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Energy Code: Information About Forms

Following is New York City Energy Conservation Code (NYCECC) information regarding certain Department forms: 

ED16A (07/11): Electrical Permit Application

  • Licensed Master and Special Electricians are required to comply with all applicable codes, including the NYCECC, but they are neither required nor authorized to design. Therefore, when there is electrical work on electrical drawings or drawings of other disciplines that needs to comply with the NYCECC, the Licensed Master or Special Electrician must install work in conformance with those approved drawings. The Licensed Master or Special Electrician’s work will be inspected by progress inspector(s) prior to construction sign-off for such compliance with approved drawings, in addition to electrical inspections by the Electrical Division
  • Where the work of an electrical permit application is minimal, requiring only simple lighting power density calculations for the energy analysis, and when there is no construction application being filed during the same period in which the lighting design would properly be included, the licensed master or special electrician may elect to create, stamp and sign the energy analysis. In such a case, theenergy analysis must be presented to the Department’s electrical inspector at the sign-off inspection for energy efficency approval of the electrical work and for Department records

EN1 (01/11):  Energy Cost Budget Method

  • This form is used to report on the results of an energy analysis performed with energy modeling
  • The applicant of record must identify the software program used on the form. If a program other than DOE2-based software is used for the energy modeling, the applicant of record must provide approval of the program from both the Secretary of State of New York State and the Buildings Commissioner
  • Only the number of the Department form changed in the 01/11 edition, from EC1 to EN1

EN2 (01/11): Certification of Conformance with As-Built Energy Analysis 

  • The progress inspector(s) must certify on this form that the as-built values for energy in the building match the values in the last-approved energy analysis. If they do not, then an as-built energy analysis must be prepared by the applicant of record and the progress inspector(s) must certify on the EN2 form that the as-built values for energy in the building match the values in the as-built energy analysis. The as-built energy analysis must be professionally certified and submitted with the EN2 form at sign-off.  See the Progress Inspections page for more information 

PC1 (01/11):  Required Items Checklist for Professional Certification

  • The required items list includes NYCECC requirements

PW1 (01/11): Plan Work Approval Application

Section 9L: Additional Considerations

  • Check "Yes" if the project includes lighting work. You should determine in which document (architectural, mechanical, electrical) such work will be shown

Section 10: Professional Statement

  • Applicants for approval of construction drawings for new buildings or alterations must indicate in Section 10 either that the application complies with or that it is exempt from the NYCECC.  See the Professional Statement page for more information about what qualifies as an exemption. In order to claim an exemption, the entire application must be exempt
  • If you check that the application complies,you should first check the box indicating that the energy analysis is on a different application if applicable and provide the application number. In addition, you must check "Yes" or "No" on the subsequent statements indicating whether there are trade-offs in the application within a single discipline (i.e. within the envelope between thermal wall insulation and thermal values for windows or within the lighting in a commercial building between the lobby and office space) or whether there are trade-offs in either the application or the project among disciplines (i.e. between the curtainwall and the lighting). See the Energy Analysis How to Guide for more information
  • Checking compliance on the PW1 form in Section 10 automatically triggers the requirement for an energy analysis and a TR8 form. If you determine that the application is not technically exempt but there is no work in the application that requires supporting documentation, including progress inspections, then we recommend that you provide the tabular analysis format for the energy analysis. See the TR8 form on this screen and Energy Code Tabular Analysis for more information
  • The fourth sub-box under the exemption check-off should only be checked if the application is a post-approval amendment (PAA) for an application filed under an earlier version or edition of the Energy Code and deemed exempt at that time. However, if the PAA is for work that was not exempt under the Energy Code in effect at the time of filing, then such work must comply with that edition. See the What Codes, Rules and Forms Apply When and the Professional Statement page for more information

Sections 11 and 11a: Job Description and Related Job Numbers  

  • You must provide all related application numbers for the project. If certain parts of the work have not yet been filed, and therefore, have no application number or document number, you must then provide the names of the other applicants and/or firms and the disciplines for the applications

Section 26: Property Owner’s Statements and Signatures

  • Owners attest that he/she will not knowingly authorize work not in accordance with the NYCECC

PW1C (01/11):  Schedule C - Heating & Combustion Equipment

Section 4: Boiler Specifications

  • Provide listed boiler efficiency and the testing standard used, per NYCECC Table 503.2.3(5), and check compliance box

TR1 (01/11): Technical Report Statement of Responsibility

  • Work not required to comply with the NYCECC: The TR1 must be completed, signed and sealed, and you must check "Yes" or "No” for “Energy Code Progress Inspections” as appropriate
    • If you check “Yes,” you will be directed to the TR8 form for requirement of these inspections. See theexplanation below for on the TR8 form for more information
    • If you check “No,” you must represent that no progress inspections are required for the project. You should be aware of the requirement for energy code progress inspections in Section BC 109.3.5 of the Building Code, if applicable
  • Permit and Sign-Off:  If an application was filed prior to the requirement of the TR8 form (February 7, 2011) and the applicant of record does not use the TR8 form, the progress inspector must obtain the original or scanned TR1 for the application to identify responsibility for and to sign-off on the completed progress inspection(s)

TR8 (01/11): Technical Report Statement of Responsibility for Energy Code Progress Inspections

  • Applicants must check the “Yes” boxes on the form relating to those progress inspections required by the NYCECC and 1 RCNY §5000-01, which must also be shown onthe drawings. Boxes for inspections not relating to the scope of work should be checked “No.”  See the Supporting Documents Guide for more information
  • Work not requiring compliance:  When an applicant checks “Yes” under “Compliance” in Section 10 onthe PW1 form, a TR8 form will be triggered. When the work does not need to comply with the NYCECC (see the Professional Statement page or Section ECC 101.4.3 of the NYCECC for more information), and therefore, no progress inspections are required, you should complete the TR8 form, check "No" for each Energy Code progress inspections, and sign and seal the form. Thee will be no further submission of the TR8 form required for the permit and sign-off
  • Applications originally filed prior to February 7, 2011: 

Approval: If the application was filed under the 2011 NYCECC (i.e. between December 28, 2010 and February 6, 2011), the applicant and/or progress inspector may use the TR8 form in order to clearly divide responsibility for progress inspections by discipline. The TR8 form does not accurately relate to earlier editions of the Energy Code and may not be used for progress inspections under such editions

PAA: If you file a post-approval amendment (PAA) and indicate compliance on the PW1 form, a TR8 form will be triggered. The applicant of record may elect to use the TR8 form if the original application was filed under the 2011 NYCECC or may use the originally filed TR1 form.  If the original application was filed between September 7, 2010 and December 27, 2010, only the TR1 form may be used because the progress inspections and ECC citations were different under the ECC in effect at that time. If the original application was filed prior to September 7, 2010, Energy Code progress inspections were not included on the TR1 form. See the What Codes, Rules and Forms Apply When for more information

Permit and Sign-Off: If the applicant does not use the TR8 form, the progress inspector must obtain the original or scanned TR1 form for the application to identify responsibility for and/or to sign-off on the completed progress inspection(s)

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