§ 103-07 Energy Audits and Retro-commissioning of Base Building Systems.
RCNY § 103-07
(a)Definitions. As used in this section, the following terms have the following meanings: ACCEPTABLE ENERGY EFFICIENCY REPORT (EER). An acceptable EER is a technical energy audit and retro-commissioning report filed by an energy auditor and retro-commissioning agent that meets the requirements of the Administrative Code and this section, as determined by the department. COMMON AREA. Common area is an area that is not considered a tenant area. Common area typically includes but is not limited to non-occupiable spaces such as egress corridors, egress stairwells, elevators, lobbies, public restrooms, janitorial closets, shared amenities, storage, mechanical or electrical rooms containing equipment that is owned, maintained and operated by the building owner. MAJOR EQUIPMENT, SUB-EQUIPMENT AND COMPONENTS. Major equipment is a base building system listed in Table 1: Table 1 – Major Equipment Group R occupanciesAll occupancies other than Group RGroup R occupanciesAll occupancies other than Group RBoilersAll boilers with rated input capacity greater than or equal to 300,000 Btu/hChillersAll chillersAll chillersCooling towers and dry coolersAll cooling towers and dry coolersAll cooling towers and dry coolersAir handling units (AHU), fan coil units (FCU), heat recovery units (HRU), heating and ventilation units (H&V), packaged and split air conditioning unitsCapacity greater than or equal to 2,500 CFMsCapacity greater than or equal to 5,000 CFMsHVAC motors, fans and pumpsGreater than or equal to 2.5HPGreater than or equal to 5 HPHeat exchangersServing 10,000 square feet or moreDomestic hot water heaters(Storage and instantaneous)All water heaters with rated input capacity greater than 155,000 Btu/hDomestic water pumpsGreater than or equal to 10 HP Sub-equipment and components of the associated major equipment are listed in Table 2: Table 2 – Sub-Equipment and Components of the Major Equipment Sub-equipment and componentsSub-equipment and componentsExisting cabinets/casingValvesGrillesTerminal and induction unitsActuatorsFiltersAccess doorsDampersAir outletsControl panelsChilled or hot water coilsFans and motorsControls and sensorsSteam or DX coilsVFDsInterlocksBeltsDuctworkElectrical/mechanical switchesVAV and fan powered boxesPipingOperating and modulating pressure controlsSteam traps NON-COMMON OWNER AREA. A non-common owner area is an occupiable space, as defined in Section 202 of the Building Code, that: (1) is not a non-common tenant area; and (2) is maintained by and accessible to the building owner. NON-COMMON TENANT AREA. A non-common tenant area is an area of a dwelling unit or other space leased or intended to be leased.
(b)References. Energy audit: Article 308 of Chapter 3 of Title 28 of the Administrative Code (Article 308); American Society of Heating, Refrigerating and Air-conditioning Engineers Inc. ("ASHRAE") Standard for Commercial Building Energy Audits – ASHRAE 211-2018 (American National Standards Institute (ANSI) approved/Air Conditioning Contractors of America (ACCA) co-sponsored). Retro-commissioning: Article 308; National Environmental Balancing Bureau (NEBB) Standard S120-2016 – Technical Retro-Commissioning of Existing Buildings (ANSI approved).
(c)Energy auditor and retro-commissioning agent qualifications.
(1)The energy auditor performing or supervising the audit may not be on the staff of the building being audited. The energy auditor must be a registered design professional, and the energy auditor or an individual under the direct supervision of the energy auditor must be one of the following: (i) a Certified Energy Manager or Certified Energy Auditor, certified by the Association of Energy Engineers (AEE); (ii) a High-Performance Building Design Professional certified by ASHRAE; (iii) a Building Energy Assessment Professional certified by ASHRAE; (iv) for audits of multifamily residential buildings only, a Multifamily Building Analyst, certified by the Building Performance Institute; or (v) an Energy Management Professional certified by the Energy Management Association.
(2)The retro-commissioning agent performing or supervising the retro-commissioning may not be on the staff of the building being retro-commissioned. The retro-commissioning agent must be a registered design professional, a certified Refrigerating System Operating Engineer, or a licensed High Pressure Boiler Operating Engineer. In addition, the retro-commissioning agent or an individual under the direct supervision of the retro-commissioning agent must be one of the following: (i) a Certified Commissioning Professional certified by the Building Commissioning Association; (ii) a Certified Building Commissioning Professional certified by the AEE; (iii) an Existing Building Commissioning Professional as certified by the AEE; (iv) a Commissioning Process Management Professional certified by ASHRAE; (v) an Accredited Commissioning Process Authority Professional approved by the University of Wisconsin; (vi) a Certified Commissioning Authority certified by the Associated Air Balance Council Commissioning Group; (vii) a Building Commissioning Professional certified by ASHRAE; (viii) a Commissioning Process Professional certified by NEBB; (ix) a Technical Retro-Commissioning Professional certified by NEBB; or (x) a Building Systems Commissioning Professional certified by NEBB.
(3)Registrations. An energy auditor or a retro-commissioning agent who is currently registered with the department and is not a registered design professional may continue to submit the EER as an approved agent until the expiration of the registration or December 31, 2021, whichever occurs first. No registration shall be renewed once expired. The provisions of §§ 28-401.6, 28-401.8 and 28-401.19 of the Administrative Code apply to such registered energy auditors and retro-commissioning agents.
(d)Energy audit procedures. An energy audit must be performed on the base building systems of a covered building prior to filing an EER. The scope of such energy audit must be at a minimum equivalent to the procedures, requirements, and reporting described for a Level 2 energy audit in accordance with ANSI/ASHRAE/ACCA Standard 211-2018 – Standard for Commercial Building Energy Audits, published by ASHRAE.
(e)Contents of the energy audit report. An audit report must be prepared for the owner that is at a minimum equivalent to the report prescribed by ANSI/ASHRAE/ACCA Standard 211-2018, or any subsequent, edition – Standard for Commercial Building Energy Audits, published by ASHRAE, and must include the information required by § 28-308.2 of the Administrative Code. The table of contents of the audit report must include all of the sections provided in the Level 2 energy audit report outline in Informative Annex D of standard 211-2018, or subsequent edition. Such report must be retained by the owner in accordance with subdivision (j) of this section. The energy auditor must certify that the audit satisfies the requirements of § 28-308.2 of the Administrative Code and this section. The energy audit report and certification form must be uploaded through the web-based Energy Audit template tool.
(f)Retro-commissioning procedures. The base building system components subject to retro-commissioning as per § of the Administrative Code must be assessed in accordance with NEBB Standard S120-2016,or any subsequent, edition – Technical Retro-Commissioning of Existing Buildings and § of the Administrative Code, as applicable to the requirements of this section, including the technical retro-commissioning process, the testing protocols, master list of findings and repairs and deficiencies corrected, deliverables and documentation. Deficiencies found in the assessment must be corrected, prior to submission of the EER, as required by this subdivision. The Current Facility Requirements (CFR) will be the following for all space uses served by a base building system, unless the agent provides acceptable rationale demonstrating otherwise. Acceptable rationale must be documented and can include needs of a space use as defined by owner interviews, tenant leasing requirements, and tenant controlled set points and setbacks. The CFR must be justified by references including ASHRAE fundamentals, heating, ventilation, and air conditioning (HVAC) systems and equipment, and applications handbooks, ANSI references, Illuminating Engineering Society (IES) lighting handbook, New York City Housing Maintenance Code (HMC), New York City Building Code (BC), approved design drawings and/or manufacturer's guidelines. Acceptable rationale does not include needs as a result of deficient equipment or historic operations. • Winter indoor space temperatures should be between 68 and 76 degrees F and summer indoor space temperatures should be between 72 and 80 degrees F during occupied periods of time for non-common tenant areas (without individual HVAC controls) and non-common owner areas of the facility. • Operating steam system pressure (cut-out setting) should not be greater than four psig for low pressure steam heated buildings. For any building requiring higher operating steam pressure, substantial documentation, including design/as-built documents indicating design operating steam pressure shall be submitted to, and accepted by the department. • Domestic hot water is stored and delivered per the HMC for Group R occupancies and per the New York City Plumbing Code requirements for all other occupancies. • Minimum outside air requirements are met in areas with mechanical supply ventilation per the design and/or New York City Mechanical Code effective at the time of installation of the major equipment. • Lighting levels (foot candles) are in accordance with the BC and HMC for all egress lighting, including common laundry rooms, and in accordance with the IES lighting handbook for all other space use types in the common areas and non-common owner areas. • Daily, weekly, and seasonal operating hours, including occupied and non-occupied hours, of the building and base building systems. • A description of the current space use of base building areas. • A description of any changes in space use that impact the energy consumption of the heating, cooling, ventilation, or domestic hot water systems. Retro-commissioning agent must consider the following to develop, document, and define the CFR: • Age of facility. • Interviews with owners, facility manager, and occupants. • Available design or as-built drawings. • Lease terms with regard to energy usage.
(i)Pre-testing verification. An inspection, documented through pre-test verification forms, of all major equipment and its sub-equipment and components located in all common areas, at least 20% of such equipment located in non-common owner areas and at least 10% of such equipment located in accessible non-common tenant areas must be conducted to check for cleanliness and proper operation. Such inspection ensures that the system is able to be tested. Where major equipment, sub-equipment, and components are found to require cleaning, repair or correction for proper operation, correct all deficiencies prior conducting functional performance testing and document the post-correction condition in the retro-commissioning report under issues log.
(ii)Functional performance testing. Performance verification through functional performance testing for all major equipment and its sub-equipment and components located in the common areas, at least 20% of such equipment located in the non-common owner areas and at least 10% of such equipment located in the non-common tenant areas must be performed during normal operating conditions. Functional performance testing includes but is not limited to all controls, actuation, automation and sequencing functions impacting energy consumption of the major equipment such as control sequence of operation, economizer function, staging and load distribution, automatic reset function and integrated system level testing. The functional performance test process and results must be reported on forms acceptable to the department. Proper function must be determined from field observation and may include interviews with facility staff, trend analysis, or dedicated data loggers. Where equipment requires correction, the condition must be corrected and the post-correction condition must be documented in the retro-commissioning report. Completed functional performance test forms must be included in the retro-commissioning report.
(iii)Temperature and pressure setpoints and setbacks. All major equipment and its sub-equipment and components located in all common areas, at least 20% of such equipment located in the non-common owner areas and at least 10% of such equipment located in the non-common tenant areas must be tested to verify that such system set points are appropriate to the CFR and setbacks operate during unoccupied periods as stated by the CFR. Where set points and setbacks require correction, the condition must be corrected and the post-correction condition must be documented in the retro-commissioning report.
(iv)Sensors. Sensors include the following in Table 3 below, if present and serving major equipment(s). Table 3 – Critical and Monitoring Sensors Associated with Major Equipment AHU/FCU/H&V/packaged andsplit AC unitsBoilerCooling towerChillerOA tempOA tempOA temp (Dry bulb and wet bulb)OA tempSupply and return air tempReturn tempInlet water tempEvap. water temp inMixed air tempSupply tempOutlet water tempEvap. water temp outSupply and return air flow rateSystem pressures (Steam Boilers)Flow rateCond water temp inStatic pressureIndoor zone tempHumidityCond water temp outZone temp-Supply and return tempZone temp and system pressures (A) All critical sensors that are part of a control sequence and have direct control of major equipment located in the common area must be tested for proper calibration. Acceptable and allowable tolerances for proper calibration must be supported by a reference acceptable to industry or manufacturer's guidelines. Where sensors require correction, the condition must be corrected and the post-correction condition must be documented in the retro-commissioning report. (B) For monitoring sensors that are not part of a control sequence, a sample set constituting at least 10% of all monitoring sensors within the common area must be tested for proper calibration. Acceptable and allowable tolerances for proper calibration must be supported by a reference acceptable to industry or manufacturer's guidelines. If more than 80% of the sample set is found to be satisfactory, then no further sampling is required for the purposes of the retro-commissioning report. If less than 80% of the sample set is found to be satisfactory, then all monitoring sensors must be tested for proper calibration. Where sensors require correction, the condition must be corrected and the post-correction condition must be documented in the retro-commissioning report.
(v)Simultaneous heating and cooling. All major equipment air handling units located in the common areas and at least 20% of the major equipment air handling units in the non-common owner areas must be tested to verify that simultaneous heating and cooling is not occurring, unless intended. Where unintended simultaneous cooling and heating is occurring, the condition must be corrected and post-correction condition must be documented in the retro-commissioning report.
(vi)Boilers tuned for optimal efficiency. A combustion efficiency test must be conducted for each low pressure major equipment boiler (includes H-stamped domestic hot water heater). Each boiler must be tuned and cleaned to perform as per manufacturer's guidelines for combustion efficiency (%), oxygen (%), carbon dioxide (%), ambient air temperature (degrees F), stack temperature (flue gas temp minus combustion air temp, degrees F), carbon monoxide (ppm), and smoke number, as applicable. If manufacturer's guidelines are not available, cleaning/tuning and combustion efficiency testing must be conducted to meet the requirements in Table 4 below at high and low fire rates for all fuel types. Results (Actual print-outs directly obtained from the calibrated combustion analyzer) of the combustion efficiency test must be included in the retro-commissioning report. Table 4 – Acceptable Range for Combustion Efficiency Test Results High fireLow fireResidential/Commercial gas firedCommercial oil firedCommercial gas firedCommercial oil firedAtmospheric and fan assist boilersPower burnersPower burnersPower burnersPower burnersOxygen (%)6% to 9%3% to 6%3% to 6%5% to 8%6% to 10%Stack temperature (deg. F)325 to 450350 to 550350 to 500300 to 380300 to 400Carbon monoxide (ppm) air free<50 ppm<100 ppm<100 ppm<100 ppm<100 ppmSmoke number--Zero or per manufacturer requirements-Zero or per manufacturer requirements (vii) Manual override remediation. In all cases where the major equipment has the capability of being operated automatically, the retro-commissioning agent must confirm that major equipment is not being manually operated. Where a manual override condition exists, it must be noted as a deficiency to be corrected, and the post-correction condition must be documented in the retro-commissioning report.
(viii)Leaks. Major equipment and its sub-equipment and components in all common areas, at least 20% of such equipment located in non-common owner areas and at least 10% of such equipment located in the accessible non-common tenant areas must be visually checked for water, steam, oil, or air leaks. These checks do not include duct tightness testing. All leaks identified must be repaired, and the post-correction condition must be documented in the retro-commissioning report.
(vii)Domestic hot water system temperature settings. All storage and delivery hot water temperatures of major equipment hot water heaters must be checked to verify that the water temperature settings are appropriate for the CFR. Where the temperature settings are found to require correction, the condition must be corrected and the post-correction condition must be documented in the retro-commissioning report.
(4)Envelope.
(5)Training and documentation. On-site documentation in accordance with § (3) of the Administrative Code must be verified and noted on the retro-commissioning report. Training of critical operations and maintenance staff on the energy conservation techniques and preventative maintenance schedules, based on manufacturer's guidelines or recognized industry standards, for all major equipment and subsystems must be documented in the retro-commissioning report.
(g)Contents of the retro-commissioning report. In accordance with § 28-308.3.1 of the Administrative Code, the retro-commissioning agent must prepare and certify a retro-commissioning report that satisfies the requirements of § of the Administrative Code and this rule. In establishing the table of contents, the retro-commissioning agent shall refer to "K. Informative Appendix – Retro-Commissioning Report" of the NEBB Standard S120-2016, or any subsequent, edition – Technical Retro-Commissioning of Existing Buildings as guidelines until a final retro-commissioning report outline is prescribed by the department. Such report must include the model number, serial number, last calibration date and manufacturer recommended calibration frequency for each reference instrument used for functional performance testing. The report must also include photos of deficiencies, adjustments and repairs. All photos must include a timestamp visible on the front of the photo within the report. Calibration certificates and additional photos must be provided, if requested by the department. The retro-commissioning report must be uploaded through the web-based Energy Audit template tool when submitting to the department. Such report must be retained by the owner in accordance with subdivision (j) of this section.
(h)Contents of the EER. An EER in accordance with § 28-308.5 of the Administrative Code must be submitted to the department in accordance with § 28-308.4 of the Administrative Code on forms prescribed by the department. The EER must include the Deep Energy Retrofit Plan Analysis tool when submitted to the department. The results of this tool must also be presented to the owner prior submitting to the department.
(j)Record retention. Owners of covered buildings as defined in § 28-308.1 of the Administrative Code must maintain the Energy Audit Report required by § 28-308.2.1 of the Administrative Code and the Retro-commissioning Report required by § 28-308.3.1 of the Administrative Code as proof of energy audits and retro-commissioning as required in Article 308. Such records must be retained for eleven years from the required submission date and must be made available to the department upon request.
(k)Fees. Owners of covered buildings must pay a filing fee as provided in 1 RCNY § 101-03.
(l)Extension of time to file report.
(m)EER under comprehensive review. A violation will be issued if an EER submission that is chosen for comprehensive review fails to resolve all issued objections after three revisions, or two years from the date of issuance of the first Notice of Objections, whichever occurs first. Such EER submission shall be subject to a penalty for failure to submit an acceptable EER in accordance with subdivision (n) of this section.
(n)Violation and penalty. Failure to submit an acceptable EER is a Major (Class 2) violation which may result in a penalty of $3,000 in the first year and $5,000 for each additional year until the EER is submitted to the department.
(o)Challenge to violations.
