1.2 Permits, Inspections & DHBC Code Enforcement

Permits, Inspections & DHBC Code Enforcement

In the Commonwealth of Kentucky, strict administrative procedures govern the authorization, inspection, and verification of mechanical work. The mandates in KRS 198B.6671 through 198B.6678, 815 KAR 8:070 (Installation Permits), and 815 KAR 8:080 (Inspections and Tests) ensure that every heating, ventilation, and air conditioning installation complies with the Kentucky Building Code (KBC) and Kentucky Residential Code (KRC).

For a Master HVAC Contractor, failing to obtain mandatory permits or coordinate required inspections exposes the contractor to refused approvals, prohibited system use, injunctive action, license sanctions, and statutory fines and criminal penalties.

---

1. HVAC Permit Mandates: KRS 198B.6671 & 815 KAR 8:070

Under KRS 198B.6671, any person who installs an initial heating, ventilation, or air conditioning system must apply for a permit before beginning the installation — no installation may begin before the permit application has been filed. Under 815 KAR 8:070 Section 1, an HVAC installation permit is required:

1. New Construction: For all new construction installations of HVAC systems.
2. Additions: For all construction additions in which an additional HVAC system is installed.
3. Existing Buildings: For all existing buildings in which the first HVAC system is being installed.

+-----------------------------------------------------------------------------+
|                        KENTUCKY HVAC PERMIT FRAMEWORK                       |
|                                                                             |
|   [WORK TRIGGERING MANDATORY PERMIT (815 KAR 8:070 Section 1)]              |
|   - Initial HVAC system in all new construction                             |
|   - An additional HVAC system installed in a construction addition          |
|   - The first HVAC system installed in an existing building                 |
|                                                                             |
|   [REPLACEMENT / REQUEST PERMITS (Section 3)]                               |
|   - Permits issued and inspections performed UPON REQUEST for replacement   |
|     of: furnaces, condensing units, heat pumps, fan coil units, chiller     |
|     systems, or heating boilers not covered by KRS Chapter 236              |
|   - Correction & testing permits for contractors assuming responsibility    |
|     to correct or test another contractor's installation                    |
|   - Note: certified local jurisdictions commonly require these replacement  |
|     permits as a matter of course; routine maintenance needs no permit      |
|                                                                             |
|   [WHO CAN PULL PERMITS?]                                                   |
|   1. Licensed Kentucky Master HVAC Contractor (holding active insurance)   |
|   2. Homeowner-Occupant (strictly on their own legal residence — see below)|
|                                                                             |
|   [STATUTORY EXEMPTIONS (KRS 198B.6671 & 198B.674)]                         |
|   - Window unit air conditioners and space heaters (no permit/inspection)   |
|   - Manufactured home installations by licensed retailers/manufacturers     |
|   - Buildings not designed for human occupancy                              |
|   - Routine maintenance (filters, coil cleaning, belts, like-for-like parts)|
+-----------------------------------------------------------------------------+

Who May Obtain a Permit (815 KAR 8:070 Section 2)

• Master HVAC Contractors: A permit to construct, install, or alter an HVAC system is issued only to a licensed Master HVAC Contractor, except for the homeowner exception below.
• Homeowner Exception: A permit may be issued to a homeowner who installs an HVAC system in the homeowner's legal residence (or a home constructed by the homeowner for personal residential use) if the homeowner:
  1. Files the dedicated Homeowner One & Two Family Dwellings permit application before starting work;
  2. Files an affidavit agreeing to abide by the regulation;
  3. Provides proof of adequate sizing of the system to be installed;
  4. Provides a complete design plan of all related duct and piping;
  5. Personally performs all of the work, in compliance with the Kentucky Residential Code and Kentucky Building Code.
• Frequency Limit: Only one (1) homeowner HVAC construction permit may be issued to an individual within a five (5) year period.

Permit & Inspection Fee Schedule (815 KAR 8:070 Sections 4–5)

• One- & Two-Family Dwellings and Homeowner Permits: $105 for the first system plus $50 for each additional system.
• Multi-Family Dwellings (other than duplexes): $105 for the first system plus $50 for each additional system.
• Commercial Installations: Fees scale with total installation value — from $125 (work valued at $2,000 or less) up to $3,965 (work valued at $1.5–$1.6 million), plus $200 per additional $100,000 of value.
• Replacement / Request Permits (Section 3 work): $75 for one- and two-family dwellings and homeowner requests; commercial requests follow the value-based schedule.
• Correction and Testing Permits: $75 when no new installation is included.
• Included Inspections: Each permit includes three (3) HVAC inspections at no additional cost; additional inspections cost $50 each, payable before final approval is granted.

Permit Expiration (815 KAR 8:070 Section 6)

• A permit expires six (6) months after issuance unless the permitted work has begun.
• If construction begins within six months, the permit remains effective until completion — but if work ceases for more than twelve (12) months, the permit becomes void.

---

2. HVAC Inspection Procedures: 815 KAR 8:080

Under 815 KAR 8:080, the department (or an authorized local HVAC permitting and inspection program) inspects initial installations of air conditioning/cooling systems, heating systems, residential and commercial exhaust and ventilation systems, and dryer venting for compliance with the Uniform State Building Code and Uniform State Residential Code. Alterations in a building condemned by a local jurisdiction are treated as initial installations, and major repairs may be inspected upon request with purchase of the requisite permit.

+-----------------------------------------------------------------------------+
|                     KENTUCKY HVAC INSPECTION WORKFLOW                       |
|                                                                             |
|   [STEP 1: PERMIT ISSUANCE]                                                 |
|   - Master (or qualifying homeowner) files the correct HVAC permit form.    |
|   - Permit fee paid; permit number generated.                               |
|                                 |                                           |
|                                 v                                           |
|   [STEP 2: FIRST / ROUGH-IN INSPECTION]                                     |
|   - RESIDENTIAL: sizing calculations must be provided prior to or at the    |
|     first inspection; the inspector verifies calculation date, building     |
|     orientation, design conditions, heat gain, heat loss, and square        |
|     footage (Manual J documentation).                                       |
|   - COMMERCIAL: approved plans must be available to the inspector on site.  |
|   - UNDERGROUND portions must be inspected and approved BEFORE covering.    |
|   - ROUGH-IN required ONLY if any portion will be covered or concealed —    |
|     it must occur PRIOR to covering or concealment.                         |
|                                 |                                           |
|                                 v                                           |
|   [STEP 3: SYSTEM SET & STARTUP]                                            |
|   - Equipment set, wired, energized, and tested.                            |
|   - Safety controls, rollouts, high limits, and disconnects verified.       |
|                                 |                                           |
|                                 v                                           |
|   [STEP 4: FINAL INSPECTION & CERTIFICATE OF APPROVAL]                      |
|   - Conducted after all equipment is set and in working order, PRIOR to     |
|     occupancy (partial/temporary finals allowed for completed areas).       |
|   - Inspector issues a CERTIFICATE OF APPROVAL upon satisfactory completion.|
+-----------------------------------------------------------------------------+

Critical Inspection Rules

• Concealment: If an installation is covered without a required inspection, the inspector must require the system to be uncovered for inspection (unless unnecessary, or unless uncovering would cause more damage — in which case exposure occurs only at the owner's request). Partial coverage requires the inspector's prior permission.
• Scope Limit — Gas Piping: Per 815 KAR 8:080 Section 5(2), an HVAC inspection does not include gas piping on the supply side of equipment shutoffs. Fuel gas piping is inspected under the Kentucky Building and Residential Codes' fuel gas provisions (IFGC / NFPA 54), not the HVAC permit inspection.
• Final Inspection: Occurs after all equipment is set and in working order and prior to occupancy. A Certificate of Approval is issued upon satisfactory completion of the final inspection.
• Scheduling (KRS 198B.6672(3)): Required inspections are scheduled with the property owner or agent at least one (1) business day in advance and completed within three (3) business days of the scheduled date.

---

3. Enforcement, Refusal of Approval & Disciplinary Sanctions

To ensure total regulatory compliance, Kentucky law grants broad enforcement authority to the DHBC and authorized local governments.

+-----------------------------------------------------------------------------+
|                        DHBC ENFORCEMENT HIERARCHY                           |
|                                                                             |
|   [FIELD VIOLATION DETECTED]                                                |
|   (Unpermitted work, unlicensed workers, unsafe installation, code defect)   |
|                                 |                                           |
|                                 v                                           |
|   [REFUSAL OF APPROVAL / PROHIBITION OF USE (KRS 198B.6677)]                |
|   - Inspector may refuse to approve work covered by a permit.               |
|   - Department/local government may prohibit continued use of a system      |
|     not installed per the Uniform State Building / Residential Codes.       |
|   - Aggrieved applicant may request a hearing.                              |
|                                 |                                           |
|                                 v                                           |
|   [INJUNCTION (KRS 198B.6675)]                                              |
|   - Department may restrain and enjoin violations; represented in court     |
|     by state and local prosecutors; no bond required.                       |
|                                 |                                           |
|                                 v                                           |
|   [DISCIPLINARY SANCTIONS (KRS 198B.672) — KRS 13B HEARING]                 |
|   - Revoke, suspend, place on probation, or restrict a license;             |
|   - Refuse to issue or renew; reprimand, censure, or FINE the licensee.     |
|                                 |                                           |
|                                 v                                           |
|   [STATUTORY PENALTIES (KRS 198B.990 & 198B.686)]                           |
|   - Permit/code violations: fines of $10 to $1,000; EACH DAY a separate     |
|     offense (KRS 198B.990).                                                 |
|   - Unlicensed practice or advertising: CLASS A MISDEMEANOR (KRS 198B.686). |
+-----------------------------------------------------------------------------+

Grounds for Sanctions (KRS 198B.672)

Subject to a formal hearing conducted in accordance with KRS Chapter 13B, the department may revoke, suspend, place on probation, or restrict a license; refuse to issue or renew; or reprimand, censure, or fine a licensee for:

1. Fraud or deceit in obtaining licensure.
2. Transfer of the authority granted by the license to another person (license lending).
3. Unfair or deceptive trade practices.
4. Willful or deliberate disregard and violation of building codes, electrical codes, or related laws.
5. Aiding or abetting any person attempting to evade KRS 198B.650–198B.689.
6. Conspiracy to allow a license to be used by an unlicensed person (allowing use by more than one person is prima facie evidence of intent to evade).
7. Willful disregard of disciplinary actions.
8. Negligence or incompetence in compliance with applicable codes and standards of practice.
9. Violation of any provision of KRS 198B.650–198B.689 or department regulations.
10. Conviction of a crime as defined in KRS 335B.010, in accordance with KRS Chapter 335B.

Statutory Penalties: KRS 198B.990 & KRS 198B.686

1. Permit and Code Violations (KRS 198B.990(1)): Any person who violates KRS 198B.140, 198B.6671, or 198B.6672, the Uniform State Building Code, the Uniform State Residential Code, or any directive or order issued under them shall be fined not less than ten dollars ($10) nor more than one thousand dollars ($1,000) — and each day the violation continues constitutes a separate offense.
2. Criminal Classification (KRS 198B.686): Practicing HVAC contracting without the required license, or advertising or holding oneself out as a licensed Master or Journeyman without being licensed, is a Class A misdemeanor; each violation is a separate offense (punishable by up to 12 months in jail under Kentucky's misdemeanor sentencing rules).
3. Due Process: All disciplinary proceedings must adhere to KRS Chapter 13B, guaranteeing the licensee formal written notice of charges, the right to legal counsel, the opportunity to present evidence and subpoena witnesses, and the right to judicial review.