Energy Code Forms


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

Electrical Permit Application

  • Electrical permit applications (ED16A filings) must be submitted through DOB NOW: Build.
  • 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, the energy analysis must be presented to the Department’s electrical inspector at the sign-off inspection for energy efficiency approval of the electrical work and for Department records.

EN1: Energy Cost Budget Method - (11/16)

This form is used to report the inputs and results of an energy analysis performed with energy modeling.  Modeling input and output files that correspond to the form must be made available to the department upon request.

  • The updated form is based in excel and contains quality control features to mitigate common mistakes.  This form must be included in the drawing set for submission to the department.
  • Each design feature which appears on the form must also be identified in the drawing set and documented in the modeling input and/or output files that are provided to the department with the EN1.
  • On the form, the applicant must identify the software program used for the energy analysis. If a program other than DOE2-based software is used, the applicant must provide evidence of the approval of the software from both the Secretary of State of New York State and the Buildings Commissioner.


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

  • 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: Required Items Checklist for Professional Certification - (03/15)

  • The required items list includes NYCECC requirements.
  • This form includes additional tax abatement requirements. The revised form must be used to receive tax abatements for the installation of a green roof and/or solar electric generating system.


PW1: Plan Work Approval Application - (12/14)
Section 9L: Additional Considerations

  • Check Yes if the project includes lighting work. You should determine in which document (architectural, mechanical, and 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  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.

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: Schedule C - Heating & Combustion Equipment - (01/11)
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: Technical Report Statement of Responsibility - (10/13)

  • 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 the explanation 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 Form  for the application to identify responsibility for and to sign-off on the completed progress inspection(s).


TR8: Technical Report Statement of Responsibility for Energy Code Progress Inspections - (12/14)

  • 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 on the 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 on the 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. There 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.


TR8: Technical Report for Energy Code Progress Inspections - (07/19)
This template is provided as a guide for the level of documentation expected in a TR8 Inspection Report. The template may be filled in or a similar format may be followed, as long as the required information is included.

  • The progress inspector must inspect and compile supporting documentation for all inspections noted on the original TR8: Technical Report Statement of Responsibility for Energy Code Progress Inspections and on any subsequent TR8 statements filed as a result of post-approval amendments. The reports shall include the inspections and/or testing listed in Table I and/or Table II PROGRESS INSPECTIONS FOR ENERGY CODE COMPLIANCE and address all conditions applicable to the scope of work. Complete reports shall be submitted to the department upon request. Per 1 RCNY § 101-07 Approved Agencies (b) (3) Documentation, an approved agency shall maintain records of inspections and tests for at least 6 years.