1.  Purpose
In an effort to provide a cleaner and more energy-efficient New York, the Department of Buildings is requiring additional documents when filing a New Building (NB) or Alteration 1 (ALT 1) application. All NB Applications and ALT 1 Applications must now include the following information:

• Professional Statement of energy code compliance by the design professional (See ‘A’ below);
• Energy Analysis demonstrating such compliance (see ‘B’ below); and
• Drawing set supporting Energy Analysis (see ‘C’ below).

These Guidelines will assist applicants when filing an NB or ALT 1 Application to demonstrate compliance with the Energy Conservation Construction Code of New York State (ECCCNYS).

As of September 4, 2007, the Professional Statement and the Energy Analysis will be listed as a Required Item for New Buildings and Alteration Type 1 projects. Alteration Type 2 and Alteration Type 3 OT projects will have the same listed required items in November, 2007.

2.  New Requirements for NB and ALT 1 Applications
To demonstrate compliance with the ECCCNYS, all NB Applications and ALT 1 Applications must now include the following information:

1. Professional Statement:
   Each architect or engineer who files an application with the Department shall include a signed and sealed statement on the PW-1 as follows:

   "To the best of my knowledge, belief and professional judgment, these plans and specifications are in compliance with the Energy Conservation Construction Code of New York State, using Chapter ____.”

   The architect or engineer shall indicate what chapter of the Code was used to determine technical compliance, or on what basis the project is exempt.

2. Energy Analysis:
   1. Residential: For 1- and 2-family detached residential buildings and all residential buildings three stories or less, the professional may use any one of the following formats approved by the New York State Department of State for the Energy Analysis:
      • REScheck software: Include only page 1 of the 4-page report, with the indication that the project PASSES;
      • Prescriptive Package Worksheet: 1 page;
      • Trade-Off Worksheet: 2 pages;
      • Home energy rating system software approved by New York State: entire report.

   2. Commercial: For all other building types, including residential buildings four stories or higher and excluding 1- and 2-family detached residential buildings four stories or higher, the professional may use any one of the following formats approved by the New York State Department of State for the Energy Analysis:
      
      • COMcheck software: Include the Envelope Compliance Certificate indicating that the envelope PASSES, the Lighting Application Worksheet(s) indicating that the lighting PASSES, and the Mechanical Compliance Certificate from the same report, which indicates the mechanical equipment and systems used;
      • Prescriptive Package Worksheet: 5 pages (or more, if required for lighting).

   3. Formats: All of the above software and manual formats for the Energy Analysis are free from the New York State website. The interactive software may be downloaded and saved online. Additionally, the software programs are available from the U.S. Department of Energy website at www.energycodes.gov/ -- make sure that you obtain the New York form.

   4. Complex buildings: For buildings requiring energy modeling, the Energy Cost Budget Worksheet, Form EC-1, may be used to demonstrate compliance with ECCCNYS. EC-1 is available in the Forms section of our website.

   5. Where the team elects to under-perform the prescriptive requirements of the ECCCNYS in one discipline (e.g. the Envelope), it must demonstrate that the under-performance is fully mitigated in the other disciplines (Lighting/Power, Mechanical) by having one professional sign and seal the entire Energy Analysis in the Initial Filing drawing set – this may require the use of energy modeling and the Energy Cost Budget Worksheet, Form EC-1.

   6. Where each discipline complies with the respective prescriptive requirements of the ECCCNYS (Envelope, Lighting/Power, Mechanical Systems), each professional must sign and seal his/her respective required report, however they must still be assembled on the Energy Analysis sheet in the Initial Filing drawing set, and they must all come from the same run of the software report.

3. Drawing Set:
   Drawings showing the use of the information provided in the Energy Analysis shall be provided in the drawing set. For lighting, the following options are acceptable, to be placed on the Energy Analysis sheet, and are only required for commercial occupancies as defined in this code:
   1. COMcheck Lighting Application Worksheet(s); OR
   2. Lighting Fixture Schedule with counts, together with the Lighting Panel Schedule showing all connected loads.
   3. Each professional applicant shall retain supporting documentation for his/her work, including calculations, for a period of six years following award of a Certificate of Occupancy or sign-off.

3.  Applicability (see ECCCNYS §101.4.2 for detail)
In accordance with the ECCCNYS, the following buildings must comply with the noted provisions of the code:

• 1- and 2-family detached residential buildings and all residential buildings of three stories or less must comply with Chapters 4, 5 or 6 of the code;
• All other buildings, including residential buildings four stories or higher and excluding 1- and 2-family detached residences four stories or higher, must comply with Chapters 7 or 8 of the code;
• Except where explicitly stated in the Code, it is not retroactive in existing buildings;
• Additions to existing buildings must comply with the ECCCNYS with respect to new construction;
• Alterations must comply with the Energy Code where 50% or more of any building system or subsystem, measured in appropriate units, is being replaced within any 12-month period, with some exceptions;
• In mixed-use buildings, each major use shall comply with the requirements of its occupancy.

4.  Exempt Buildings (see ECCCNYS §101.4.1 for detail)
In accordance with ECCCNYS, the following buildings are exempt from the provisions of the code:

• Buildings with a peak design rate of nonrenewable energy usage less that 3.4 Btu/h/SF;
• Buildings whose energy usage for heating and/or cooling is entirely supplied from renewable energy sources;
• Historic buildings (see §101.4.2.3 for detail);
• Nonresidential farm buildings (see §101.4.2.5 for detail).

5.  Reconsiderations
Reconsiderations of the Code must be obtained from the NYS Department of State by the applicant prior to plan approval. Local jurisdictions are not authorized by the State to provide reconsiderations for compliance with the ECCCNYS.

6.  Construction
Applicants shall update the Energy Analysis throughout construction when substitutions are made or plans are revised, and shall demonstrate that compliance is maintained.

7.  Plan Examination
Plan examiners shall check for the Professional Statement from each professional and the Energy Analysis for the project. They may look to determine the completeness of the work and the veracity of the Energy Analysis. At this time, however, plan examiners shall issue objections only for the lack of Statement and/or Energy Analysis as appropriate.

8.  Additional Information

1. Technical Information: Both the United States Department of Energy and the New York State Department of State have substantial information and guidance on their websites regarding energy-conserving design and the ECCCNYS:
   
   • http://www.eere.energy.gov/
   • http://www.dos.state.ny.us/code/energycode/
     nyenergycode.htm

2. Code Availability: The ECCCNYS is available for purchase at the website of the International Code Council:
   • http://www.iccsafe.org/

Click on ICC Store, then on State and Local Codes, and make sure you buy the New York State version. Until the new Code is effective in December, only the 2002 Code is available as of early August, so stay tuned to the ICC website for the updated 2007 ECCCNYS.

Download a printer friendly (83 kb) version of this guidelines.

View the presentation (508 kb) for more information about the NYS Energy Code.