same stage of construction (e.g. pre-drywall, final);

602.5.2 For each stage of construction, each sample set will be composed of Dwelling Units or Sleeping Units eligible for the applicable sampling controls within a 30 calendar day period. For example: a sample set that is defined for a pre-drywall inspection must include Dwelling Units or Sleeping Units that are eligible for that pre-drywall inspection within a given 30-day period. If fewer than seven (7) Dwelling Units or Sleeping Units are available for that phase of inspection, the sample set must be cut off at the number of Dwelling Units or Sleeping Units that are available within that 30-day period. This sample set need not be carried through to final inspection; in fact, a whole new sample set may be defined for the final inspection phase based on the Dwelling Units or Sleeping Units available for that phase within a new, 30-day period applied to that phase of tests and inspections.

602.5.3 Each Dwelling Units or Sleeping Units subject to sampling is required to be part of an identified set of sampling controls for each test or inspection that is sampled;

602.5.4 Each participating subdivision within a metropolitan area is subject to sampling controls on at least one Dwelling Unit or Sleeping Unit in any 90 calendar day period;

602.5.5 Each participating subdivision within a metropolitan area must start a minimum of one Dwelling Unit or Sleeping Unit in any 90 calendar day period.

602.6 Application of Sampling

The application of the sampling controls in this standard are only required for those tests and inspections that are not conducted on every Dwelling Unit or Sleeping Unit. Sampling controls shall be conducted for any tests and inspections not conducted on every Dwelling Unit or Sleeping Unit, according to the field testing and inspection requirements of 8Standards ANSI/RESNET/ICC 301, Appendix B and ANSI/RESNET/ICC 380.

602.7 Sampling Controls

602.7.1 A complete set of Sampling Controls shall be performed at a minimum ratio of one (1) test or inspection per seven (7) Dwelling Units or Sleeping Units within a given sample set. At a minimum, a certified Rater shall oversee this process.

602.7.2 Sampling Providers may complete the sampling controls collectively on a single Dwelling Unit or Sleeping Unit or distribute the tests and inspections across several Dwelling Units or Sleeping Units within a given sample set, provided the total number of individual tests and inspections meets or exceeds the minimum ratio set forth in 602.7.1.

602.7.3 To qualify for sampling in a metropolitan area, a builder shall first complete, without any incidence of failure, a complete set of sampling controls on at least seven (7) consecutive Dwelling Units or Sleeping Units in that metropolitan area. For this initial phase of testing and inspections, the complete set of sampling controls shall be performed on each of the seven (7) Dwelling Units or Sleeping Units.

602.7.3.1 For each newly started subdivision, sampling may begin for each sampling control only after three (3) of a particular sampling control passes consecutively without any incidence of failure.

602.7.4 Having successfully met the requirements of 602.7.3, a Sampling Provider may complete sampling controls for a builder indefinitely until a “failure” occurs or any of the criteria set forth in 602.2 are no longer met.

602.7.5 A complete set of sampling controls, whether performed on a single Dwelling Unit or Sleeping Unit or spread across several Dwelling Units or Sleeping Units, must be completed whether or not one or more failure(s) are found.

602.7.6 When an “initial failure” occurs, the failed item(s) shall be tested or inspected in two (2) additional Dwelling Units or Sleeping Units selected from the same sample set. Testing and/or inspections for any item(s) that may become inaccessible during the construction process, (e.g. wall insulation) must be timed so additional testing and/or inspections can occur on other Dwelling Units or Sleeping Units in the sample set before they become inaccessible for inspection or testing.

602.7.7 When an “additional failure” occurs, in one or more of the two (2) additional Dwelling Units or Sleeping Units, the failed item(s) shall be tested or inspected in the remaining four (4) Dwelling Units or Sleeping Units selected for the same sample set.

602.7.8 Until the failure is corrected in all identified (failed) Dwelling Units or Sleeping Units in the sample set, none of the Dwelling Units or Sleeping Units shall be deemed to meet the threshold or labeling criteria.

602.8 Multiple “Additional Failures”

Action is required if three (3) “additional failures” occur within a ninety (90) calendar day period. The required action depends on whether those “additional failures” apply to the same failed item or various failed items.

602.8.1 If the multiple “additional failures” all apply to the same failed item, the builder shall submit to 100% inspection of that failed item, for a minimum of seven (7) Dwelling Units or Sleeping Units, before resuming sampling of that item. Remaining unrelated sampling controls may be conducted on a sampled basis throughout this process.

602.8.2 Exception: If a builder conducts a “root cause analysis” on an item or items covered under 602.8.1 or 603.8.2, and submits it in writing to the sampling Provider, sampling may resume as soon as the Provider deems that the solution has been implemented. The “root cause analysis” report shall contain at a minimum:

602.8.2.1 A written description of the problem(s) covered by the analysis;

602.8.2.2 A written explanation of the underlying reason(s) that the problem(s) occurred (e.g. inadequate training of subcontractor(s) or site supervisors, insufficient information or inadequate detail in the plans or specifications, etc);

602.8.2.3 A written description of a clearly defined process to correct the underlying cause(s);

602.8.2.4 A written description of when and how that process has been carried out;

602.8.2.5 A copy of the root cause analysis report shall be kept by the sampling Provider as part of the QA file, for a period of time of three (3) years, consistent with the requirements of 102.1.4.9.

602.9 Quality Assurance by Sampling Providers

602.9.1 The Sampling Provider’s Rating Quality Assurance Provider QA Designee shall be responsible for monitoring compliance with the sampling process and maintaining records in accordance with the requirements of Chapter 9.