Energy Code: Form + Process Changes

The PW1, TR1, TR8 and EN2 forms have been updated to reflect the 2011 New York City Energy Conservation Code and amendments to 1 RCNY §5000-01.

PW1: Plan Work Approval Application

Section 10: Professional Statement – Exemption Checkbox. The entire application must be exempt to claim an exemption. In addition, the project must be:

  • A national or state historic building (NYCECC §101.4.2);
  • Limited to the envelope of a low-energy building (NYCECC §101.5.2);
  • A temporary building (NYC Administrative Code §28-111 and NYC Building Code §3103); or
  • Limited to work types FA, FP, SD, SP, FS, CC, EQ, OT/FPP and/or OT/BPP.

Section 10: Professional Statement – Compliance Checkbox. Even though an application is not technically exempt, an applicant may determine that no work requires supporting documentation (including progress inspections). In this case, the applicant should provide a tabular analysis, indicate that Proposed and Prescriptive Values are not applicable (NA) and indicate the reason. Note that in these cases, an Energy Analysis and TR8 form will automatically be required. See the TR8 for more information.

Sections 11 and 11a: Job Description and Related Job Numbers. Provide all related application numbers for the project. If certain parts of the work have not yet been filed, provide the names of the other applicants and/or firms and the disciplines for applications related to the project that are expected to be filed in the future.


TR8: Technical Report Statement of Responsibility for ECC Progress Inspections

Yes or No Responses: Check “yes” for progress inspections required in the drawings under 1 RCNY §5000-1; check “no” for inspections not related to the scope of work.

Work Not Requiring Compliance: A TR8 is automatically required when an applicant checks “Compliance” in Section 10 of the PW1. When compliance with the NYCECC is not required (and, therefore, no progress inspections are required), the applicant should: complete the TR8 form; check “NO” for each Energy Code progress inspection; and sign and seal the form. The DEAR customer service representative or plan examiner may then waive further submission of the TR8 for permit and sign-off.


Applications Filed Before February 7, 2011:

Approval: The applicant and/or progress inspector may use the TR8 to divide responsibility for progress inspections by discipline (though this is not required). The TR8 doesn’t correlate to earlier editions of the Energy Code; therefore, it may not be used for progress inspections under earlier editions.

PAA: Filing a post-approval amendment that indicates Compliance on the PW1 triggers the TR8 requirement. Applicants may use the TR8 form if the original application was filed using the 2011 NYCECC. If the original application was filed using an earlier edition of the Energy Code, the DEAR customer service representative or plan examiner can waive the TR8 requirement.

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

EN2: Certification of Conformance with As-Built Energy Analysis The progress inspector(s) must certify that the as-built values for energy match the values in the last-approved energy analysis. If they do not, an as-built energy analysis must be provided with the EN2 for sign-off; this as-built energy analysis must be professionally certified by the original preparer and showing compliance.


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