ENERGY STAR Qualified Homes, Version 3 (Rev. 03)

Thermal Enclosure System Rater Checklist

Home Address: City: State:

Inspection Guidelines

Must

Correct

Builder

Verified1

Rater

Verified

N/A

1. High-Performance Fenestration

1.1 Prescriptive Path:Fenestration shall meet or exceed ENERGY STAR requirements

2    

1.2 Performance Path:Fenestration shall meet or exceed 2009 IECC requirements

2    

2. Quality-Installed Insulation

2.1 Ceiling, wall, floor, and slab insulation levels shall meet or exceed 2009 IECC levels

3,4,5    

2.2 All ceiling, wall, floor, and slab insulation shall achieve RESNET-defined Grade I 

installation or, alternatively, Grade II for surfaces with insulated sheathing (see checklist 

item 4.4.1 for required insulation levels)

   

3. Fully-Aligned Air Barriers 6

At each insulated location noted below, a complete air barrier shall be provided that is fully aligned with the insulation as follows:

At interior surface of ceilings in all Climate Zones; also, at interior edge of attic eave in all Climate Zones using a wind baffle that 

extends to the full height of the insulation. Include a baffle in every bay or a tabbed baffle in each bay with a soffit vent that will also 

prevent wind washing of insulation in adjacent bays

At exterior surface of walls in all Climate Zones; and also at interior surface of walls for Climate Zones 4-8

7, 8

At interior surface of floors in all Climate Zones, including supports to ensure permanent contact and blocking at exposed edges

9,10

3.1 Walls

3.1.1 Walls behind showers and tubs    

3.1.2 Walls behind fireplaces    

3.1.3 Attic knee walls / Sloped attics

11    

3.1.4 Skylight shaft walls    

3.1.5 Wall adjoining porch roof    

3.1.6 Staircase walls    

3.1.7 Double walls    

3.1.8 Garage rim / band joist adjoining conditioned space    

3.1.9 All other exterior walls    

3.2 Floors

3.2.1 Floor above garage    

3.2.2 Cantilevered floor    

3.2.3 Floor above unconditioned basement or vented crawlspace    

3.3 Ceilings

3.3.1 Dropped ceiling/soffit below unconditioned attic    

3.3.2 Sloped ceilings

11    

3.3.3 All other ceilings    

4. Reduced Thermal Bridging

4.1 For insulated ceilings with attic space above (i.e., non-cathedralized ceilings), 

uncompressed insulation extends to the inside face of the exterior wall below at the 

following levels: CZ 1 to 5: > R-21; CZ 6 to 8: > R-30

12

   

4.2 For slabs on grade in CZ 4 and higher, 100% of slab edge insulated to > R-5 at the depth 

specified by the 2009 IECC and aligned with thermal boundary of the walls 4,5    

4.3 Insulation beneath attic platforms (e.g., HVAC platforms, walkways) > R-21 in CZ 1 to 5;

> R-30 in CZ 6 to 8

   

4.4 Reduced thermal bridging at walls (rim / band joists are exempted) using one of the following options:

4.4.1 Continuous rigid insulation, insulated siding, or combination of the two;

> R-3 in Climate Zones 1 to 4, > R-5 in Climate Zones 5 to 8

13,14

, OR;

   

4.4.2 Structural Insulated Panels (SIPs), OR;    

4.4.3 Insulated Concrete Forms (ICFs), OR;    

4.4.4 Double-wall framing

15

, OR;    

4.4.5 Advanced framing, including all of the items below:

4.4.5a All corners insulated > R-6 to edge

16

, AND;    

4.4.5b All headers above windows & doors insulated

17

, AND;    

4.4.5c Framing limited at all windows & doors

18

, AND;    

4.4.5d All interior / exterior wall intersections insulated to the same R-value as the rest 

of the exterior wall

19

, AND;

   

4.4.5e Minimum stud spacing of 16” o.c. for 2 x 4 framing in all Climate Zones and, in 

Climate Zones 5 through 8, 24” o.c. for 2 x 6 framing unless construction 

documents specify other spacing is structurally required

20

   

OMB Control No. 2060-0586
ENERGY STAR Qualified Homes, Version 3 (Rev. 03)

Thermal Enclosure System Rater Checklist

Inspection Guidelines

Must

Correct

Builder

Verified1

Rater

Verified

N/A

5. Air Sealing

5.1 Penetrations to unconditioned space fully sealed with solid blocking or flashing as needed and gaps sealed with caulk or foam

5.1.1 Duct / flue shaft    

5.1.2 Plumbing / piping    

5.1.3 Electrical wiring    

5.1.4 Bathroom and kitchen exhaust fans    

5.1.5 Recessed lighting fixtures adjacent to unconditioned space ICAT labeled and fully 

gasketed. Also, if in insulated ceiling without attic above, exterior surface of fixture 

insulated to > R-10 in CZ 4 and higher to minimize condensation potential.

   

5.1.6 Light tubes adjacent to unconditioned space include lens separating 

unconditioned and conditioned space and are fully gasketed 21    

5.2 Cracks in the building envelope fully sealed

5.2.1 All sill plates adjacent to conditioned space sealed to foundation or sub-floor with 

caulk. Foam gasket also placed beneath sill plate if resting atop concrete or 

masonry and adjacent to conditioned space.

   

5.2.2 At top of walls adjoining unconditioned spaces, continuous top plates or sealed 

blocking using caulk, foam, or equivalent material

   

5.2.3 Sheetrock sealed to top plate at all attic/wall interfaces using caulk, foam, or 

equivalent material. Either apply sealant directly between sheetrock and top plate 

or to the seam between the two from the attic above. Construction adhesive shall 

not be used

   

5.2.4 Rough opening around windows & exterior doors sealed with caulk or foam

22    

5.2.5 Marriage joints between modular home modules at all exterior boundary 

conditions fully sealed with gasket and foam

   

5.2.6 All seams between Structural Insulated Panels (SIPs) foamed and/or taped per

manufacturer‟s instructions

   

5.2.7 In multi-family buildings, the gap between the drywall shaft wall (i.e. common 

wall) and the structural framing between units fully sealed at all exterior boundary 

conditions

   

5.3 Other Openings

5.3.1 Doors adjacent to unconditioned space (e.g., attics, garages, basements) or 

ambient conditions gasketed or made substantially air-tight

   

5.3.2 Attic access panels and drop-down stairs equipped with a durable >R-10 

insulated cover that is gasketed (i.e., not caulked) to produce continuous air seal 

when occupant is not accessing the attic

23

   

5.3.3 Whole-house fans equipped with a durable >R-10 insulated cover that is gasketed 

and either installed on the house side or mechanically operated

23    

Rater Name: Rater Pre-Drywall Inspection Date: Rater Initials: 

Rater Name: Rater Final Inspection Date: Rater Initials: 

Builder Employee: Builder Inspection Date: Builder Initials: 

Notes:

1. At the discretion of the Rater, the builder may verify up to eight items specified in this checklist. When exercised, the builder‟s

responsibility will be formally acknowledged by the builder signing off on the checklist for the item(s) that they verified.

2. For Prescriptive Path: All windows, doors, and skylights shall meet or exceed ENERGY STAR Program Requirements for 

Residential Windows, Doors, and Skylights – Version 5.0 as outlined at www.energystar.gov/windows. For Performance Path: 

All windows, doors and skylights shall meet or exceed the component U-factor and SHGC requirements specified in the 2009

IECC – Table 402.1.1. If no NFRC rating is noted on the window or in product literature (e.g., for site-built fenestration), select 

the U-factor and SHGC value from tables 4 and 14, respectively, in 2005 ASHRAE Fundamentals, Chapter 31. Select the 

highest U-factor and SHGC value among the values listed for the known window characteristics (e.g., frame type, number of

panes, glass color, and presence of low-e coating). Note that the U-factor requirement applies to all fenestration while the

SHGC only applies to the glazed portion. The following exceptions apply:

a. An area-weighted average of fenestration products shall be permitted to satisfy the U-factor requirements;

b. An area-weighted average of fenestration products more than 50% glazed shall be permitted to satisfy the SHGC

requirements;
ENERGY STAR Qualified Homes, Version 3 (Rev. 03)

Thermal Enclosure System Rater Checklist

c. 15 square feet of glazed fenestration per dwelling unit shall be exempt from the U-factor and SHGC requirements,

and shall be excluded from area-weighted averages calculated using a) and b), above;

d. One side-hinged opaque door assembly up to 24 square feet in area shall be exempt from the U-factor requirements 

and shall be excluded from area-weighted averages calculated using a) and b), above;

e. Fenestration utilized as part of a passive solar design shall be exempt from the U-factor and SHGC requirements, 

and shall be excluded from area-weighted averages calculated using a) and b), above. Exempt windows shall be 

facing within 45 degrees of true south and directly coupled to thermal storage mass that has a heat capacity > 20

btu/ft3x

o

F and provided in a ratio of at least 3 sq. ft per sq. ft. of south facing fenestration. Generally, thermal mass

materials will be at least 2” thick.

3. Insulation levels in a home shall meet or exceed the component insulation requirements in the 2009 IECC - Table 402.1.1. The 

following exceptions apply:

a. Steel-frame ceilings, walls, and floors shall meet the insulation requirements of the 2009 IECC – Table 402.2.5. In CZ

1 and 2, the continuous insulation requirements in this table shall be permitted to be reduced to R-3 for steel-frame

wall assemblies with studs spaced at 24” on center. This exception shall not apply if the alternative calculations in d)

are used;

b. For ceilings with attic spaces, R-30 shall satisfy the requirement for R-38 and R-38 shall satisfy the requirement for R49 wherever the full height of uncompressed insulation at the lower R-value extends over the wall top plate at the 

eaves. This exemption shall not apply if the alternative calculations in d) are used;

c. For ceilings without attic spaces, R-30 shall satisfy the requirement for any required value above R-30 if the design of 

the roof/ceiling assembly does not provide sufficient space for the required insulation value. This exemption shall be 

limited to 500 square ft. or 20% of the total insulated ceiling area, whichever is less. This exemption shall not apply if 

the alternative calculations in d) are used;

d. An alternative equivalent U-factor or total UA calculation may also be used to demonstrate compliance, as follows: 

An assembly with a U-factor equal or less than specified in 2009 IECC Table 402.1.3 complies.

A total building thermal envelope UA that is less than or equal to the total UA resulting from the U-factors in Table

402.1.3 also complies. The insulation levels of all non-fenestration components (i.e., ceilings, walls, floors, and slabs) 

can be traded off using the UA approach under both the Prescriptive and the Performance path. Note that 

fenestration products (i.e., windows, skylights, doors) shall not be included in this calculation. Also, note that while 

ceiling and slab insulation can be included in trade-off calculations, the R-value must meet or exceed the minimum 

values listed in items 4.1 through 4.3 of the checklist to provide an effective thermal break, regardless of the UA 

tradeoffs calculated. The UA calculation shall be done using a method consistent with the AHRAE Handbook of 

Fundamentals and shall include the thermal bridging effects of framing materials. The calculation for a steel-frame 

envelope assembly shall use a series-parallel path calculation method.

4. Consistent with the 2009 IECC, slab edge insulation is only required for slab-on-grade floors with a floor surface less than 12 

inches below grade. Slab insulation shall extend to the top of the slab to provide a complete thermal break. If the top edge of 

the insulation is installed between the exterior wall and the edge of the interior slab, it shall be permitted to be cut at a 45-

degree angle away from the exterior wall.

5. Where an insulated wall separates a garage, patio, porch, or other unconditioned space from the conditioned space of the 

house, slab insulation shall also be installed at this interface to provide a thermal break between the conditioned and 

unconditioned slab. Post-tensioned slabs with integrated porch foundations are exempted from this requirement in all homes, 

as are post-tensioned slabs with integrated garage foundations in multi-family buildings, until feasible architectural details can 

be developed.

6. For purposes of this checklist, an air barrier is defined as any durable solid material that blocks air flow between conditioned 

space and unconditioned space, including necessary sealing to block excessive air flow at edges and seams and adequate 

support to resist positive and negative pressures without displacement or damage. EPA recommends, but does not require, 

rigid air barriers.

Open-cell or closed-cell foam shall have a finished thickness > 5.5” or 1.5”, respectively, to qualify as an air barrier unless the

manufacturer indicates otherwise.

If flexible air barriers such as house wrap are used, they shall be fully sealed at all seams and edges and supported using 

fasteners with caps or heads > 1” diameter unless otherwise indicated by the manufacturer. Flexible air barriers shall not be 

made of kraft paper, paper-based products, or other materials that are easily torn. If polyethylene is used, its thickness shall be

> 6 mil.

7. Band joists are currently exempt from interior air barrier requirement in Climate Zones 4 thru 8, but highly encouraged by EPA

as a best practice.

8. Up to 10% of the total exterior wall surface area is exempted from the reduced thermal bridging requirements to accommodate 

thermal fins, wing walls, masonry fireplaces or similar architectural details.
ENERGY STAR Qualified Homes, Version 3 (Rev. 03)

Thermal Enclosure System Rater Checklist

9. Examples of supports necessary for permanent contact include staves for batt insulation or netting for blown-in insulation.

Batts that completely fill a cavity enclosed on all six sides may be used to meet this requirement without the need for supports, 

even though some compression will occur due to the excess insulation, as long as the compressed value meets or exceeds 

the required insulation level. Specifically, the following batts may be used in six-sided floor cavities: R-19 batts in 2x6 cavities, 

R-30 batts in 2x8 cavities, R-38 batts in 2x10 cavities, and R-49 batts in 2x12 cavities. For example, in a home that requires R19 floor insulation, an R-30 batt may be used in a six-sided 2x8 floor cavity.

10. Fully-aligned air barriers may be installed at the exterior surface of the floor cavity in all Climate Zones if the insulation is 

installed in contact with this exterior air barrier and the perimeter rim and band joists of the floor cavity are also sealed and 

insulated to comply with the fully-aligned air barrier requirements for walls.

11. Sloped attics shall meet the air barrier requirements for walls and are defined as sloped surfaces separating conditioned attics 

from ambient conditions. In contrast, sloped ceilings shall meet the air barrier requirements for ceilings and are defined as 

sloped surfaces separating conditioned house space from ambient conditions (e.g., sloped ceiling at the perimeter of a 

bedroom).

12. The minimum designated R-values must be achieved regardless of the trade-offs determined using an equivalent U-factor or 

UA alternative calculation. Note that if the minimum designated values are used, they must be compensated with higher 

values elsewhere using an equivalent U-factor or UA alternative calculation in order to meet the overall insulation requirements 

of the 2009 IECC. Also, note that these requirements can be met by using any available strategy, such as a raised-heel truss, 

alternate framing that provides adequate space, and/or high-density insulation. In climate zones one through three, one option 

that will work for most homes is to use 2x6 framing, an R-21 high-density batt, and a wind baffle that only requires 0.5” of 

clearance.

13. Insulated sheathing rated for water protection can be used as a water resistant barrier if all seams are taped and sealed. If the 

insulated sheathing is not rated for water protection, it shall be attached directly over a water-resistive barrier and sheathing. In 

addition, it shall provide the required R-value as demonstrated through either testing in accordance with ASTM C 1363 or by 

attaining the required R-value at its minimum thickness. If non-insulated structural sheathing is used at corners, advanced 

framing details listed under requirement 4.4.5 shall be met for those wall sections. Rigid insulation, if used, may be installed on 

either the interior or exterior side of the wall.

14. Steel framing shall meet the reduced thermal bridging requirements by complying with item 4.4.1 of the checklist.

15. Double-wall framing is defined as any framing method that ensures a continuous layer of insulation covering the studs to at 

least the R-value required in Section 4.4.1 of the checklist, such as offset double-stud walls, aligned double-stud walls with 

continuous insulation between the adjacent stud faces, or single-stud walls with 2x2 or 2x3 cross-framing. In all cases, 

insulation shall fill the entire wall cavity from the interior to exterior sheathing except at windows, doors and other penetrations.

16. All exterior corners shall be constructed to allow access for the installation of > R-6 insulation that extends to the exterior wall 

sheathing. Examples of compliance options include standard-density insulation with alternative framing techniques, such as 

using three studs per corner, or high-density insulation (e.g., spray foam) with standard framing techniques.

17. Headers shall be minimum R-3 for Climate Zones 1 through 4 and R-5 for Climate Zones 5 through 8 using continuous rigid 

insulation sheathing, SIP headers, other prefabricated insulated headers, single-member or two-member headers with 

insulation either in between or on one side, or an equivalent assembly, except where a framing plan provided by the builder, 

architect, designer, or engineer indicates that full-depth solid headers are the only acceptable option. The rater need not 

evaluate the structural necessity of the details in the framing plan to qualify the home. Also, the framing plan need only 

encompass the details in question and not necessarily the entire home. R-value requirement refers to manufacturer‟s nominal 

insulation value.

18. Framing at windows shall be limited to a maximum of one pair of king studs and one pair jack studs per window opening to 

support the header and window sill. Additional jack studs shall be used only as needed for structural support and cripple studs 

only as needed to maintain on-center spacing of studs.

19. Insulation shall run behind interior/exterior wall intersections using ladder blocking, full length 2”x6” or 1”x6” furring behind the 

first partition stud, drywall clips, or other equivalent alternative.

20. Vertical framing members shall either be on-center or have an alternative structural purpose (e.g., framing members at the 

edge of pre-fabricated panels) that is apparent to the rater or documented in a framing plan provided by the builder, architect, 

designer, or engineer. The rater need not evaluate the structural necessity of the details in the framing plan to qualify the 

home. Also, the framing plan need only encompass the details in question and not necessarily the entire home. No more than

5% of studs may lack an apparent or documented structural purpose, which is equivalent to one vertical stud for every 30 

linear feet of wall, assuming 16” o.c. stud spacing.

21. Light tubes that do not include a gasketed lens are required to be sealed and insulated > R-6 for the length of the tube.

22. In Climate Zones 1 through 3, stucco over rigid insulation tightly sealed to windows and doors shall be considered equivalent 

to sealing rough openings with caulk or foam.

23. Examples of durable covers include, but are not limited to, pre-fabricated covers with integral insulation, rigid foam adhered to 

cover with adhesive, or batt insulation mechanically fastened to the cover (e.g., using bolts, metal wire, or metal strapping).

EPA Form 5900-176

The government estimates the average time needed to fill out this form is 0.45 hours and welcomes suggestions for reducing this effort. Send comments (referencing OMB Control 

Number) to the Director, Collection Strategies Division, U.S. EPA (2822T), 1200 Pennsylvania Ave., NW, Washington, D.C. 20460.