Energy Code Workbook v0.95 PDF

ENERGY CODE TRAINING FOR
ARCHITECTS AND ENGINEERS

2015 IECC
COPYRIGHT
2015 New York State Energy Research and Development Authority

(NYSERDA). All rights reserved.
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CONTENTS
PAGE
4
Introduction
11
Commercial Energy Conservation Code
44
Residential Energy Conservation Code
66
Documentation and Inspections
71
Acknowledgements
C401
C402
C403
C404
C405
C406
C407
C408
C501
General
Building Envelope Requirements
Building Mechanical Systems
Service Water Heating
Electrical Power and Lighting Systems
Additional Efficiency Package Options
Total Building Performance
System Commissioning
Existing Buildings
R401 General
R402 Building Thermal Envelope
R403 Systems
R404 Electrical Power and Lighting Systems
R405 Simulated Performance Alternative
R406 Energy Rating Index
R501 Existing Buildings
Welcome to Urban Green Councils Conquering the

Energy Code course. In this course you will learn the
core principles of the 2015 IECC in order to design
compliant and better-performing buildings.
Building on the success of GPRO, NYSERDA has
enlisted Urban Green Council to develop and deliver
Conquering the Energy Code to over 5,000 architects
and engineers across New York state. As one of these
design professionals, you will learn the provisions of
and the science behind the Energy Code as well as
howimproved compliance brings benefits to your
practice, career, and community.
The Energy Code is one of the most important tools
for creating more energy-efficient and sustainable
buildings across New York State, and architects and
engineers are the key to deploying it effectively. Passing
stricter energy codes has done more to create efficient,
safe, healthy, and sustainable buildings than any other
strategy. However, for these codes to be effective, the
design community must be motivated to implement
them properly. It is no longer enough to just be aware
of energy code requirementsas professional architects
and engineers, you will also need to change your
work practices and persuade owners to increase their
expectations for building performance.
The course materials will provide you with the
professional knowledge required to comply with the
Energy Code. This course is an overview that will show
you how to work with the Code, while encouraging you
to pursue design options that exceed it.
Conquering the Energy Code examines the energy-using
systems of commercial and residential buildings in
accordance with the updated 2015 IECC. The course
explains the provisions within the context of the various
energy code compliance paths from the building
thermal envelope through the selection of building
mechanical systems.
Though it is meant to be a companion to the in-person
Conquering the Energy Code course, this manual follows
the chronological organization of the code for ease
of use later as a desk reference. While this manual is
not a substitute for the code, we hope that it helps to
facilitate familiarity with the provisions of the 2015 IECC.
Upon completion of this course you will be able to:

Describe the structure and rationale behind the
energy code
Differentiate the various compliance pathways
and describe the requirements for compliance
Recognize the interdependence of the building
envelope, mechanical and lighting systems and
their impacts on energy consumption
Sharpen communication and coordination
practices as related to clients, the design team,
code officials and the construction team to
remove barriers to compliance
And finally, Conquering the Energy Code aims to inspire
professionals throughout New York State to design
buildings that not only comply with the new energy
code but that perform at levels far exceeding it.
INTRODUCTION
INTRODUCTION
INTRODUCTION
ENERGY CODE
BASICS
IMPROVEMENTS TO BUILDING ENERGY USE SINCE 1975
The first energy efficiency standard for buildings, ASHRAE 90-1975, was originally developed in response to the OPEC
oil embargo energy crisis of the early 70s. Although the priority for most cities has now shifted to carbon emissions,
for the first time, Americans were starting to think about the energy consumption of their infrastructure and what
they could do to reduce it.
Since then, energy codes have improved dramaticallya building approved under todays energy code will use almost
half of the energy of a building constructed in 1975and designers have gained a better understanding of how all
building systems work together to affect energy use as an integrated whole. The 2015 IECC significantly improves
building performance while taking into account the cost of design and construction so that new requirements are
not burdensome to the building industry. The code strengthens energy requirements for insulation, air barriers and
window construction. New and retrofitted buildings will be better sealed and insulated, reducing the energy required
to keep them comfortable and well-lit.
CHALLENGE FOR THE INDUSTRY

As energy codes continue to improve, commercial and residential buildings will soon be held to much higher energy
performance standards. The New York State Energy Research & Development Authority (NYSERDA) estimates
that new construction will be required to meet net-zero standards by 2028. National building trends are leading to
net-zero standards for new residential construction within the next two decades. In order to meet todays code and
net-zero standards by 2028, the industry is going to have to change its design and construction practices.
(100% = 1975
building energy
use)
100
Normalized EUI (1975 Use =100)
90
(0% = NetZero Energy

Building)
IECC updated year

ASHRAE updated year
MEC
1983/86
Std.
90-1975
Std.
90A-1980
MEC
1992/93 MEC
1995
Std. 90.1-1989
80
IECC
1998
Std.
90.1-2004
Std.
90.1-2007
60
40
IECC
2009
Std.
90.1-2001
70
50
IECC
2004/06
Std.
90.1-1999
Todays buildings will use

almost half the energy of a
code-compliant 1975 building
Std.
90.1-2010
IECC
2012
IECC
2015
Std.
90.1-2013
30
20
10
0
1975
1980
1985
1990
1995
2000
2005
2010
2015
2020
2025
2030
Year
NET-ZERO ENERGY BUILDING

A zero net energy building (ZNE), also known as a net-zero energy (NZE) building, is a building
with very low loads and a renewable energy supply, such as photovoltaic (PV) panels. Of
course the PV will supply no energy at night and less energy in the winter, when the building
consumes grid electric power. Conversely, when there is excess energy, it is fed back to the grid
by the building systems. To qualify as an NZE building, the total energy used by the building
in a year must be less than or equal to the renewable energy created on site in the same year.
Buildings that are designed to use less energy save

the occupant money over the long term. The report,
National Cost-Effectiveness of the Residential
Provisions of the 2015 IECC by the Pacific Northwest
National Laboratory (PNNL), determined that
residential buildings constructed to the prescriptive
and mandatory requirements of the 2015 IECC save
homeowners money over the life of their homes.
Although many believe that improving building
performance will increase costs and delay projects,
many mature green design and construction teams
can design for less cost than lower-performance
buildings due to team efficiencies, right-sizing
equipment, and creating less waste. A buildings
energy performance is not a significant indicator
of construction cost as compared to building size,
occupancy, or level of finishes.
THE COST OF NON-COMPLIANCE
Code Non-Compliant
Residential
Code Non-Compliant
Commercial
8% of annual energy cost is

due to waste. Cumulative
lost savings over a
buildings 50-year lifetime:
5% of annual energy cost is

due to waste. Cumulative
lost savings over a
buildings 20-year lifetime:
$31,659
$480,000
Figures from American Council for an Energy Efficient Economy

(ACEEE), 2012. Improved Code Enforcement: A Powerful Policy Tool
Lessons Learned from New York State
+/-
Research conducted by McGrawHill1 shows that the construction

market is quickly moving towards
high-performance commercial and
residential buildings. The number of
green construction projects increases
annually; by current estimates,
green buildings will represent 55%
of all commercial and institutional
construction and 38% of all residential
construction in 2016. Even if energy
costs arent a high priority for the
client or building owner, everything
designed to save energy (especially
on building envelopes) also improves
comfort and productivity.
McGraw-Hill, 2013. Dodge Construction
Green Outlook
1
HIGH PERFORMANCE
BUILDINGS AND
PRODUCTIVITY
+/-
A study by the Harvard T.H. Chan

School of Public Health, titled
The Impact of Green Buildings on
Cognitive Function found that by
improving the indoor air quality
and ventilation to levels typical
of high performance buildings,
cognitive function (i.e. productivity)
of workers improved by 61% in
green building conditions and
101% in enhanced green building
conditions.
INTRODUCTION
BENEFITS AND TRENDS
CLIMATE ZONES DETERMINE

CODE REQUIREMENTS
Energy code sets different requirements
depending on a countys Climate Zone
(CZ), as colder areas will require more
insulation and heat-conserving measures.
There are three different climate zones
in New York State, with CZ 4 being the
mildest and CZ 6 being the coldest. Because
New York is a heating-dominated climate,
code requirements will focus more around
measures that conserve heat in the winter
rather than measures for cooling in the
summer.
Climate Zone 6
Climate Zone 5
Climate Zone 4
The climate zones of New

York State
CLIMATE PARAMETERS
AFFECT ENERGY DESIGN
SOLAR RADIATION
Climate parameters affect the way a building uses

energy, so a high-performance building in New Yorks
climatewith its wet, humid summers and cold, dry
winterswill be designed quite differently from a highperformance building in other parts of the country:
Outside temperature affects heat gain and loss.
This determines how much insulation is needed on
the buildings thermal envelope.
Solar radiation adds heat to the building. Window
performance plays a large role in regulating
unwanted heat gain from solar radiation.
Daylight allows less artificial lighting to be
used, but may increase glare, affecting resident
comfort.
Moisture from humidity affects occupant health
and comfort, and poorly-managed moisture
infiltration will considerably damage a buildings
envelope.
Wind increases infiltration and leads to heat gain
or loss.
As these factors change throughout the year, a building
must be designed for optimal performance in all
conditions. For example, high-performance windows
MOISTURE
DAYLIGHT/GLARE
HEAT/COLD
WIND
Climatic factors greatly affect how the building must be

designed in order to maximize energy savings
that block solar heat gain in the summer will also

block desired heat gain in the winter. A white roof
will lower heat gain in summer but undesirably lower
heat gain in the winter. Factors that affect energy use
throughout all four seasons must be considered.
The challenge is to balance building systems that keep
building interiors comfortably consistent by using the
INTRODUCTION
ENERGY CODES USE

A SYSTEMS-BASED
APPROACH
The whole-building approach is the idea that all systems such as lighting, HVAC, plumbing, and envelope are all
interconnected and work together in an efficient building.
Changing one aspect of the building envelope may have unintended consequences elsewhere. For example,
increasing the efficiency of the thermal envelope will lead to a lower demand on the boiler, but If the boiler is
already over-sized, it will short-cycle more and run less efficiently. Conversely, swapping out inefficient, heatproducing incandescent light bulbs with LEDs will lower the amount of heat in the building, and the boiler will have
to work harder to compensate.
Consider all of a buildings systems at once and be aware of how changes in one system may affect other
systems. The ultimate goal is synergy between systems, meaning that each system works in cooperation with the
others, creating a result that is greater than the sum of its parts. For example, upgrading a buildings thermal
envelope while simultaneously installing a smaller, more efficient boiler will have a positive effect on the buildings
performance that would not be possible separately.
A
B
C
D
A
E
C
B
Solar Thermal
Provide renewable solar

water heating
Rain Water Harvest
Uses water for toilets + garden
White Roof or Green Roof
Reduces urban heat island effect
Sun Control Devices
Reduce solar heat gain in

summer, direct daylight into
room to lower lighting loads
Condensing Boiler
Reduces energy use for heat +

hot water supply
Heat Recovery Ventilation or

Controlled Exhaust Ventilation
Reduces energy use
I
J
Cogeneration
Uses both heat + electric power

from local generator
High Performance Windows
Increase comfort + save

energy
FSC Wood Flooring
Supports sustainable forestry
Occupancy + Daylighting
Controlled Lighting
Reduces energy use, improves

indoor environment
K
L
Low Water/Dual-Flush Toilet
Reduces water use
Continuous High R-value

Insulation
Increases comfort + saves

energy
H
I
Recycled Ceiling Tiles
Reduce resource use
ENERGY STAR Appliances
Reduce electrical + water use
Low VOC Green Cleaning

Products
Improve indoor air quality
Q
R
Q
R
Meters + Submeters
Increase awareness of energy

+ water use
Recycling
Reduces resource use
Access to Mass Transit
Reduces energy use
Greywater System
Recycles water to toilets +

garden
P
POTABLE
WATER
BLACK
WATER
The whole building approach sees a building as

an interconnected network of systems that all
affect each other. Changes in any one system
can impact how other, seemingly unrelated
systems, function as well.
INTRODUCTION
WHOLE BUILDING APPROACH
INTEGRATED DESIGN APPROACH
CHANGES EARLIER IN THE PROJECT ARE

MORE COST EFFECTIVE
Integrated design is when project team members from

all disciplines work together early and often throughout
the project design process.
The chart below shows how the cost of design changes

increases as the project progresses. Therefore, it is more
cost-effective to spend more effort on design decisions
in the beginning of the project. In integrated design,
early effort in the design phase can avoid the costly
mishaps that can crop up later in traditional design
process. What would have become a change order can
be avoided by early communication with all the team
members. It can help you fix issues before they become
expensive.
Involvement of the construction team during the

design process reduces construction errors.
Coordinated team effort can identify impractical
design elements.
Early involvement of the operations team
during construction will ensure that the building
operates as designed.
Integrated design is a collaborative process that
engages all members of the team from start to finish,
putting emphasis on full life-cycle costs and benefits as
opposed to up-front costs. Systems are considered in
relationship to others, allowing for full optimization.
Optimal time
for energy
decisions
In the integrated design approach, the entire team works

with the owner and each other to ensure that complications
and redundancies are spotted at the beginning of the
process and not when construction has already begun.
This curve demonstrates that the ability to

control costs and to make design changes
is easiest at the beginning of the process,
rather than later on when it becomes much
more difficult and expensive.
Future
Occupants
Product
Suppliers
Engineers
Contractor
Owner
Architects
Trade/Design
Specialists
Project
Manager
Energy
Professional
Building
Staff
Commissioning
Agent
INTRODUCTION
COORDINATION AND
COMMUNICATION
INTRODUCTION
MILESTONES FOR COMMUNICATION

Thorough team collaboration allows information to be shared early for better energy performance and energy code
compliance. Communication should be facilitated within each phase of building designthis helps to ensure that
systems work harmoniously and efficiently. Using the integrated design approach during the initial design phase is
arguably the most important step in achieving high-performance buildings.
Owner
Architect
Engineer
Energy Professional
Commissioning Agent
Construction Manager
Operator
STAKEHOLDER EFFORT
Phase 1: Pre-Design

Ow
Ar
En
Set sustainability targets

Establish a plan for future meetings, such as charrettes and stakeholder
involvement
Create pre-design report
Create preliminary budget
Op
STAKEHOLDER EFFORT
Phase 2: Schematic Design
Ow
Ar
En
EP
CM
Op
Architect and engineer agree on which code to use

Clearly establish goals and objectives
Host sustainability charrettes
Establish the feasibility of proposed technologies
Create a preliminary energy analysis
Create a preliminary financial estimate
Create a schematic design report
STAKEHOLDER EFFORT
Phase 3: Design Development

Ow
Ar
En
EP
CxA
CM
Perform modeling simulations on building system

function, energy use, and resident comfort
Create a design development report
Create a detailed financial report
Create preliminary commissioning report
Op
STAKEHOLDER EFFORT
Phase 4: Construction Documents

Ow
Ar
En
EP
CxA
CM
Create project specifications including performance criteria

Establish a materials substitution policy
Create documents that clearly outline the projects sustainability features,
how this will change the construction process, and whether any staff will
need to receive additional training
Op
STAKEHOLDER EFFORT
Phase 5: Construction

Ow
Ar
En
EP
CxA
CM
Plan for an complete commissioning

Train maintenance staff and operators
Regular site meetings to verify that sustainable features are being properly
installed
Perform diagnostic tests while components are still accessible
Create Operations and Maintenance Manuals
Op
STAKEHOLDER EFFORT
Phase 6: Occupancy

Ow
Ar
En
EP
CxA
CM
Op
Give building owner complete documentation on building features, including

commissioning
Develop tools for ongoing monitoring and benchmarking
Host debriefing session
Run training sessions on building sustainability features for staff and
occupants
PAGE
13
C401 General
15
31
C402 Building Envelope Requirements

C403 Building Mechanical Systems

C404 Service Water Heating
32
C405 Electrical Power and Lighting Systems
38
C406 Additional Efficiency Package Options
39
C407 Total Building Performance
41
C408 System Commissioning
43
C501 Existing Buildings
25
COMMERCIAL
IECC
COMMERCIAL
PROVISIONS
There are several important new

provisions in 2015 IECC. Demandcontrolled ventilation and energyrecovery ventilation systems will now be
required in more projects. Equipment
efficiencies for HVAC equipment and
service hot water systems have increased.
Expanded lighting control requirements
such as vacncy sensors, daylight
responsive controls, and time-switch
controls automatically reduce energy
used for lighting.
Most importantly, commissioning
requirements include provisions for third
party verification for HVAC and water
heating systems, lighting and daylighting
controls, as well as building thermal
envelope testing.
2015 IECC will increase the energy efficiency of both commercial and
residential buildings.
COMMERCIAL
INTRODUCTION
C401.1 SCOPE
All buildings that are not defined as Residential must comply
with the Commercial Energy Conservation Code, including
multifamily buildings more than three stories above grade. The
mechanical systems in multifamily buildings may require the
commercial code if the units are served by the same system.
COMMERCIAL
C401
GENERAL
COMMERCIAL VERSUS
RESIDENTIAL BUILDINGS
Residential buildings include: Detached 1- and
2-family dwellings, Multiple single-family
dwellings (townhouses), and Group R-2, R-3
and R-4 three stories or less above grade.
Any building four stories or moreincluding
multifamily residential buildingsmust comply
with the commercial code.
Residential
Commercial
Commercial
Commercial
Commercial
If filing for a building with both residential and commercial, it would all be included in one application and the designer would include two sets of
data. One would cover the residential portions, and the other would cover the commercial. This is only necessary if the building is three stories or
less and includes commercial and residential dwelling units.
DOES THE PROJECT NEED TO COMPLY WITH THE ENERGY CODE?

Few buildings are exempt from the code. Designated historic buildings may be exempt if the design professional or
preservation officer submits a report to the code official showing that compliance would interfere with the historic
nature of the building (C501.6).
Envelope requirements in some very low energy buildings, such as storage sheds, may be exempt. Some renovation
projects may be exempt if they do not affect the energy use of the building. Please note, documentation that the
building is exempt must still be submitted to the code official.
To show compliance with the energy code, designers

can select one of several compliance paths described
below. Each path varies with the level of information
required and the level of flexibility allowed. Generally,
a designer can choose a checklist-style prescriptive
path or submit an energy model that simulates the
inflows and outflows of all energy used in the building,
called the performance path.
Typically, the more complex the compliance path is
in terms of having to provide backup information,
the more flexibility the designer will have designing
the building and meeting the energy code. However,
regardless of which compliance path the design
team chooses, the building must comply with certain
mandatory requirements.
CHOOSING A COMPLIANCE PATH

Designers are permitted to comply using either of
the following approaches described in 2015 IECC or
ASHRAE 90.1-2013.
Only one compliance path can be used per project. This
means that you cant use the prescriptive approach for
one part of the project and performance approach for
another. It also means that you cant mix ASHRAE and
IECC provisions in one filing.
within the envelope. For example, a building that does

not meet the U-factor requirements for its windows or
skylights may exceed the R-values of the walls or roof
to compensate. COMcheck is a useful tool that aids
designers to calculate envelope tradeoff efficiencies.
COMcheck will automatically show if the design is
compliant or which values are problematic.
Though similar to 2015 IECC, ASHRAE 90.1-2013
has more mandatory provisions while the envelope
requirements are less stringent. Generally speaking,
the energy usage of a building designed to ASHRAE
90.1-2013 or 2015 IECC will be similar.
2015 IECC has an additional requirement, outlined in
Section C406: Additional Efficiency Package Options
The design team must pick one of the following options:
Additional Efficiency Package Options:
1. More Efficient HVAC
2. Reduce Lighting Power Density (LPD) by 10%
3. Enhanced Digital Lighting Control
4. On-Site Renewable Energy*
5. Dedicated Outdoor Air System
6. More Efficient Service Hot Water (SHW)
Unless otherwise noted all code provisions listed in this

workbook will refer to 2015 IECC.
*If the project applies to only tenant spaces, it can

comply with On-Site Renewable Energy only when the
entire building is in compliance.
PRESCRIPTIVE PATH
Detailed information about the Additional Efficiency

Package Options is included in section C406 in this
workbook.
Using the prescriptive path for compliance means to

accurately depict that the project satisfies a checklist of
requirements included in the following sections:
C402: Building Envelope Requirements
PERFORMANCE PATH
C403: Building Mechanical Systems
Design teams with more complex projects or projects

that cannot meet one or more of the prescriptive
requirements must use the performance path. To
comply, the team must create an energy model to prove
the buildings energy use will not exceed the maximum
allowed.
C404: Service Hot Water Heating

C405: Electrical Power and Lighting Systems
The prescriptive path is often the most straightforward
approach and is fairly easy to usethe compliance
tool can be as simple as a spreadsheet (called
tabular analysis) or the free computer- or web-based
compliance tool COMcheck. For renovation projects,
the difficulty of energy modeling makes this approach
desirable.
However, this path is somewhat restrictive as there
is little flexibilitythe project either meets listed
requirement or it doesnt comply.
For example:
The opaque areas of the envelope must meet
minimum R-values for insulation, depending on
the buildings climate zone.
HVAC and water heating equipment must meet
or exceed minimum required efficiencies.
Energy used for lighting, calculated on a Watts/
SF basis, must not exceed values listed in the
code on a building-wide or room type basis
The prescriptive approach does allow minor tradeoffs
Energy models are often used to help the design team

make decisions early on. Since the energy model
takes all of the building energy into account, the
performance approach allows even more tradeoffs
than the prescriptive approach, allowing tradeoffs to
be made among and between systems. For example, if
a buildings envelope exceeds the maximum-permitted
prescriptive window-to-wall ratio requirement, the
design team can compensate by specifying more
efficient HVAC, water heating and lighting equipment
than is required by code.
When using the performance path,
NYCECCC only allows compliance using
ASHRAE 90.1-2013. However, either Section 11
(Energy Cost Budget Method) or Appendix G
(Performance Rating Method) of 90.1-2013 may
be used to demonstrate compliance. In New York
State, only Section 11 is allowed when using the
performance path in ASHRAE 90.1-2013.
COMMERCIAL
C401.2 APPLICATION
The building envelope is the physical barrier between

the buildings conditioned interior environment and the
outside. Efficient building envelopes prevent air leakage
and moisture migration, heat gain and loss, and solar
heat gain through windows and skylights.
To create a comfortable indoor environment and
minimize wasted energy, the energy code requires
continuous air barriers, continuous insulation, and
efficient windows. The following sections will explain
the context behind each code provision and provide
examples of how to comply.
IDENTIFYING THE BUILDING THERMAL

ENVELOPE
In the code, the Building Thermal Envelope is the
basement walls, exterior walls, floor, roof and any other
building elements that enclose conditioned space or
provide a boundary between conditioned space and
exempt or unconditioned space. To maximize envelope
performance, the thermal boundary (insulation) should
be closely aligned with the air barrier (air sealing).
It may seem obvious, but to confirm to the code
officials that the building thermal envelope is
continuous, it must be possible to draw the building
thermal envelope on the construction drawings, without
picking up the pencil.
GENERAL
The thermal envelope and the air barrier should be both
continuous and continguous.
Air seal all joints, seams, and penetrations.
ROOFS
R-value and Solar
Reflectance Index (SRI)
affects heat loss / gain.
ABOVE-GRADE
WALLS
R-value and Solar
Reflectance Index
(SRI) affects heat
loss / gain.
Show detailed cross sections on construction documents

that demonstrates how thermal bridging was avoided.
WINDOWS
U-factor affects heat
loss/gain.
SHGC affects heat gain.
VT affects daylighting.
Operation affects
natural ventilation.
BELOW-GRADE
WALLS
R-value affects heat
loss / gain.
THERMAL ENVELOPE
The thermal envelope and the air barrier should
be both continuous and continguous.
COMMERCIAL: ENVELOPE
C402
BUILDING ENVELOPE
REQUIREMENTS
CONTINUOUS AIR BARRIER

PREVENTS AIR LEAKAGE
Efficient building envelopes should be able to control

three main factors:
Unwanted air moving into and out of buildings through

cracks and penetrations in the envelope is called
infiltration and exfiltration. Air leakage is the primary
source of heat loss in buildings in cold climates. So just
as you need to zip up your coat to stay warm in winter,
the energy code requires continuous air barriers at all
building envelope components.
1. Air leakage and moisture migration

2. Heat gain and loss when outside temperature is
substantially different from indoor conditions
3. Solar heat gain through windows and skylights
To make sure that envelopes perform effectively, energy
code requires:
1. Continuous air barriers and installation details for
most envelope components
2. Continuous insulation at the entire building
thermal envelope including at walls, ceilings,
floors and transitions between these components
Traditionally, air leaks have been considered a source

of fresh air. Since air flow would vary drastically with
wind speed and heating system operation, this was an
unreliable source of ventilation, as well as a source of
heat loss. With todays tight envelopes, all commercial
and many residential buildings must have mechanical
ventilation systemsoften with heat recovery devices.
3. Window and wall performance criteria
ADDED BENEFIT OF EFFICIENT ENVELOPES: BUILDING MAINTAINS TEMPERATURE

EVEN IN A BLACKOUT
In addition to energy efficiency, an added benefit of a high-performing building envelope is resiliencyit
resists temperature fluctuations in the event of extreme weather or loss of power.
This graph, taken from Urban Green Councils report Baby Its Cold Inside, shows what would happen inside
a building with a low-performing envelope, a code-compliant building, and a high-performing building during
an extended winter blackout. After a loss of heating, the temperature inside a typical single-family house
would be 35F after three days. A high-performing building that has better windows, fewer air leaks, and more
insulation would do much better. After three days without power, a high-performing single-family house would
stay above 60F. New York State has a climate with extreme winter and summer conditions, and especially in
Western NYS where severe squalls threaten energy infrastructure, buildings can survive better when designed
for energy efficiency. Buildings that are resilient mean that they can withstand weather volatility, as well as loss
of power and extreme weather.
High-performing
Typical
Outdoor Temp
Indoor temperatures during a winter blackout. Higher performing buildings have better windows, less air infiltration, and more
insulation than a conventional building.
The building envelope is the largest system that affects

energy usage. Ensuring that the envelope functions
effectively is a vital component to meeting new highperformance code requirements.
THERMAL BRIDGING
Thermal bridging occurs when a poorly insulating

material allows heat flow across a thermal barrier.
To prevent thermal bridging you must provide a
thermal break, such as continuous insulation, seen in
the illustration to the right
Thermal modeling demonstrates how heat transfers through a

thermal bridge (left) and how effective construction mitigates
heat loss.
Thermal bridging at slab edge.
R-VALUES AND U-FACTORS
Interior sheathing
R-0.45
Cavity insulation
Exterior sheathing
Vapor retarder
Continuous insulation
Metal panel
R-13.60
R-0.45
R-0.06
R-7.50
R-0
Total:
U-value = 1 / 22.06 =
R 22.06
0.045
R-Values can be found by adding the values of each wall component. To find
the U-factor, take the inverse of the total R-value.
The R-value is the capacity of a material

to resist heat flow. A higher R-value is
preferable because it means there is a
higher capacity to resist heat flow. Much
like layering clothes and a coat in winter to
prevent heat loss from your body, you can
add the R-values of separate elements to
get a higher level of insulation.
The total heat transfer must take two
factors into account. The first is the total
R valuethe capacity of an assembly to
resist heat flow based on the sum total
of its layers. The R-value of a wall cavity
is obtained by adding up the values of its
individual parts, as seen in the illustration.
The second is the U factorthe
simultaneous heat transfer through various
types of assemblies that make up the
building envelope. The U factor can be
found by taking the inverse of the total R
value.
Unlike R-values, you cannot add U-factors.
R = 1/U
U = 1/R
C402.1 GENERAL
C402.1.3 INSULATION COMPONENT
R-VALUE-BASED METHOD
COMPLIANCE METHOD #1: The R-Value method is the
most straightforward approach. Designers show their
proposed above- and below-grade walls, roofs, floors
and slabs-on-grade meet the required R-values listed
in Table C402.1.3. Note that the R-values vary based on
climate zone and whether or not the buildings use falls
under a Residential Use Group.
C402.1.4.1 THERMAL RESISTANCE OF COLDFORMED STEEL WALLS

The code includes correction factors to calculate the
effective R-value for cavity insulation when installed
in steel stud wall assemblies. For example, R-13 cavity
insulation installed in a wall with 3 metal studs at
16 on center will only provide R-5.98. This calculation
is only necessary when using the pathway in C402.1.4.
When using blown-in insulation for ceilings/attics:

Use manufacturers settledR-value
To prove compliance:
Installation thickness marker with 1 high
numbers, facing attic access door, at least one
per 300ft2
Keep label(s) from insulation products
Show R-Value calculations
Keep photos of installation to show inspectors
OR
C402.1.4 ASSEMBLY U-FACTOR, C-FACTOR,
OR F-FACTOR-BASED METHOD
COMPLIANCE METHOD #2: This method allows
designers to make some envelope tradeoffs by
calculating the U-factor (thermal transmittance),
C-Factor (thermal conductance) and F-Factor
(perimeter heat loss for slab on grade floors) for the
various components and verifying that each complies
independently.
The values for a wide variety of commonly used
materials and construction assemblies can be found
in ASHRAE 90.1 Appendix A. The designer inputs
the required values and the areas/lengths for each
assembly. COMcheck is a useful tool to calculate these
tradeoffs.
OR
C402.1.5 COMPONENT
PERFORMANCE ALTERNATIVE
COMPLIANCE METHOD #3: The Component
Performance Alternative method is similar to the UA
Alternative method in the Residential code. It allows
more substantial envelope tradeoffs.
If an envelope component doesnt comply with the
prescriptive requirement, this method gives even more
wiggle room than the other two methods. Calculate the
differences in thermal resistance between the proposed
design of each component and the values listed in
Tables C402.1.3 and C402.1.4.
The code allows adding up all the differences and if
they net to below zero, the opaque thermal envelope
complies.
The code provides 3 options for showing compliance:
C402.2 SPECIFIC BUILDING THERMAL ENVELOPE INSULATION

REQUIREMENTS
This section requires staggering of insulation board when

more than one layer is used.
Chapter 3 has additional requirements regarding
insulation:
C303.1.1 Building thermal envelope insulation
requires a manufacturers certification confirming
the installed R-value of each insulation material. To
prove compliance, you must:
Place installation thickness markers with 1 high
numbers, facing attic access door, at least one
per 300ft2
Keep label(s) from insulation products
Show R-Value calculations
Keep photos of installation to show inspectors
C303.1.2 Insulation mark installation requires
visible onsite confirmation of the insulation
materials manufacturer and R-value
C303.2.1 Protection of exposed foundation
insulation requires any exterior insulation to have
rigid, opaque and weather-resistant protective
covering
C402.2.2 ROOF ASSEMBLY

Provide minimum R-value at thinnest part
of tapered insulation or use area-weighted
U-Factor
Skylight curbs should be insulated to the level of
roofs or R-5, whichever is less
C402.2.3 THERMAL RESISTANCE OF

ABOVE-GRADE WALLS
An above-grade wall is defined as: A wall associated
with the building thermal envelope that is more than
15% above grade and
Any wall that is associated with the building thermal
envelopeincluding walls not on the exterior of the
building, such as a room that contains fuel-burning
appliances.
Table C401.3 specifies both cavity and continuous
(ci) insulation. If the insulation requirement lists two
values, the first value is cavity insulation, the second
value is continuous insulation, so 13+7.5ci means R-13
cavity insulation plus a minimum of R-7.5 continuous
insulation.
Make sure to check the footnotes in the code for
valuable information about how to interpret the code.
C402.2.1 MULTIPLE LAYERS OF CONTINUOUS

INSULATION BOARD
C402.2.4 FLOORS
Cavity
insulation
Sheathing
Exception: If the floor cavity

insulation goes from top to
bottom on the perimeter near
the walls, it is permitted to rest
on the sheathing.
Air gap
Entire floor cavity by

perimeter walls is filled
C402.2.5 SLABS-ON-GRADE PERIMETER

INSULATION
C402.2.6 INSULATION OF RADIANT

HEATING SYSTEMS
Insulation may be installed on inside or outside of

foundation wall.
It has always been good practice to insulate under

radiant floor slabs, but now it is also required by code.
R-3.5 at all surfaces not facing heated space
Insulation must extend:

To depth shown in table C402.1.3 OR
To the top of the footing, whichever is less OR
To bottom of slab and then horizontally to the
interior or exterior for the total distance shown
The R-value of the insulation between the

radiant heating system panels and the exterior
must be equal to the R-value of the building
thermal envelope
Exception: Perimeter insulation is not required where

the slab-on-grade floor is lower than 24 inches below
finished exterior grade
FLASHING
SLAB
PROTECTION
BOARD
SLAB
SLAB
R-10 INSULATION
SLAB
R-10 INSULATION
Thermal break
between slab and
foundation
Methods of insulating the slab
R-10 INSULATION
Thermal break
between slab and
foundation
SLAB
Wood subfloor
To prevent heat loss at the walls,

code requires that the insulation
be in contact with the underside
of the floor assembly.
C402.3 ROOF SOLAR REFLECTANCE

AND THERMAL EMITTANCE
New York Citys Local Law 21 requires roofs with a

slope of less than 17% to have a 75% of their area
with a Solar Reflectance Index (SRI) of 78.
C402.4.1 MAXIMUM AREA

2015 IECC allows:
Vertical fenestration (windows): Maximum 30%
Window-to-Wall Ratio (WWR)
Skylights: Maximum 3% of the gross roof area.
WWR = Percentage of glazed area in entire building
thermal envelope
Window is measured from rough opening
and includes frame, sash, and other non-glazed
window components (ASHRAE definition)
IECC: WWR = % of gross above-grade wall area
SRI 0 (Black):
SRI 100 (White):
SRI 78:
ASHRAE: WWR = % gross exterior wall area

including below-grade as well as above-grade
walls
C402.4 FENESTRATION
Code-Compliant
Window:
Lower =
more efficient
U-0.38 = 1/0.38 = R-2.63

(CZ4, Table C402.4)
Lower = less
solar heat gain
Metal-Framed Wall:
R-13 + R-7.5 ci
(CZ4, Table C402.1.3)
Higher = more
light in space
Lower = less
air infiltration
Code regulates the ratio of window to walls because even the

highest-performing windows are not nearly as energy efficient as
a wall assembly.
A tag displaying the window assembly performance
Window selection should include consideration of

each of the four performance factors, as they are all
regulated by the code in various ways:
C402.4.1.1 INCREASED VERTICAL FENESTRATION

AREA WITH DAYLIGHT RESPONSIVE CONTROLS
U-Factor: The amount of heat that is conducted

from the conditioned space to the outside. Look
for a low U-Value to minimize heat loss from
conduction.
Solar Heat Gain Coefficient: How much heat
gain enters the window. Specialized coatings,
the type of glazing, and material selection in the
frame can influence the value of the SHGC. The
code includes SHGC requirements depending on
the orientation of the faade and the amount of
shading on the window.
Visible Transmittance: How much light is
transmitted through the window. Install windows
with high visible transmittance to maximize
the amount of natural light residents will have
available.
Air Leakage: How much air will be able to
escape through the assembly.
WWR
30%
Complies
prescriptively
>30%, 40%
>40%
Must meet daylight

Dont comply
requirements to
prescriptively
comply prescriptively
If the building is 30% WWR, it meets

prescriptive requirements.
If the building is >30% and 40% WWR, it only
meets prescriptive requirements if it meets
daylighting requirements as well. If not, it must
use the performance path.
Buildings with more than 40% WWR cannot
meet prescriptive requirements and must
comply with the performance path.
Cool roofs prevent solar heat gain in buildings and reduce

the urban heat island effect (the tendency for urban
areas to be much warmer than the surrounding climate).
Because dark surfaces absorb solar energy and light
surfaces reflect it, applying a light surface to the roof is
a very inexpensive way to reduce heat gain in a building.
This is required in New York City despite not being a 2015
IECC requirement for Climate Zones 4, 5 and 6.
C402.4.1.2 INCREASED SKYLIGHT AREA WITH

DAYLIGHT RESPONSIVE CONTROLS
The IECC WWR allowance increases to 40% only if

all three of the following criteria are met:
Similar to vertical fenestration, skylight area shall

be permitted to be increased to 5% of the roof area
provided daylight responsive controls are installed in
daylight zones under the skylights.
#1: Required Daylight Zone (per C405.2.3.1):

In buildings two stories or less, at least 50% of
the net floor area is within a daylight zone
In buildings three or more stories above grade, at
least 25% of the net floor area is within a daylight
zone
75%
25%
C402.4.2 MINIMUM SKYLIGHT

FENESTRATION AREA
The code requires a minimum skylit area in certain large
spaces with high ceilings located directly below a roof.
C402.4.2.1 LIGHTING CONTROLS IN DAYLIGHT

ZONES UNDER SKYLIGHTS
50% 50%
All electric lights in daylight zones under skylights

must have daylight responsive controls.
C402.4.2.2 HAZE FACTOR

To avoid glare, skylights in certain spaces must have
diffusing lens, have baffles, or be designed to provide
indirect lighting only.
Percentages of the floor area that must be in a daylight zone
#2: Daylight Responsive Controls (per C405.2.3):

Lights must be controlled separately:
In sidelight and toplight daylight zones
Zones facing different ordinal directions
Controls must be readily accessible and able to
be configured from within the space
To avoid distracting occupants in offices,
classrooms, laboratories and library reading
rooms, controls must:
Dim lights continuously from 100% to 15% of
full light output
Be capable of a complete shutoff
#3: VT 1.1x SHGC:
SHGC measures how much heat from the sun
is transmitted. The higher the SHGC, the more
solar heat gain is transmitted
Visible Transmittance (VT) 1.1 x Solar Heat Gain
Coefficient (SHGC)
VT measures how much light comes through

a window. The more visible light is transmitted,
the higher the potential for daylighting
C402.4.3 MAXIMUM
U-FACTOR AND SHGC

U-factors and solar heat gain coefficients (SHGC) for
windows and skylights must be less than or equal to
values in Table C402.4.
C402.4.3.1 INCREASED SKYLIGHT SHGC

Skylights can have a maximum SHGC of 0.60 where
located above daylight zones provided with daylight
responsive controls.
C402.4.3.2 INCREASED SKYLIGHT U-FACTOR

Skylights can have a maximum U-Factor of 0.75
where located above daylight zones provided with
daylight responsive controls.
C402.4.3.3 DYNAMIC GLAZING

Where dynamic glazing is used (any fenestration
product that can change its performance properties,
including U-factor, solar heat gain coefficient [SHGC],
or visible transmittance [VT])
The ratio of the higher to lower labeled SHGC
shall be greater than or equal to 2.4
Have automatic controls to modulate the amount
of solar gain into the space in multiple steps.
C402.4.3.4 AREA-WEIGHTED U-FACTOR

If calculating an area-weighted U-factor, each
fenestration product category listed in Table C402.4
must be calculated separately. Individual fenestration
products from different fenestration product
categoriesoperable, inoperable, and entrance
doorscant be combined to calculate area-weighted
average U-factor.
C402.4.1.1 INCREASED VERTICAL FENESTRATION

AREA WITH DAYLIGHT RESPONSIVE CONTROLS
C402.5 AIR LEAKAGE THERMAL ENVELOPE (MANDATORY)
The prescriptive path allows designers two ways to

demonstrate there is an adequate air barrier. The first is
to follow the prescriptive requirements, which specifies
8 provisions that must be met. The second is a testing
option, which specifies that only 3 provisions be met if
the envelope pressure is tested and meets an air leakage
rate of less than 0.40 cfm/ft2.
C402.5.2 AIR LEAKAGE OF FENESTRATION

Fenestration can have a maximum air leakage as listed
in Table C402.5.2. The air leakage rate must be included
on the manufacturers label. Note: Leave the label on
the window until inspection is complete.
PRESCRIPTIVE OPTION TESTING OPTION

C402.5.1 Air barriers
C402.5.2 Air leakage of
fenestration
C402.5.3 Rooms
containing fuel-burning
appliances
Meets an air
leakage rate of
less than 0.40
cfm/ft2
C402.5.4 Doors and

access openings to shafts,
chutes, stairways and
elevator lobbies
C402.5.8 Recessed
lighting
REQUIRED FOR BOTH

C402.5.5 Air Intakes, Exhaust Openings, Stairways
and Shafts
C402.5.6 - Loading Dock Weatherseals
C402.5.7 - Vestibules
C402.5.1 AIR BARRIERS

C402.5.1.1 AIR BARRIER CONSTRUCTION
All air barriers must:
Be continuous
Be located on either the inside or outside of the
building envelope
Be secure, durable and attached to the thermal
boundary
Have all penetrations caulked or gasketed
A successful air barrier design pays attention to the
weakest spots: penetrations, window corners, joints,
and discontinuous materials
C402.5.1.2 AIR BARRIER COMPLIANCE

OPTIONS
Required air permeability of materials < 0.004
cfm/ft2
Code lists 19 common building materials such as
plywood, cement board and masonry that can be
used as air barrier materials and assemblies
Fig X.XXX
C402.5.3 ROOMS CONTAINING FUELBURNING APPLIANCES

As buildings are being built to tighter standards, there
is less infiltration air available for open combustion
appliances that draw air from the occupied space. In
spaces with open combustion and/or fuel-burning
appliances,
1. Appliances and combustion air opening must be
located outside the building thermal envelope
2. Appliance must be enclosed in a room isolated
from the thermal envelope. The walls of this
room must have the same R-value as the opaque
above-grade walls for that climate zone
3. Ducts must be insulated to > R-8 when passing
through conditioned space
Direct vent appliances with both intake and exhaust
pipes installed continuous to the outside do not have to
comply with section C402.5.3.
C402.5.4 DOORS AND ACCESS OPENINGS

Doors and access openings from conditioned space to
shafts, chutes, stairways and elevator lobbies must be
either gasketed, weatherstripped, or sealed.
Building codes already require firestopping at these
locations. The energy code adds the provision to seal
them with gaskets and weatherstripping so air doesnt
leak out when they are closed.
The following section discusses specific, mandatory

regulations to limit air leakage. These air sealing details
must be shown on the drawing set in order to comply.
The air barrier must align with the thermal barrier.
Code now requires motorized shutoff dampers (listed

and tested) at outdoor air intakes and exhaust openings
at stairway enclosures and elevator shaft vents (see
C403.2.4.3)
C402.5.7 VESTIBULES
Building vestibules prevent heat loss and gain.
1. All building entrances shall have an enclosed
vestibule
2. Vestibule doors must be equipped with selfclosing devices
3. Interior and exterior doors should not need to be
open at the same time
Exceptions:
Doors not for public use
Doors from a residential unit
Doors opening onto space < 3,000 ft2
Revolving doors (vestibules are still required at
doors adjacent to revolving doors)
If air curtain at door
C402.5.8 RECESSED LIGHTING

Historically, recessed light fixtures have been a source
of significant energy loss because they penetrate the
building thermal envelope.
Recessed luminaires must be:
IC-rated: IC means in contact with insulated
ceiling
Labeled: Air leakage rate of 2.0 cfm
Image source: Urban Green Council, Spending Through the Roof
Housing sealed at wall/ceiling with gasket or

caulk or foam
C402.5.6 LOADING DOCK WEATHERSEALS

Cargo doors and loading dock need a truck seal.
SHELTER
DOCK SEALS
Heat transfer through recessed lighting fixtures
C402.5.5 AIR INTAKES, EXHAUST

OPENINGS, STAIRWAYS AND SHAFTS
Heating and cooling loads depend upon the

characteristics of the building envelope. Designers must
calculate these loads and size mechanical systems to
match. The code provides minimum requirements for
equipment efficiencies, controls, duct insulation, and
energy recovery ventilation. This section describes
how the code regulates the design and installation of
heating and cooling systems.
C403.2 PROVISIONS APPLICABLE

TO ALL MECHANICAL SYSTEMS
(MANDATORY)
The provisions in this section are required and cannot
be part of prescriptive or performance tradeoffs.
C403.2.1 CALCULATION OF HEATING AND

COOLING LOADS
The biggest drivers of heating and cooling loads are:
HEATING
COOLING
Envelope (windows,
walls, roof)
Envelope (mostly
windows)
Ventilation
Lights, equipment
(plug loads), people,
and other internal
loads
ASHRAE Standard 183 may already be familiar to

mechanical engineers but new to some architects.
Heating and cooling load calculations are based on
ANSI/ASHRAE/ACCA Standard 183-2007, Peak Cooling
and Heating Load Calculations in Buildings Except LowRise Residential Buildings. This standard establishes
minimum requirements for building loads that are
inclusive of as many procedural methods as possible
while identifying core elements that impact heat loss
and gains.
Standard 183 requires designers to based their
heating and cooling calculations on interior
design temperatures. Direction on choosing these
temperatures can be found in Chapter 3: C302.1 Interior design conditions.
Maximum temperature for heating calculations
is 72F
Minimum temperature for cooling calculations is
75F
Heating and cooling loads must be adjusted to account
for load reductions achieved by energy recovery
systems.
Ventilation
COMMUNICATION IS KEY
The design and quality of the
building envelope determines
the load of the HVAC system.
Calculate the buildings loads
and then size the equipment
accordingly. A building with
a better designed envelope
will have smaller heating and
cooling loads which will require
smaller systems. In order to
accomplish this, a knowledge
of envelope systems and
mechanical systems is essential
for both the architect and the
engineer.
The building on the left has an inefficient envelope and therefore must have a larger heating/
cooling system to compensate.
COMMERCIAL: SYSTEMS
C403
BUILDING
MECHANICAL SYSTEMS
This size of the proposed heating and cooling equipment

must match the calculated load. This means that the selected
equipment should be the next available size above the
calculated load.
This is meant to discourage rule of thumb sizing, which
makes broad, conservative assumptions that often lead to
oversizing.
The code says ...A single piece of equipment providing both
heating and cooling shall satisfy this provision for one function
with the capacity for the other function as small as possible,
within available equipment options.
This means the design cannot undersize for either function.
C403.2.3 HVAC EQUIPMENT

PERFORMANCE
REQUIREMENTS
(10 TABLES)
Once the heat loads have been
calculated and equipment has
been sized, you must verify
that the selected unit meets the
required efficiency at the rated
conditions. Make sure you use
the correct table for the selected
equipment.
Mechanical systems are designed
for both high and low temperature
extremes, which occur only a
few hours a year. This means the
equipment will function at part
load for almost all of its operating
life.
Note: If the design temperatures
are outside of code range and
not regulated (i.e. ice storage
equipment), the values in the
tables need not be followed.
EQUIPMENT SELECTION:
AVOID WASTE BY IMPROVING
COMMUNICATION
Communication is key! Engineers use code
minimums as defaults until they receive
necessary info (sometimes not until the
Design Development phase)
Better option: Architect and Engineer
communicate early about important
envelope issues
Added benefit: Smaller equipment, ducts,
pipes and fans mean more space for
occupants
CODE TABLE ROSETTA STONE

Table #
Table Name
Equipment Types Covered
(1)
Electrically Operated Unitary A/Cs

and Condensing Unit
DX split systems, RTUs

(cooling only)
(2)
Electrically Operated Unitary &

Applied Heat Pumps
Split systems, RTUs, Heat

pumps
(3)
Electrically Operated Packaged

Terminal Air Conditioners,
Packaged Terminal Heat Pumps,
Single-Package Vertical Air
Conditioners, Single Vertical Heat
Pumps, Room Air Conditioners,
Room Air-Conditioner Heat Pumps
PTACs / PTHPs
(4)
Warm-Air Furnaces And

Combination Warm-Air Furnaces/
Air-Conditioning Units, Warm-Air
Duct Furnaces And Unit Heaters
Furnaces and unit heaters
(5)
Gas- And Oil-Fired Boilers
Gas-fired boiler
(6)
Condensing Units, Electrically

Operated
Standalone DX condensing
A/C equipment
(7)
Water Chilling Packages
Chiller
(8)
Heat Rejection Equipment
Cooling towers
(9)
Air Conditioners And Condensing

Units Serving Computer Rooms
NEW TABLE
(10)
Heat Transfer Equipment
Plate and frame heat

exchangers (NEW TABLE)
COMMERCIAL: SYSTEMS
C403.2.2 EQUIPMENT SIZING
EFFICIENCY RATINGS
Various parameters describe the effectiveness of heating and cooling equipment. Using these terms is the only way
to unambiguously ensure that equipment of the highest performance is being used.
Specific Power (kW/ton):

The ratio of the power input to the compressor
in kilowatts to the cooling power under design load in tons. It can also represent the
performance of the chiller only, or the chiller with associated pumpsso, confirm
before documenting.
EER (Energy Efficiency Ratio):

The equipments heat movement in Btu/hr divided by the electricity consumed
when the unit is operating at 100%, and it includes all auxiliary power draws. EER is
measured and averaged over the entire operating season.
SEER (Seasonal EER):
The efficiency of cooling equipment varies with the outdoor temperature. Because
the EER is measured at one specific temperature, it does not offer a good
prediction of how much electric power will be used over the course of an entire
heating season. The SEER measures performance at various temperatures, seasonal
performance, and the impact of starting and stopping. Although it is generally a
lower number than the EER, it is also a more accurate predictor of performance.
Thermal energy removed

(kW)
Energy input (kW)
Electricity input (kW)
Cooling power (tons of
cooling)
Thermal energy (btu/hr)

Electricity input (kW)
ASHRAE
Values in ASHRAE vary slightly
from those in the IECC
NYC
NYCECC requires higher
efficiencies for some tables
IEER (Integrated EER):

Calculated over part load efficiency, this is often used for VRF and split systems
that do not often use all of their components at the same time.
Fig X.XXX
C403.2.4 HVAC SYSTEM CONTROLS

Controls tell equipment what to do and when to do it.
The following sections are mandatory.
C403.2.4.1 THERMOSTATIC CONTROLS
Each zone must be individually controlled so that
the equipment knows when the space has reached
the desired temperature and the equipment can stop
delivering heating or cooling.
C403.2.4.1.2 DEADBAND
When controlling heating and cooling in same
zone, the thermostat must be capable of providing
a deadband of 5 between heating and cooling
set pointsmeaning that neither the heating nor
cooling system will be used when the interior
temperature is within this range.
zzz...
C403.2.4.1.1 HEAT PUMP SUPPLEMENTARY HEAT

Electric heat can run ONLY if the temperature in
the space starts to drop while the compressor is
running.
<70
70- 75
(Deadband)
>75
Deadbanddescribes the temperature range when neither the

heating nor cooling systems will activate.
C403.2.4.1.3 SET POINT OVERLAP RESTRICTION

A limit switch, either mechanically or digitally
controlled is required to maintain the deadband.
C403.2.4.2 OFF-HOUR CONTROLS

Automatic controls for systems larger than 6,800
BTU/hr are required to prevent energy waste. The
code lists certain required capabilities for thermostats
such as 7-day programming and automatic stop, start,
and setback.
COMMERCIAL: SYSTEMS
COP (Coefficient of Performance):

the ratio of useful cooling energy removed by a system to the energy that it uses.
The design team must show that motorized exhaust

dampers, required at outdoor air intakes, exhaust
openings, stairway enclosures, and elevator shaft
vents, will be air-tight when closed and have
automatic controls to open them only when needed.
Gravity dampers are still allowed in buildings less than
three stories or where the design exhaust capacity is
< 300 cfm.
C403.2.4.4 ZONE ISOLATION
C403.2.5 HOT WATER BOILER OUTDOOR

TEMPERATURE SETBACK CONTROL
In a building with one- or two-pipe heating systems,
basing the supply water temperature on the outdoor
temperature, rather than waiting for the heat to be
demanded internally, provides more consistent heating.
The code requires that these systems have an outdoor
setback control that will lower the water temperature
when the weather is warmer.
C403.2.6 VENTILATION
Avoid one thermostat being used to control different

systems (e.g., master/slave configuration) that will
have unique operating loads or hours.
The mechanical code requires outside ventilation air for

a healthy indoor environment. But ventilation air has an
energy cost because it takes energy to bring that air to
the desired indoor temperature and humidity levels.
HVAC systems serving large zones (25,000 sf or more

than one floor) and operated non-simultaneously
must be able to be operated independently.
The energy code reduces energy cost by limiting the

delivery of ventilation air to the minimum amount
required by the mechanical code.
C403.2.4.5 SNOW- AND ICE-MELT SYSTEM

CONTROLS
To ensure that this energy-consuming system runs
only when its likely that ice will form and run no
longer than necessary, controls must automatically
shut off the snow- or ice-melting system when
the temperature of the pavement is 50 and the
outdoor temperature is 40.
C403.2.4.6 FREEZE PROTECTION SYSTEM
CONTROLS
To avoid wasting energy, controls must automatically
shut off the freeze protection systems when the
outdoor temperature is 40.
C403.2.4.7 ECONOMIZER FAULT DETECTION AND
DIAGNOSTICS (FDD)
Economizers reduce the heating or cooling load by
bringing unconditioned outdoor air into the building
on mild days. Economizers can be costly additions to
a HVAC system and if they are not operating properly,
the system will not work as efficiently as designed.
Note: Economizers are a prescriptive requirement
and there are exceptions to when they must
be installed. An FDD system is only required if
an economizer is present. See C403.3 for more
information on economizers.
The code requires sensors that detect the
temperatures of the outside air, supply air, and return
air to make sure that the economizer is operating
when the outdoor temperature is within the specified
range.
C403.2.6.1 DEMAND CONTROLLED

VENTILATION
Demand Controlled Ventilation (DCV) detects
how many people are in a room by measuring the
amount of CO2 in the air, and necessary ventilation
adjustments to improve air quality.
DCV is required if the room is larger than 500 sf AND
the anticipated occupant density > 25 people per
1,000 sf as listed in Table 403.3 of the International
Mechanical Code (IMC).
Note that there are many exceptions to this
requirementthe code recognizes the need for a fair
return on investment of the more capital-intensive
energy saving technologies.
C403.2.6.2 ENCLOSED PARKING GARAGE
VENTILATION CONTROLS
Previously, garage ventilation fans ran continuously to
exhaust carbon monoxide. If the space was heated to
prevent freezing pipes, that heat would be lost as it is
exhausted from the garage.
The code now requires carbon monoxide sensors to
control the amount of air exhausted to match the
number of active cars in the garage.
Note: Although calculated differently, ASHRAE and
IECC require ventilation in enclosed garages and
achieve similar energy results.
COMMERCIAL: SYSTEMS
C403.2.4.3 SHUTOFF DAMPERS
C403.2.7 ENERGY RECOVERY VENTILATION

SYSTEMS
C403.2.9 DUCT AND PLENUM INSULATION

AND SEALING
Rather than simply exhausting air that the building

owner spent money heating or cooling, an Energy
Recovery Ventilation System (ERV) recovers the energy
in the return air before exhausting it and transfers it to
the supply air.
Heating and cooling air costs money and energy.

Insulating and air sealing the distribution system will
ensure that the air gets delivered where it is intended to
go.
An ERV also allows some of the moisture to be

transferred from one air stream to the other so code
requirements vary for different climate zones based
on humidity as shown in Tables C403.2.7(1) and
C403.2.7(2). Note that all zones in New York State are
labeled A.
There are exceptions for systems that carry air that
contains toxins (paint, lab fumes), air that has grease in
it (kitchens, fume hoods), air that is too cold, air that is
heated/cooled by renewable energy, or for systems that
arent used frequently.
The code recognizes the tradeoff between energy
recovery and demand control ventilation. If your project
has a large occupancy, DCV probably makes more sense
economically. If the occupancy is low, ERV may be more
appropriate. The energy code does not require both.
Supply ducts and return air plenums must be insulated

to at least the levels in the residential code.
All ducts, including joints, seams, connections, air
handlers and filter boxes must be well sealed. Note that
there are different requirements for low-, medium-, and
high-pressure duct systems. High-pressure ducts (>3
inches) must be leak tested.
C403.2.10 PIPING INSULATION

Similar to the requirements for air distribution systems,
piping containing heated or cooled liquids (fluids below
60 or above 105) must be insulated to avoid heat
transfer and loss of system efficiency. The required
thickness of insulation with specified R-value depends
on the pipe size and temperature of the fluid, per Table
C403.2.1.
C403.2.11 MECHANICAL SYSTEMS

COMMISSIONING AND COMPLETION
REQUIREMENTS
See C408 for commissioning requirements for:
Percent Outdoor Air at Full

Design Airflow Rate
0%
10%
20%
C404: Service Water Heating

Additional systems
required under 2015 IECC
30%
40%
C403.2.12 AIR SYSTEM DESIGN
Additional systems
required under 2012 IECC
50%
AND CONTROL
60%
70%
80%
Required an ERV
under 2009 IECC
90%
100%
10
15
20
25
Design Supply Airflow Rate (1000 CFM)
Successive versions of the energy code have required more

buildings to have ERVs.
30
Motors that operate below their rated power waste

considerable energy. The code is structured to minimize
these losses by making it hard to specify oversized fan
motors, so this provision establishes a limit on how
much power a system moving a specified amount of air
at design conditions can use.
There is flexibility with respect to how power is divided
between different fans in the system, but the total fan
power is limited. Systems using less than 5 hp need not
comply, and there are other exceptions. For example,
compliance is required if:
Supply fan + Return fan + Fan-powered

terminal units > 5 HP
Note: If the project doesnt comply with this IECC
mandatory requirement, the project must use
ASHRAE 90.1/2013which has the same limits but are
prescriptive so trades can be made between systems.
COMMERCIAL: SYSTEMS
In 2009 IECC, the minimum size requirement for an ERV

was 5,000 CFM with 70% minimum outside air. In 2012
IECC the minimum size was reduced again, and in 2015
IECC it was reduced even further (as seen in Fig. xx.)
C403.2.13 HEATING OUTSIDE A BUILDING

Exterior heating systems must be radiant systems (i.e.,
warming by direct line of sight, rather than heating the
air itself) and have an occupancy sensing device or a
timer switch, so that the system turns off when nobody
is present.
REFRIGERATION
In todays supermarkets, refrigeration typically

consumes more than 50% of total electric energy usage.
2015 IECC has new requirements to prevent loss of
cooling from refrigeration equipment.
C403.2.14 Refrigeration equipment performance
C403.2.15 Walk-in coolers, walk-in freezers,
refrigerated warehouse coolers and refrigerated
warehouse freezers
C403.2.17 Refrigerated display cases
C403.3 ECONOMIZERS
When the outside temperature is pleasant, economizers
supplement conditioned air with outdoor air. Every
cooling system that has a fan must have either an air or
water economizer.
Separate from C403.2, which are all required measures,
Economizers are not always cost effective for all
systems or climates so the code recognizes exceptions
specifically for very efficient systems and systems that
are run infrequently. Systems with heat recovery are also
exempt.
All economizers must have diagnostic controls to ensure
they are functioning properly. See section C403.2.4.7 for
more information about this requirement. Equipment
specifications and exceptions vary greatly depending on
the size and complexity of the HVAC system.
An outdoor heating lamp
Outdoor Air
Logic Controller
Temperature
Sensor
Economizers act as a switch to use
more outside air or more return
air, depending on the temperature
outside. In mild weather, the
economizer will limit the amount of
return air that is recirculated and use
more outdoor air. Conversely, during
hot or cold weather, the economizer
will limit the amount of outdoor air
that is used.
Return Air
Filter
Supply Air
Heating/Cooling Elements
COMMERCIAL: SYSTEMS
C403.2.16 Walk-in coolers and walk-in freezers
All of the requirements in this section are newly

mandatory in 2015 IECC. Many of the requirements for
Mechanical Systems also apply to Service Hot Water,
such as
Minimum equipment efficiencies
Pipe insulation
Commissioning
C404.2 SERVICE WATER-HEATING

EQUIPMENT PERFORMANCE
EFFICIENCY
Water heating equipment is subject to minimum
efficiency ratings per Table C404.2. Unlike the tables for
HVAC equipment, this table uses formulas rather than
efficiency ratings.
In 2015 IECC, large water heating systems (>1,000,000
btu/h) that service an entire building must have a
thermal efficiency 90%. This can be either a single
piece of equipment or several pieces of equipment
combined. Practically, this makes condensing equipment
almost mandatory for this building class.
C404.5 EFFICIENT HEATED

WATER SUPPLY PIPING
With the conventional trunk-and-branch method, hot
water cools in the pipe (even well insulated pipes), and
the energy used to heat it is wasted.
The energy code reduces this waste by limiting either
pipe length or water volume per linear foot of pipe
between fixture and source of heated water.
C404.6 HEATED-WATER
CIRCULATING AND TEMPERATURE
MAINTENANCE SYSTEMS
Hot water circulation systems, as seen in figure XXXX,
avoid waste of water and heating energy by providing
a ready supply of hot water at the fixture, so the
occupant doesnt need to run water until it heats up.
However, these systems must have a circulation pump
with automatic controls that turn off the pump when
water is hot and there is no demand.
Note that this requirement does not apply if at least

25% of the buildings hot water needs are provided by a
solar thermal system.
C404.7 DEMAND RECIRCULATION

CONTROLS
C404.3 HEAT TRAPS
A demand recirculation water system is required in

projects (typically retrofits) where the recirculation
system pumps water from a heated-water supply pipe
back to the heated-water source through a cold-water
supply pipe, which means that:
Heat traps prevent heated water from flowing back

into the supply water as a result of convection, and
are required on non-circulating systems. A heat trap
can be a simple loop of pipe or nipples that only allow
water to flow in the desired direction. On circulating
systems, heat traps are not required but are good
practice to install since they will prevent heat loss when
the circulation is turned off at times of low usage, per
section C404.6.
C404.4 INSULATION OF PIPING

Pipe insulation has one of the fastest paybacks of any
high-performance building strategy. Pipe insulation
saves energy by preventing heat loss from warm water
and from freezing damage in cold weather, but it also
protects workers and occupants from unintentional
burns from hot pipes.
The control senses flow of heated water AND

The control limits the water temperature entering
the cold-water piping to 104F.
C404.11 SERVICE WATER-HEATING

SYSTEM COMMISSIONING AND
COMPLETION REQUIREMENTS
See C408 for commissioning requirements for:
C404: Service Water Heating
COMMERCIAL: SYSTEMS
C404
SERVICE WATER
HEATING
Good lighting design is an equal combination of:

1. Efficiency: Use lamps that provide the needed
light with the lowest power usage.
2. Application: Use fixtures appropriate for
intended use.
3. Comfort and aesthetics: Provide appropriate
light color and color rendering.
LAMP EFFICACY
Since we are limited in the amount of power we can use
for lighting, it is critical that we use light fixtures that
meet the applications requirements and give the proper
light quality with the best efficacy. Lamp efficacy is the
effectiveness of a lamp measured in output lumens per
input watts.
If occupants dont have enough light, the fixtures are

inappropriate or the color is uncomfortable, occupants
and operators will change the lighting over time and
reduce the energy savings.
LUMENS
The lumen is the basic unit of visible light emitted from
a source. There are multiple options to achieve a certain
level of lumens. For example, a 100 W incandescent, a
23 W CFL, or a 16 W LED can each emit 1,500 lumens,
but the LEDs lamp efficacy of 94 Lumens/Watt far
exceeds an incandescent bulbs efficacy of 15 Lumens/
Watt.
Incandenscent
CFL
LED
1,500 Lumens
1,500 Lumens
1,500 Lumens
100W
23W
16W
Low efficacy
High efficacy
Very high efficacy
All of these lamps produce the same amount of light (1,500

lumens), but use a different amount of energy to do so.
RANGE OF MAINTAINED EFFICACY
10 Lumens
350 Lumens
1,500 Lumens
All of these lamps produce a different amount of light,

measured in lumens.
Lamp Efficacy (Lumens/Watt)

It is important to note that Lumens/Watt should not be
the only determining factor in selecting lamps.
COMMERCIAL: LIGHTING AND ELECTRICAL
C405
ELECTRICAL POWER
AND LIGHTING
SYSTEMS
Lighting energy is determined by the power running

to the lamp and how long that fixture is operating. To
reduce lighting energy in a building, the energy code
regulates the controls that reduce the time that the
lights operate and limits the amount of electrical power
allocated to lighting. This can be written as the formula
below:
ENERGY CONSUMPTION (kWh) =

POWER (kW) x TIME (HOURS)
POWER
Can be reduced by
lowering lighting
wattage
TIME
Can be reduced by
lusing lighting controls
and sensors
C405.2 LIGHTING CONTROLS

(MANDATORY)
By having lights illuminated only when needed, and
taking advantage of daylight, lighting controls are a
crucial first step for reducing lighting energy.
C405.2.1 OCCUPANT SENSOR CONTROLS

Occupant sensor controls are required in most
commercial spaces. See code for list of spaces where
these are required.
The occupancy sensor functionality described in the
code is found in controls called vacancy sensors. This
type of sensor requires:
Automatically turn off lights within 30 minutes of
all occupants leaving the space
Manual on or automatic on to 50% power
(unless full-on needed for safety reasons)
Must have a manual off switch
DIFFERENCE BETWEEN OCCUPANCY

AND VACANCY SENSOR
An occupancy sensor turns lights ON
automatically when motion is detected and then
turns the lights OFF automatically when an area is
vacated.
A vacancy sensor requires that the user manually
activate the light and then turns the lights OFF
automatically when an area is vacated.
The current NYC Energy Conservation Code
(2014 NYCECC) requires vacancy sensors in many
spaces where the current Energy Conservation
Construction Code of New York State (2012
ECCCNYS) allows occupancy sensors.
The new 2016 ECCCNYS based on 2015 IECC
catches up to the NYCECC and requires vacancy
sensors in most locations
C405.2.2 TIME-SWITCH CONTROLS

Areas without occupant sensor controls must have
programmable time switch controls. Manual light
reduction controls must also be provided in spaces
with time-switch controls in order to give the occupant
a way to dim the lights by turning off some fixtures or
some lamps within each fixture.
C405.2.3 DAYLIGHT-RESPONSIVE
CONTROLS
Spaces that are daylit and that also have more
than 150 Watts of general lighting must have
daylight responsive controls. This section defines
the size and location of daylight zones adjacent to
windows (vertical fenestration) and below skylights
(toplighting). This section also lays out the dimming
and calibration requirements for the controls that
respond to daylight.
This section is closely connected to the requirements
for window-to-wall ratio (C402.4.1 Maximum
fenestration area)
C405.1 GENERAL (MANDATORY)
DAYLIGHTING ZONES
Increasing the size and number of windows increases access to natural light and lowers energy needs for lighting.
However, it can potentially increase the need for heating and cooling energy. Good design balances occupant
comfort as well as the buildings energy consumption.
VERTICAL FENESTRATION
SKYLIGHTS
The daylighting zone for vertical fenestration extends

into the room to the height of the window, and two
feet to either side. Full-height walls will block the
daylight zone.
The daylighting zone for skylights extends in

all directions 0.7x the height of the ceiling. Any
obstructions that are taller than 0.7x the height of the
ceiling will block the daylight zone.
NOT A DAYLIGHT ZONE
C405.2.3.2(4) SIDELIGHT
DAYLIGHT ZONE
The distance from the fenestration
to any building or geological
formation which would block
access to daylight must be
greater than the height from the
bottom of the fenestration to the
top of the building or geologic
formation.
C405.2.3.3(2) TOPLIGHT
DAYLIGHT ZONE
A skylight must receive direct
sunlight when the sun is at peak
angle on the summer solstice to
qualify as a daylight zone.
PEAK SUN ANGLE

AT SUMMER SOLSTICE
SKYLIGHT NOT
A DAYLIGHT ZONE
Being able to find the area of floor space that qualifies as a daylighting zone is important when considering lighting
controls and window-to-wall ratio (See section C402.4, Fenestration).
C405.2.4 SPECIFIC APPLICATION

CONTROLS
Some types of lighting such as under-cabinet lighting,
display lighting and grow lights need to be controlled
separately from general lighting, but must still be
connected to either an occupant sensor or time switch
control.
C405.2.5 EXTERIOR LIGHTING CONTROLS

The energy code requires exterior lighting controls that
turn off lighting as function of available daylight and
dawn and dusk times.
Building faade and landscape lighting must have
controls for both dawn and dusk and for opening and
closing times.
All other exterior lighting must have controls that reduce
their power by at least 30% between midnight and 6:00,
one hour before opening and one hour after closing, or
any time that the space is unoccupied for more than 15
minutes.
C405.4 INTERIOR LIGHTING

POWER REQUIREMENTS
(PRESCRIPTIVE)
The project will comply if the total connected interior
lighting power is less than or equal to the total allowed
interior lighting power.
C405.4.1 TOTAL CONNECTED INTERIOR

LIGHTING POWER
To calculate the total connected interior lighting power,
the designer must use equation 4-9 (see right). The
calculation asks for the total lighting wattage proposed
on the project:
Not all lighting equipment is included in the calculations.
There are fifteen exceptions listed in Section C405.4.1.
+ SL
(Labeled wattage of luminaires for
+ LV
(Watage of the transformer supplying
+ LTPB
(Wattage of line-voltage Lighting
+ OTHER
the spcified wattage of the luminaires)

(The wattage of all OTHER luminaires
and lighting sources not covered
previously)
Screw-in Lamps)
Low-Voltage lighting)
Tracks and Plug-in Busways as
___________________
(Total Connected Lighting
= TCLP
Power, in Watts)
WHAT IS LIGHTING POWER DENSITY

(LPD)?
Lighting Power Density is watts of lighting power (as
calculated in C405.4.1) divided by the square foot
area of the space considered, or:
LPD =
Watts
Area (ft2) of illuminated space
For example:
3,000 ft2

320W

LPD = 320 / 3000

= 1.07 W/ft2
C405.4.2 INTERIOR LIGHTING POWER

The code recognizes that different spaces need different
lighting. For example, the code allows much more lighting
power density in an operating room than in an office
space.
There are two pathways to comply with interior lighting
power requirements. The first is the Building Area
Method, which is determined using Table C405.4.2(1). The
second is the Space-by-Space Method, which uses Table
C405.4.2(2).
C405.4.2.1 BUILDING AREA METHOD
The lighting power allowance is determined by building
type. This method is used to estimate overall lighting
power for the project. For the Building Area Method,
the interior lighting power allowance is the floor area
for each building area type listed in Table C405.4.2(1)
times the value from Table C405.4.2(1) for that area.
C405.4.2.2 SPACE-BY-SPACE METHOD
The lighting power allowance varies by space. This is
the method most often used by lighting professionals
for compliance because it gives more power where
you need it (This method used to be available only in
ASHRAE 90.1.). To determine the maximum allowed
lighting power on the project, multiply the floor area
of each space times the value for the space type in
Table C405.4.2(2). The sum of all the spaces equals the
Total Allowed Interior Lighting Power (in Watts). This
method allows trade-offs between spaces.
Note, the designer can use COMcheck to perform this
calculation, rather than complete by hand.
Bar and Lounge (LPD: 1.01)

Fig X.XXX
Office
(LPD: 0.82)
AREA
Retail
(LPD: 1.26)
LPD
1,000 ft
1.01
500 ft
0.82
500 ft2
1.26
Total Allowed Interior Lighting Power =
1,010 W
410 W
+ 630 W
2,050 W
405.4.2.2.1 ADDITIONAL INTERIOR

LIGHTING POWER
Some additional interior lighting power is allowed in
certain retail and sales applications provided the power
is used solely for display purposes and is controlled
separately from general lighting.
Once you have found the Total Connection Interior

Lighting Power using the equation on the previous
page, ensure that it is less than or equal to the Total
Allowed Interior Lighting Power, calculated by either
the building area method or the space-by-space
method:
C405.4.1
Total
Connected
Interior
Lighting
Power
SL
+ LV
+ LTPB
+ Other
________
= TCLP
C405.4.2
Total
Allowed
Interior
Lighting
Power
Building Area
Method
OR
Space-by-Space
Method
C405.5 EXTERIOR LIGHTING

(MANDATORY)
Exterior lighting has its own lighting budget, which
cannot be traded with the interior lighting budget.
To determine the basic power allowance and LPD for
exterior lighting applications, first look at Table C405.5.2
(1). This table describes 4 lighting zones, and the
designer must choose the most appropriate zone based
upon the buildings location.
New York City (and some other
municipalities) have pre-mapped lighting
zones, meaning that the designer is not
allowed to choose which lighting zone the
building belongs to.
Once the zone is identified, the designer can calculate the
total exterior lighting power based on Table C405.5.2(2).
The first half of the table shows tradable surfaces and
the second half shows nontradable surfaces. Nontradable
surfaces include exterior spaces that need safety and
security lighting like ATMs, guarded facilities, or loading
areas for law enforcement. Trade-offs are allowed among
the tradable surfaces listed. After the total allowed is
established, the designer can use more light in one area
and less in another as long as the total remains equal to
or less than the total.
There are numerous exterior lighting exceptions listed in
the code.
C405.6 ELECTRICAL ENERGY

CONSUMPTION (MANDATORY)
Dwelling units in Group R-2 building must be submetered. When occupants are responsible for paying
their own electric bill and are aware of how much
energy they are using, substantial savings and energy
conservation can be achieved.
NEW YORK CITYS LOCAL LAW 88

Although the energy code only stipulates that
R-2 buildings comply with the submetering
requirement, New York Citys Local Law 88
requires that all buildings larger than 50,000 ft2
(or two buildings on the same lot totaling 100,000
ft2 ) must submeter tenant spaces. There are some
exemptions:
Dwelling units in R-2 or R-3 residential
buildings
A-3 residency space in a house of worship
1 - 3 family homes
Condos and Co-ops with no more than 3
dwelling units
C405.7 ELECTRICAL
TRANSFORMERS (MANDATORY)
& C405.8 ELECTRICAL MOTORS
(MANDATORY)
Electric motors and transformers are now required
to comply with minimum efficiency requirements
for electric transformers. There are 14 exempted
transformers. Transformers need to meet minimum
efficiency requirements from Table C405.7 and be
tested and rated in accordance with the procedure in
DOE 10 CFR 432.
There are four new tables for electrical motors. The
efficiencies need to be tested and rated in accordance
with DOE 10 CFR 431.
C405.9 VERTICAL AND

HORIZONTAL TRANSPORTATION
SYSTEMS AND EQUIPMENT
This new section regulates elevators, escalators and
moving walks. Luminaires in elevators cannot exceed
35 lumens per watt, and ventilation must be provided if
they do not have their own air-conditioning system. The
elevator ventilation must have controls that de-energize
the fans and lighting system when the elevator is
stopped and not in use.
Automatic controls shall be configured to reduce speed
of escalators and moving walks to a minimum when
not conveying passengers. Reversible escalators or
those designed for one-way down operation must have
a variable frequency regenerative drive that supplies
electrical energy to the building electrical system
when the escalator is loaded with passengers whose
combined weight exceeds 750 pounds.
C406
ADDITIONAL EFFICIENCY
PACKAGE OPTIONS
C406.1 REQUIREMENTS
IECC requires the design team to pick one system, and
then comply with a higher level of efficiency for that
chosen system.
Note: 2015 IECC added 3 more options.
1. More Efficient HVAC
2. Reduce LPD by 10%
C406.5 ON-SITE RENEWABLE

ENERGY
Provide on-site renewable energy equal to:
Minimum 0.50 W/ft2 of conditioned floor area
Minimum 3% of the energy used within the
building for building mechanical and service
water heating equipment and lighting
3. Enhanced Digital Lighting Control (NEW)

COMMERCIAL: AEPO
4. On-Site Renewable Energy

5. Dedicated Outdoor Air System (NEW)
6. More Efficient SHW (NEW)
C406.2 MORE EFFICIENT HVAC

EQUIPMENT PERFORMANCE
Select equipment that exceeds the minimum efficiency
requirements listed by at least 10%.
C406.3 REDUCED LIGHTING

POWER DENSITY
Use only 90% of the allowable LPD using either Building
Area Method or Space-by-Space Method.
C406.4 ENHANCED DIGITAL

LIGHTING CONTROLS
1. Luminaires must be capable of continuous
dimming
2. Max. 4 luminaires controlled together individually
3. Max. 8 luminaires controlled together in a
daylight zone
4. Digital Control System:
Control reconfiguration addressability
Load shedding
Individual user control of overhead general
illumination in open offices
Occupancy sensors shall be capable of
being reconfigured through the digital
control system
Fig X.XXX
C406.6 DEDICATED OUTDOOR

AIR SYSTEM
100% outdoor air to each occupied space for
multiple-zone HVAC systems
Total energy recovery
Automatic supply-air temperature controls that
reset in response to building loads or outdoor air
temperatures
C406.7 REDUCED ENERGY USE IN

SERVICE WATER HEATING
Use the following technologies to provide 60% of hot
water (100% if using energy recovery):
1. Waste heat recovery from service hot water, heatrecovery chillers, building equipment, process
equipment, or a combined heat and power
system
2. Solar water-heating systems
Only certain building types that use large amounts of
water are eligible, such as dormitories, laundries, health
spas and other buildings that show a service hot water
load of 10% or more of the total building energy load.
C407
TOTAL BUILDING
PERFORMANCE
C407.1 SCOPE
This section establishes criteria for compliance using
an energy simulation. This energy model includes
all energy expected to be consumed in the building
including demands from building operation (HVAC
systems, service water heating, fan systems, and lighting
power) as well as energy related to the buildings use
(receptacle and process loads).
The energy used by a building using the performance
path is generally equivalent to the current prescriptive
requirements. The energy used by the building is
compared to the baseline.
It provides additional flexibility as it allows the design
team to use a variety of materials and approaches
that may or may not meet prescriptive requirements.
A whole-building performance model allows tradeoffs
to be made for components that are important to the
design but which exceed the prescriptive requirements.
In total, these tradeoffs must be as efficient as the
standard reference design.
C407.2 MANDATORY
REQUIREMENTS
In addition to providing a compliant energy model, the
building must also comply with all mandatory sections
in C402.5, C403.2, C404 and C405.
C407.3 PERFORMANCE-BASED
COMPLIANCE
Compliance using the performance approach requires a
simulation of annual energy cost that sums the energy
of a building as it varies every hour over the course of a
year. These simulations accounts for climate, occupancy,
and building type.
In the simulation, a model of the proposed building
must have a lower energy cost as compared to an
energy cost index (ECI) of a standard reference design.
Note that ASHRAE 90.1-2013 requires building energy
cost to be even loweronly 85% of the standard
reference design building. The parameters of the
standard reference design are determined by the rules
set forth in this section of the code.
Off-site renewable energy is considered the same as any
other energy source but on-site renewable energy can
be excluded from the simulation.
C407.4 DOCUMENTATION
The design professional must submit a compliance
report that documents that the proposed design has
annual energy costs less than or equal to the standard
reference design.
C407.4.1 COMPLIANCE REPORT

The compliance documentation should include the
following:
Address of the building
An inspection checklist which shows the
proposed design as specified in Table C407.5.1(1).
The checklist needs to show the estimated annual
energy cost for both the proposed design and
standard reference design.
Name of the person completing the compliance
report
Name and version of the software used
COMMERCIAL: PERFORMANCE PATH
In New York City, the Total Building

Performance Path is only available using
Section 11 or Appendix G of ASHRAE 90.1-2013.
In addition to the documentation outlined above, the

code official also has the right to ask for any of the
following:
Documentation of the standard reference design
building component characteristics
Floor plans of the thermal zoning scheme for
both the standard reference design and proposed
design
Input and output reports from the energy analysis
simulation program, along with the files
An explanation of any error or warning messages
appearing in the simulation tool output
A certification signed by the builder providing
the building component characteristics of the
proposed design as given in Table C407.5.1(1)
C407.6 CALCULATION SOFTWARE

TOOLS
The code includes a comprehensive list of all functions
that the software tools must be capable of calculating.
The documentation needs to verify the accuracy of the
compliance software tool used. Typical tools include
eQUEST or EnergyPlus. The designer needs to input the
standard reference design using Table C407.5.1(1). Some
capabilities include: part load performance curves,
hourly variations in occupancy, and building operation
for a full calendar year.
The code official may also authorize tools for a specified
application or limited scope.
C407.5 CALCULATION
PROCEDURE
The calculation procedure for the proposed design and
standard reference design must use identical methods
and techniques.
The calculation procedure refers to Table C407.5.1(1).
Table C407.5.1(1): Specifications for the Standard
Reference and Proposed Designs
This table contains most of the building
envelope, lighting, heating, cooling, and
service water heating systems
Table C407.5.1(2): HVAC Systems Map
Table C407.5.1(3): Specifications for the Standard
Reference Design HVAC System Descriptions
Table C407.5.1(4): Number of chillers
Table C407.5.1(5): Water Chiller Types
A building modeled in eQUEST
COMMERCIAL: PERFORMANCE PATH
C407.4.2 ADDITIONAL DOCUMENTATION
C408
SYSTEM
COMMISSIONING
Even when equipment is specified and installed correctly, it is still possible that systems will not operate as planned
once the building is occupied. A careful process is needed to ensure that different systems do not interfere with each
other, and that all controls operate correctly. The commissioning process verifies that a facility has been designed,
constructed, and tested to perform as expected.
C408.1 GENERAL
This section specifically covers system commissioning
(Cx) for Building Mechanical Systems (C403) and
Electrical Power and Lighting Systems (C405). Although
not listed in this provision, Section C404.11 Service
Water-Heating System Commissioning and Completion
Requirements requires commissioning for Service
water-heating systems and controls.
WHO PERFORMS COMMISSIONING

SERVICES?
The 2015 IECC tasks the Registered Design Professional
or Approved Agency (a separate person or organization
authorized to make inspections) with providing
evidence that systems commissioning was completed
properly.
The Commissioning Agent, or Commissioning Authority
(CxA) is normally an independent third party hired by
the Owner. The CxA can be an employee of the design
team, the building owner, or the contractor, as long
as he or she is not working on the project in another
capacity. Rules for who can provide commissioning
services are created by each jurisdiction.
The CxA is involved in every phase of project
development. To ensure that it is done consistently and
correctly, the Commissioning Agent (CxA) is responsible
for the process from beginning to end.
C408.2 MECHANICAL SYSTEMS AND

SERVICE WATER-HEATING SYSTEMS
COMMISSIONING AND COMPLETION
REQUIREMENTS
The commissioning process starts during the design
phase. It is mandatory for commercial building systems,
with the following exceptions:
Mechanical and service water heater systems
are exempt from commissioning if the total
mechanical capacity is less than 480,000 Btu/h
(140 kW) cooling capacity and 600,000 Btu/h
(175.8 kW) combined service water-heating and
space heating capacity.
Systems included in C403.3 (Economizers) that
serve individual dwelling or sleeping units
C408.2.1 COMMISSIONING PLAN

The CxA creates a detailed Cx plan for the Cx process.
The plan outlines the key areas of the installation
that are inspected and tested when systems become
operational, and again when the building is ready for
final inspections and occupancy. Cx Plan must include:
Narrative description of Cx activities during each
phase, including responsible personnel
List of the specific equipment, appliances &
systems to be tested and a description of the
tests to be performed.
Functions to be tested including calibrations and
economizer controls.
Conditions under which each test will be
performed.
Measurable criteria for performance.
Approved sequence of operations.
COMMERCIAL: CX
Commissioning is the time in the construction process when the systems are tested in a prescribed manner so any
remaining defects are observed and correcteddefects that might otherwise remain hidden well into occupancy.
By highlighting these problems during the construction process, their impact is greatly lessened and correction is
simplified. Any issues discovered can be corrected before the warranties expire and prior to any damage occurring to
connected systems or harm to personnel.
BALANCING
The CxA is responsible for providing confirmation that

the final air and water flow rates are within tolerances
provided in the product specifications. The actual
measuring and adjusting of the equipment may be
performed by a testing and balancing contractor.
408.2.3 FUNCTIONAL PERFORMANCE

TESTING: CONFIRM THAT SYSTEMS WORK
AS DESIGNED
C408.2.5.4 FINAL COMMISSIONING REPORT

A report of test procedures and results identified
as Final Commissioning Report shall be delivered
to the building owner or owners authorized agent.
The final commissioning reports shall be organized
with mechanical and service hot water findings in
separate sections to allow for independent review.
The final commissioning report includes the results of
the functional performance tests as well as the test
procedures. If any deficiencies were found during
testing, a description needs to be included as well as
any corrective measures used or proposed.
The Cx process is the first opportunity to test

equipment under full-load, part-load and emergency
conditions. Ideally, the operations team can be on hand
during the functional testing to observe the tests and
kick the tires.
C408.3 LIGHTING SYSTEM

FUNCTIONAL TESTING
The CxA will confirm that all the controls, components,

equipment and systems are calibrated, adjusted and
operate properly including sequences of operations.
The actual calibration work may be performed by the
installers or the controls contractor.
C408.3.1 FUNCTIONAL TESTING: LIGHTING

CONTROL SYSTEMS ARE CALIBRATED,
ADJUSTED, PROGRAMMED AND IN PROPER
WORKING CONDITION
C408.2.4 PRELIMINARY COMMISSIONING

REPORT
Lighting control systems are calibrated, adjusted,

programmed and in proper working condition. The code
has a required list of criteria for controls to meet. For
example:
The design professional must provide via the transmittal

record, that the Preliminary Cx report, containing tests
and results with separate findings for mechanical and
service hot water, has been delivered to the Owner.
Preliminary report should include:
Any deficiencies that are not yet corrected
Any tests deferred due to weather (and include
under what conditions test will be conducted)
C408.2.5 DOCUMENTATION REQUIREMENTS

List the following items in the construction documents.
These must be provided to the building owner within 90
days of receiving a Certificate of Occupancy.
C408.2.5.1 DRAWINGS
Location and performance data for HVAC and
Service Hot Water equipment
C408.2.5.2 MANUALS
O&M manuals
Size and selected options
Calibration information and wiring diagrams
Name and address for at least one service
company for each piece of equipment
C408.2.5.3 SYSTEM BALANCING REPORT
A written report describing the activities and
measurements completed in accordance with Section
C408.2.2.
Are daylighting controls responding to daylight

properly?
Are time delays for shut-off correct?
Are sensors calibrated so that quiet activities
such as typing or reading do trigger the sensors,
while false positives such as HVAC cycling,
curtain movements, etc do not?
Are all systems fail-to-on, so that if the control
breaks, the lights will be on? Egress safety and
many codes require it.
COMMERCIAL: CX
C408.2.2 SYSTEMS ADJUSTING AND
CHAPTER 5
EXISTING BUILDINGS
Implementing stricter energy codes on new construction will go a long way to reduce energy consumption in buildings
across the state. However, 85% of the buildings that will exist in 2030 already exist and represent a challenge for
reducing energy use. The energy code recognizes the difficulties involved with improving the performance of these
buildings.
Note also that the 50% Rule is no longer in effectthe exemption for commercial renovations, additions, and
alterations from being subject to the current state energy code unless the project affected more than half of the
buildings systems. Now, any work that is not a repair or maintenance and affects energy use must meet the same
requirements as for new construction.
C501 GENERAL
C503 ALTERATIONS
Historic buildings may be exempt, however, the design

professional or preservation officer must submit a report
to show the code offical that compliance would interfere
with the historic nature of the building.
Although any alteration must comply, unaltered adjacent

building components do not need to be brought up to
code.
C503.1 GENERAL
C502 ADDITIONS
There are some exceptions listed in the code:
Additions can comply in two ways: The addition can

comply separately, or the addition and existing building
can comply as a single building.
There are some important issues to pay attention to
here:
Window film installed on existing single-pane

assemblies
Existing insulation in cavities exposed during
construction
If the Building Fenestration Area of the addition

is greater than 30% WWR and 3% skylights, the
addition or the addition + underlying building
must comply with daylighting requirements in
order to comply.
All mechanical systems and water heating
systems must comply with same provisions as
new construction.
Storm windows installed over existing

fenestrations
Construction where the existing roof, wall, or floor

cavity is not exposed
Roof recover and the corresponding air barrier (if
no other envelope work is being done)
When less than 50% of the luminaries in a space
are being replaced, assuming the installed lighting
power doesnt increase
Note that ASHRAE 90.1-2013 is more stringent; if
replacing over 10% of the luminaires, it needs to be code
compliant.
REPAIRS AND MAINTENANCE
ALTERATIONS
Dont need to be brought up to code
Must comply with Code
Unaltered adjacent
elements dont need
to comply
Fig X.XXX
COMMERCIAL: EXISTING BUILDINGS
The term existing buildings refers to buildings constructed before the codes provisions took effect. The IECC does
not require a legally-constructed existing building or system to comply with the current energy code provisions, but
does require any new additions and alterations to comply.
IECC
RESIDENTIAL
PROVISIONS
46
R401 General
48
R402 Building Thermal Envelope
58
R403 Systems
61
R404 Electrical Power and Lighting Systems
62
R405 Simulated Performance Alternative
64
R406 Energy Rating Index
65
R501 Existing Buildings
RESIDENTIAL
Page
INTRODUCTION
The provisions of the International Energy Conservation Code (IECC) promote the effective use of energy in buildings.
Conquer the Code teaches design professionals the structure and rationale behind the energy code in order to
maximize compliance, as well as the codes effectiveness.
There are several important new provisions in 2015 IECC. As the code strengthens energy requirements for thermal
and air barriers and window construction, any new construction or existing building renovation will be better sealed
and insulated, thus reducing the energy required to heat and cool them. The residential energy code now requires a
blower door test to verify the strict new air infiltration limit of 3ACH50, as well as mechanical ventilation in all new
and renovated homes. Additionally, IECC now includes a compliance path known as the Energy Rating Index (ERI),
which means that a Home Energy Rating System rating (HERS)an industry standard that measures a homes energy
efficiencycan satisfy energy code compliance if the home meets a minimum rating.
RESIDENTIAL
The Residential section of the energy code has three options for compliance. A designer may select either a
straightforward checklist-style prescriptive path with or without envelope tradeoffs, or a building performance path,
which requires an energy model. The flexibility within the codes performance path requirements encourages the
improvement of energy-conserving construction practices, equipment, materials, and techniques. Regardless of which
compliance pathway you choose, every project must meet specific mandatory requirements in accordance with 2015
IECC, which cannot be traded off. This course includes all of the mandatory provisions.
A single-family suburban home
R401
GENERAL
R401.1 SCOPE
All residential buildings must comply with the Residential
provisions of the Energy Code. The mechanical systems in
multifamily buildings may require the commercial code if the
units are served by the same system. Every other type of
building uses the commercial code.
COMMERCIAL VERSUS
RESIDENTIAL BUILDINGS
Residential buildings include: Detached 1- and
2-family dwellings, Multiple single-family
dwellings (townhouses), and Group R-2, R-3
and R-4 three stories or less above grade.
Any building four stories or moreincluding
multifamily residential buildingsmust comply
with the commercial code.
Residential
Commercial
Commercial
Commercial
If filing for a building with both residential and commercial, it would all be included in one application and the designer would include two sets of
data. One would cover the residential portions, and the other would cover the commercial. This is only necessary if the building is three stories or
less and includes commercial and residential dwelling units.
DOES THE PROJECT NEED TO COMPLY WITH THE ENERGY CODE?

Few buildings are exempt from the code. Designated historic buildings may be exempt if the design professional or
preservation officer submits a report to the code official showing that compliance would interfere with the historic
nature of the building (R501.6).
Envelope requirements in some very low energy buildings, such as storage sheds, may be exempt. Some renovation
projects may be exempt if they do not affect the energy use of the building. Please note, documentation that the
building is exempt must still be submitted to the code official.
RESIDENTIAL
Commercial
R401.2 COMPLIANCE PATHS

When following the residential energy code, a designer must first choose from one of three compliance paths:
prescriptive, performance, or energy rating index (ERI).
PRESCRIPTIVE PATH (CHECKLIST)

Sections R401 through R404 constitute the prescriptive
path. In order to comply with code, this series of
prescriptive provisions must be met. For example,
the envelope must meet or exceed minimum R-values
for walls, ceilings, and other envelope components.
For compliance, the design team must show that the
HVAC equipment is sized to meet heating and cooling
loads and that it meets minimum federally-mandated
efficiency. The prescriptive path is often the simplest
approach and is fairly easy to useyou can even use a
simple spreadsheet as a compliance tool. However, this
path is somewhat restrictive as there is little flexibility.
If you want to trade off envelope efficiencies, you may
comply using REScheck or your own calculation tables.
WHICH APPROACH IS THE BEST FOR THE

PROJECT?
The best approach varies for each project. The
prescriptive approach is simple but may be too
restrictive. Additions and alterations may best be
handled with the prescriptive approach.
Complex buildings with non-conforming specialty
components, such as large expanses of glazing, may
best be handled with the performance approach, that
allows tradeoffs between systems in order to deliver
an efficient building, despite having some inefficient
individual components.
Different approaches may produce different results, but
the code is designed to produce generally equivalent
results. The prescriptive approach is often conservative
and does not account for many features that affect
energy use, such as external shading.
PERFORMANCE PATH (ENERGY BUDGET)
Create an energy model to compare a proposed

design to a baseline or reference design.
Demonstrate that the design is at least as
efficient as the baseline in terms of annual energy
use.
Building Energy Cost must be less than or equal
to standard reference design building.
Comply using REM/Rate software or approved
equivalent.
R401.3 CERTIFICATE
In residential buildings, it is a mandatory requirement to
post a permanent certificate on the wall of the furnace
or utility room. This certificate must include:
R-values of insulation installed on the ceiling/roof,
walls, foundation, and ducts outside conditioned
space
U-factors for fenestration and the solar heat gain
coefficient (SHGC) of fenestration
Results of any required duct system and building
envelope air leakage testing done on the building
Types and efficiences of heating, cooling, and
service water heating equipment
If a gas-fired unvented room heater, electric
furnace, or baseboard electric heaters are
installed in the building (These do not need
efficiencies listed.)
ENERGY RATING INDEX (HERS INDEX)

The energy rating index (ERI) approach is explained in
depth in Section R406. ERI is a numerical score where
100 is equivalent to a standard 2006 IECC-compliant
building and 0 is equivalent to a net-zero home. The
current HERS (Home Energy Rating System) rating is
compatible with the ERI requirements in the proposal
so a builder could use a HERS rating to comply using
the ERI path. In New York State, a score of 55 or below
is required for climate zone 5; 54 and below for climate
zones 4 and 6.
An example certificate
RESIDENTIAL
Section R405along with the provisions in R401 R404 that are mandatory for all projectsdetails the
performance path. Design teams that choose this
method must provide an energy model in order to
demonstrate that the buildings energy use will not
exceed the maximum allowed. The performance path
allows greater design flexibility and tradeoffs among
systems. This compliance path may require more
expense and effort if the firm is not used to creating
energy models.
R402
BUILDING THERMAL
ENVELOPE
The building envelope is the physical barrier between
the buildings conditioned interior environment and
the outside. Efficient building envelopes prevent air
leakage and moisture migration, heat gain and loss,
and solar heat gain through windows and skylights.
To create a comfortable indoor environment and
minimize wasted energy, the energy code requires
continuous air barriers, continuous insulation, and
efficient windows. The following sections will explain
the context behind each code provision and provide
examples of how to comply.
R103.2.1 IDENTIFYING THE BUILDING

THERMAL ENVELOPE
The code provides the following definition of the
thermal envelope: The basement walls, exterior walls,
floor, roof and any other building elements that enclose
conditioned space or provide a boundary between
conditioned space and exempt or unconditioned
spacebasically, the roof, the walls, and the floor. It may
seem obvious, but to confirm to the code officials that
the building thermal envelope is continuous, it must be
possible to draw the building thermal envelope on the
construction drawings, without picking up the pencil.
(see R103.2.1 Building thermal envelope depiction).
RESIDENTIAL: ENVELOPE
In high efficiency buildings, the thermal boundary

(continuous insulation) is fully aligned with the air barrier
(continuous air sealing).
Knee Wall
Ceiling
Window
Rim Joist
Above-Grade
Wall
Basement
Wall
The building thermal envelope
Slab-on-Grade
THERMAL BRIDGING
Thermal bridging occurs when a poorly insulating
material allows heat flow across a thermal barrier.
To prevent thermal bridging you must provide a
thermal break, such as with continuous insulation,
seen in the illustration to the right
Thermal modeling demonstrates how heat transfers through a

thermal bridge (left) and how effective construction mitigates
heat loss.
Wall studs are a common point of thermal bridging

wood and metal conduct heat more readily than the
cavity insulation surrounding them.
Gysum Board
Cavity Batt Insulation
Exterior Sheathing
Vapor Retarder
Continuous Insulation
Wood Siding
Total:
U-value = 1 / 25.72 =
R-0.64
R-13.60
R-0.62
R-0.06
R-5.00
R-0.80
R 20.72
0.048
The R-value is the capacity of a material to resist

heat flow. A higher R-value is preferable because
it means there is a higher capacity to resist heat
flow. Much like layering clothes and a coat in
winter to prevent heat loss from your body, you
can add the R-values of separate elements to get
a higher level of insulation.
The total heat transfer must take two factors
into account. The first is the total R valuethe
capacity of an assembly to resist heat flow based
on the sum total of its layers. The R-value of a wall
cavity is obtained by adding up the values of its
individual parts, as seen in the illustration.
The second is the U factorthe simultaneous
heat transfer through various types of assemblies
that make up the building envelope. The U factor
can be found by taking the inverse of the total R
value.
Unlike R-values, you cannot add U-factors.
R-Values can be found by adding the values of each wall component. To

find the U-factor, take the inverse of the total R-value.
R = 1/U
U = 1/R
R-VALUES AND U-FACTORS
R402.1 GENERAL (PRESCRIPTIVE)

R402.1.1 VAPOR RETARDER
FENESTRATION U-FACTOR
A vapor retarder is a material that reduces vapor

diffusion. Expert advice on vapor retarders has changed
over the last 30 years, leading to some confusion in
the industry as to when and where to install a vapor
retarder. If installing a vapor retarder is not already
part of your practice, it is recommended that you do
some research because improper installation can trap
moisture and cause mold growth. The energy code
defers to the vapor retarder requirements of Section
R702.7 of the International Residential Code or Section
1405.3 of the International Building Code, as applicable.
Low U-factors have a relatively high resistance to heat

flow and a strong insulating value, which means that the
window assembly is fairly efficient. Types of windows
that comply have low-E double- or triple-paned glass
filled with an inert gas. Double paned windows that
dont have gas fill or low-E coatings no longer comply.
Class I vapor barriers are the least permeable.

These include glass, sheet metal, aluminum foil,
and polyethylene.
Class II vapor retarders have a perm rating of 0.1
perm to 1.0 perm. These materials allow more
vapor diffusion than Class I and include unfaced
expanded or extruded polystyrene, 30 pound
asphalt coated paper, plywood, bitumen coated
kraft paper, kraft-faced fiberglass batt, and low
perm paint.
Class III vapor retarders are semi-permeable
and have a perm rating of 1.0 perm to 10 perm.
Materials include latex paint and kraft paper.
R402.1.2 INSULATION AND FENESTRATION

REQUIREMENTS
Table R402.1.2 is an important table that provides
prescriptive R-values and U-factors. Pay close attention
to the footnotes, as they will explain the various values
in the table and exceptions.
Permeability
Rating
The R-value column in Table R402.1.2 lists two values for

wood frame walls. The first value represents the R-value
of the cavity insulation, the second value represents the
R-value of the continuous insulation, so 13+5 means
R-13 cavity insulation plus R-5 continuous insulation (ci).
MASS WALLS
The R-value column in Table R402.1.2 lists two values
for mass walls. Mass walls relieve you of some insulation
requirements. Use the first number if over 50% of the
insulation is on the outside of the wall, and the second
number if over 50% of the insulation is on the inside.
Note that interior insulation on a mass wall is greater
than exterior insulation.
BASEMENTS AND CRAWL SPACE WALLS

The code allows two different ways to comply with the
required insulation R-Value.
Install continuous insulation (ci) at an R-value
matching the first number.
Install cavity insulation at an R-value matching
the second number.
Also, dont forget to check the footnotes for some
allowable substitutions.
Vapor Barrier Vapor Retarder Semi-Permeable Permeable

(Class I)
(Class II)
(Class III)
0.01
0.1
10
100
Polyethylene
Asphalt-Coated Kraft Paper
Plywood
Gypsum Board
+ Primer, Paint
Gypsum Board
+ Primer
Tyvek
Gypsum
Board Alone
This chart shows the

permeability of various
commonly-used materials
There are many materials available to use as a vapor

retarder. Classes are arranged by levels of permeability.
WOOD FRAME WALLS
The code provides 3 pathways to show compliance:
R402.1.5 TOTAL UA ALTERNATIVE
R402.1.3 R-VALUE COMPUTATION
The Total UA alternative can be found by calculating the

sum of the U-factor for each component multiplied by
the combined area of that component.
To calculate the R-Value of blown-in insulation (whether

its cellulose, fiberglass, mineral, rock wool etc), you
must use the settled R-value. These types of materials
compress under their own weight after installation and
get a little denser, so they have less available air to
provide insulation.
In order to prove compliance you will need to show:
installation thickness marker with 1 high numbers that
faces the attic access door (at least one per 300ft2),
the label(s) from the insulation product, R-Value
calculations, and photos of installation.
This is different from the U-factor alternative. The

U-factor alternative method is applied to one
component at a timeeither walls, ceilings, floors, etc.
The total UA alternative is applied to the whole building
and allows tradeoffs between envelope components
including windows and skylights. You can comply by
using REScheck or you can do the calculations yourself
with a spreadsheet.
Total UA = sum of U-factor assembly area
If the total building thermal envelope UA is less than or
equal to the total UA resulting from using the U-factors
in Table 402.1.4, then the building complies. This allows
envelope components to be traded off against each
other.
An installation marker
R402.1.4 U-FACTOR ALTERNATIVE

You may reference Table R402.1.4 when trading off
envelope components.
The U-factors in Table R402.1.4 include thermal
transmittance of the entire assembly in addition to
insulation: thermal bridging at the studs, the sheetrock, sheathing, siding, etc. The benefit of Equivalent
U-Factors is that you can include construction materials
that contribute to the insulation value of the assembly,
such as interior and exterior air films, so you get
more wiggle room than using the purely prescriptive
approach. The calculation is not difficult and you can
use a simple spreadsheet.
To begin the calculation, add all of the R-values and
calculate a total R-value for the assembly. To calculate
the equivalent U-factor divide 1 by the total R-value:
1/R. Compare your U-factor with the U-factor in Table
R402.1.4 to ensure that the assembly is compliant.
UA Alternative can be calculated by hand. However, it is much

easier to use software such as REScheck.
R402.2 SPECIFIC INSULATION REQUIREMENTS

There are additional insulation requirements not listed in Table R402.1.2. The following section covers additional
prescriptive requirements.
R402.2.1 CEILINGS WITH ATTIC SPACES

Ceilings with attic spaces can comply in two ways. The first is to follow the requirements in R402.1.2, which requires
an R-Value of 49. Alternately, R-38 is permissable as long as it extends over the wall top plate at the eaves. Note that
this reduction cannot be used if using the U-factor alternative or the total UA alternative.
Possibility of ice
dam formations
Heat loss
Insulation (R-49)
Cold corners contribute

to condensation and
mold growth in some
locations
Insulation (R-38)
Insulation at full
thickness over
exterior walls
An energy truss can prevent cold

corners by allowing the ceiling
insulation to overlap with the wall
insulation
R402.2.4 ACCESS HATCHES AND DOORS
Install eave baffles so the insulation does not block the

vents (especially important with blown-in insulation).
Attic hatches must have the same amount of insulation

as the rest of the attic, and they must be air sealed.
R402.2.3 EAVE BAFFLE
Eave baffle with protective chutes to allow ventilation from the soffits
An insulated seal for the attic hatch
R402.2.6 STEEL-FRAME CEILINGS,

WALLS AND FLOORS
Steel frame structures need higher insulation levels
because they have more opportunity for thermal
bridging. Table R402.2.6 provides insulation R-values for
steel-frame buildings, or use Table R402.1.4 for U-factor
requirements.
R402.2.8 FLOORS
The code requires that insulation maintain permanent
contact with the underside of the floor. If the ceiling
were removed the insulation would remain intact.
R402.2.10 SLAB-ON-GRADE FLOORS

In climate zones 4 and 5, install minimum R-10 insulation
to a depth of 2 feet. It can be installed vertically or
turned under the slab horizontally. In climate zone
6, insulate to a depth of 4 feet. The depth is always
measured from the top of the foundation wall and
should be installed between the slab and the footing.
The insulation needs to cover the slab edge to stop a
thermal bridging path.
The U.S. Department of Energy estimates that slab
edge insulation can reduce winter heating bills by 10%
to 20%.
R402.2.11 CRAWL SPACE WALLS

Wood subfloor
Cavity
insulation
Code allows you to either insulate the floor above the

crawl space OR seal and insulate the crawlspace walls,
and put down a vapor barrier over the earth.
Sheathing
EXCEPTION: If the floor cavity insulation goes from top
to bottom on the perimeter near the walls, the insulation
is permitted to rest on the sheathing.
Air gap
Crawl spaces should be treated as if they are miniature

basements, which is exactly what they are. The best
practice is to make a crawl space a conditioned area
like the rest of the house. This is permitted by newer
versions of most building codes, and is much better for
the house and residents.
Unvented crawlspaces are better than insulating the
floor above because:

Warmer floor temperature in winter

Lower humidity in the crawlspace
Lower energy losses
Lower risk of freezing pipes
Lower distribution losses in the crawlspace
Lower risk of animals entering the crawlspace
R402.2.12 MASONRY VENEER

Entire floor cavity by
perimeter walls is filled
R402.2.9 BASEMENT WALLS

Walls 50% or more below grade and enclosing
conditioned space are considered basement walls. You
must insulate to 10 below grade or the basement floor
(whichever is less).
Prescriptive requirements specifically state that

insulation is not required on the horizontal portion of the
foundation that supports a masonry veneer because:

The veneer is outside the thermal envelope.
It is a difficult aesthetic detail to have insulation

between lip of foundation wall and brick veneer.
Many building experts recommend against crawl spaces

because they have the water problems of a basement
with almost none of the storage space, at much higher
cost than a slab. If you need a crawl space, the best
practice is to insulate and seal it. Crawl space walls
should be insulated with rigid foam or closed-cell spray
polyurethane foam, and they should be sealed rather
than vented.
R402.3 FENESTRATION (PRESCRIPTIVE)

Fenestration refers to the design and disposition of
windows and other exterior openings of a building.
Though daylighting is a valuable resource when welldesigned, windows always come at a cost to the
efficiency of the building envelope. Efficient windows,
the orientation of windows, and the area of fenestration
compared to opaque area greatly influence the energy
use of the building. The following section covers
fenestration requirements provided by the code.
R402.3.1 U-FACTOR
Dont confuse the area weighted U-factor with the Total
UA alternative. They are two different calculations and
this provision is only for fenestration, not the entire
component such as a wall or ceiling. R402.3.1 is more
strict because it requires a fenestration U-factor of 0.35,
while the Total UA alternative allows 0.48 for average
fenestration. This is a useful provision if using a small
amount of inefficient glazing and still want to use the
prescriptive path, as long as the averages meet the
U-factor requirements.
U-factor
Area
U*A
Double Pane
Low-E
0.3
300
90
Single Pane
Stained Glass
1.1
20
22
320
112
Total
The code allows a small

amount of single-paned
glass. Each project is
allowed 15ft2 of glass
that does not need to
comply with fenestration
requirements. If you want
something small and
decorative that is singlepaned such as stained glass
you can use this
exemption.
Up to 15 ft2 of glass doesnt
need to comply
R402.3.4 OPAQUE DOOR EXEMPTION

Each project is allowed
one side-hinged door
of 24ft2 of opaque glass
that does not need to
comply with fenestration
requirements.
Weighted U
0.35
To calculate the area-weighted U-factor, multiply the area of each

window (rough opening) by its U-factor. Add up the total UAs, and
the total areas then divide the two sums as shown below.
Opaque glass door
R402.3.5 SUNROOM FENESTRATION

If the sunroom
encloses
conditioned
space, it must
meet the
fenestration
requirements.
Windows in
sunrooms cannot
exceed U-0.45,
and skylights
cannot exceed
U-0.70.
A sunroom
Type of Window
R402.3.3 GLAZED
FENESTRATION EXEMPTION
R402.4 AIR LEAKAGE (MANDATORY)

The following section will discuss specific regulations
to limit air leakage. This entire section is mandatory.
For compliance, air sealing details for each component
must be shown on your drawings. Also note that the air
barrier must align with thermal barrier.
RIM JOISTS
Air seal at all vertical and horizontal joints along beams
and rim joist.
R402.4.1 BUILDING
THERMAL ENVELOPE
Because materials expand and contract due to changes
in temperature, the code specifies that air sealing
materials need to take into consideration the space that
will open up between dissimilar materials.
This table provides criteria for air barrier and insulation

installation details, along with a comprehensive list of 15
locations where air sealing is required. Included with the
15 specific locations there are general requirements as
well. Note that air-permeable insulation does not count
as a sealing material.
GENERAL REQUIREMENTS

Install a continuous air barrier which is aligned

with the thermal envelope.
Seal all breaks or joints.
The code lists many common building materials.
Air sealing rim joists
SHAFTS, PENETRATIONS
Seal duct shafts, utility penetrations, and flue shafts
opening to exterior or unconditioned space.
RECESSED LIGHTING
Historically, recessed light fixtures have been a source
of significant energy loss because they penetrate the
building thermal envelope. The code specifies that
recessed lighting must be airtight and IC rated. IC-rated:
IC means in contact with insulated ceiling.
ICAT-rated recessed lighting fixture
SHOWER/TUB ON EXTERIOR WALL

The side of the tub should never be used as a wallfirst
build the wall and then put the tub in. The walls should
be sealed before the tub is installed.
Air sealing the seams of the exterior walls
TABLE R402.4.1.1 AIR BARRIER AND

INSULATION INSTALLATION
AIR LEAKAGE: TESTING

R402.4.1.2 TESTING
Because air sealing is of paramount importance to a
homes energy use, the code now requires air barrier
testing to confirm the tightness of the envelope.
Before you conduct the test, all penetrations in the

building envelope need to be complete. All exterior
windows and door must be closed and HVAC systems
turned off. Open only one exterior door and place
the canvas and fan into the door frame. The fan can
then begin to depressurize the house and determine
the airflow measurement. The infiltration rate must
be included in a written report for the code official. If
the infiltration rate exceeds 3ACH50, then you will be
required to reseal the building until the envelope passes
the air leakage test.
Design professional using a smoke test to visualize air leakage

at a door sill during a blower door test.
R402.4.2 FIREPLACES
New wood-burning fireplaces must have tight fitting
flue dampers or doors and a source of outside
combustion air.
R402.4.3 FENESTRATION AIR LEAKAGE

Windows are a huge potential source of air leakage so,
to help meet strict air tightness requirements, the code
provides maximum air leakage rates for fenestration.
The air infiltration rate is easily found on the NFRC label
(National Fenestration Rating Council).
A blower door
AIR BARRIER TESTING

A DIAGNOSTIC TOOL
Design professionals can also use blower doors as an
opportunity to test the work in progress. The best time
to test new construction is after the home is insulated
but before the drywall is hung. If the test reveals any
problems, they will be easier to fix at this point rather
than later. Air barrier testing is a useful tool to ensure
that the finished building doesnt fail inspection.
Combining a smoke test with a blower door can identify
areas of leakage during the construction process (as
shown above right).
Fig X.XXX
To measure how much air is flowing in and out of the

building, a blower door test is used. A blower door,
simply put, is a powerful fan which is placed into the
frame of an exterior door. The fan pulls the air out of the
house, depressurizing the house to 50 Pa. The negative
pressure allows the fan to pull air into the building
through infiltration. The airflow, measured at the fan,
represents how much outside air is entering the house
through infiltration. This airflow cannot exceed 3ACH50
(3 air changes per hour at 50 Pascal), which is the code
maximum for air infiltration in Climate Zones 3 through
8. Blower door tests are also required for multifamily
units.
R402.4.4 ROOMS CONTAINING

FUEL-BURNING APPLIANCES
In spaces with open combustion fuel burning appliances
that get combustion air from the space:
1.
Appliances and combustion air opening must be

located outside the building thermal envelope
OR
R402.4.5 RECESSED LIGHTING

Recessed lighting is notorious for poor energy
performance. Therefore, the code requires that recessed
luminaires need to be sealed to limit air leakage.
Recessed fixtures can be sealed with a gasket or caulk
between the housing and the ceiling or interior wall.
Recessed luminaires need to be IC-rated and have an air
leakage rate no greater than 2.0 cfm.
Insulating a recessed light
2. Enclosed in a room isolated from the thermal

envelope with walls, floors and ceilings R-value
required at basement walls and Ducts insulated to
> R-8 when passing through conditioned space
Best practice: Use sealed combustion units
R402.5 MAXIMUM FENESTRATION U-FACTOR AND SHGC (MANDATORY)

The code maximizes window efficiency in all buildings by limiting fenestration air leakage and providing a maximum
fenestration U-factor and SHGC. This is mandatory regardless of which compliance path you choose. However, if using
either of the tradeoff methods for the envelope designthe UA or performance optionsthere is some flexibility as
long as the envelope performs as required with the selected components.
Construct the home with windows that have area weighted average U-factor and SHGC values less than or equal to
the values for the climate zone and meet the code maximum air leakage requirements.
R403
SYSTEMS
Mechanical systems are essential to providing a
comfortable environment for the occupant. Since the
thermal envelope is to be completely sealed, uncontrolled
infiltration can no longer be counted on to circulate fresh
air into the home. Mechanical systems are now required
to provide and distribute the proper amount of fresh air,
heating, and cooling into the building. The code covers
pipes, ductwork, and equipment, and the proper sizing of
the mechanical systems.
To maximize energy efficiency, mechanical systems must
be sized correctly. Before, architects could estimate the
size of heating and cooling equipment, and they usually
fell back on oversizing equipment. The code requires that
systems be designed with the help of two guides from
the Air Conditioning Contractors of America: Manuals J
and S. They cover heating and cooling loads, system size,
and duct design. Systems that are designed with these
calculations in mind will run more efficiently and save
energy.
R403.2 HOT WATER BOILER

OUTDOOR TEMPERATURE
SETBACK
Using a setback control can save a huge amount of
energy.
R403.3 DUCTS
R403.3.1 INSULATION
Insulating ducts prevents heat loss as the air is moved
around the house. Code requires R-8 if duct is greater
than 3 in diameter and R-6 if duct is less than 3 in
diameter. Ducts in a conditioned space do not need to
be insulated. A conditioned space is any room or space
enclosed in the thermal envelope that is directly or
indirectly heated or cooled.
R403.1 CONTROLS (MANDATORY)

Building controls reduce the amount of energy used by
the home and can reduce the cost of heating and cooling.
The code requires at least one programmable thermostat
for each separate heating and cooling system.
Programmable thermostats need setbacks capable of

cooling down to 55F and heating up to 85F. There must
be at least one programmable thermostat in the largest
room in the building. It is best practice to have more than
one programmable thermostat.
R403.1.2 HEAT PUMP

SUPPLEMENTARY HEAT
Ductwork which falls on the outside of the thermal envelope must be

insulated.
A heat pump is an electronic device that efficiently heats

and cools buildings. Heat pumps tend to be used in high
performance buildings because they work well with
solar-powered systems. This requirement means that if
the heat pump is running and the temperature drops,
it is permissible for the electric resistant heat to kick in.
However, if the heat pump has turned off because it has
reached the necessary temperature and still has capacity
to provide more heat, electrical resistance heating is not
allowed to come on.
Ductwork on the inside of the thermal envelope does not need to be

insulated.
RESIDENTIAL: SYSTEMS
R403.1.1 PROGRAMMABLE THERMOSTAT
R403.3.2 SEALING
To minimize heat gains and losses, ducts must have
all joints and transitions sealed. Properly sealed duct
systems can save energy, improve occupant comfort, and
increase the life of heating and cooling systems.
Seal collars and

stackheads
Seal perimeter of register
R403.3.5 BUILDING CAVITIES

(MANDATORY)
This section of the code fixes a historic problem of using
building framing for air circulation. It is inefficient to use
a building plenum to circulate air because the cavity
cannot be sealed. You must use ducts to circulate air
within the building. Not only is this better for energy
use, but it reduces the contaminants in the area that are
picked up from building cavities.
Seal
elbows
Seal
boots
Seal plenum
Furnace
Locations for duct sealing
R403.3.3 DUCT TESTING

Duct tightness must be verified. The code allows for
two testing options: the post construction test, and
the rough-in test. However, a duct tightness test is not
required if the air handler and all ducts are located within
conditioned space. A written report of the results must
be given to the code official.
R403.3.4 DUCT LEAKAGE

Total allowable duct leakage is as follows:
During Construction Test
With air handler installed:
Max. 4 cfm/100 sf occupied space
Without air handler installed:
Post Construction Test:
Floor and wall cavities without ductwork are not suitable for air
conduits
R403.4 MECHANICAL
SYSTEM PIPING INSULATION
(MANDATORY)
Insulate the pipes to a minimum R-3 and protect exterior
piping from the weather.
R403.5 SERVICE HOT WATER

SYSTEMS
R403.5.1.1 CIRCULATION SYSTEMS
Hot water recirculation is a common practice in
commercial construction and is typically seen in hotel
and apartment buildings. A small amount of water
is circulated from the farthest hot water load back
to the water heater so that hot water is available
immediately. Circulating systems must be pumped,
no thermosyphon systems are allowed (passive heat
exchange based on natural convection), and controls
must be based on both temperature (no higher than
104 F) AND demand (motion sensor or flow sensor).

R403.5.3 HOT WATER PIPE INSULATION

Insulate pipes to a minimum of R-3.
Seal
joints and
connections
R403.6 MECHANICAL VENTILATION

(MANDATORY)
As mentioned in the beginning of this chapter, buildings
must be mechanically ventilated per International
Residential Code (IRC) or the International Mechanical
Code (IMC). Outdoor air intakes and exhausts need to
use automatic or gravity dampers that close when the
ventilation system is not operating. This is important
because the house can no longer depend on air leakage
in the envelope to supply fresh air. Using a gasketed,
motor-driven damper which is interlocked with the
fan ensures that the damper stays closed even when
pressures other than the exhaust fan are placed upon
it (for example, stack effect). The gasketing minimizes
leakage in either direction and is a best practice for
mechanical ventilation.
R403.8 SYSTEMS SERVING

MULTIPLE DWELLING UNITS
(MANDATORY)
Residential buildings should follow the commercial
code requirements for HVAC if it contains systems
that serve three or more dwelling units. Section
R403.8 states that these buildings should comply with
Sections C403 and C404 instead. This must be done if
multiple dwelling units are being served by the same
system. If there is one system per unit, the system will
stay within the residential code.
R403.7 EQUIPMENT SIZING

AND EFFICIENCY RATING
(MANDATORY)
Equipment sizing is an important provision because
equipment can no longer be oversized. For compliance,
deliver documentation using ACCA Manual J for the load,
and Manual S for the sizing.
COMMUNICATION IS KEY
Calculate the buildings loads

and then size the equipment
accordingly. A building with
a better designed envelope
will have smaller heating and
cooling loads which will require
smaller systems. In order to
accomplish this, a knowledge
of envelope systems and
mechanical systems is essential
for both the architect and the
engineer.
The building on the left has an inefficient envelope and therefore must have a larger heating/
cooling system to compensate.
The design and quality of the

building envelope determines
the load of the HVAC system.
R404
ELECTRICAL POWER
AND LIGHTING SYSTEMS
In contrast with the commercial code, lighting systems
in residential buildings have very few requirements.
The code does not specify how much lighting to install,
but simply how much of it needs to meet minimum
efficiency requirements.
R404.1 LIGHTING EQUIPMENT

(MANDATORY)
The code requires a minimum of 75% of lamps in
permanently installed lighting fixtures to be highefficacy, or 75% of fixtures need to have high-efficacy
lamps.
LIGHTING EFFICACY
A lamps efficacy is analogous to how efficient it is. A
high-efficacy lamp will use a small amount of power
(Watts) to produce a large amount of light (Lumens).
Lamp efficacy is measured by Lumens/Watt. Therefore,
an incandescent lamp that uses 100W to produce 1,500
Lumens would be considered very low efficacy and an
LED that used 16W to produce the same 1,500 Lumens
would be considered very high efficacy.
10 Lumens
350 Lumens
1,500 Lumens
All of these lamps produce a different amount of light,

measured in lumens.
R404.1.1 LIGHTING EQUIPMENT

(MANDATORY)
Dont use continually burning pilot light for lighting
systems fueled by gas.
WATTAGE VS EFFICACY
CODE REQUIREMENTS
All three of these bulbs produce the same amount of light (1,500 lumens).
However, the amount of power they draw is drastically different.
2015 IECC defines high

efficacy lighting as follows:
100W
Incandescent
Efficacy
LAMPS OVER 40 WATTS:
15 Lumens/
Watt
LOW
EFFICACY
1500 / 33 =
45 Lumens/
Watt
HIGH
EFFICACY
1500 / 16 =
94 Lumens/
Watt
VERY HIGH
EFFICACY
1500 / 100 =
1,500 Lumens
LAMPS 16 - 40 WATTS:
23W
CFL
1,500 Lumens
16W
LED
60 Lumens / W
50 Lumens / W
LAMPS 15 WATTS OR LESS:
1,500 Lumens
40 Lumens / W
RESIDENTIAL: LIGHTING
Lumens/Watts
R405
SIMULATED
PERFORMANCE
ALTERNATIVE
R405.1 SCOPE
This section establishes criteria for compliance using
an energy simulation. This energy model includes all
energy expected to be consumed by heating, cooling,
and service water heating.
The energy used by a building using the performance
path is generally equivalent to the current prescriptive
requirements. The energy used by the building is
compared to the baseline.
It also provides additional flexibility as it allows
the design team to use a variety of materials and
approaches that may or may not meet prescriptive
requirements. A whole-building performance model
allows tradeoffs to be made for components that
are important to the design but which exceed the
prescriptive requirements. In total, these tradeoffs must
be as efficient as the standard reference design.
R405.3 PERFORMANCE-BASED
COMPLIANCE
Compliance using the performance approach requires
a simulation of annual energy usage. In the simulation,
a model of the proposed building must have a lower
energy cost as compared to an energy cost index (ECI)
of a standard reference design. Alternatively, the code
permits an energy use simulation using the source
energy relative to the conditioned floor area, expressed
in Btu/ft2.
Off-site renewable energy is considered the same as any
other energy source but on-site renewable energy can
be excluded from the simulation.
R405.2 MANDATORY
REQUIREMENTS
RESIDENTIAL: PERFORMANCE PATH
In addition to providing a compliant energy model, the

building must also comply with all mandatory sections
in R401.2.
R405.4 DOCUMENTATION
The design professional must submit a compliance
report that documents that the proposed design has
annual energy costs less than or equal to the standard
reference design.
R405.4.1 COMPLIANCE SOFTWARE TOOLS

The documentation should include the software used
for the analysis, verifying its methods and accuracy.
R405.4.2 COMPLIANCE REPORT

The compliance report on the proposed design must be
submitted with the application for the building permit.
When the building has been completed, a separate
compliance report based on the as-built condition of the
building must be submitted to the code official before it
can receive a certificate of occupancy.
These reports must include the following information:
R405.4.2.1
R405.4.2.2
Compliance Report for

Permit Application
Compliance Report for

Certificate of Occupancy
Building address and identification information

A statement that the
proposed design complies
with the baseline energycost requirement
A statement that the

as-built building complies
with the baseline energycost requirement
The inspection checklist

found in Table R405.5.2(1)
A certificate indicating
the building passes the
performance matrix for
code compliance, and
listing the energy-saving
features of the building
A site-specific energy analysis report

The name of the person completing the compliance
report
The name and version of the software used
Fig X.XXX
R405.4.3 ADDITIONAL DOCUMENTATION

In addition to the documentation outlined above, the
code official also has the right to ask for any of the
following:
Documentation of the standard reference design
building component characteristics
A certification signed by the builder providing
the building component characteristics of the
proposed design, according to Table R405.5.2(1)
Documentation of the actual values used in the
calculations of the proposed design
R405.5 CALCULATION
PROCEDURE
To calculate the standard reference design, use the
values in Table R405.5.2(1)
Once the standard reference design has been
configured and analyzed, a model of the proposed
design using the same methods must show that it uses
less or equal energy than the standard reference design.
R405.6 CALCULATION SOFTWARE

TOOLS
The code lays out specific requirements for the software
used to calculate the annual energy consumption of all
building elements. Although any software meeting the
requirements in R405.6.1 is allowed, REM/Rate is widely
used.
The code official may also authorize tools for a specified
application or limited scope.
R406
ENERGY RATING
INDEX COMPLIANCE
ALTERNATIVE
A score of 0 is the rough equivalent of a

net-zero home, meaning that the home
produces an equivalent amount of energy to
the amount it uses.
The baseline ERI reference design
(score of 100) is a theoretical home that
meets minimum 2006 IECC prescriptive
requirements.
Each incremental integer value equals 1%
additional total energy use of the rated
design, relative to the reference design.
ERI differs from the performance and prescriptive
path in several ways. Firstly, ERI considers all of the
energy used in the residence, not just the fuel used
in heating, cooling and service hot water heating
systems. It also takes into account major appliances
and plug loads. ERI allows equipment and appliance
efficiencies to be involved in tradeoffs.
160...
150
140
130
120
ERI compliance path minimum

requirements by Climate Zone:
CZ4
CZ5
CZ6
54
55
54
110
100
90
100 = 2006 IECC code-compliant

house (baseline)
80
70
60
50
40
30
20
30
29
28
27
26
25
24
23
22
21
20
Each step
between 0 and
100 indicates
a 1% energy
use increase
between a
net-zero home
and the baseline
reference design.
ERI still requires that mandatory provisions of

the code be met. However, for building thermal
envelope efficiency and SHGC requirements, the ERI
method references the 2009 IECC tables, which are
more lenient.
10
DOCUMENTATION AND
COMPLIANCE
The ERI pathway is very similar to the HERS rating index, with 0 being a
net-zero design and 100 being the standard reference design
ERI ratings must be third party verified. Currently,

projects that choose this pathway must employ
a HERS rater to inspect the residence for proper
insulation, provide the blower door test and provide
the rating.
In Climate Zone 5, a rating of 55 or below meets
compliance and in Climate Zones 4 and 6 a rating
0 = Net-zero energy house
of 54 or below complies. Having a HERS Rater as part of

the design team can be a great resource to help simplify
the compliance process and deliver a higher-performing
building.
The code stipulates documentation, software, and
compliance report requirements similar to those in the
performance path, although this process is simplified by
having a third-party rater involved. The applicant will still
be required to file the results with the code official.
RESIDENTIAL: HERS INDEX
The Energy Rating Index (ERI) is a new compliance

path that provides designers with more flexibility
than the prescriptive path. The ERI is similar to the
RESNET HERS index:
Each home is rated and given a score on the
scale that coincides with its potential energy
use.
CHAPTER 5
EXISTING BUILDINGS
Implementing stricter energy codes on new construction will go a long way to reduce energy consumption in buildings
across the state. However, 85% of the buildings that will exist in 2030 already exist and represent a challenge for
reducing energy use. The energy code recognizes the difficulties involved with improving the performance of these
buildings.
The term existing buildings refers to buildings constructed before the codes provisions took effect. The IECC does
not require a legally-constructed existing building or system to comply with the current energy code provisions, but
does require any new additions and alterations to comply.
Note also that the 50% Rule is no longer in effectthe exemption for renovations, additions, and alterations from
being subject to the current state energy code unless the project affected more than half of the buildings systems.
Now, any work that is not a repair or maintenance and affects energy use must meet the same requirements as for
new construction.
R501 GENERAL
R503 ALTERATIONS
There are some exemptions for existing buildings.

Historic buildings may be exempt, however, the design
professional or preservation officer must submit a
report to show that compliance would interfere with
the historic nature of the building. The envelope
requirements in some very low energy buildings may be
exempt, for example a storage shed. Some renovation
projects may be exempt if they do not affect the energy
use of the building. Please note, even if the project is
exempt, documentation needs to be provided to the
code official proving that the project is exempt.
Although any alteration must comply, unaltered adjacent

building components do not need to be brought up to
code.
There are some exceptions listed in the code:
Storm windows installed over existing
fenestrations
Window film installed on existing single-pane
assemblies
Existing insulation in cavities exposed during
construction
R502 ADDITIONS
Construction where the existing roof, wall, or floor

cavity is not exposed
Additions can comply in two ways: The addition can

comply separately, or the addition and existing building
can comply as a single building. All mechanical systems
and water heating systems must comply with same
provisions as new construction.
Roof recover
When less than 50% of the luminaries in a space
are being replaced, assuming the installed lighting
power doesnt increase
REPAIRS AND MAINTENANCE
ALTERATIONS
dont need to be brought up to code
Must comply with Code
Unaltered adjacent
elements dont
need to comply
RESIDENTIAL: EXISTING BUILDINGS
Note that ASHRAE 90.1 2013 is more stringent; if

replacing over 10% of the luminaires, it needs to be code
compliant.
DOCUMENTATION
& INSPECTIONS
While it is important to understand the specific code provisions, it is equally important to understand how to prove
that the project complies to the enforcement entity.
Lack of proper documentation is often the reason that plans are denied. Projects that are noncompliant will be
delayed or stopped altogether until the designs are compliant and inspections are passed. This chapter includes easyto-follow guides for documentation and progress inspections.
For residential projects, the most common objections include improperly specified or installed insulation. Specifically,
the slab is not properly insulated and the interior foundation walls and ceilings have no insulation at all. Other
reasons include the lack of air sealing and inappropriately sized cooling systems. Interestingly, insulation is not the
main documentation problem for commercial projects, rather the lack of details and documentation for fenestration,
air sealing, duct sealing, HVAC, Service Hot Water, and LPD calculations and controls. Pay particular attention to
documenting these building components when ready to submit the construction documents to the code official.
80%
80% of objections are due to

documentation errors.
Common administrative mistakes include:

Documents incorrectly filled out
Incomplete supporting documentation
Just a COM/REScheck / energy model isnt
enough for compliance.
Backup documentation that the analysis
shown relates to that building is lacking.
On NYCs TR-8 form, usually all boxes need to be
filled out. Often a box is left unchecked.
Common technical mistakes include:

The project has filed for residential when they
should have filed for commercial, or vice versa.
Technical plans do not show a high-enough level
of detail.
Show proper detailing of continuous versus
batt insulation and air sealing details.
Show required HVAC performance data
including efficiencies, controls, and R-values
of duct insulation.
Energy-related window information is not
properly listed on the window schedules and
tagged to the exterior elevations
U-Factors cannot be simply be listed. The
calculations behind how the number was derived
must be shown.
Show both horizontal and vertical sections
DOCUMENTATION
COMMON COMPLIANCE ERRORS
C/R103
CONSTRUCTION
DOCUMENTS
The construction documents must be submitted to the
code official with the project filing.
C/R103.2 INFORMATION ON
CONSTRUCTION DOCUMENTS
C103.3 EXAMINATION OF
DOCUMENTS
When the code official decides that the construction
documents meet the requirements of the energy
code, they will stamp them as Reviewed for Code
Compliance, meaning that they are approved. Once the
documents are approved, a copy will be sent back to the
applicant and one will be kept by the code official.
The construction documents must represent the entire

project, including the building thermal envelope, HVAC,
service water heating, and lighting and electrical power
systems.
When the documents are accepted, no further changes

can be made without authorization from the code
official. Any changes made without authorization must
resubmit for approval.
Key each wall type, window type, HVAC unit, lighting

fixture, etc., to their locations in the drawings and show
where all supporting documentation for every item can
be found, and indicate how the design complies.
Phased approval of individual components may also be

pursued at the discretion of the code official.
Most Used Method Commercial
700
200
41
100
41
lys
is
t
ee
An
a
sh
er
gy
En
ys
is
et
An
al
he
En
er
gy
ks
so
er
Ot
h
70
59
W
or
ftw
ar
e
tiv
e
ip
cr
off
45
Pr
es
Location of daylight zones on floor plans
51
Tr
ad
e
Lighting fixture schedule with wattage and

control narrative
289
Fan motor horespower (hp) and controls
703
ec
Economizer description
800
700
600
500
400
300
200
100
0
ch
Air sealing details

Commercial Only:
Most Used Method Residential
RE
S
Duct sealing, duct pipe insulation, and location
W
or
k
Ot
he
r
Mechanical system design criteria

Mechanical and service water heating system
and equipment types, sizes and efficiencies
so
ftw
ar
e
ive
cr
ip
t
ff
Pr
es
CO
M
ch
Area-weighted U-Factor and solar heat gain

coefficients (SHGC) calculations
Equipment and system controls
79
50
eo
Fenestration U-factor and solar heat gain

coefficient (SHGC) calculations
246
300
Tr
ad
Insulation materials and their R-values
500
400
Both Commercial and Residential:
600
ec
The code stipulates including at least the following in

the construction documents:
693
These charts show how often each method of compliance is used.
DOCUMENTATION
C/R103.1 GENERAL
C/R104
INSPECTIONS
C/R104.1 GENERAL
APPROVAL PROCESS
The inspection process will vary by locality, but certain

inspections are laid out in the energy code itself. It is the
responsibility of the applicant to inform the code official
when each component is ready to be inspected.
The applicant must inform the code official when each

component is ready for inspection and provide ready
access to the site for the inspector.
Ensure that all components are inspected while they

are still exposed. The code explicitly states that the
applicant is responsible for the cost of removing
materials if necessary to complete the inspection.
The code inspector will also make sure that the work
that is being observed is the same as what is indicated
in the approved construction documents (see C/R103)
C/R104.2 REQUIRED INSPECTIONS
If the inspection is failed, a notice of deficiency is issued

and the work can be corrected and resubmitted. If the
issue is not corrected (or during any other point in the
approval process, if the code official deems that the
work doesnt comply with the energy code), they may
issue a stop work order. If the issue is not addressed, the
building will not receive a certificate of occupancy.
If the applicant feels that their filing was unfairly
rejected, there is a board of appeals that is able to
review the process. The board does not have the
authority to waive the code howeveronly to determine
if a previous decision was unfair.
INSPECTION COMMERCIAL
RESIDENTIAL
Footing and
foundation
inspection
R-value, location, thickness, depth of burial, and protection of insulation
Framing and
rough-in
inspection
Made before application of interior finish
Plumbing
rough-in
inspection
Types of insulation and corresponding

R-values and protection; required
controls; and required heat traps
Types of insulation and corresponding

R-values and protection; and required
controls
Mechanical
rough-in
inspection
Installed HVAC equipment type and

size; required controls; system insulation
and corresponding R-value; system and
damper air leakage; and required energy
recovery and economizers
Installed HVAC equipment type and

size; required controls; system insulation
and corresponding R-Value; system
air leakage control; programmable
thermostats; dampers; whole-house
ventilation; and minimum fan efficiency
Insulation and corresponding R-values, location and installation; fenestration properties

and installation; and air leakage
Systems serving multiple dwelling units

will be inspected according to the
commercial section
Electrical
rough-in
inspection
Installed lighting systems, components

and controls, and installation of an
electric meter for each dwelling unit
(submetering)
Not required
Final inspection
Verification that required building

controls were installed and work
correctly; commissioning was completed;
and any findings of non-compliance have
been corrected
Verification of the installation of all

required building systems, equipment
and controls, and their proper operation
and required number of high-efficacy
lamps and fixtures
The building cannot be considered for

a final inspection until the applicant has
received the Preliminary Commissioning
Report (from C408.2.4)
QUICK GUIDE TO DOCUMENTATION

DETAILS: COMMERCIAL
C103.2 INFORMATION ON CONSTRUCTION DOCUMENTS
Drawings must:
q Be drawn to scale
q Indicate the location, nature, and extent of the work proposed
q Detail pertinent data and features of the building, systems and equipment
Drawings must show:
Envelope
q Insulation materials and their R-values
q Fenestration U-factors and solar heat gain coefficients (SHGCs)
q Area-weighted U-factor and solar heat gain coefficient (SHGC) calculations
q Air sealing details
q Building thermal envelope depiction
Mechanical
q Mechanical system design criteria
q Mechanical and service water heating system and equipment types, sizes and efficiencies.
q Economizer description
q Equipment and system controls (including narrative describing function, operation and setpoints)
q Fan motor horsepower (hp) and controls
q Duct sealing, duct and pipe insulation and location
Lighting and Electrical Power
q Lighting fixture schedule with wattage and control narrative
q Location of daylight zones on floor plans
Commissioning
q Construction document indicates provisions for commissioning and completion requirements
q Create a commissioning plan
q Submit commissioning documents to the owner
q Submit commissioning statement to DOB that says the project complies with or is exempt from commissioning
requirements
QUICK GUIDE TO DOCUMENTATION

DETAILS: RESIDENTIAL
R103.2 INFORMATION ON CONSTRUCTION DOCUMENTS
Drawings must show:

Envelope
q Insulation materials and their R-values.
q Fenestration U-factors and solar heat gain coefficients (SHGC).
q Area-weighted U-factor and solar heat gain coefficients (SHGC) calculations.
q Air sealing details
q Building thermal envelope depiction
Systems
q Mechanical system design criteria.
q Mechanical and service water-heating system and equipment types, sizes and efficiencies.
q Equipment and system controls.
q Duct sealing, duct and pipe insulation and location.
DOCUMENTATION
Drawings must:
q Be drawn to scale
q Indicate the location, nature, and extent of the work proposed
q Detail pertinent data and features of the building, systems and equipment
PROGRESS INSPECTIONS
Progress inspections verify that the construction matches the construction documents. Progress inspectors will
identify if the envelope, systems, service water heating, electrical, and other building components are installed
according to code requirements.
Progress inspectors are registered design professionals with relevant experience. They are hired by the Owner from
an approved Progress Inspection Agency. The registered design professional of record can act as the inspector but
the contractor cannot (NYC rule). Otherwise, the progress inspector must have a minimum of 5 years experience
with energy code-related building systems (for commercial buildings, at least 3 of those years must be related to the
systems being inspected).
Where an inspection or test fails, the construction shall be corrected and must be made available for re-inspection
and/or retesting by the progress inspector until it complies.
ENERGY CODE QUICK GUIDE:

PREPARING FOR PROGRESS
INSPECTIONS
Provide a clear inspection list on construction drawings to show contractors what inspectors are looking for and when
to schedule.
Schedule progress inspections before roofs, ceilings, exterior walls, interior walls, floors, foundations, basements and
any other construction is enclosed.
WHAT INSPECTORS ARE LOOKING FOR:
ENVELOPE
q Visually inspect insulation and air sealing details
q Confirm insulation R-value
q Confirm fenestration labels for U-factor, SHGC, VT
q Confirm that dimensions of windows, doors and skylights match drawings
q Check that penetrations are properly sealed
q Visually inspect vestibules, loading docks and projections
q Report results of blower door test
MECHANICAL & PLUMBING
q Confirm tight-fitting fireplace doors
q Test a min. of 20% of shutoff dampers for proper operation
q Visually inspect that HVAC and hot water equipment matches drawings. Check rated efficiencies
q Confirm that installed controls match drawings for functionality and set points
q Visually inspect duct and pipe insulation
q Test a minimum of 20% of ducts for leakage
Commercial:
q Visually inspect light fixtures to confirm lighting power allowance
q Visually inspect exterior lighting fixtures
q Visually inspect lighting controls and test for functionality and proper operation
q Check exit signs and motors for compliance
OTHER:
q Are maintenance manuals present? Do they match equipment?
q Is Permanent Certificate installed?
DOCUMENTATION
ELECTRICAL POWER AND LIGHTING

q Visually inspect submeters and high-efficacy lamps
NYSERDA
New York State Energy Research & Development Authority
17 Columbia Circle
Albany, New York 12203
(518) 862-1090
www.nyserda.org

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ENERGY CODE TRAINING FOR

ARCHITECTS AND ENGINEERS

2015 New York State Energy Research and Development Authority

None of the parties involved in the funding or creation of the

2 DRAFT FOR REVIEW: NOT PROOFREAD

Commercial Energy Conservation Code

Residential Energy Conservation Code

Documentation and Inspections

3 DRAFT FOR REVIEW: NOT PROOFREAD

Welcome to Urban Green Councils Conquering the

4 DRAFT FOR REVIEW: NOT PROOFREAD

Upon completion of this course you will be able to:

CHALLENGE FOR THE INDUSTRY

Normalized EUI (1975 Use =100)

(0% = NetZero Energy

IECC updated year

Todays buildings will use

NET-ZERO ENERGY BUILDING

5 DRAFT FOR REVIEW: NOT PROOFREAD

Buildings that are designed to use less energy save

THE COST OF NON-COMPLIANCE

8% of annual energy cost is

5% of annual energy cost is

Figures from American Council for an Energy Efficient Economy

Research conducted by McGrawHill1 shows that the construction

6 DRAFT FOR REVIEW: NOT PROOFREAD

A study by the Harvard T.H. Chan

BENEFITS AND TRENDS

CLIMATE ZONES DETERMINE

The climate zones of New

Climate parameters affect the way a building uses

7 DRAFT FOR REVIEW: NOT PROOFREAD

Climatic factors greatly affect how the building must be

that block solar heat gain in the summer will also

ENERGY CODES USE

Provide renewable solar

Rain Water Harvest

Uses water for toilets + garden

White Roof or Green Roof

Reduces urban heat island effect

Sun Control Devices

Reduce solar heat gain in

Reduces energy use for heat +

Heat Recovery Ventilation or

Reduces energy use

Uses both heat + electric power

High Performance Windows

Increase comfort + save

FSC Wood Flooring

Supports sustainable forestry

Reduces energy use, improves

Low Water/Dual-Flush Toilet

Reduces water use

Continuous High R-value

Increases comfort + saves

Recycled Ceiling Tiles

Reduce resource use

ENERGY STAR Appliances

Reduce electrical + water use

Low VOC Green Cleaning

Improve indoor air quality

Increase awareness of energy

Reduces resource use