Chapter 1 Material and Equipment Application Procedures

Chapter 2 Boiler Inspections

Chapter 3 Vacant and Unguarded Buildings

Chapter 4 Certificates of Occupancy, Live Loads and Occupancy Loads

Chapter 5 Concrete

Chapter 6 Cranes

Chapter 8 Demolition

Chapter 9 Rigging Operations

Chapter 10 Drums for Derrick Load and Boom Hoists

Chapter 11 Elevators, Escalators, Personnel Hoists and Moving Walks

Chapter 12 Emergency Power Systems

Chapter 13 Adjudications

Chapter 14 Fees [Repealed]

Chapter 15 Fire Protection

Chapter 16 Inspection of Existing Structures During Construction Operations

Chapter 17 Testing Laboratories and Testing Services

Chapter 18 Resistance to Progressive Collapse Under Extreme Local Loads

Chapter 19 Master Plumbers and Licensed Fire Suppression Piping Contractors

Chapter 20 Piping Systems

Chapter 21 Plans

Chapter 22 Pressure Tanks

Chapter 23 Noncommercial Greenhouses

Chapter 24 Refuse Chutes and Refuse Rooms

Chapter 25 Climber and Tower Crane Riggers

Chapter 27 Signs

Chapter 28 Smoke Detecting Devices and Systems and Carbon Monoxide Detecting Devices and Systems

Chapter 29 Sprinkler Systems

Chapter 30 Storage of Certain Waste Materials

Chapter 31 Suspension, Revocation or Limitation of Registration [Repealed]

Chapter 32 Walls [Repealed]

Chapter 33 Exemptions From Civil Penalties

Chapter 34 Electrical Code Rules

Chapter 35 Electrical Inspection

Chapter 36 Electrical Contractors

Chapter 37 Reference Standards

Chapter 38 Ventilation

Chapter 39 Cooling Towers and Evaporative Condensers

Chapter 40 Installation and Maintenance of Gas-Fueled Water and Space Heaters in All Portions of Dwellings Used or Occupied for Living Purposes

Chapter 41 Venting of Gas Water Heaters and Other Gas Appliances in Multiple Dwellings

Chapter 42 Entrance Doors, Locks and Intercommunication Systems

Chapter 43 Installation of Security Items in Multiple Dwellings

Chapter 44 Exemptions From Filing Requirements [Repealed]

Chapter 45 Building Permit Application Procedures

Chapter 46 Authorized Representatives

Chapter 48 Construction Superintendents [Repealed]

Chapter 49 Outdoor Signs

Chapter 50 Distributed Energy Resource Standards

Chapter 51 Dormitories

Chapter 52 Notification to the Department of Commencement of Work Pursuant to an Earthwork Permit

Chapter 100 [Administration; Enforcement; Maintenance of Buildings; Licensing; Miscellaneous Provisions]

Subchapter A Administration
Subchapter B Enforcement
Subchapter C Maintenance of Buildings
Subchapter D Licensing and Registration of Businesses, Trades and Occupations Engaged In Building Work
Subchapter E Miscellaneous Provisions

Chapter 300 Use and Occupancy Classification

Chapter 400 Special Detailed Requirements Based on Use and Occupancy

Chapter 900 Fire Protection Systems

Chapter 1000 Means of Egress

Chapter 1100 Accessibility

Chapter 3000 Elevators and Conveying Systems

Chapter 3300 Safeguards During Construction and Demolition

Chapter 3500 Referenced Standards

Chapter 3600 Appendices

Chapter 4000 Electrical Code

Chapter 5000 New York City Energy Conservation Code

Chapter 6000 Fuel Gas Code

Chapter 7000 Mechanical Code

Chapter 8000 New York City Plumbing Code

Chapter 9000 Zoning

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Subchapter A Administration

(Repealed eff. 8/12/2016)
   (a)   Pursuant to section 28-104.6, Exception 4, of the administrative code, the commissioner is authorized to allow persons other than registered design professionals to be the applicant for the approval of construction documents. Pursuant to section 28-104.7.12 of the administrative code, the commissioner is authorized to waive the submission of any of the required construction documents and other data if review of such documents is not necessary to ascertain compliance with this code or not required for the phase of work for which a permit is sought. Notwithstanding the following provisions, the commissioner reserves the right to require the filing of narratives or sketches showing compliance with the provisions of this code for the categories of work described below.
      (1)   Selected plumbing work. In connection with the filing of applications for construction document approval, the applicant need not be a registered design professional and required plans need not be submitted for the following types of plumbing applications:
         (i)   Temporary exhibits. Temporary exhibits, defined for purposes of this rule as plumbing for temporary installations used for exhibition purposes when not designed for sanitary use and not directly connected to a sewerage, water supply, or water distribution system.
         (ii)   Domestic gas dryers in residential occupancies. Domestic gas dryers in residential occupancies that are vented directly through an exterior wall and that comply with items A through I, below:
            (A)   Licensed Master Plumber required. The installation application shall be filed by a Licensed Master Plumber (LMP) as a Limited Alteration Application (LAA1).
            (B)   Limitation to R-3 occupancies. The installation shall be limited to a one- or two-family residence, three stories or fewer in height.
            (C)   Testing and installation of gas dryers. The gas dryers shall comply with the reference standards in Section FGC 613 and the installation shall comply with the manufacturer's instructions including any special vent pipe material for relatively low flue gas temperatures as recommended by the manufacturer.
            (D)   Wall penetration. The vent and combustion air wall penetration shall be limited to a single penetration of four inches in diameter or one opening that is a maximum of four inches square. The entire exhaust system shall be supported and secured in place.
            (E)   Dryer duct. The maximum length of a clothes dryer duct shall not exceed 25 feet from dryer location to the outlet terminal. Deductions for bends must be accounted for as outlined in Sections MC 504.6.1 and FGC 614.6.1.
            (F)   Sketches required. The LMP shall submit detailed sketches of the piping installation and wall penetration. (See Figure 1 below).
            (G)   Vent termination. The location of the vent termination shall comply with Section FGC 614.4, the manufacturer's specifications, and the following:
               1.   Vent termination shall not be located at lot line walls or within three feet of lot lines;
               2.   The front, side or rear wall vent terminations shall be free of obstructions;
               3.   The vent opening shall not be located or constructed so as to create a fire or health hazard;
               4.   The LMP shall ensure that the building's structural integrity is not compromised due to the wall penetration opening. Openings shall be located so as to avoid cutting into studs, joists, or any other structural member;
               5.   Clearance from regional snow line. The vent shall be a minimum of three feet above the adjacent grade; and
               6.   Vent termination shall be thermally sealed in accordance with section 402.4 of the Energy Conservation Construction Code of New York State (ECCCNYS).
            (H)   Inspection. A gas roughing-in, gas test and gas finish inspection by the Department of Buildings or self certification shall be required on new installations. When filing for existing dryers that vent through the outer wall, only a finish inspection is required when filed on an LAA1 form.
            (I)   Gas authorization. Upon successful inspections, the LMP shall request gas authorization and an LAA1 sign-off.
         (iii)   In-kind replacement of gas-fired boilers, hot water heaters and furnaces. In-kind replacement of gas-fired boilers, hot water heaters and furnaces that are vented directly through exterior walls, and comply with items A through I, below:
            (A)   Licensed Master Plumber required. The installation application shall be filed by a Licensed Master Plumber (LMP) as a Limited Alteration Application (LAA1).
            (B)   Limitation to R-3 occupancies. The installation shall be limited to a one- or two-family residence, three stories or fewer in height.
            (C)   Testing and installation of gas-fired boiler, hot water heater or furnace. The gas-fired boiler, hot water heater or furnace shall be tested in accordance with Section FGC 631.1 and the installation shall comply with the manufacturer's instructions, including any special vent pipe material for relatively low flue gas temperatures.
            (D)   Efficiency and input capacity. The boiler, heater, or furnace must have a minimum efficiency of 85% or as required by the ECCCNYS, whichever is greater, and an input capacity of 350,000 Btu/hr or less.
            (E)   Wall penetration. The vent and combustion air wall penetration shall be limited to a single penetration of six inches in diameter or one opening that is a maximum of six inches square. The Department may permit two separate penetrations of four inches in diameter, provided the LMP performing the work certifies in the job description of the LAA1 that no adapter is available from the manufacturer for the given equipment and provides valid manufacturer's contact information for verification of the unavailability of adapters.
            (F)   Sketches required. The LMP shall submit a detailed sketch of the piping installation and wall penetration. (See Figure 2 below).
Figure 2 – Sample sketch to be submitted with LAA1
            (G)   Vent termination. The location of the vent termination shall comply with ANSI Z21.13, the manufacturer's specifications, and the following:
               1.   Vent termination shall not be located at lot line walls or within three feet of lot lines;
               2.   The front, side or rear wall vent terminations shall be free of obstructions;
               3.   The vent opening shall not be located or constructed so as to create a fire or health hazard;
               4.   The LMP shall ensure that the building's structural integrity is not compromised due to the wall penetration opening. Openings shall be located so as to avoid cutting into studs, joists, or any other structural member;
               5.   Clearance from regional snow line. The vent shall be a minimum of three feet above the adjacent grade; and
               6.   Vent termination shall be thermally sealed in accordance with ECCCNYS section 402.4
            (H)   Inspection. A gas roughing-in, gas test and gas finish inspection by the Department of Buildings shall be required. Self certification shall not be permitted.
               (I)   Gas authorization. Upon successful inspections, the LMP shall request gas authorization and an LAA1 sign-off.
               (2)   Selected mechanical work. In connection with the filing of applications for construction document approval, the applicant need not be a registered design professional and required plans need not be submitted for the following types of mechanical applications:
                  (i)   Fuel-oil burning equipment. Replacement of or alteration to existing fuel-oil burning equipment, provided that the applicant is a licensed oil burner-installer, the aggregate capacity of the equipment does not exceed 600,000 BTU per hour and the number of fuel-oil burning devices does not increase or decrease by more than one unit.
                  (ii)   Fuel-oil storage tanks. Replacement of existing fuel-oil storage tanks, provided the applicant is a licensed oil burner-installer, the capacity of each replacement tank does not exceed 330 gallons and each such replacement tank meets the alternate tank design and construction standards contained in Section MC 1305.14.
               (3)   Selected fire suppression work. In connection with the filing of applications for construction document approval, the applicant need not be a registered design professional and required plans need not be submitted for the following types of fire suppression applications which shall be classified as Limited Sprinkler Applications:
                  (i)   An alteration to an existing sprinkler system where the total cost of the proposed work in the building does not exceed twenty five thousand dollars in any 12-month period and the proposed work is limited to the following:
                     (A)   Replacement of parts required for the operation of a sprinkler system;
                     (B)   Replacement of sprinkler heads, provided that orifice sizes, type and deflector positions remain the same;
                     (C)   Changes that do not alter the type of sprinkler system;
                     (D)   Relocation of piping that does not affect the operation of the sprinkler system;
                     (E)   Rearrangement of not more than 20 sprinkler heads in areas presently sprinklered in light hazard occupancy, as such term is defined in reference standards, which will remain in such occupancy, provided that the addition of sprinkler heads in existing systems shall be limited to light hazard occupancies in rooms or spaces not exceeding 800 feet (74.3 m2) requiring only one head with the maximum spacing allowed by the code, and provided that the number of new heads does not exceed a total of five; or
                     (F)   Rearrangement of not more than 20 sprinkler heads in areas presently sprinklered in restaurant service areas classified in Group 1 ordinary hazard occupancy or mercantile areas classified in Group 2 ordinary hazard occupancy, as such term is defined in reference standards as modified by Appendix Q of the building code, which will remain in such occupancy, provided that the addition of sprinkler heads in existing systems shall be limited to such occupancies in rooms or spaces not exceeding 800 square feet (74.3 m2) requiring only one head with the maximum spacing allowed by the code, and provided that the number of new heads does not exceed a total of five.
   (b)   Work shall comply with all requirements of the applicable codes and other applicable laws and rules, including, where applicable, those imposed by other governmental agencies.
   (c)   Nothing in this rule is intended to alter or diminish any obligation otherwise imposed by law on others, including but not limited to, the owner, construction manager, general contractor, contractor, materialman, architect, engineer, site safety manager, land surveyor, or other party involved in a construction project to engage in sound engineering, design, and construction practices, and to act in a reasonable and responsible manner to maintain a safe construction site.
The department shall be authorized to charge the following fees:
 
Periodic inspection or Reinspection of high-pressure boilers, low-pressure boilers and elevators following a violation.
$65 per device
Acknowledgement.
$2 each
Certificate of occupancy.
$5 per copy
Certificate of pending violation: Multiple and private dwellings.
$30 per copy
Certified copy of license.
$5 per copy
Records management fee for applications for new buildings and alterations and associated documentation.
$45 for one-, two- or three-family dwellings
$165 for all other types of buildings
   •   Exception: Applications that are exempt from fees in accordance with §28-112.1 of the administrative code
Boiler filings
   •     Affirmation of correction
$30
   •     Filing extension
$15
   •     Removal or disconnection
$45
   •     Waiver of penalties
$30
Preparing only or preparing and certifying a copy of a record or document filed in the department, other than a plan, certificate of occupancy or certificate of pending violation.
$8.00 for the first page and $5.00 for each additional page or part thereof (a page consists of one face of a card or other record)
Half-size print from microfilm of a plan thirty-six by forty-eight inches or less.
$8.00 per copy
$5.00 per additional copy
Half-size print from microfilm of a plan exceeding thirty-six by forty-eight inches.
$16.00 per copy
$5.00 per additional copy
Electrician's license.
Initial:
$310
Renewal
$90
Late Renewal:
$400 (initial fee plus renewal fee)
Reissuance:
$50
Licensing:
   •     Written examination
$525
   •     Practical examination
$350
   •     Background investigation class 1 (includes experience)
$500
   •     Background investigation class 2 (does not include experience)
$330
Private elevator inspector certification.
Initial: $50
Renewal: $75 triennially
Late-renewal: $50
Reissuance: $50
Private elevator inspection agency certification.
Initial: $100
Renewal: $150 triennially
Late-renewal: $50
Reissuance: $50
Elevator agency director/co-director license.
Initial: $100
Renewal: $150
Late-renewal: $50
Reissuance: $50
Elevator inspector license.
Initial: $50
Renewal: $75
Late-renewal: $50
Reissuance: $50
Concrete safety manager registration.
Initial: $150
Renewal: $100
Late-renewal: $50
Reissuance: $50
Electrical permit initial application (excluding minor work).
$40
Electrical permit (excluding minor work)
Fee per unit (NOTE: The total additional fee is computed by calculating the sum of the units. The total additional fee, due prior to electrical sign-off or as otherwise provided by the department's rules, shall not exceed five thousand dollars):
   •     Each outlet, each fixture, each horsepower or fraction thereof of a motor or generator, each kilowatt or fraction thereof of a heater, each horsepower or fraction thereof of an air conditioner, each kilovolt-ampere or fraction thereof of a transformer installed, altered or repaired shall be assigned the value of one unit:
1-10 units
$0
Over 10 units
$.25
   •     For each service switch installed, altered or repaired:
0-100 Amperes
$  8.00
101-200 Amperes
$30.00
201-600 Amperes
$105.00
601-1200 Amperes
$225.00
Over 1200 Amperes
$375.00
   •     For each set of service entrance cables and for each set of feeder conductors installed, altered or repaired:
Up to #2 conductors
$15.00
Over #2 to #1/0 conductors
$30.00
Over #1/0 to 250 MCM
$45.00
Over 250 MCM
$75.00
   •     For each panel installed, altered or repaired:
1 phase up to 20-1 or 10-2 pole cutouts or breakers
$15.00
1 phase over 20-1 or 10-2 pole cutouts or breakers
$37.50
3 Phase up to 225 amperes
$50.00
3 Phase over 225 amperes
$75.00
   •     For each sign manufactured (in-shop inspections):
$40.00
   •     For each sign manufactured (on-site inspections):
0 to 30 square feet
$65.00
31 to 60 square feet
$90.00
Over 60 square feet
$115.00
   •     For each elevator:
10 floors or less
$125.00
Every additional ten or fewer floors
$83.00
   •     For wiring or rewiring boiler controls in buildings.
$12.00
Electrical permit (minor work pursuant to §27-3018(h) of the Administrative Code).
$15
Duplicate copy of notice of electrical violation.
$5
Elevator filings
   •     Category 3 and 5
$40
   •     Affirmation of correction
$40
   •     Waiver of penalties
$35
Technical report filings
   •     Concrete
$130 per filing
Façade inspection reports
   •     Initial filing
$265
   •     [Application for amendment]; Amended/subsequent filing
$100
   •     Application for extension of time to complete repairs
$135
Reinspection made necessary by a failure to correct a condition or respond to a request to correct that results in issuance of a violation or other order.
$85 each inspection
On-site inspection of cranes application renewal.
$100 each inspection
Outrigger beam application review.
Initial:
$100
Amendment:
$100
Renewal:
$90
Accelerated inspection made necessary by a request for an after hours inspection.
$95 each inspection plus $50 for every 2,000 square feet of floor area, but not less than $50 per story.
Special inspection agency registration.
Initial:
$200 plus a $30 endorsement fee per special inspection category
Renewal:
$90 plus a $30 endorsement fee per special inspection category
Energy efficiency reports
   •     Initial filing
$375
   •     Extension request
$155
   •     Amendments
$145
Energy Code compliance review
$220
Filing representative registration.
Initial:
$50 for a 1-year registration or $150 for a 3-year registration.
Renewal:
$50 for a 1-year renewal or $150 for a 3-year renewal.
Late-renewal:
$50
Reissuance:
$50
Filing structurally compromised building
inspection report
$500
Retaining wall inspection reports
   •     Initial filing
$355
   •     Amended filing
$130
   •     Application for extension of time to complete repairs
$260
Registration of energy auditor or retro-commissioning agent who is not a registered design professional.
Initial:
$200
Renewal:
$90
 
   (a)   Definitions. For the purposes of this chapter, the following terms will have the following meanings:
      (1)   Accreditation. Evaluation of agencies, including testing and calibration laboratories, fabricators and inspection bodies, against internationally acceptable standards to demonstrate their performance capability. Such accreditation is required to be conducted by a nationally recognized accreditation agency accrediting to ASTM E329-14 or ISO 17020-98 international standard, the requirements of this rule, and approved by the department.
      (2)   Approved Construction Documents. For the purpose of this rule approved construction documents will include any and all documents that set forth the location and entire nature and extent of the "work" proposed with sufficient clarity and detail to show that the proposed work conforms to the provisions of this code and other applicable laws and rules. Such documents will include but not be limited to shop drawings, specifications, manufacturer's instructions and standards that have been accepted by the design professional of record or such other design professional retained by the owner for this purpose.
      (3)   Approved Inspection Agency. This term has the same definition as established in section 28-101.5 of the Administrative Code.
      (4)   Certification. Documented acknowledgment by a nationally recognized organization of a technician's competency to perform certain functions.
      (5)   Commissioner. This term has the same definition as established in section 28-101.5 of the Administrative Code.
      (6)   Department. This term has the same definition as established in section 28-101.5 of the Administrative Code.
      (7)   Floor Area, Gross. This term has the same definition as established in section 1002.1 of the Building Code.
      (8)   Full Demolition. This term has the same definition as established in section 3302.1 of the Building Code (Demolition, Full).
      (9)   Job. A construction project that is the subject of one (1) or more department-issued permits.
      (10)   Major Building. This term has the same definition as established in section 3302.1 of the Building Code.
      (11)   Materials. This term has the same definition as established in section 28-101.5 of the Administrative Code.
      (12)   New York City Construction Codes. The New York City Plumbing Code, the New York City Building Code, the New York City Mechanical Code, the New York City Fuel Gas Code, the New York City Energy Code, and Title 28, chapters 1 through 5 of the Administrative Code. Any reference to "this code" or "the code" will be deemed a reference to the New York City Construction Codes as here defined.
      (13)   Partial Demolition. This term has the same definition as established in section 3302.1 of the Building Code (Demolition, Partial).
      (14)   Registered Design Professional. A New York State licensed and registered architect (RA) or a New York State licensed and registered professional engineer (PE).
      (15)   Registered Design Professional of Record. The registered design professional who prepared or supervised the preparation of applicable construction documents filed with the department.
      (16)   Relevant Experience. Direct participation and practice related to the underlying construction activities that are the subject of the special inspection where such participation has led to accumulation of knowledge and skill required for the proper execution of such inspection.
      (17)   Special Inspection. Inspection of selected materials, equipment, installation, methods of construction, fabrication, erection or placement of components and connections, to ensure compliance with approved construction documents and referenced standards as required by Chapter 17 of the Building Code or elsewhere in the code or its referenced standards.
      (18)   Special Inspection Agency. An approved inspection agency employing one (1) or more persons who are special inspectors and that has met all requirements of this rule.
      (19)   Special Inspection Category. The specific type(s) of special inspection(s) that a special inspection agency may perform in accordance with Appendix A of this rule.
      (20)   Special Inspector. An individual employed by a special inspection agency, who has the required qualifications set forth in this rule to perform or witness particular special inspections required by the code or by the rules of the department, including but not limited to a qualified registered design professional.
      (21)   Supervise/Supervision. With respect to a designated Primary Inspector or Inspection Supervisor as indicated in Appendix A, supervision will mean oversight and responsible control by a registered design professional having the necessary qualifications and relevant experience to perform responsibilities associated with the special inspection. Such supervision will include ensuring training and/or education necessary to qualify the special inspector for his or her duties, including continued training and education necessary to keep pace with developing technology.  Field supervision will include responsibility for determining competence of special inspectors for the work they are authorized to inspect and on-site monitoring of the special inspection activities at the job site to assure that the qualified special inspector is performing his or her duties when work requiring inspection is in progress.  With respect to a director of a Special Inspection Agency, supervision will mean oversight and responsible control by a registered design professional who must ensure that qualified inspectors are dispatched for special inspections, that such special inspectors properly document their activities, and that reports and logs are prepared in accordance with section 28-114.2 of the Administrative Code. Such supervision will include ensuring training and/or education necessary to qualify the special inspector for his or her duties, including continued training and education necessary to keep pace with developing technology.
      (22)   Technician. A person employed by the special inspection agency assigned to perform the inspection or testing of construction activities or materials used in construction or both. See ASTM E 329-14, paragraph 3.1.8.
      (23)   Work. The construction activity including techniques, tests, materials and equipment that is subject to special inspection.
   (b)   Duties.
      (1)   Availability and Compliance. A special inspector and/or special inspection agency shall have responsibilities as set forth in chapter 17 of the New York City Building Code and elsewhere in the codes where special inspections are required. The responsibilities of the special inspector or special inspection agency at a special inspection shall include those tasks and standards set forth in chapter 17 of the code, the reference standards and elsewhere in the code, this rule or any rule of any agency in connection with the work that is the subject of such special inspection.
      (2)   Obligation to Avoid Conflict of Interest. A special inspector and/or a special inspection agency must not engage in any activities that may conflict with their objective judgment and integrity, including but not limited to having a financial and/or other interest in the construction, installation, manufacture or maintenance of structures or components that they inspect. It is not, in and of itself, a conflict of interest for a registered design professional of record to perform a special inspection(s) on the project he or she designed.
      (3)   Approved Construction Documents. The special inspector and/or special inspection agency shall:
         (i)   Examine all approved construction documents that relate to the work that is the subject of the special inspections.
         (ii)   Confirm that the documents are sufficient to enable the proper performance of the special inspection.
         (iii)   Confirm that the documents are acceptable to the registered design professional of record or another design professional retained by the owner and who prepared the documents for the construction of the job. Acceptance shall be demonstrated in writing by the design professional on the documents.
         (iv)   Confirm that the work that is the subject of the special inspection is in compliance with all relevant approved construction documents and with chapter 17 of the New York City Building Code or elsewhere in the construction codes or their referenced standards.
      (4)   Documentation. A special inspection agency shall maintain records of special inspections on a job-by-job basis for at least six (6) years or for such period as the commissioner shall determine, and shall make such records available to the department upon request. Such records shall include field logs, test results, laboratory reports, notes, noted deficiencies and dates of cures of such deficiencies, photographs and such other information as may be appropriate to establish the sufficiency of the special inspection.
         (i)   The supervisor shall review special inspection progress reports and final reports for conformance with the approved plans, specifications and workmanship provisions of chapter 17 of the New York City Building Code or elsewhere in the construction codes or their referenced standards. Such supervision and control shall be evidenced by the supervisor's signature and seal upon any required statements, applications and/or reports.
         (ii)   The principal of the special inspection agency shall file with the department within ten (10) days of satisfactory completion of any special inspection, notice of such completion on the forms and in the manner required by the department.   
      (5)   Obligation to Cooperate with Inquiries. All special inspectors and/or special inspection agencies shall cooperate with any investigation, including any audit investigation, by the department, or other city or law enforcement agency, into the activities at any job site or fabricating/manufacturing facility for which they have been designated a special inspector or special inspection agency and shall provide prompt, accurate and complete responses to reasonable inquiries by the department and other appropriate agencies about the conduct of such business.
      (6)   Limitation of Duties. Activities as a special inspection agency are specifically limited to those special inspections for which the special inspection agency has been registered and for which it has satisfied the requirements set forth in this rule and chapter 17 of the New York City Building Code. No special inspector or special inspection agency shall conduct any special inspection that such inspector or inspection agency is not qualified or registered to perform in accordance with the requirements of this rule and chapter 17 of the New York City Building Code.   
      (7)   Obligation to Comply with an Order of the Commissioner. All special inspectors and/or special inspection agencies shall comply with an order of the commissioner.   
      (8)   Equipment and Tools. The special inspection agency shall possess and maintain tools and equipment required to perform the specific special inspection. Such tools and equipment shall be maintained and calibrated periodically in accordance with applicable nationally accepted standards governing that equipment or tool.   
      (9)   Reporting. The special inspection agency shall report any discrepancies noted during the inspection to the contractor and when applicable to the superintendment of construction, as well as to the site safety coordinator or site safety manager, for correction. If the discrepancies are not corrected, the discrepancies shall be brought to the attention of the owner, and the registered design professional of record prior to the completion of that phase of the work. The special inspector/special inspection agency shall report conditions noted as hazardous to life, safety or health that are not immediately corrected to the immediate attention of the commissioner.
      (10)   Service of process. All special inspection agencies must have an agent for the acceptance of service or maintain a New York City address. A Post Office Box will not be acceptable for such purposes. All agencies must comply with the requirements of this paragraph upon registration.
   (c)   Registration of Special Inspection Agencies.
      (1)   General. All agencies performing special inspections must be registered with the department as special inspection agencies.
      (2)   Form and Manner of Registration. An application for registration must be submitted in a form and manner determined by the commissioner, including electronically, and must provide such information as the commissioner may require. Such registration will be deemed an acknowledgement by the special inspection agency of its obligations hereunder.
         (i)   Registration of Special Inspection Categories. Agencies must register for each special inspection category that the agency intends to perform.
         (ii)   Registration of Special Inspection Classes. Agencies must register as class 1, class 2, or class 3 special inspection agencies for each special inspection category for which the agency registers.
            (A)   Class 1. An agency registered as a Class 1 special inspection agency for a special inspection category will be permitted to perform the work associated with such special inspection category on any project.
            (B)   Class 2. An agency registered as a Class 2 special inspection agency for a special inspection category will be permitted to perform the work associated with such special inspection category on any project, except those involving:
               1.   The construction of a new major building;
               2.   The full demolition of a major building;
               3.   The alteration of a major building including:
                  a.   The removal of an entire story or more;
                  b.   The partial demolition of twenty thousand (20,000) square feet or more of gross floor area; or
                  c.   The partial demolition of twenty (20) percent or more of the gross floor area.
               4.   The enlargement of a major building by more than ten thousand (10,000) square feet of gross floor area.
            (C)   Class 3. An agency registered as a Class 3 special inspection agency for a special inspection category will be permitted to perform the work associated with this category on the following projects only:
               1.   The construction, demolition, or alteration of a one-, two-, or three-family dwelling; or
               2.   The alteration of any building, including partial demolition, of less than ten thousand (10,000) square feet of gross floor area in total.  Exception: The special inspection categories of underpinning, mechanical means and methods of demolition, and the protection of the sides of excavations greater than ten (10) feet in depth must be performed only by special inspection agencies registered as either class 1 or class 2 special inspection agencies for such categories.
      (3)   Agency Accreditation. For class 1 special inspection agencies only, accreditation is required in order to maintain their class 1 registration status. These agencies will be required to demonstrate accreditation for their intended scope of work by an approved accrediting body accrediting to the standards set forth in this rule and either ASTM E329-14 or ISO 17020-12. Accrediting bodies other than federal agencies are required to operate in accordance with ISO 17011-04 and must be members of an internationally recognized cooperation of laboratory and inspection accreditation bodies subject to a mutual recognition agreement.  Exception: For the following special inspection categories, the accreditation deadline shall be twelve months from the effective date of this rule amendment:
         (i)   Mastic and Intumescent Fire-resistant Coatings;
         (ii)   High Temperature Hot Water Piping;
         (iii)   Post-Installed Anchors (Concrete & Masonry); and
         (iv)   Raising and Moving of a Building.
      (4)   Qualifications. All special inspection agencies must ensure that the special inspectors employed by the agency meet the qualification requirements set forth in Appendix A of this rule and perform special inspections only within the area of expertise for which such special inspectors are qualified. A Professional Engineer who is listed in Appendix A as requiring qualification in civil, structural, mechanical, electrical, fire protection, geotechnical or such other designation must have had the education, training and experience that has led to an accumulation of knowledge and skill required for the Professional Engineer to hold himself/herself out as a professional practicing in that field.
      (5)   Insurance. All special inspection agencies must have the following insurance coverage:
         (i)   Professional liability/errors and omissions insurance policy for the minimum amount of five hundred thousand dollars ($500,000.00), claim-based, for the term of the registration.  Exception: An agency that is limited to performing fuel-oil storage and fuel-oil piping inspections, sprinkler systems, standpipe systems, emergency and standby power systems, private on-site storm water disposal and detention system installation, and/or individual on-site private sewage disposal system installation special inspections, and whose director is not a registered design professional, will be exempt from obtaining professional liability insurance coverage. This exception applies so long as the director maintains the insurance requirements required for his/her respective license in accordance with Chapter 4 of Title 28 of the Administrative Code.
         (ii)   Insurance required by the provisions of the New York State Workers' Compensation and disability benefits laws.
      (6)   Agency Structure. A special inspection agency must have one primary and up to four (4) alternative full-time directors who are registered design professionals in charge and all special inspections must be performed under their direct supervision. The directors must not be retained by any other agency that provides special inspection or testing services. The directors must possess relevant experience in the inspection and testing industry and hold management positions in the agency. The agency structure must comply with all relevant New York State and Federal laws. Notwithstanding anything to the contrary set forth in this paragraph, an agency that is limited to conducting fuel-oil storage and fuel-oil piping inspections, sprinkler systems, standpipe systems, emergency and standby power systems, private on-site storm water disposal and detention system installation, or individual on-site private sewage disposal system installation special inspections may have directors who satisfy the requirements of inspection supervisor for such tests and inspections as set forth in Appendix A of this rule.
      (7)   Audits. The operations of special inspectors and special inspection agencies will be subject to audit by the department at any time. Audits may involve the examination of applications for registration as well as the performance and documentation of special inspections. Audits may also be conducted upon receipt of complaints or evidence of falsification, negligence or incompetence.
      (8)   Registration Term. The term of an initial registration is three (3) years, beginning on the applicant's birthday following the date of registration, and may be renewed for additional three (3) year periods after such initial registration.
      (9)   Registration Fees. Fees will be those set forth in 1 RCNY §101-03 of these rules.
      (10)   Renewals. A renewal application must be submitted between sixty (60) and ninety (90) days prior to the expiration date of the registration and must be accompanied by proof that the agency has, during the one (1) year period immediately preceding renewal, maintained all certifications/accreditations and other requirements set forth in this rule and its Appendix.
         (i)   Renewal will be precluded where there has been a finding by the commissioner that any special inspection or test conducted by the special inspector or special inspection agency has not been performed in accordance with the requirements set forth in the code, applicable reference standards or the rules of the department, or where there has been a finding by the commissioner of fraud or misrepresentation on any document or report submitted to the department by the special inspector or special inspection agency.
         (ii)   No special inspector or special inspection agency will perform an inspection or test with an expired or lapsed registration.
   (d)   Disciplinary Actions.
      (1)   Suspension or revocation of registration and refusal to accept filings. The commissioner may, in accordance with the rules of the department, suspend or revoke a special inspection agency registration, with or without the imposition of penalties, for violation of any provision of the code or the rules of the department, or any other applicable laws or rules. The commissioner may refuse to accept any application or other document submitted pursuant to or in satisfaction of any requirement of this rule or of chapter 17 of the New York City Building Code or any rule or regulation of any agency that bears the signature of any special inspector who has been found, after an opportunity to be heard to have knowingly or negligently made a false statement or to have knowingly or negligently falsified or allowed to be falsified any certificate, form, signed statement, application, report or certification of the correction of a violation required under the provisions of this chapter, the code or any rule or regulation of any agency.
      (2)   Stop work and Suspension of Permits. Upon any suspension or revocation of registration pursuant to paragraph (d)(1) of this rule, unless replaced by another registered special inspector and/or special inspection agency within five (5) business days of such suspension or revocation, all jobs on which the special inspector and/or special inspection agency whose registration was suspended or revoked is designated, shall be stopped and the permits shall be suspended until such time as a duly registered special inspector and/or special inspection agency is designated to re-inspect such tests or such inspections performed by the disciplined special inspection agency, or until such permits expire.
   (e)   Obligations of Others. Nothing in this rule is intended to alter or diminish any obligation otherwise imposed by law, including but not limited to the obligation of an owner, construction manager, general contractor, contractor, materialman, architect, engineer, site safety manager, land surveyor, superintendent of construction or other party involved in a construction project to engage in sound engineering, design, and construction practices, and to act in a reasonable and responsible manner to maintain a safe construction site.
   (f)   Additional Powers of the Commissioner. The commissioner may, upon a determination of good cause, extend the dates and deadlines set forth in this rule.
APPENDIX A
 
Special Inspection Category
2014 Code Section
Qualifications1,2
Primary Inspector or Inspection Supervisor
Supplemental Inspector (Alternative 1)- under direct supervision of Inspection Supervisor
Supplemental Inspector (Alternative 2)- under direct supervision of Inspection Supervisor
1.   General Building Construction
Wall Panels, Curtain Walls, and Veneers
BC 1704.10
•  RA or PE-Civil or Structural Engineering; and
•  1 Year relevant experience
•  Bachelor's degree in Architecture or Civil Engineering or Structural Engineering; and
•  2 years relevant experience
•  Technician with 3 years relevant experience
Exterior Insulation and Finish Systems (EIFS)
BC 1704.13
•  PE or RA; and
•  1 year relevant experience
N/A
•  Technician with 2 years relevant experience
Chimneys
BC 1704.26
• PE or RA; and
•  1 year relevant experience
•  Bachelor's degree in Architecture or Engineering; and
•  2 years relevant experience
•  Technician with ICC Certification as a Residential or Commercial Mechanical Inspector; and
•  5 years relevant experience
Flood Zone Compliance
BC 1704.29,
BC G105
•  PE or RA; and
•  1 year relevant experience
N/A
N/A
Luminous Egress Path Markings
BC 1704.30,
BC 1024.8
• PE or RA; and
•  relevant experience
N/A
• Technician with relevant experience
Class 3 Special Inspections (Small Projects)3
• PE or RA; and
•  relevant experience
See Technician requirements for relevant inspection.
•  See Technician requirements for relevant inspection.
2. Fire Protection Systems & Fire-Resistant Construction
Sprayed Fire-resistant Materials and Mastic and Intumescent Fire-resistant Coatings
BC 1704.11
BC 1704.12
•  PE or RA; and
•  1 year relevant experience
•  Bachelor's degree in Architecture or Engineering; and (a or b)

a.   1 year relevant experience; or

b.   ICC Certification as a Spray-applied Fireproofing Special Inspector



•  Technician with ICC Certification as a Spray-applied Fireproofing Special Inspector; and
•  3 years relevant experience
Smoke Control Systems
BC 1704.15
•  PE or RA; and
•  1 year relevant experience (mechanical and/or fire protection)
•  AABC Test and Balance Technician Certification; and
•  3 years relevant experience
•  Technician with NEBB Air Balancer Certification; and
•  3 years relevant experience
Sprinkler Systems and
Standpipe Systems
BC 1704.23,
BC 1704.24
•  PE-Mechanical Engineering; and
• 1 year relevant experience OR
• NYC Licensed Class A or Class B Master Fire Suppression Piping Contractor License; and
•  Independent of installer


•  Bachelor's degree in Mechanical Engineering; and
•  3 years relevant experience
Technician with NICET Level II Certification in Fire Protection-Inspection and Testing of Water-based Systems
Fire-resistant Penetrations and Joints
BC 1704.27
•  PE or RA; and
•  1 year relevant experience
•  Bachelor's degree in Architecture or Engineering; and
•  2 years relevant experience
•  Technician with 3 years relevant experience
Emergency and Standby Power Systems (Generators)
BC 1704.31
•  PE-Mechanical, Electrical, or Fire Protection; and
•  1 year relevant experience

OR
•  Licensed electrician independent of installer; and
•  3 years relevant experience




•  Technician with 5 years relevant experience
N/A
3.   Plumbing & Mechanical Systems
Mechanical Systems
BC 1704.16
•  PE or RA; and
•  1 year relevant experience; or
•  ICC Certification
as a Residential or Commercial Mechanical Inspector


•  Bachelor's Degree in Architecture, or Engineering; and
• 2 years relevant experience; and
•  ICC Certification as a Residential or Commercial Mechanical Inspector

•  Technician with ICC Certification as a Residential or Commercial Mechanical Inspector; and
•  3 years relevant experience
Fuel-Oil Storage and Fuel-Oil Piping Systems
BC 1704.17
•  PE or RA; and
•  1 year relevant experience

OR
•  Licensed New York City Class A and B Oil Burner Equipment Installer; and
•  1 year experience in the inspection of heating systems, Fuel burning-Fuel storage systems.




•  Bachelors degree in Architecture, or Mechanical, Marine or Civil Engineering; and
•  3 years relevant experience
•  Technician with ICC Certification as a Residential or Commercial Mechanical Inspector; and
•  5 years relevant experience
Private On-Site Storm Drainage Water Disposal Systems, and Detention Facilities, and Individual On-Site Private Sewage Disposal Systems Installation
BC 1704.21,
BC 1704.22
•  PE or RA; and
•  1 year relevant experience

OR
•  NYC Licensed Master Plumber; and
•  3 years relevant experience




•  Bachelor's Degree in Architecture, Civil or Mechanical Engineering; and
•  3 years relevant experience
N/A
Heating Systems
BC 1704.25
•  PE or RA-Civil or Mechanical Engineering; and
•  1 year relevant experience
•  Bachelor's Degree in Architecture, or Civil or Mechanical Engineering; and
•  3 years relevant experience; and
•  ICC Certification as a Residential or Commercial Mechanical Inspector

•  Technician with ICC Certification as a Residential or Commercial Mechanical Inspector; and
•  5 years relevant experience
4.   Structural Materials & Construction Operations
Welding:
Steel,
High pressure Steam Piping,
High temperature Hot Water Piping,
High pressure Gas Piping, and Aluminum (2 RCNY 25-BSA RULE)



BC 1704.3.1,
BC 1704.18,
BC 1704.19,
BC 1704.28


•  PE or RA; and
•  AWS Certified Welding Inspector (AWS-CWI);

OR
•  PE or RA; and
•  ICC Certification as a Structural Welding Inspector (ICC-SWI); and
•  1 year relevant experience





•  AWS Certified Welding Inspector (AWS-CWI)

OR
• ICC Certification as a Structural Welding Inspector (ICC-SWI)
•  3 years relevant experience



•  AWS Certified Associate Welding Inspector (AWS-CAWI)

Note: AWS-CAWI only permitted to inspect when an AWS-CWI or ICC-SWI is on site supervising

Structural Steel-Details
BC 1704.3.2
•  PE or RA; and
•  1 year relevant experience
•  Bachelor's degree in engineering or architecture; and
•  2 years relevant experience
•  Technician with ICC Certification as a Structural Steel and Bolting Inspector; and
•  3 years relevant experience
Structural Steel-High-Strength Bolting

Note: Inspection can also be performed by agency approved to inspect welding

BC 1704.3.3
•  PE-Civil/Structural; and
•  ICC Certification as a Structural Steel and Bolting Inspector; and
•  1 year relevant experience

N/A
•  Technician with ICC Certification as a Structural Steel and Bolting Inspector; and
•  3 years relevant experience
Structural Cold-formed Steel
BC 1704.3.2,
BC 1704.3.4
•  PE or RA; and
•  1 year relevant experience
•  Bachelor's degree in engineering or architecture; and
•  2 years relevant experience
•  Technician with ICC Certification as a Structural Steel and Bolting Special Inspector; and
•  3 years relevant experience
Concrete-Cast-in-place & Precast

Note: Licensed concrete testing lab to perform sampling and testing of cylinders

BC 1704.4
•  PE or RA; and
•  1 year relevant experience
•  ACI Certification as Concrete Construction Special Inspector (ACI-CCSI)

OR
•  ICC Certification as Concrete Special Inspector (ICC-CSI)


•  ACI Certification as an Associate Concrete Construction Special Inspector (ACI-ACCSI)

Note: ACI-ACCSI only permitted to perform inspection under on-site supervision by PE, RA, ACI-CCSI, or ICC-CSI

Prestressed Concrete
BC 1704.4
•  PE-Civil/Structural; and
•  1 year relevant experience
•  Bachelor's degree in engineering; and
•  ICC Certification as Prestressed Concrete Special Inspector; and
•  1 year relevant experience

•  ICC Certification as Prestressed Concrete Special Inspector; and
•  3 years relevant experience
Masonry
BC 1704.5
•  PE or RA; and
•  1 year relevant experience
•  Bachelor's degree in engineering or architecture; and
•  ICC Certification as a Structural Masonry Special Inspector; and
•  1 year relevant experience

•  ICC Certification as a Structural Masonry Special Inspector; and
•  2 years relevant experience
Wood construction- Prefabricated Wood I-Joists, Metal-plate-connected Wood Trusses, and High-load Diaphragms
BC 1704.6
•  PE or RA; and
•  1 year relevant experience
N/A
•  ICC Certification as a Commercial or Residential Building Inspector; and
•  2 years relevant experience
Subsurface Conditions-Subgrade Inspection
BC 1704.7.1
•  PE-Geotechnical, Civil, or Structural; and
•  1 year relevant experience
N/A
N/A
Subsurface Conditions-Fill Placement, In-place Density
BC 1704.7.2,
BC 1704.7.3
•  PE-Geotechnical, Civil, or Structural; and
•  1 year relevant experience
•  Bachelor's degree in Geotechnical, Civil, or Structural engineering; and
•  1 year relevant experience
•  Technician with NICET Level I Geotechnical Certification; and
•  2 years relevant experience

OR
•  Technician with ICC Certification Soils Special Inspector
•  1 year relevant experience




Subsurface Investigations, Borings and Test Pits
BC 1704.7.4,
BC 1704.21.1.1
•  PE-Geotechnical, Civil, or Structural; and
•  1 year relevant experience
•  Bachelor's degree in Geotechnical, Civil, or Structural engineering; and
•  1 year relevant experience
•  Technician with NICET Level II Geotechnical Certification; and
•  Must take and pass Soils classification sections of NICET certification
Deep Foundations
BC 1704.8,
BC 1808, BC 1809,
BC 1810

•  PE-Geotechnical, Civil, or Structural; and
•  1 year relevant experience
•  Bachelor's degree in Geotechnical, Civil, or Structural engineering; and
•  3 years relevant experience

Note: Supplemental Inspector only permitted to inspect when multiple driving rigs are used on the same site and Primary Inspector is on site supervising


•  Technician with NICET Level III Geotechnical Certification

Note: Supplemental Inspector only permitted to inspect when multiple driving rigs are used on the same site and Primary Inspector is on site supervising

Vertical Masonry Foundations
BC 1704.9
•  PE-Geotechnical, Civil, or Structural; and
•  1 year relevant experience
•  Bachelor's degree in Geotechnical, Civil or Structural; and
•  3 years relevant experience
N/A
Underpinning
BC 1704.20.3,
BC 1814
•  PE-Geotechnical, Civil, or Structural; and
•  1 year relevant experience
•  Bachelor's degree in Geotechnical, Civil or Structural; and
•  3 years relevant experience
N/A
Structural-Stability-Existing Buildings, Mechanical Demolition, and Raising and Moving of a Building
BC 1704.20.1,
BC 1704.20.4,
BC 1704.20.5

•  PE-Civil/Structural; and
•  1 year relevant experience
• Bachelor's Degree in Civil or Structural Engineering; and
•  3 years relevant experience
N/A
Excavation – Sheeting, Shoring, and Bracing
BC 1704.20.2,
BC 3304.4.1
•  PE-Geotechnical, Civil, or Structural; and
•  1 year relevant experience
•  Bachelor's degree in Geotechnical, Civil or Structural; and
•  3 years relevant experience
•  Technician with 5 years relevant experience
Seismic Isolation Systems
BC 1707.8
•  PE; and
•  2 years relevant experience
•  Bachelor's degree in Geotechnical, Civil, or Structural engineering; and
•  5 years relevant experience
•  N/A
Post-installed Anchors
BC 1704.32
•  PE or RA; and
•  1 year relevant experience
Anchors in Concrete:
•  ACI Certification as Concrete Construction Special Inspector (ACI-CCSI)

OR
•  ICC Certification as Concrete Special Inspector (ICC-CSI)

Anchors in Masonry:
• Bachelor's degree in engineering or architecture; and
•  ICC Certification as a Structural Masonry Special Inspector; and
•  1 year relevant experience








Anchors in Concrete:
•  ACI Certification as an Associate Concrete Construction Special Inspector (ACI-ACCSI)

Note: ACI-ACCSI only permitted to perform inspection under on-site supervision by PE, RA, ACI-CCSI, or ICC-CSI

Anchors in Masonry:
•  ICC Certification as a Structural Masonry Special Inspector; and
•  2 years relevant experience






 
Notes:
1.   Abbreviations in the qualifications descriptions:
AABC – Associated Air Balance Council
ACI – American Concrete Institute
AWS – American Welding Society
ICC – International Code Council
NEBB – National Environmental Balancing Bureau
NICET – National Institute for Certification in Engineering Technologies
PE – A New York State Licensed and Registered Professional Engineer
RA – A New York State Licensed and Registered Architect
2.   Bachelor's Degrees must be from an accredited institution or equivalent
3.   Class 3 Special Inspections. An agency registered as a Class 3 special inspection agency for a special inspection category will be permitted to perform the work associated with such special inspection category on the following projects only:
a.   The construction, demolition, or alteration of a one-, two-, or three-family dwelling; or
b.   The alteration of any building, including partial demolition, altering less than ten thousand (10,000) square feet of gross floor area in total.
Exception: The special inspection categories of underpinning, mechanical means and methods of demolition, and the protection of the sides of excavations greater than ten (10) feet in depth will be performed only by special inspection agencies registered as either class 1 or class 2 special inspection agencies for such categories.
(Am. eff. 3/2/2016)
   (a)   Definitions. For the purposes of this section, all terms used herein shall have the same meanings as set forth in the New York City Building Code ("Building Code"). In addition, the following terms shall have the following meanings:
      (1)   Approved boiler inspection agency. An agency employing qualified boiler inspectors.
      (2)   Approved inspection agency. An agency that is approved by the department as qualified to perform one or more of the inspections required by the New York City Construction Codes ("Construction Codes").
      (3)   Approved pipe welder qualifying agency. An agency that is approved by the department to qualify welders of gas piping installations in accordance with section 406.1.1.1 of the New York City Fuel Gas Code ("Fuel Gas Code") and high pressure steam piping systems in accordance with section 1210 of the New York City Mechanical Code ("Mechanical Code").
      (4)   Approved product certification agency. An inspection agency that is approved by the department as qualified to inspect at regular intervals the material that is to be or is listed and labeled, to verify that the labeled material is representative of the material tested.
      (5)   Approved progress inspection agency. An agency that is approved by the department as qualified to perform one or more of the progress inspections required by section BC 109 of the Building Code.
      (6)   Approved testing agency. An agency that is approved by the department as qualified to test and evaluate the performance of one or more of the materials regulated in its use by the Construction Codes. Such term shall include, when approved pursuant to department rules, a third party testing or certification agency, evaluation agency, testing laboratory, testing service or other entity concerned with product evaluation. Such term shall also include a licensed concrete testing laboratory.
      (7)   Certificate of compliance. A certificate stating that materials meet specified standards or that work was done in compliance with approved construction documents and other applicable provisions of law.
      (8)   Construction documents. Plans and specifications and other written, graphic and pictorial documents, prepared or assembled for describing the design, location and physical characteristics of the elements of the project necessary for obtaining a building permit.
      (9)   Qualified boiler inspector. An inspector who has been issued a certificate of competence by the State Department of Labor and who is employed by an authorized insurance company, a high pressure boiler operating engineer licensed pursuant to the provisions of the New York City Administrative Code ("Administrative Code"), a class A or class B oil burning equipment installer licensed pursuant to the provisions of such Code, a master plumber licensed pursuant to the provisions of such Code, or a journeyman plumber acting under the direct and continuing supervision of a master plumber licensed pursuant to the provisions of such Code. For inspection of boilers at properties owned or managed by the Department of Education, such term shall include an individual who has passed the National Board Commission examination and who has 5 years relevant experience, as defined below, approved by the department.
      (10)   Qualified elevator inspector. An individual who has obtained a Qualified Elevator Inspector ("QEI") Certificate from an ASME-accredited agency to witness elevator inspections and tests.
      (11)   Qualified elevator inspector supervisor. An individual who has obtained a Qualified Elevator Inspector Supervisor ("QEIS") Certificate from an ASME-accredited agency to supervise a QEI's witnessing and/or to witness directly elevator inspections and tests.
      (12)   Qualified exterior wall inspector. A registered design professional with at least 1 year of relevant experience.
      (13)   Registered design professional. A New York State licensed and registered architect (RA) or a New York State licensed and registered professional engineer (PE).
      (14)   Relevant experience. Direct participation and practice related to the underlying construction activities that are the subject of the special or other inspection where such participation has led to accumulation of knowledge and skill required for the proper execution of the special or other inspection.
      (15)   Supervision. Oversight and responsible control by a registered design professional having the necessary qualifications and relevant experience to effectively perform responsibilities associated with the inspection being supervised. Field supervision shall include responsibility for determining competence of special inspectors for the work they are authorized to inspect and monitoring the inspection activities at the jobsite to assure that the qualified inspector is performing his or her duties when work requiring inspection is in progress. The supervisor shall review inspection progress reports and final reports for conformance with the approved plans, specifications and workmanship provisions of the Building Code. Such supervision and control shall be evidenced by the supervisor's signature and seal upon any required statements, applications and/or reports.
      (16)   Technician. An employee of the inspection or testing agency assigned to perform the actual operations of inspection or testing. See ASTM E329-14a, paragraph 3.1.9.
   (b)   General requirements for approved agencies.
      (1)   Availability and compliance. An approved agency shall have responsibilities set forth in this rule and in the building code. Such agency shall employ experienced personnel qualified to conduct, supervise and evaluate the tests or inspections that it undertakes.
      (2)   Duties. Except as provided for in paragraph (8) of subdivision (c) of this section, the approved agency shall:
         (i)   Examine all relevant documents, including approved construction documents and/or manufacturers' instructions that define and describe requirements in connection with the test or inspection to be performed.
         (ii)   Confirm that the documents are sufficient to enable the proper performance of the test or inspection.
         (iii)   Confirm that any relevant approved construction documents are acceptable to the registered design professional of record or another design professional retained by the owner for the purpose of accepting shop drawings and that the manufacturers' instructions are current. Acceptance shall be demonstrated in writing on the drawing by the registered design professional.
         (iv)   Confirm through the test or inspection that the installation and materials are in compliance with all relevant documents, reference standards and the building code.
      (3)   Documentation. An approved agency shall maintain records of inspections and tests for at least 6 years or for such shorter period as the commissioner shall determine and shall make such records available to the department upon request. Such records shall include field logs, test results, laboratory reports, notes, photographs and such other information as may be necessary or appropriate to establish the sufficiency of the inspection. The principal of the approved agency shall furnish to the department upon request such records of any inspection or test, in the manner required by the department.
      (4)   Obligation to cooperate with inquiries. All approved agencies shall cooperate with any investigation by the department, or other city or law enforcement agency, into the activities at any job site or fabricating/manufacturing/testing facility for which such agencies have undertaken any inspections or tests and shall provide prompt, accurate and complete responses to reasonable inquiries by the department and other such city or law enforcement agencies about the conduct of such activities .
      (5)   Limitation of duties. An approved agency shall not engage in any activity for which it has not been approved, registered, licensed or accredited. An inspector or technician employed by an approved agency shall not perform inspections or tests beyond the area of expertise for which he or she is qualified in accordance with the standards set by the department, the accrediting agency, if applicable, and the agency supervisor.
      (6)   Obligation to comply with an order of the commissioner. All approved agencies shall comply with an order of the commissioner.
      (7)   Maintenance of insurance. Every approved agency shall maintain the following insurance coverage:
         (i)   A general liability policy in the amount of one million dollars. Where a registered design professional of record for an application for construction document approval also serves personally, without relying on persons under his or her supervision, as the progress inspector for such application in accordance with paragraph (3) of subdivision (c) of this section, a general liability policy shall not be required.
         (ii)   Insurance required by the provisions of the New York State Workers' Compensation and Disability Benefits Laws; and
         (iii)   For progress inspection agencies, qualified exterior wall inspectors and licensed concrete testing laboratories only, in addition to the requirements of (i) and (ii) above, a Professional Liability/Errors and Omissions insurance policy in the amount of at least three hundred thousand dollars.
      (8)   Agency structure. An approved agency's structure shall comply with all applicable New York State and Federal laws.
      (9)   Audits. The operations of approved agencies shall be subject to audit at any time. Audits may examine applications for registration or accreditation as well as the performance and documentation of inspections and tests. Audits may also be conducted upon receipt of complaints or evidence of falsification, negligence or incompetence.
   (c)   Qualifications of approved agencies.
      (1)   All approved agencies, including single person approved agencies, shall comply with the requirements of this section and Article 114 of Title 28 of the Administrative Code and shall meet the qualifications set forth herein.
      (2)   Testing and inspection agencies for product certification.
         (i)   A testing agency shall be deemed an approved testing agency for testing materials to specified standards in accordance with the Construction Codes and their referenced standards where such agency has achieved accreditation for such testing from International Accreditation Service, Inc. or an equivalent accrediting agency accrediting to the standards set forth in International Standards Organization ("ISO") 17025, 2005 edition (General Requirements for the Competence of Testing and Calibration Laboratories) or a federal agency. Accrediting agencies, other than federal agencies, must be members of an internationally recognized cooperation of laboratory and inspection.
         (ii)   An inspection and/or product certification agency shall be deemed an approved inspection and/or approved product certification agency for listing and labeling materials to specified standards in accordance with the Construction Codes and their referenced standards where such agency has achieved accreditation for such listing and labeling from International Accreditation Service, Inc. or an equivalent accrediting agency accrediting to the standards set forth in ISO 17020, 2012 edition (General Criteria for the Operation of Various Types of Bodies Performing Inspection), ISO 17065. 2012 edition (General Requirements for Bodies Operating Product Certification Systems) or a federal agency. Accrediting agencies, other than federal agencies, must be members of an internationally recognized cooperation of laboratory and inspection accreditation bodies subject to a mutual recognition agreement.
         (iii)   An approved testing and/or approved inspection agency shall have in responsible charge a director who shall be qualified by education and relevant experience to undertake the tests or inspections performed. Qualification may be based on the standards set forth in ASTM E329-14a. The director shall personally supervise the testing and/or inspection of materials for compliance with prescribed nationally recognized standards. Concrete testing laboratories shall follow the provisions of paragraph (6) of subdivision (c) of this section.
         (iv)   Technicians shall be qualified by education and relevant experience to perform all tests or inspections they may be required to conduct under the supervision of the director. Qualification may be based on the standards set forth in ASTM E329-14a.
         (v)   An approved testing agency shall furnish to the department such proof of qualifications of all personnel and information regarding the equipment used to perform tests as the department may from time to time request, and any other such information that the commissioner deems appropriate in assessing the competency of the agency's operations.
         (vi)   All approved testing and approved inspection agency inspection and test reports shall be retained in a form acceptable to the department and shall bear the name of the approved agency, its accreditation, license or department acceptance identification information where applicable, the name of the director who supervised the inspection or test, the names of all personnel who performed the inspection or test, and the names of all witnesses to such inspection or test.
      (3)   Progress inspection agencies.
         (i)   Responsibility of owner. It shall be the responsibility of the owner to retain an approved agency to perform all required progress inspections for a new building or alteration project.
         (ii)   Obligation to avoid conflict of interest. A progress inspector and/or a progress inspection agency shall not engage in any activities that may conflict with their objective judgment and integrity, including, but not limited to, having a financial and/or other interest in the construction, installation, manufacture or maintenance of structures or components that they inspect.
         (iii)   Agency qualifications. Registered design professionals with relevant experience shall be deemed approved progress inspection agencies, without further requirement of registration or accreditation, for the purpose of conducting the progress inspections required by section BC 109.3.
         (iv)   Inspector qualifications. A progress inspection agency shall conduct required progress inspections, provided such inspections are conducted by a registered design professional with relevant experience or an otherwise qualified individual pursuant to the following table:
 
Progress Inspection Category
2014 Code Section
Qualifications
Primary Inspector or Inspection Supervisor
Supplemental Inspector under direct supervision of Inspection Supervisor
Preliminary inspection
AC 28-116.2.1
•  Registered design professional with relevant experience
•  A person with relevant experience
Compliance inspections
AC 28-116.2.2
•  Registered design professional with relevant experience
•  A person with relevant experience
Footing and foundation
BC 110.3.1
•  Registered design professional with relevant experience
•  A person with relevant experience
Lowest floor elevation
BC 110.3.2;
BC G105.3,
Item 1

•  Engineer with relevant experience or licensed professional land surveyor with relevant experience
•  A person with relevant experience
Structural wood frame
BC 110.3.3
•  Registered design professional with relevant experience
•  A person with relevant experience
Fire-resistance-rated construction
BC 110.3.4
•  Registered design professional with relevant experience
•  A person with relevant experience
Energy code compliance – "residential"1 buildings
BC 110.3.5
•  Registered design professional of record for the respective work;

or
•  Registered design professional with five years' experience in the design, construction, construction observation and/or inspection of Energy Code-regulated systems for buildings


•  3 years' experience in the inspection or construction observation of buildings for Energy Code-regulated systems
Energy code compliance – "commercial"2 buildings
BC 110.3.5
•  Registered design professional of record for the respective work;

or
•  Registered design professional with five years' experience in the design, construction, construction observation and/or inspection of Energy Code-regulated systems for commercial buildings, at least three years of which shall be for the system type(s) for which he/she performs progress inspections


•  3 years' experience in the inspection or construction observation of the system type(s) for Energy Code-regulated systems in commercial buildings for which he/she performs progress inspections
Other
BC 110.3.6
•  Registered design professional with relevant experience
•  A person with relevant experience
Final
AC 28-116.2.4.2
•  Registered design professional with relevant experience
•  A person with relevant experience
Place of assembly emergency lighting
AC 28-116.2.2
•  Registered design professional with relevant experience
•  A person with relevant experience
1   As such term "residential" is defined in the New York City Energy Conservation Code.
2   As such term "commercial" is defined in the New York City Energy Conservation Code.
 
         (v)   Verifications by progress inspector. In addition to all other items required to be inspected in accordance with applicable laws and rules, the progress inspector shall verify the following:
            (A)   Completion of related special inspections. A progress inspection agency's performance of a progress inspection shall include verification that any special inspections that were required to have been conducted prior to the progress inspection have been documented as completed.
            (B)   Updated approved documents. Prior to performing a progress inspection, the progress inspection agency shall verify that the relevant approved construction documents, for the purpose of the progress inspection, represent the built conditions. If changes are required in the approved construction documents for the purpose of the progress inspection, the progress inspector shall wait to perform the inspections until the updated construction documents have been approved, including the energy analysis, where applicable.
            (C)   Energy code verifications. Progress inspectors for Energy Code compliance shall perform inspections in accordance with the following:
               1.   Sampling. Unless noted otherwise in the Inspection/Test columns of Tables I and II of 1 RCNY §5000-01 (h), required inspections or tests shall be performed on not less than 15% of each relevant construction item in the scope of work as listed in the applicable table, and on not less than one of each type where applicable. Selection of such sample construction shall be at the sole discretion of the progress inspector. Nothing in this item shall prevent the progress inspector from determining that, in his or her professional judgment, more than 15% of a given type of construction item shall be inspected.
               2.   Phased inspection for temporary certificates of occupancy. Prior to issuance of a temporary certificate of occupancy for less than the total scope of work, inspection shall be required for all work serving the portion of the building for which the temporary certificate of occupancy is to be issued. Where a practical difficulty for some inspections is demonstrated to the commissioner, the commissioner may grant a waiver of those inspections for a specified time or until final inspection for the final certificate of occupancy.
               3.   Phased inspection of controls. Notwithstanding item 2 of this clause, where inspection of the HVAC and lighting controls for central head-end systems and communication networks depends upon completion of installation of all related end devices and components located in the building, such inspection of such controls for head-end systems and communication networks shall be completed prior to issuance of a final certificate of occupancy.
               4.   Lighting. Where the progress inspector verifies that, for any given space, the lighting power density is less than the lighting power density for such space on the approved construction documents, the progress inspector may approve such space without the need for revised construction documents to be submitted to and approved by the Department. For the purposes of this item, a space shall mean an area within the building separated by floor-to-ceiling partitions from all other spaces within the building.
      (4)   Elevator inspection agencies.
         (i)   Notwithstanding anything to the contrary set forth herein, elevator inspection agencies, including their directors and inspectors that currently hold or hereafter secure a Certificate of Approval from the department issued pursuant to Chapter 11 of Title 1 of the Rules of the City of New York shall be deemed approved elevator inspection agencies without further requirement of registration or accreditation, for the purpose of conducting the periodic elevator inspections and tests required by section 28-304.6 of the Administrative Code.
         (ii)   Written or oral tests required by 1 RCNY §11-01(a)(2)(ii) shall require familiarity with the standards set forth in section 3001.2 and appendix K of the Building Code, including chapter K3, pertaining to existing elevators, as set forth in the rules of the department.
         (iii)   Tests and inspections performed by an approved elevator inspection agency on behalf of the owner after the effective date of this section shall be performed in compliance with section 3012.1 of the Building Code and the reference standards set forth in appendix K of the Building Code.
         (iv)   Effective January 1, 2009, periodic elevator inspections and tests performed by an approved elevator inspection agency on behalf of the owner as required by section 28-304.6.1 of the Administrative Code shall be performed in compliance with the following requirements:
            (A)   The test must be performed by an approved elevator inspection agency and witnessed by an approved elevator inspection agency or a QEI or QEIS authorized pursuant to clause (C) of this subparagraph that is not affiliated with the agency performing the test.
            (B)   The approved elevator inspection agency responsible for performing the test shall designate skilled elevator trade personnel in its employment to perform the test under the direct supervision of a director who holds a Certificate of Approval from the department issued pursuant to the 1968 Building Code and 1 RCNY§11-01. Such designation by the director shall be in writing and shall indicate the director's endorsement of the qualification of the personnel designated to conduct the test. Such personnel may perform the test through December 31, 2011. Thereafter, the test shall be performed by an inspector or director who holds a Certificate of Approval from the department.
            (C)   The approved elevator inspection agency responsible for witnessing the test shall designate an inspector in its employment who holds a Certificate of Approval from the department issued pursuant to the 1968 Building Code and 1 RCNY §11-01 to witness such test. Individuals who have applied for and passed a department-sponsored/administered examination for a Private Elevator Inspection Agency Director or Private Elevator Inspection Agency Inspector Certificate of Approval examination by July 1, 2010 may continue to witness the test based on satisfaction of the qualifications set forth in items 1 through 3, below, through December 31, 2011 or until the issuance or denial of a Certificate of Approval from the department, whichever is sooner.
               1.   A valid QEI or QEIS Certificate;
               2.   A minimum of five (5) years of satisfactory experience, within the last seven (7) years immediately preceding the date of affirmation from the director of the agency as prescribed in item 3, below, in the assembly, installation, repair, design, or inspection of elevators, or as an elevator mechanic;
               3.   An affirmation from the director of the agency, on such form as the commissioner shall require, attesting that the QEI or QEIS
                  A.   Is familiar with the construction and maintenance of elevators, escalators and related equipment and the standards set forth in Chapter 30 and appendix K of the Building Code, including appendix K3, pertaining to existing elevators, in the rules of the department; and
                  B.   Is of good moral character so as not to adversely impact upon his or her fitness to witness elevator inspections. The commissioner may refuse to accept such certification for any of the reasons specified as grounds for revocation or suspension set forth in subdivision (d) of this section.
            (D)   The witnessing inspector shall affix the test/inspection date and his or her agency's Certificate of Approval number to the inspection certificate at the site. The witnessing inspector and the director of the witnessing agency shall further sign and indicate that agency's Certificate of Approval number in the test report.
         (v)   Agency employee restriction. An employee of an elevator inspection agency may work only for such agency and for one agency director at a time.
      (5)   Boiler inspection agencies.
         (i)   Notwithstanding anything to the contrary set forth herein, a qualified boiler inspector shall be deemed an approved boiler inspection agency, without further requirement of registration or accreditation, for the purpose of conducting the periodic inspections required by section 28-303.2 of the Administrative Code.
         (ii)   Periodic boiler inspections required by section 28-303.2 of the Administrative Code shall be performed in compliance with the following requirements:
            (A)   Low pressure boiler annual inspection reports shall be submitted for each calendar year on such forms and in such manner as required by the department. The report shall include:
               1.   An inspection report for each boiler identifying the inspector or inspection agency;
               2.   The owner's annual statement completed in compliance with section 28-303.6 of the Administrative Code; and
               3.   A certification by the owner that identified defects have been corrected. The report must be filed within 45 days from the date of the inspection but in no event later than December 31st of each calendar year. Any required part of the report not filed within 45 days from the date of the inspection and on or before December 31st shall be deemed late and shall subject the owner to penalties as provided in Administrative Code sections 28-201.2.2 and 28-202.1 and the rules of the department.
            (B)   A low pressure boiler annual inspection must be conducted between January 1st and December 31st of the calendar year for which an owner submits the report. Low pressure boiler annual inspections must be conducted at least six months apart. The inspector must verify that a valid department-issued boiler number is affixed to the boiler and such number must be used in all correspondence between the inspector and the department. If an inspection reveals any dangerous condition in a boiler that threatens life or safety and that requires an immediate shut down of the boiler, or reveals an unregistered boiler, the inspector must immediately notify the boiler division at the department of the condition via fax or email at the number or address provided on the department's website, http://www.nyc.gov/buildings.
            (C)   Low pressure boiler annual inspection reports not filed within 12 months from the date of the inspection will be deemed expired. Expired inspection reports will not be accepted by the department to satisfy the annual inspection report filing requirement as prescribed by section 28-303.7 the Administrative Code and this section.
      (6)   Concrete testing laboratories.
         (i)   A concrete testing laboratory shall be deemed an approved agency for purposes of testing and inspecting concrete-related construction activities in accordance with the Building Code and its referenced standards where such laboratory has:
            (A)   Obtained a license as a concrete testing laboratory pursuant to Article 406 of Title 28 of the Administrative Code; and
            (B)   Achieved accreditation from AASHTO Accreditation Program, the National Voluntary Laboratory Accreditation Program, or an equivalent accrediting agency accrediting to the standards set forth in ASTM Designations: C1077, C1093 and E329-14a or a federal agency. Accrediting agencies, other than federal agencies, must be members of an internationally recognized cooperation of laboratory and inspection accreditation bodies subject to a mutual recognition agreement.
         (ii)   A licensed concrete testing laboratory shall have in responsible charge a director who shall be qualified by education and relevant experience to undertake the tests or inspections performed. Such director shall:
            (A)   Personally supervise inspections and tests to ensure compliance with prescribed nationally recognized standards. Such supervision shall include ensuring that inspectors and technicians are properly trained and educated as necessary in order to perform their duties and shall include planning for continued training related to developing technology;
            (B)   Be a full-time employee of the laboratory and shall not serve as the director of more than one licensed laboratory at a time;
            (C)   Be a registered design professional with at least five years of experience in the testing and inspection of concrete materials; and
            (D)   Submit proof of qualification to the department with any application for the initial licensing of a laboratory and when there is a change in director for an existing licensed laboratory.
         (iii)   Technicians shall be qualified by education and relevant experience to perform all tests or inspections they may be required to conduct under the supervision of the director. Field technicians shall be certified as ACI Field Testing Technician – Grade I, or other equivalent certification acceptable to the commissioner.
         (iv)   Laboratory technicians shall be certified as ACI Concrete Testing Laboratory Technician-Level 1, or other equivalent certification acceptable to the commissioner. Qualification may be based on the standards set forth in ASTM C1077, C1093 and E329-14a.
         (v)   The concrete testing laboratory shall furnish to the department such proof of qualifications of all personnel and information regarding the equipment used to perform tests as the department may from time to time request, and any other such information that the commissioner deems appropriate in assessing the competency of the laboratory's operations.
         (vi)   All concrete testing laboratory inspection and test reports shall be presented in a form acceptable to the department and shall bear the name of the laboratory or service and its accreditation and department-issued license number where applicable, the name of the director who supervised the inspection or test, the names of all personnel who performed the inspection or test, and the names of all witnesses. Reports shall be signed and sealed by the director who supervised the inspection or test.
         (vii)   A concrete testing laboratory shall maintain a New York City address or agent for the acceptance of service. A Post Office Box shall not be acceptable for such purposes.
         (viii)   A concrete testing laboratory's facilities and equipment shall be used exclusively for its own concrete testing and quality control and shall not be shared with other entities.
         (ix)   A concrete testing laboratory shall not engage in any activities that may conflict with their objective judgment and integrity, including but not limited to having a financial and/or other interest in the construction, installation, manufacture or maintenance of structures or components that they inspect.
         (x)   A concrete testing laboratory testing for the acceptance of concrete as part of a special inspection, shall be employed by the owner in accordance with section 1704.1 of the Building Code.
      (7)   Exterior wall inspections.
         (i)   Examination of a building's exterior walls and appurtenances thereof pursuant to section 28-302.2 of the Administrative Code shall be performed by or under the direct supervision of a qualified exterior wall inspector.
         (ii)   A qualified exterior wall inspector shall maintain records of inspections and tests for at least 6 years and shall make such records available to the department upon request.
         (iii)   A qualified exterior wall inspector shall maintain insurance coverage as set forth in paragraph (7) of subdivision (b) above.
         (iv)   Except as modified by the building code and this section, the provisions of 1 RCNY §103-04 shall apply.
      (8)   Pipe welder qualifying agencies. An agency shall be deemed an approved agency for qualifying welders of gas piping installations in accordance with section 406.1.1.1 of the Fuel Gas Code and high pressure steam and high temperature hot water piping systems in accordance with section 1210 of the Mechanical Code, where such agency complies with the following:
         (i)   The testing administrator for the pipe welder qualifying agency shall be an employee of such agency and an AWS Certified Welding Inspector.
         (ii)   A pipe welder qualifying agency shall be responsible for the following:
            (A)   Complying with the requirements of section 406.1.1.1 of the Fuel Gas Code and section 1210.2.2 of the Mechanical Code;
            (B)   Positively identifying each welder or welding operator being qualified;
            (C)   Observing the welder or welding operator during the qualification test.
         (iii)   No pipe welder qualifying agency shall engage in any activities that may conflict with its objective judgment and integrity, including but not limited to having a financial or other interest in the qualification of the welder. A quality control manager or his or her designee shall be considered sufficiently independent to satisfy this requirement when a manufacturer or contractor has an ASME Certificate of Authorization.
         (iv)   A letter requesting pipe welder qualifying agency approval and attesting to compliance with this section, signed by the owner of the agency, accompanied by any related fees set forth in the rules of the department, shall be mailed to the Department of Buildings, 280 Broadway, 7th Floor, New York, NY, 10007, Attn: The Office of Technical Certification and Research ("OTCR").
         (v)   A pipe welder qualifying agency's approval shall be renewed every three years.
         (vi)   A pipe welder qualifying agency shall maintain a New York City address for the acceptance of service. A Post Office Box shall not be acceptable for such purposes.
   (d)   Suspension or revocation and reinstatement of approved agency status.
      (1)   In accordance with department rules, the commissioner may suspend or revoke an approved agency's approval, with or without the imposition of penalties, for violation of any provision of Title 28 of the Administrative Code or the Building Code or the rules of the department, or any other applicable law or rule. The commissioner may refuse to accept any application or other document submitted pursuant to or in satisfaction of any requirement of law or rule that bears the signature of any approved agency or director that has been found, after notice and an opportunity to be heard, to have knowingly or negligently made a false statement or to have knowingly or negligently falsified or allowed to be falsified any certificate, form, signed statement, application, report or certification of the correction of a violation required under the provisions of Title 28 of the Administrative Code or the Building Code or any rule of any agency.
      (2)   Invalidation of tests and inspections upon suspension or revocation of approved agency status. Upon any suspension or revocation of approved agency approval pursuant to this subdivision, the owner of a building at which such approved agency was required or scheduled to perform special, progress or periodic inspections shall immediately designate another approved agency to re-do such tests or inspections performed by the disciplined agency. Any periodic inspections performed by a disciplined agency shall be rejected in the current cycle of such inspections and any owner of a building requiring such periodic inspection shall, upon notice of such disciplinary action, retain another approved agency to perform the periodic inspection.
      (3)   Reinstatement of approval. Upon expiration of a suspension or no sooner than one (1) year from the date of revocation, an agency shall be eligible for reinstatement of approval. Such agency shall submit to OTCR the following for review:
         (i)   Documentation that addresses corrections to the conduct or practices that formed the basis for the suspension or revocation.
         (ii)   Documentation that establishes procedures to prevent the conduct or practices that formed the basis for the suspension or revocation.
         (iii)   A reinstatement application.
   (e)   Obligations of others. Nothing in this section is intended to alter or diminish any obligation otherwise imposed by law on others, including but not limited to, the owner, construction manager, general contractor, contractor, materialman, architect, engineer, site safety manager, land surveyor, superintendent of construction or other party involved in a construction project, to engage in sound engineering, design, and construction practices, and to act in a reasonable and responsible manner to maintain a safe construction site.
(Am. eff. 3/2/2016)
   (a)   Definitions. For the purposes of this section, all terms used herein shall have the same meanings as set forth in the building code. In addition, the following terms shall have the following meanings:
      (1)   Adjacent building. A building of record sharing a lot line with the property for which a permit is issued.
      (2)   Major Alteration. Alteration of an existing building involving demolition of more than 50% of its floor area; work that will result in the removal of one or more floors of an existing structure; or horizontal or vertical enlargement affecting the exterior envelope of an existing building.
      (3)   Permit. Any of the permit types set forth in items 1-5 of Administrative Code §28-105.2, as well as permits for the installation of sidewalk sheds or scaffolds.
      (4)   Permittee. The person who or entity that obtains or renews a permit. Such term shall include an applicant for a permit.
   (b)   Applicability. This rule applies to permits as defined in subdivision (a) of this section.
   (c)   Permit issuance and renewal. For permits requiring proof of insurance under this section, no permit shall be issued or renewed until the permittee has provided the department with proof of insurance in accordance with subdivision (g) hereof.
   (d)   Insurance requirements.
      (1)   Liability insurance.
         (i)   As a condition to the issuance or renewal of a permit for which project-specific liability insurance is required under Table 1 in subparagraph (ii) of this paragraph, the permittee shall procure and maintain commercial general liability insurance for the type of work to be performed as described in the permit, with total per-occurrence and aggregate limits at least as high as those set forth in Table 1. This total minimum limit may be achieved through any combination of primary, excess, umbrella or wrap-up policies, so long as those policies:
            (A)   are issued by a company or companies that may lawfully issue the required policy and has an A.M. Best rating of at least A-"VII" or a Standard and Poor's rating of at least A;
            (B)   provide coverage at least as broad as set forth in the most recent edition of Insurance Services Office (ISO) Form CG 0001;
            (C)   provide that the city, together with its officials and employees, is an Additional Insured with coverage at least as broad as set forth in the most recent edition of ISO Forms CG 2012 or CG 2026;
            (D)   provide a total aggregate limit of coverage (equal to or above the per-occurrence limit) that applies exclusively to the project for which the permit is issued (pursuant to a project-specific policy or a per-project aggregate limit endorsement such as ISO Form CG 2503); and
            (E)   contain none of the following exclusions:
               1.   completed operations exclusion;
               2.   XCU exclusion;
               3.   an insured contract exclusion broader than any contained in the most recent edition of ISO Form CG 0001;
               4.   third party actions over exclusion;
               5.   where project involves residential construction, a residential construction exclusion;
               6.   where project involves use of an Exterior Insulation & Finish System (EFIS), an EFIS exclusion;
               7.   exclusion for work performed within the city of New York;
               8.   exclusion for the type of work to be performed as described in the permit(s) issued by the department.
         (ii)   Table 1 (minimum per-occurrence and project-specific aggregate limits):
 
Criterion 1 Criterion 2 (Tower Crane Y/N) Criterion 3 (Permit Type) Criterion 4 (Proposed Height or Height of Tallest Adjacent Building) Required Project Specific Coverage
1/2 Family Home
AND
Depth of Excavation < 12'
AND
Proposed Construction is not on a lot line with an existing structure
AND
Proposed Height < 35'





NO
Foundation and earthwork1,
New Building1, Full Demo1, or Major Alteration1
See Criterion 1
N/A, but comply with the requirements of (d)(1)(iv)
Not 1/2 Family Home
OR
Depth of Excavation > 12'
OR
Proposed Construction is on a lot line with an existing structure
OR
Proposed Height > 35'





NO
Foundation and earthwork1
Tallest Adjacent Building < 7 stories and < 75 feet
Tallest Adjacent Building between
7-14 stories and < 150 feet
OR
Tallest Adjacent Building # 14 stories and between 75-150 feet
Tallest Adjacent Building > 14 stories or $ 150 feet





$5 million




$10 million

$15 million







Full Demo1
Tallest Adjacent Building < 7 stories and < 75 feet
Tallest Adjacent Building between 7-14 stories and < 150 feet
OR
Tallest Adjacent Building # 14 stories and between 75-150 feet
Tallest Adjacent Building > 14 stories or $ 150 feet




$5 million




$15 million

$25 million







New Building1 or
Major Alteration1
Proposed Number of Stories < 7 stories and < 75 feet
AND
Tallest Adjacent Building < 7 stories and < 75 feet

$5 million
Proposed Number of Stories between 7-14 stories and < 150 feet
AND
Tallest Adjacent Building # 14 stories or < 150 feet
OR
Proposed Number of Stories # 14 stories and between 75-150 feet
AND
Tallest Adjacent Building # 14 stories or < 150 feet
OR
Tallest Adjacent Building between 7-14 stories and < 150 feet
AND
Proposed Number of Stories # 14 stories or < 150 feet
OR
Tallest Adjacent Building # 14 stories and between 75-150 feet
AND
Proposed Number of Stories # 14 stories or < 150 feet













$15 million
Proposed Number of Stories > 14 stories or $ 150 feet
OR
Tallest Adjacent Building > 14 stories or $ 150 feet

$25 million
YES
ALL Permits1
N/A
$80 million
Raising or moving a building
N/A
Alteration Type 1 or Type 2
N/A
$2 million
ALL OTHER PERMITS
N/A, but comply with the requirements of (d)(1)(iv)
1 other than a storage shed, garage, or similar accessory use to a residential structure
 
         (iii)   In its sole discretion, the department may allow a permittee to satisfy the requirements of subparagraphs (i) and (ii) of this paragraph through a self-insurance program.
         (iv)   With regard to all permits (or permit renewals) for which project-specific liability insurance is not required under Table 1 in subparagraph (ii) of this paragraph, prior to an application for the issuance (or renewal) of such permit, the permittee shall procure and maintain commercial general liability insurance if required of the permittee as a licensee under 1 RCNY §104-02 for all operations performed pursuant to the permit.
         (v)   With regard to the installation of sidewalk sheds and scaffolds, including those scaffolds for which notification to the department is required and a permit is not required, prior to an application for the issuance (or renewal) of a permit or the provision of notification, the installer shall procure and maintain commercial general liability insurance in the amount of one million dollars ($1,000,000). Such insurance shall satisfy the requirements set forth in clauses (A) through (E) of subparagraph (i) of this paragraph.
         (vi)   With regard to the installation of supported scaffolds for which neither notification to the department nor a permit is required, the installer shall procure and maintain commercial general liability insurance in the amount of one million dollars ($1,000,000). Such insurance shall satisfy the requirements set forth in clauses (A) through (E) of subparagraph (i) of this paragraph.
      (2)   Workers' compensation insurance. As a condition to the issuance or renewal of a permit, the permittee shall procure and maintain workers' compensation insurance as required by law.
      (3)   Disability benefits insurance. As a condition to the issuance or renewal of a permit, the permittee shall procure and maintain disability benefits insurance as required by law.
   (e)   Exemptions.
      (1)   Homeowners applying for permits for work on their own one, two or three family dwellings who obtain a waiver of New York State workers' compensation and/or disability insurance from the New York State Workers' Compensation Board are exempt from the requirements of paragraphs (2) and/or (3) of subdivision (d) of this section.
      (2)   Where there are no employees in the company or business of a permittee, the permittee is exempt from the requirements of paragraphs (2) and (3) of subdivision (d) of this section.
      (3)   Emergency work. When the department issues an emergency declaration or an immediate emergency declaration, the demolition contractor shall provide the department with proof of insurance conforming to the requirements of this section prior to commencing the demolition work. Contractors employed by the city for such emergency work shall have such insurance but need not provide proof prior to commencing the demolition work.
   (f)   Notification. Regardless of whether it has procured liability insurance in accordance with 1 RCNY §104-02 of these rules (as licensee of the department) or with this section, the permittee shall notify in writing all of liability insurance carriers of any loss, damage, injury, or accident, and any claim or suit arising out of or relating to any operations performed by or on behalf of the permittee for which the department has issued it a permit (including an injury or accident affecting permittee's own employees) no later than 20 days after such event. Such notice to liability carriers must expressly specify that "this notice is being given on behalf of the city of New York as Additional Insured as well as the Named Insured." Such notice shall also contain the following information: the name of the named insured, the number of the permit, the date of the occurrence, the location (street address and borough) of the occurrence, and the identity of the persons or things injured, damaged or lost. The permittee shall simultaneously send a copy of such notice to the city of New York c/o Insurance Claims Specialist, Affirmative Litigation Division, New York City Law Department, 100 Church Street, New York, New York 10007.
   (g)   Proof of liability insurance. When commercial general liability insurance is required under paragraph (1) of subdivision (d) of this section the insured shall file with the department, at the time the insured applies for a permit (or permit renewal) or provides required notification, a certificate of insurance relating to such insurance in a form prescribed by the department and a sworn statement from a licensed insurance broker in a form prescribed by the department.
   (h)   Copies of insurance policies. The permittee shall provide a copy of any required policy within thirty (30) days of a request for such policy by the department or by the New York City Law Department.
   (i)   Maintenance of insurance. The permittee shall maintain the insurance required under this rule in full force and effect for the duration of the permit and any renewals thereof. In the event any required insurance expires, is cancelled or otherwise terminates without being simultaneously replaced with new or renewed insurance satisfying the requirements of this rule, the permittee shall immediately notify the department of such fact. If any required insurance is found at any time to be to absent or non-compliant, the department may issue the permittee a stop work order relating to the permit at issue.
   (j)   Indemnification. Regardless of whether it has procured insurance in accordance with 1 RCNY §104-02 of these rules (as a licensee of the department) or with this section, the permittee shall indemnify, defend and hold the city and its officials and employees harmless against any and all claims, liens, demands, judgments, penalties, fines, liabilities, settlements, damages, costs and expenses of whatever kind or nature (including, without limitation, attorneys' fees and disbursements), known or unknown, contingent or otherwise, allegedly arising out of or in any way related to operations for which the department has issued a permit and/or the permittee's failure to comply with any of the requirements set forth herein or law. Insofar as the facts and law relating to any claim would preclude the city and its officials and employees from being completely indemnified by the permittee, the city and its officials and employees shall be partially indemnified by the permittee to the fullest extent permitted by law.
   (k)   Failure to secure or maintain insurance. In the event a permittee fails to secure or maintain insurance in full compliance with this section, such permittee shall be obligated to indemnify the city pursuant to subdivision (j) of this section and/or pay the city all amounts arising from such failure, including but not limited any settlement or judgment paid by the city on an uninsured claim or action, plus a sum equal to the reasonable costs of defending such claim or action. The city's right to such amounts are additional to all other rights the city may have arising from a violation of these regulations or otherwise under the law.
   (l)   Failure to enforce. A failure by the city or by the department to enforce any of the foregoing requirements shall not constitute a waiver of such requirement or any other requirement.
  § 6. This rule shall take effect on October 1, 2014, except that if the effective date of Local Law number 141 for the year 2013 is extended to December 31, 2014, this rule shall take effect on December 31, 2014.
   (a)   Final Inspection. Where permitted work does not require the issuance of a certificate of occupancy and where the final inspection is performed by an approved agency, the final inspection shall be performed after all work authorized by the permit is completed, but in no event later than one (1) year from the date of the expiration of the last valid permit.
   (b)   Inspection Report. A final inspection report complying with the requirements of section 28-116.2.4.2 of the Administrative Code shall be filed within thirty (30) days of the date of the final inspection that enables the inspector to attest that the work is substantially compliant with the approved construction documents, the building code, and other applicable laws and rules.
   (c)   Applicability. The requirements in this section shall apply to all final inspections performed after July 1, 2008, regardless of when the underlying permit was issued.
   (a)   Scope. There shall be an Office of Technical Certification and Research ("OTCR"), responsible for approving materials pursuant to Article 113 of the New York City Construction Codes ("Construction Codes").
   (b)   References. See Sections 28-103.9, 28-103.10, 28-113.1 to 28-113.4 and 28-114.1 to 28-114.4 of the New York City Administrative Code ("Administrative Code").
   (c)   Definitions. For the purposes of this rule, the following terms shall have the following meanings:
      (1)   Applicant. The person or entity seeking an assessment or approval of materials.
      (2)   Approved inspection agency. An agency that is approved by the department as qualified to perform one or more of the inspections required by the Construction Codes.
      (3)   Approved product certification agency. An inspection agency that is approved by the department as qualified to inspect at regular intervals the material that is to be or is listed and labeled, to verify that the labeled material is representative of the material tested.
      (4)   Approved testing agency. An agency that is approved by the department as qualified to test and evaluate the performance of one or more of the materials regulated in their use by the Construction Codes. Such term shall include, when approved pursuant to department rules, a third party testing or certification agency, evaluation agency, testing laboratory, testing service or other entity concerned with product evaluation. Such term shall also include a licensed concrete testing laboratory.
      (5)   Code prescribed materials. Materials for which the Construction Codes provide prescribed standards. Such materials do not require OTCR approval, but may be required to be identified on the Schedule of Materials and Equipment as provided for in subdivision (d) of this section.
      (6)   Labeled. Material to which has been attached a label, symbol or other identifying mark of the manufacturer that contains the name of the manufacturer, the function and performance characteristics of the product or material, and the name and identification of an approved agency and that indicates that a representative sample of the material has been tested and evaluated by an approved agency for compliance with nationally recognized standards or tests to determine suitable usage in a specified manner.
      (7)   Listed. Material identified in a list published by an approved agency that maintains periodic inspection of production of listed material or periodic evaluation services and whose listing states either that the material meets identified nationally recognized standards or has been tested and found suitable for a specified purpose when installed in accordance with the manufacturer's installation instructions.
      (8)   Materials. Materials, assemblies, appliances, equipment, devices, systems, products and methods of construction regulated in their use by the Construction Codes.
   (d)   Identification of materials.
      (1)   Schedule of Materials and Equipment. OTCR shall prepare and maintain a Schedule of Materials and Equipment ("Schedule") that shall be used to identify third-party tested and/or listed materials on construction documents OTCR shall post the Schedule on the OTCR Webpage of the department's Website (http://www.nyc.gov/buildings). For such materials, a registered design professional filing construction documents shall be required to incorporate the Schedule into his or her construction documents, shall provide material listing information as identified on the Schedule and shall maintain third-party certification documents for a period of six (6) years following sign-off of the work.
      (2)   Code-prescribed or alternative material determination. An applicant for materials approval may elect to have OTCR determine if materials are code-prescribed or alternative materials by submitting an OTCR 1 application and six hundred dollar ($600.00) fee to OTCR, as prescribed in Table 28-112.8 of the Administrative Code. OTCR shall notify the applicant of its determination in writing. If the material is found to be alternative, the application will be evaluated in accordance with subdivision (f) of this section and the fee required to determine whether the materials are code-prescribed or alternative materials shall be applied to OTCR's fee for the evaluation of standards for alternative materials prescribed in subdivision (f) of this section.
   (e)   Site specific approvals.
      (1)   Use. Use and/or installation of the following materials requires site specific approval by the department:
         (i)   Materials too large to be tested in a laboratory;
         (ii)   Component parts, which must be assembled in the field; or
         (iii)   Foreign-made materials unavailable for testing prior to installation, which may require on-site testing;
         (iv)   Other materials as determined by the commissioner.
      (2)   Application process.
         (i)   The applicant for a site-specific approval shall submit to OTCR the OTCR 2 application (Site-Specific Approval Application) and six hundred dollar ($600.00) fee as prescribed in Table 28-112.8 of the Administrative Code.
         (ii)   The approved testing agency or the professional engineer has sixty (60) calendar days from the date of the filing of the OTCR 2 in which to submit to OTCR the OTCR 3 statement (Approved Testing Agency or Professional Engineer Statement) and any associated test reports. If the statement and reports are not submitted to OTCR within the sixty (60) calendar days, the application may be administratively closed. The application fee shall be non-refundable.
      (3)   Fire safety. If OTCR determines that a site specific material and/or installation of such materials raises fire safety concerns and so notifies the applicant:
         (i)   The applicant shall submit the OTCR 2 and a letter identifying the project location and the fire safety concern(s) identified by OTCR to the Technology Management Unit of the Fire Department;
         (ii)   The applicant shall submit an affidavit to OTCR attesting that the OTCR 2 and letter were submitted to the Technology Management Unit; and
         (iii)   OTCR must receive correspondence from the Technology Management Unit recommending support, rejection or restrictions of the material prior to OTCR approving or rejecting the use and/or installation of the material.
      (4)   Approval or rejection. Notification of approval or rejection shall be issued by OTCR in writing.
   (f)   Alternative Materials.
      (1)   Standards for alternative materials. In the event that there is no Construction Code-prescribed standard for a material, but there exist standards that are accepted and/or endorsed by a nationally recognized organization that sets standards and/or evaluates materials used in the construction of buildings, an OTCR 1 application (Alternative Material Acceptance Criteria Application) shall be submitted to OTCR along with a six hundred dollar ($600.00) fee as prescribed in Table 28-112.8 of the Administrative Code, requesting a review of the proposed standard. The applicant shall provide OTCR with any additional information and/or supporting documentation that OTCR requires within fourteen (14) days from the date of a request for such information. If such information and/or documentation is not received within such time, the application shall be deemed abandoned and no refund of the application fee shall be issued.
         (i)   Upon receipt of the application, OTCR shall review and research the standard and, simultaneously, solicit comments from members of the building and construction industry and other city agencies as appropriate;
         (ii)   OTCR shall review and evaluate comments received from the industry and other city agencies, if any, and make such changes to the proposed approval as it deems appropriate; and
         (iii)   OTCR shall publish its final approval on the department's Website (http://www.nyc.gov/buildings).
         (iv)   Notification of rejection of a standard will be issued by OTCR in writing. No refund of the application fee shall be issued.
      (2)   Testing, listing and labeling. Following the completion of steps (i) through (iv) above, the alternative material shall be tested by an approved testing agency according to the standard approved by OTCR. If OTCR finds it necessary on the basis of such factors as but not limited to the history of the material, its sensitivity, and treatment of similar materials that are listed and labeled, the material shall be listed and labeled by an approved inspection and/or product certification agency. Upon being so tested and/or listed and labeled, the material may be used in construction with such limitations as OTCR may prescribe.
   (g)   Abandoned applications. OTCR 1 and/or OTCR 2 applications that have been rejected and upon which no further action has been taken by the applicant within sixty (60) days after the notice of rejection shall be deemed abandoned.
   (h)   Reinstatement. Applicants seeking reinstatement of an abandoned application(s) shall pay an additional six hundred dollar ($600.00) filing fee as prescribed in Table 28-112.8 of the Administrative Code.
   (i)   Appeals. Any final decision by the department may be appealed to the Board of Standards and Appeals pursuant to its rules.
   (j)   Testing. The department reserves the right to have materials tested by a third party at the building owner's or manufacturer's expense where there are observable defects, labeling inconsistencies, evidence of non-compliance with the approved standard and/or other indications of concern.
   (a)   Applicability. This rule shall apply to applications for construction document approval submitted, and not thereafter abandoned, that have been approved but not permitted prior to July 1, 2008 and to applications for construction document approval submitted, and not thereafter abandoned, that have been approved and partially permitted prior to July 1, 2008. For purposes of this rule, such applications shall be denominated "covered jobs."
   (b)   Technical reports of inspections. Covered jobs may continue to perform and file reports of technical inspections pursuant to the provisions of law in effect prior to July 1, 2008, provided that all remaining permits for the job are secured prior to December 31, 2008 and that work pursuant to such permits is commenced within twelve (12) months after the date of issuance of the permit therefore and is diligently carried on to completion. If all remaining permits for the job are not secured prior to December 31, 2008, the covered job must comply fully with all provisions of Title 28 of the administrative code.
   (a)   Scope. This rule establishes categories of work that may be classified as a minor alteration or ordinary repair and therefore may be exempt from the permit requirements of the New York city construction codes.
   (b)   References. See Administrative Code sections 28-105.1, 28-105.4, item 6 and 28-105.4.2.1.
   (c)   Compliance with code and other laws. Any exemptions outlined by this rule will not grant authorization for any work to be done in a manner that violates the provisions of this code, the New York City Energy Conservation Code, the Zoning Resolution or any other laws, rules, or regulations. Such exemptions shall not eliminate the obligation of any owner to file at other City agencies, when appropriate, including but not limited to the Landmarks Preservation Commission, the City Planning Commission, Department of Transportation, Department of Environmental Protection, Department of Environmental Conservation, or the Fire Department, nor shall it eliminate the obligation of any owner to file at the Department of Buildings for any related work, such as, for example, associated sidewalk protection, structural work, electrical connections, or plumbing connections.
   (d)   Categories of work that may be exempt from permit requirements. In addition to the categories of work exempted from the permit requirements of Section 28-105.1 pursuant to 28-105.4, items 1 though 5, the following categories of work may be considered minor alterations or ordinary repairs that may be exempt from permit requirements. The tables below list the types of minor alterations and ordinary repairs that are exempt from permit requirements and those that require a permit. The categories shown in Tables 1-3 below are not an exclusive list of all types of minor alterations or ordinary repairs that may be exempt from permit requirements.
Table 1
Work Exempt from Permit in One- and Two-family Dwellings
 
Building component or system (accessory to one- and two-family dwellings)Permit required?
1. Sheds. Temporary portable freestanding sheds erected on the same zoning lot as, and accessory to, a one- or two-family dwelling, provided that all of the following requirements are met:
NO
(1)  The shed shall not exceed 120 square feet in area and shall not be more than 7'6" in height; and
(2) The shed shall not obstruct any required window; and
(3)  The shed shall not be located within 3 feet (915 mm) of any lot line; and
(4)  The shed shall be used for storage of normal household goods, tools, or similar items; and
(5)  There shall not be more than one such shed on any tax lot.
Building component or system (accessory to one- and two-family dwellings)Permit required?
2. Fences. Fences 6 feet (1829 mm) or less in height, as measured from the higher of the two adjoining grades, in connection with one- and two-family dwellings.
NO
3. Small swimming pools. Outdoor in-ground or above-ground pools accessory to a one- or two-family dwelling limited to 400 square feet in area, provided that the distance from the edge of an in-ground pool to any building or lot line is greater than the depth of the deepest portion of the pool, and:
NO
(1) there is an existing slop sink for indirect waste; or
(2) a plumbing permit is obtained for the installation of such sink.
4. Playground equipment. Playground equipment accessory to a one- or two-family dwelling.
NO
5. Packaged air-conditioning unit in existing buildings. Packaged air-conditioning unit not exceeding 5 tons rated capacity, installed in an existing building, including installations in existing windows or in existing sleeves under windows, and that is not part of an alteration that otherwise requires a permit.
NO
 
Table 2
Work that may be Exempt from Permit in All Buildings
 
Building component or system (all buildings)Permit required?
I. Exterior structures
1. Retaining walls. Retaining walls less than 4 feet (1219 mm) in height, measured from the top of the footing to the top of the wall, and the wall: (1)  does not support a surcharge; or
(2)  does not impound Class I, II or III-A liquids, as defined by section 307.2 of the New York City Building Code.
NO
2. Nursery or agricultural shade cloth structures. Shade cloth structures constructed solely for nursery or agricultural purposes, and not covering mechanical equipment, plumbing fixtures or automobiles.
NO
II. Service equipment
1. Air conditioning and ventilating systems. Air conditioning and ventilating system installed as a voluntary system, serving only one floor of a building, and that:
(1)  does not use lot line openings for the intake or exhaust of air or the mounting of equipment; and

(2) is not installed in any public hallway, passageway, or stairway; and

(3)  does not in any way reduce the ventilation of any room or space below that required by code provisions; and

(4)  does not penetrate any fire division, roof, floor, or wall.






NO 
2. Packaged air-conditioning unit. Packaged air-conditioning unit not exceeding 3 tons rated capacity, installed in an existing building, including installations in existing windows or in existing sleeves under windows, and that is not part of an alteration that otherwise requires a permit.
NO 
3. Fuel-burning and fuel-oil storage. Portable fuel-burning equipment that does not require a chimney or vent connection.
NO
4. Fuel-burning and fuel-oil storage during construction. Portable heaters, having a fuel-storage capacity of 6 gallons or less, used in construction work.
NO
5. Fuel-burning and fuel-oil storage. Oil-fired heaters, other than internal combustion engines, having a fuel-storage capacity of 6 gallons or less.
NO
6. Refrigerating systems. Refrigerating systems twenty-five tons or less in capacity and using a Group A1 refrigerant.
NO
7. Refrigerating systems. Refrigerating systems installed in a vehicle, railroad car, or vessel.
NO
8. Refrigerating systems. Refrigerating systems that use water or air as the refrigerant.
NO
9. Temporary boilers. Temporary boilers, whether placed on private property or on the street (related electrical and plumbing connections also require separate permits).
YES
III. Interior partitions
1. Non-fire-rated and non-load-bearing wall, temporary removal. Where the cutting away and temporary removal of any portion of a non-load-bearing, non-fire rated partition is limited to the lesser of 50% of a given wall or 45 square feet in area, and where at the completion of work the partition is restored to its original condition.
NO
2. Non-fire-rated and non-load-bearing wall, permanent removal in Group R occupancies. In Group R occupancies, where the cutting away and permanent removal of any portion of a non-load-bearing, non-fire-rated partition is limited to the lesser of 50% of a given wall surface or 45 square feet in area.
NO
Exception: a permit shall be required where the cutting away and permanent removal of any size occurs in a dwelling unit satisfying either of the following conditions:
i. The dwelling unit is located in any of the following areas**:
a. Special Hudson Yards District
b. Preservation Area P-2 of the Special Garment Center District
c. Special Clinton District
d. Special West Chelsea District
e. Greenpoint-Williamsburg anti-harassment areas in Community District 1, Borough of Brooklyn; and




ii. the dwelling unit is within a single room occupancy multiple dwelling♣♣
** The permanent removal of a portion of the partition resulting in a change in the layout of rooms within a dwelling unit shall constitute a "material alteration" in accordance with Zoning Resolution sections 93-90 and 96-01. Any "material alteration" to a dwelling unit located within the "anti-harassment areas" as provided for in Zoning Resolution Sections 23-013, 93-90, 96-01, and 98-70 shall constitute an alteration in accordance with the Building Code and, therefore, require a building permit.
♣♣  Such work shall be considered an alteration and therefore require a building permit and, where applicable, a Certificate of No Harassment in accordance with section 28-107.4 of the Administrative Code.
3. Non-fire-rated and non-load-bearing wall, permanent removal in Groups B, M, and S-1 occupancies. In Groups B, M, and S-1 occupancies, where the cutting away and permanent removal of a non-load-bearing, non-fire-rated partition is limited to 50 linear feet in buildings of Type I or II construction (Class I construction in buildings subject to the 1968 Building Code).
NO
IV. Roofs
1. Roof repair and reroofing above the deck/sheathing. Roof repair or replacement, limited to the roof membrane, roof coverings, cant strip, and any insulation above the roof deck/sheathing, provided that the New York City Energy Conservation Code does not require additional thermal insulation for the roof.
NO
2. Roof repair and reroofing, including the deck/sheathing. Roof repair or replacement that includes replacement of roof deck/sheathing.
YES
3. Green roofs not more than 4 inches in depth. Green roof systems, not more than 4 inches in depth measured from the upper surface of the roof covering to the top of the growth medium, located on buildings of noncombustible construction or buildings greater than 100 feet in height.
NO
 
Table 3
Façade Work that may be Exempt from Permit in All Buildings
 
Exterior Facade Restoration Item (all buildings)Permit required?
I. Masonry (not including Terra Cotta and Stone)
1. Brick re-pointing (or other unit masonry).
NO
2. Removal and replacement of individual bricks – single outside wythe up to 10 sf., not to exceed 4 ft. horizontally, in any 100 sf. of wall area, and the cumulative area of all brick replacement on all facades does not exceed 150 sq. ft.
NO
3. Mechanical anchorage (pinning) of brick masonry to underlying structure.
YES
4. Parapet demolition and reconstruction.
YES
5. Increasing height of an existing parapet.
YES
6. Installation of new parapet coping (masonry).
NO
7. Installation of new parapet guardrail.
YES
8. Replacement of existing guardrail or parapet to the same height (for masonry parapets, replacement of existing parapet limited to 10 sq. ft. in any 100 sq. ft. of continuous parapet vertical surface area).
NO
9. Installation of expansion or control joints in existing masonry construction (entailing saw-cutting of masonry).
YES
10. Installation of flashing and weeps, repair or replacement of relieving angles (or lintels), installation of new brickwork, exceeding limits noted in #2 above.
YES
11. Flashing: cutting in reglet, removing one or two courses of brick from a single wythe on inside face of parapets, exceeding limits noted in #2 above.
YES
12. Masonry crack repair with injection of repair mortar.
NO
13. Masonry cladding of existing exterior building walls.
YES
14. Replacement of masonry sills.
NO
II. Concrete Restoration
1. Structural repair, reinforcement of concrete (repair of re-bars, post-tension cables, curtain panel wall, pre-cast concrete).
YES
2. Spandrels: repair of cracked or spalled concrete on exterior concrete spandrel beams, concrete fascias or balconies (whether or not repair of deteriorated steel reinforcement is required).
YES
3. Repair or re-anchoring of existing aluminum or steel balcony handrails.
NO
4. Concrete crack repair with injection of repair cement.
NO
III. Stone/Terra Cotta Restoration
1. For buildings subject to the requirements of §28-302, patching of spalls or cracks on exterior stone or terra cotta masonry.
YES
2. Removal and replacement of exterior stone or terra cotta ornamentation with an alternative material.
YES
3. Mechanical anchorage (pinning) of displaced stone or terra cotta masonry to underlying structure.
YES
IV. Curtain/Panel Walls
1. Repair, replacements of structural components of panel wall system.
YES
2. Removal or replacement of inspection plates.
NO
3. Repair or replacement of sheet metal window clip covers.
NO
4. Replacement of exterior glass panels in kind, limited to 1,000 square feet of glass in any given 10,000 square feet of wall area.
NO
5. Replacement of inner glass panels from within the building.
NO
V. Cleaning or Coating of Masonry/Concrete/Metal/EIFS
1. Cleaning, coloring or painting of masonry (brick, stone, terra cotta), concrete.
NO
2. Application of (trowel applied) cementitious material (stucco) no greater than 1" (25.4 mm) in thickness or other material (brownstone) no greater than 1/8" (3.2 mm) in thickness to exterior surfaces of building walls, excluding newly installed exterior insulation finish systems (EIFS). The application must be limited to a height of 40 feet, measured vertically from the adjoining grade or an adjoining setback that is at least 10 feet deep.
NO
3. Application of sealant, caulking, regrouting.
NO
4. Minor repair of exterior insulation finish systems (EIFS), not to exceed 10 square feet in any given 100 square feet of continuous EIFS wall surface area.
NO
Exterior Façade Restoration Item (all buildings)Permit required?
1. For buildings subject to the requirements of §28-302, scraping and painting, flashing and coloring, sealing and coating of steel structural
YES
members (including lintels over windows) entailing removal and replacement of brick or other masonry, exceeding 10 sq. ft., 4 ft. horizontally, in any 100 sf. of wall area.
2. Removal and replacement of steel structural members (including lintels over windows), exceeding 10 sq. ft., 4 ft. horizontally, in any 100 sf. of exterior wall area.
YES
3. Reinforcement of steel structural members (spandrels, beams columns).
YES
4. Reinforcement of fire escape bars, struts, baskets, or supports.
NO
5. Installation of handrails at perimeters of balconies, terraces, or rooftops.
YES
6. Installation of appurtenances (signs more than six square feet (0.56 m2) in area, flagpoles, water tanks, awnings, satellite dishes) to the exterior wall or at perimeters of balconies, terraces, or rooftops.
YES
Exception: flagpoles, awnings, and satellite dishes accessory to one- and two-family dwellings shall not require a permit for installation.
VII. Sheet Metal
1. Sheet metal cladding of facades of existing cornice.
YES
2. Localized (non-structural) repairs/patching to sheet metal cornice.
NO
3. Repair reinforcement of the structural supports of sheet metal cornices.
YES
4. Installation of new (replacement) sheet metal or glass fiber reinforced concrete (GFRC) cornice.
YES
5. Installation of parapet coping cover (sheet metal).
NO
6. Sheet metal cladding of exposed surfaces of parapet wall.
YES
VIII. Doors/Windows
1. Replacement of existing windows (balcony doors) that satisfy the following conditions:
NO
a.   such window is not located on the lot line; and
b.   the replacement does not require a modification of existing masonry openings; and
c.   the replacement window does not affect access to light or ventilation; and
d.   there is no change in the operable area of the window.


2. Replacement of required fire-rated windows.
YES
3. Repair or replacement of window and door sills.
NO
Exterior Façade Restoration Item (all buildings)
Permit required?
IX. Miscellaneous
1. Probes involving the removal of less than 10 sf. of unit masonry (with a maximum horizontal dimension not to exceed 4 ft.) in any 100 sf. of wall area, and the cumulative area of all probe openings on all facades does not exceed 150 sq. ft.
NO
2. Replacement in kind of exterior gutters and leaders.
NO
3. Removal of existing signs and marquees.
NO
4. Replacement of existing signs and marquees.
YES
5. Installation of new signs and marquees, other than painted signs.
YES
6. Open screen balcony enclosures on balconies less than 40 feet above grade.
NO
7. Weather-resistant balcony enclosures, such as windows and solid walls.
YES
 
The following procedure shall be followed only when members of the public wish to challenge a zoning approval issued by the department for a new building ("NB") or an enlargement affecting the exterior envelope of an existing building ("enlargement"). For the purposes of this section, "zoning approval" shall mean the approval of zoning documents filed as part of either a full approval of construction documents pursuant to section 28-104.2.2 or a partial approval of construction documents pursuant to section 28-104.2.5 of the administrative code, whichever comes first.
   (a)   Initial zoning challenge. The public shall have forty-five (45) days from the date of posting on the department's website of a zoning diagram filed in connection with an NB or enlargement to challenge the zoning approval, whether or not a permit or full approval for the NB or enlargement application has been issued. Posting of the zoning diagram shall serve as notice of zoning approval. All permits shall state that the zoning diagram can be accessed on the department's website. In addition, such zoning approval and information related to such approval shall be made available upon request at the appropriate borough office. The challenge shall be postmarked by the 45th day from the date of posting and shall be sent to the appropriate borough commissioner on forms specified by the department.
   (b)   Department review and decisions. After the forty-five (45) days for public challenge have elapsed, the department shall provide the challenge(s) to the applicant and the borough commissioner shall begin a review of the challenge(s) received and issue decision(s). The borough commissioner may deny the challenge(s) and/or issue to the applicant a notice of intent to revoke the zoning approval and any other approval and/or permit that relies on the zoning approval, along with a list of objections to the application. The challenge(s) and decision(s) shall be posted on the department's website and made available upon request at the appropriate borough office.
      (1)   Denial of challenge. The public shall have fifteen (15) days from the date of the posting of the borough commissioner's decision to deny the challenge to appeal to the department's technical affairs unit on forms specified by the department. The appeal shall be postmarked no later than the 15th day after the date of the posting.
      (2)   Notice of intent to revoke. The borough commissioner may issue a notice of intent to revoke the zoning approval and any other approval and/or permit that relies on the zoning approval, along with a list of objections. Such notice shall be rescinded when all objections are satisfied. The public shall have fifteen (15) days from the date of the posting of the rescission of such notice on the department's website to appeal the rescission to the department's technical affairs unit on forms specified by the department. The appeal shall be postmarked no later than the 15th day after the date of the posting.
      (3)   Final determinations. In addition to the internal appeals procedure provided for in paragraph 2 of this subdivision, rescission of a notice of intent to revoke a permit, issuance of a permit and revocation of a permit are final determinations that may be appealed to the Board of Standards and Appeals (BSA) in accordance with its rules. Where a permit has already been issued, the denial of a challenge by the borough commissioner or by the head of the technical affairs unit pursuant to this rule shall also be considered a final determination that may be appealed to the BSA.
   (c)   Amendments to zoning approvals.
      (1)   Resolving objections. An applicant may file to amend a zoning approval solely to resolve the objections stated in the notice of intent to revoke. Rescission of a notice of intent to revoke as a result of the resolution of objections shall constitute a decision that may be appealed pursuant to the provisions of paragraph 2 of subdivision b of this section or to the BSA, pursuant to paragraph 3 of subdivision b of this section.
      (2)   Amendments to the approved zoning documents. An applicant may also file to amend approved zoning documents for reasons in addition to or other than addressing the zoning objections raised in the notice of intent to revoke approval or permit. Challenges to the department's approval of such amendments shall be subject to the process set forth in subdivisions a and b of this section.
   (d)   Currently filed jobs. The public challenge process described in this section shall not apply to jobs where the application submission for an NB or enlargement is deemed by the department as ready for initial plan examination and the appropriate fees have been paid prior to the effective date of this rule.
A building permit or copy thereof shall be securely posted at the work site in a conspicuous location readily visible to the general public from a public right of way within three days of issuance but not later than the date of commencement of work and shall remain posted until all work is completed or the permit expires, whichever is later.

Subchapter B Enforcement

   (a)   Pursuant to §28-204.1 of the Administrative Code, any person who shall violate or fail to comply with any provision or provisions of law enforced by the Department or with any order issued pursuant thereto shall be liable for a civil penalty that may be recovered in a proceeding before the Environmental Control Board ("ECB"). Such proceeding shall be commenced by service of a notice of violation ("NOV") returnable before the board. Such notice of violation may be issued by employees of the Department or of other city agencies designated by the Commissioner and may be served by such employees or by a licensed process server.
   (b)   Classification of violations. For purposes of classifying violations pursuant to §28-201.2 of the Administrative Code, the following terms shall have the following meanings:
      (1)   IMMEDIATELY HAZARDOUS VIOLATION. Immediately hazardous violations are those specified as such by the New York City Construction Codes, or those where the violating condition poses a threat that severely affects life, health, safety, property, the public interest, or a significant number of persons so as to warrant immediate corrective action, or, with respect to outdoor advertising, those where the violation and penalty are necessary as an economic disincentive to the continuation or the repetition of the violating condition. Immediately hazardous violations shall be denominated as Class 1 violations.
      (2)   MAJOR VIOLATION. Major violations are those specified as such by the New York City Construction Codes or those where the violating condition affects life, health, safety, property, or the public interest but does not require immediate corrective action, or, with respect to outdoor advertising, those where the violation and penalty are appropriate as an economic disincentive to the continuation or the repetition of the violating condition. Major violations shall be denominated as Class 2 violations.
      (3)   LESSER VIOLATION. Lesser violations are those where the violating condition has a lesser effect than an immediately hazardous (Class 1) or major violation (Class 2) on life, health, safety, property, or the public interest. Lesser violations shall be denominated as Class 3 violations.
   (c)   Correction and certification of correction.
      (1)   Each NOV issued by the Commissioner shall contain an order of the Commissioner directing the respondent to correct the condition constituting the violation and to file a certification with the Department that the condition has been corrected.
      (2)   The following violation cannot be certified as corrected prior to a hearing before ECB. The respondent must appear at the hearing prior to the submission of the certification to the Department:
         (i)   A violation for filing a false certification;
      (3)   The required certification shall be completed on the form issued with the NOV or obtained from the Department in accordance with the instructions contained therein.
      (4)   The respondent must appear at the ECB hearing for all violating conditions unless those charges are cured or a pre-hearing stipulation is offered, timely accepted by the respondent, and approved in writing by ECB. Where more than one violation of law is listed on the same NOV, the respondent may submit a single certification covering one or all of the violating conditions.
      (5)   The certification shall be signed by one with personal knowledge of the correction of the violating condition and notarized by a notary public or commissioner of deeds.
      (6)   The certification shall be accompanied by true and legible copies of any and all documentary proof of compliance.
      (7)   The completed certification must be returned to the Department at the address provided on the City's website, NYC.gov.
      (8)   For violations classified as Class 3 or for those Class 2 violations eligible for a cure, respondents may avoid a hearing by submitting a certification of correction acceptable to and received by the Department no later than forty days from the date of the Commissioner's order to correct set forth in the NOV. For violations classified as Class 1, a certification acceptable to the Department must be received by the Department forthwith.
      (9)   Failure to submit an acceptable certification for all violating conditions indicated on the NOV on a Department of Buildings form within the time period prescribed in paragraph (8) of this subdivision shall require the respondent to appear at a hearing at ECB on the date indicated on the NOV. If no certificate of correction is received within the time period prescribed in paragraph (8) of this subdivision, the respondent is also subject to issuance of a violation for failure to certify correction and the imposition of civil penalties as defined in Title 28-202.1.
   (d)   Mitigated and zero penalties. Mitigated or zero penalties are available in the following circumstances under the following conditions.
      (1)   Cure.* An eligible violation may be cured by correction before the first scheduled hearing date at ECB. All violations that are designated as Class 3 violations are eligible for cure. Some, but not all, types of violations that are designated as Class 2 violations are eligible for cure. Those types of Class 2 violations that are eligible for cure will be indicated within the ECB Buildings Penalty Schedule found in Chapter 31 of Title 15 of the Rules of the City of New York ("ECB Buildings Penalty Schedule"). In order to cure, a certificate of correction acceptable to the Department must be filed at the Department within forty days from the date of the Commissioner's order to correct set forth in the NOV. A cure constitutes an admission of the violation; dispenses with the need for a hearing at ECB; constitutes a predicate violation for subsequent violations; and, consistent with the provisions of §28-204.2, and with the provisions of the ECB Buildings Penalty Schedule, results in a zero penalty. A violation that has been charged as an Aggravated II violation is never eligible for a cure, even if there is a "Yes" in the "Cure" column in the ECB Buildings Penalty Schedule for that violation description.
      (2)   Stipulation. An eligible violation may be subject to stipulation where the Commissioner offers to the respondent a stipulation prior to or at a hearing to extend the time for compliance upon such terms and conditions as the Commissioner prescribes. Violations that are eligible for stipulation are indicated as such on the ECB Buildings Penalty Schedule. The respondent must admit the violation subject to stipulation and agree to correct it and file an acceptable certification of correction with the Department. The stipulation may be signed and submitted to ECB either before the first scheduled hearing date at ECB or else on the first scheduled hearing date but prior to any actual hearing on that date., in which case it is considered a pre-hearing stipulation, or may be entered into at the first ECB hearing in which case it is considered a hearing stipulation. A reduced penalty will be imposed in connection with a pre-hearing stipulation in an amount indicated for the charge in question in the ECB Buildings Penalty Schedule. Specifically, the penalty imposed for that violation will be half of the penalty amount (rounded to the nearest dollar) of the penalty amount that would otherwise have been imposed at a hearing for that particular violation. In connection with a stipulation entered into at a hearing, a hearing penalty will be imposed in an amount indicated for the charge in question in the ECB Buildings Penalty Schedule. A stipulation, whether a pre-hearing stipulation or a hearing stipulation, gives the respondent seventy-five days from the first scheduled hearing date within which to correct the violation and file a certificate of correction, failing which any reduced penalty that may have been imposed in connection with a pre-hearing stipulation will be adjusted to the standard hearing penalty set forth in the ECB Buildings Penalty Schedule. A stipulation is effective only if it is approved by ECB. A pre-hearing stipulation dispenses with the need for a hearing at ECB. No stipulation shall take effect unless, in the case of a pre-hearing stipulation, it is offered by the Department prior to the first scheduled hearing date, signed by respondent prior to the first scheduled hearing date and approved by ECB in writing, or unless, in the case of a hearing stipulation, it is offered by the Department at the hearing, accepted by the respondent at that hearing, and is approved in writing by ECB. A violation that has been charged as an Aggravated II violation is never eligible for a stipulation, even if there is a "Yes" in the "Stipulation" column in the ECB Buildings Penalty Schedule for that violation description.
      (3)   Mitigation. An eligible violation may be subject to mitigation where the respondent proves at the hearing that the condition was corrected prior to the first scheduled hearing date at ECB. Violations that are eligible for mitigation are indicated as such on the ECB Buildings Penalty Schedule. A penalty is imposed on mitigations in accordance with the ECB Buildings Penalty Schedule. If a mitigated penalty is imposed, that penalty will be half of the penalty amount of the penalty amount that would otherwise have been imposed at a hearing for that particular violation. An acceptable certificate of correction must thereafter be filed at the Department. A violation that has been charged as an Aggravated II violation is never eligible for mitigation, even if there is a "Yes" in the "Mitigation" column in the ECB Buildings Penalty Schedule for that violation description.
   (e)   Certificate of correction review procedures.
      (1)   The Department shall review all certificates and accompanying documentation to determine their acceptability.
      (2)   The Department shall notify the respondent if the certification is accepted or rejected and, if rejected, the reasons for the rejection and the documents necessary to correct the problem.
      (3)   Corrected certifications must be received by the Department no later than the close of business forty days from the date of the Commissioner's order to correct set forth in the NOV.
   (f)   Aggravated penalties. Aggravated penalties shall be imposed in accordance with the ECB Buildings Penalty Schedule and with the following provisions. Notice of aggravated penalties shall either be set forth in the NOV or otherwise provided to the respondent prior to the date of the first scheduled hearing at ECB.
      (1)   Aggravated penalties of the first order. Aggravated penalties of the first order ("Agg. I") shall be imposed when evidence establishes the same condition or the same charge under the New York City Construction Codes or the predecessor charge under the laws in effect prior to July 1, 2008 in a prior enforcement action against the same owner or responsible party during the previous three years.
      (2)   Aggravated penalties of the second order. Aggravated penalties of the second order ("Agg. II") shall be imposed in the following instances:
         (i)   When the respondent or defendant is found in violation of any law or rule enforced by the Department where the violation of law is accompanied by or results in an accident, or poses a substantial risk thereof; is accompanied by, or results in a fatality or serious injury, or poses a substantial risk thereof; or where the violating condition affects a significant number of people; or
         (ii)   Where the respondent or defendant refuses to give the Department requested information necessary to determine the condition of a building or site; or
         (iii)   Where the respondent or defendant has a history of non-compliance with laws or rules enforced by the Department at one or more locations, including but not limited to a pattern of unreasonable delays in correcting violations, a pattern of failing to obey Stop Work Orders, filing false documents, or multiple defaults.
         (iv)   For purposes of this section, "in violation" shall mean to be adjudged in violation of any law or rule enforced by the Department following a hearing, to admit the charge, or to sign a stipulation agreement either at or before a hearing before any administrative or judicial tribunal. Failure to appear at a hearing leading to entry of a default order or judgment shall also be deemed a finding "in violation."
   (g)   Additional Daily and Monthly Penalties. Additional daily penalties may be imposed in connection with certain continuing and uncorrected Class 1 violations. Additional monthly penalties may be imposed in connection with certain continuing and uncorrected Class 2 violations. If the Department seeks such penalties in connection with a particular Class 1 or Class 2 charge, that will be indicated on the NOV. Such daily or monthly penalties, if applicable, are in addition to the set, flat-amount penalty that also is indicated in the ECB Buildings Penalty Schedule as applicable to the type of violation in question taking into account the classification level and Aggravated level of the particular violation. Imposition of such additional daily and monthly penalties is authorized pursuant to §28-202.1 of the New York City Administrative Code.
      (1)   Accrual of Daily Penalties. Daily penalties, if applicable, will accrue at the rate of $1,000 per day for a total of forty-five days running from the date of the Commissioner's order to correct set forth in the NOV, unless the violating condition is proved by the respondent at the hearing to have been corrected prior to the end of that forty-five day period, in which case the daily penalties will accrue for every day up to the date of that proved correction.
      (2)   Accrual of Monthly Penalties. Monthly penalties, if applicable, accrue at the rate of $250 per month for a total of one month running from the date of the Commissioner's order to correct set forth in the NOV, unless the violating condition is proved by the respondent at the hearing to have been corrected prior to the end of a month period.
   (h)   Applicability. On and after July 1, 2008 any work performed without a required permit will be presumed subject to enforcement under the New York City Construction Codes. Thus, the option afforded by 28-101.4 to use the either the 1968 Building Code or the New York City Construction Codes applies only to work for which an application is filed with the Department. If and when the work is the subject of an application to legalize, the option will be available once again.
   (i)   Legal References. The legal references referred to in the table below that reflects the classification of violations include the following:
      (1)   Title 28 of the New York City (NYC) Administrative Code. References to Title 28 of the NYC Administrative Code begin with "28-" (for example, "28-201.1). The citation "28-Misc." refers to provisions of Title 28 that are not specifically designated elsewhere in the table.
      (2)   Chapter 1 of Title 27 of the NYC Administrative Code (also known as the "1968 Building Code") and Chapter 3 of the same (also known as the "Electrical Code"). References to these chapters of title 27 of the NYC Administrative Code begin with "27-" (for example, "27-371"). The citation "27-Misc." refers to provisions of Title 27 that are not specifically designated elsewhere in the table.
      (3)   The "New York City Construction Codes," which consist of:
      (3)   – The New York City plumbing code (PC)
      (3)   – The New York City building code (BC)
      (3)   – The New York City mechanical code (MC)
      (3)   – The New York City fuel gas code (FGC).  References to these New York City Construction Codes are designated by the various abbreviations set out above (for example, "BC3010.1"). The citations "BC-Misc.", "PC-Misc.", "MC-Misc." and "FGC-Misc." refer to provisions of the New York City building, plumbing, mechanical or fuel gas codes that are not specifically designated elsewhere in the table.
      (4)   Appendices to the New York City Construction Codes. The New York City Construction Codes include all enacted appendices. Administrative Code §28-102.6. References to Appendices are cited by using the abbreviation for the particular Construction Code followed by the applicable Appendix letter (for example, "H") followed by the applicable section number (for example, "BC H103.1").
      (5)   The NYC Zoning Resolution (ZR) and the Rules of the City of New York (RCNY). References to the Zoning Resolution and to the Rules of the City of New York are designated by the abbreviations "ZR" and "RCNY" (for example, "ZR25-41" "1 RCNY9-01"). The citations "1 RCNY-Misc." and "ZR-Misc." refer to provisions of 1 RCNY or the Zoning Resolution that are not specifically designated elsewhere in the table.
      (6)   Reference Standards that pertain to Title 27 of the NYC Administrative Code (RS). References to the Reference Standards are designated by the abbreviation set out above (for example, "RS-16"). The citation "RS-Misc." refers to Reference Standards that are not specifically designated elsewhere in the table.
      (7)   Citations to the New York City Construction Codes. Whenever a section or subdivision of the New York City Construction Codes is cited or referred to, subordinate consecutively numbered subdivisions or paragraphs of the cited provision are deemed to be included in such reference unless the context or subject matter requires otherwise.
      (8)   Electrical Code Technical Standards. References to sections of the National Fire Protection Association NFPA 70 National Electrical Code as adopted and/or amended by New York City begin with "EC" (for example, "EC 250.14"). The citation "EC-Misc" refers to provisions of the Electrical Code Technical Standards that are not specifically designated elsewhere in the table.
      (9)   2008 code. References to the 2008 code pertain to the New York City Construction Codes effective on July 1, 2008 and any applicable subsequent amendments prior to December 31, 2014.
      (10)   2014 code. References to the 2014 code pertain to the amendments and additions to the New York City Construction Codes effective on December 31, 2014 and any applicable subsequent amendments.
   (j)   Classification of particular violations. Particular violations shall be classified as indicated in the following table:
 
 
Section of Law
Classification
Violation Description
1 RCNY-Misc, RS-Misc
Class 1
Miscellaneous violations.
1 RCNY-Misc, RS-Misc
Class 2
Miscellaneous violations.
1 RCNY-Misc, RS-Misc
Class 3
Miscellaneous violations.
1 RCNY 5-02
Class 2
Failure to meet the requirements of licensing/identification/qualification as required by 1 RCNY 5-02.
1 RCNY 49-03
Class 1
Outdoor Advertising Company failed to comply with Commissioner's sign-related Order.
1 RCNY 101-07
Class 2
Failure of approved agency to comply with requirements of 1 RCNY 101-07.
1 RCNY 104-20
Class 1
Licensed Rigger designated an unqualified foreman.
1 RCNY 104-20
Class 2
Licensed Rigger designated an unqualified foreman.
1 RCNY 103-04(b)(5)(iii)
Class 2
Removal of public protection from unsafe façade without approval from the department
1 RCNY 3301-02(c)
Class 1
Construction Superintendent failed to perform duties per rule
1 RCNY 3301-02(c)
Class 2
Construction Superintendent failed to perform duties per rule
1 RCNY 3301-02(c)(7)
Class 1
Construction superintendent failed to immediately notify the department of conditions as required.
27-228.5
Class 2
Failure to file an Architect/Engineer report certifying exit/directional signs are connected to emergency power source/storage battery equipment.
27-369, BC 1020.2 (2008 code), & BC 1023.2 (2014 code)
Class 1
Failure to provide unobstructed exit passageway.
27-371, BC 715.3.7 (2008 code) & BC 715.4.8 (2014 code)
Class 2
Exit door not self-closing.
27-382 & BC 1006.3
Class 2
Failure to provide power for emergency exit lighting.
27-383(b), BC 403.16 (2008 code) & BC 403.5.5 (2014 code)
Class 1
Failure to install luminous egress or photoluminescent exit path marking in a high-rise building.
27-391 & BC 3002.3
Class 2
Emergency signs at elevator call stations missing, defective or non-compliant with section requirements.
27-393, BC 1019.1.7 (2008 code) & BC 1022.8 (2014 code)
Class 2
Stair and/or floor identification signs missing and/or defective.
27-509, BC 3111.1 (2008 code) & BC 3112.1 (2014 code)
Class 3
Fence exceeds permitted height.
27-528, BC 1024.1.3 (2008 code) & BC 1028.1.3 (2014 code)
Class 2
Approved Place of Assembly plans not available for inspection.
27-901(z)(1) & PC 301.6
Class 2
Piping installed in elevator/counterweight hoistway.
27-904 & FGC 406.6.2
Class 1
Gas being supplied to building without inspection and certification by DOB.
27-904 & FGC 406.6.2
Class 2
Gas being supplied to building without inspection and certification by DOB.
27-921(a), PC 107.3 (2008 code) & PC 107.4 (2014 code)
Class 1
Failure to have new or altered plumbing system tested.
27-921(a), PC 107.3 (2008 code) & PC 107.4 (2014 code)
Class 2
Failure to have new or altered plumbing system tested.
27-972(h), BC 907.2.12.3 (2008 code) & BC 907.2.13.3 (2014 code)
Class 2
Failure to install an acceptable two-way voice communication system with central station connection.
27-Misc, 28-Misc,
BC -Misc
Class 1
Miscellaneous violations.
27-Misc, 28-Misc,
BC -Misc
Class 2
Miscellaneous violations.
27-Misc, 28-Misc,
BC -Misc
Class 3
Miscellaneous violations.
27-3017
Class 1
Performed unlicensed electrical work.
27-3018(b)
Class 1
Electrical work without a permit.
27-3018(b)
Class 2
Electrical work without a permit.
27-3018(b)
Class 3
Electrical work without a permit.
27-3018(b)
Class 3
Failure to conspicuously post electrical work permit while work is in progress.
27-3018(b)
Class 1
Electrical work does not conform to approved submittal documents/amendments.
27-3018(b)
Class 2
Electrical work does not conform to approved submittal documents/amendments.
27-3018(b)
Class 3
Electrical work does not conform to approved submittal documents/amendments.
27-3018(i)
Class 2
Installed more than the authorized number of electric meters.
28-104.2.2
Class 2
Failure to provide approved/accepted construction documents at job site at time of inspection.
28-105.1
Class 2
Failed to obtain a temporary construction permit prior to installation/use of sidewalk shed.
28-105.1
Class 1
Work without a permit.
28-105.1
Class 2
Work without a permit.
28-105.1
Class 3
Work without a permit.
28-105.1
Class 1
Construction or alteration work w/o a permit in manufacturing district for residential use.
28-105.1
Class 2
Construction or alteration work w/o a permit in manufacturing district for residential use.
28-105.1
Class 1
Demolition work without required demolition permit.
28-105.1
Class 1
Plumbing work without a permit in manufacturing district for residential use.
28-105.1
Class 2
Plumbing work without a permit in manufacturing district for residential use.
28-105.1
Class 2
Outdoor sign on display structure without a permit.
28-105.1
Class 1
Outdoor Ad Co sign on display structure without a permit.
28-105.1
Class 1
Work After Hours Without a Variance Permit contrary to 28-105.12.5.
28-105.1
Class 2
Work After Hours Without a Variance Permit contrary to 28-105.12.5
28-105.11
Class 2
Failure to post or properly post permit for work at premises.
28-105.12.1
Class 2
Outdoor sign permit application contrary to Code and ZR requirements.
28-105.12.2
Class 1
Work does not conform to approved construction documents and/or approved amendments.
28-105.12.2
Class 2
Work does not conform to approved construction documents and/or approved amendments.
28-105.12.2
Class 3
Work does not conform to approved construction documents and/or approved amendments.
28-105.12.2
Class 1
Work does not conform to approved construction documents and/or approved amendments in a manufacturing district for residential use.
28-105.12.2
Class 2
Work does not conform to approved construction documents and/or approved amendments in a manufacturing district for residential use.
28-105.12.2
Class 1
Place of Assembly contrary to approved construction documents.
28-105.12.2
Class 2
Place of Assembly contrary to approved construction documents.
28-105.12.2
Class 1
Outdoor Ad Co sign is contrary to construction documents.
28-110.1(20)
Class 1
Failure to provide evidence of workers attending construction & safety course.
28-116.1
Class 2
Failure of permit holder to provide inspection access to and/or expose ongoing construction or work on an active and permitted worksite.
28-116.2.4.2
Class 2
Failure to conduct or file a final inspection of permitted work with the Department.
28-116.4.1
Class 2
Operation of service equipment without Certificate of Compliance.
28-117.1
Class 1
Operation of a Place of Assembly without a current Certificate of Operation.
28-117.1
Class 2
Operation of a Place of Assembly without a current Certificate of Operation.
28-118.1
Class 1
Building or open lot occupied without a valid certificate of occupancy.
28-118.3
Class 1
Altered/changed building occupied without a valid Certificate of Occupancy as per §28-118.3.1 – §28-118.3.2.
28-118.3
Class 2
Altered/changed building occupied without a valid Certificate of Occupancy as per §28-118.3.1 – §28-118.3.2.
28-118.3
Class 1
Change in occupancy/use of C of O as per §28-118.3.1 – §28-118.3.2 by operating a Place of Assembly as per when current C of O does not allow such occupancy.
28-118.3
Class 2
Change in occupancy/use of C of O as per §28-118.3.1 – §28-118.3.2 by operating a Place of Assembly as per when current C of O does not allow such occupancy.
28-118.3.2
Class 1
Occupancy contrary to that allowed by the Certificate of Occupancy or Building Department records.
28-118.3.2
Class 2
Occupancy contrary to that allowed by the Certificate of Occupancy or Building Department records.
28-118.3.2
Class 3
Occupancy contrary to that allowed by the Certificate of Occupancy or Building Department records.
28-118.3.2.1
Class 3
Address, block and/or lot, or metes and bounds of zoning lot contrary to Certificate of Occupancy.
28-201.1
Class 1
Unlawful acts. Failure to comply with commissioner's order.
28-201.1
Class 1
Failure to obey a Vacate Order by the Commissioner per 28-207.4.
28-201.1
Class 1
Unlawful acts. Failure to comply with a law, rule or Commissioner's order involving construction and/or equipment safety operations.
28-201.1
Class 2
Unlawful acts. Failure to comply with a law, rule or Commissioner's order involving construction and/or equipment safety operations.
28-202.1
Class 1
Additional daily penalty for Class 1 violation of 28-210.1 or 28-210.2.
28-202.1
Class 2
Additional monthly penalty for continued violation of 28-210.1.
28-202.1
Class 1
Additional daily civil penalties for continued violations.
28-202.1
Class 2
Additional monthly civil penalties for continued violations.
28-202.1
Class 2
Additional monthly penalty for continued violation of 28-210.2.
28-202.1
Class 1
Additional daily penalty for Class 1 violation of 28-210.3 – permanent dwelling offered/used/ converted for other than permanent-residential purposes.
28-204.4
Class 2
Failure to comply with the commissioner's order to file a certificate of correction with the Department of Buildings.
28-207.2.2
Class 1
Unlawfully continued work while on notice of a stop work order.
28-207.2.5
Class 1
Tampered with, removed or defaced a written posted Stop Work Order.
28-207.4.4
Class 1
Removed or defaced a written posted Vacate Order.
28-210.1
Class 1
1- or 2-family residence converted to or maintained as a dwelling for 4 or more families.
28-210.1
Class 1
Multiple dwelling converted, maintained or occupied with 3 or more dwelling units than legally authorized by the C of O or official records.
28-210.1
Class 2
Residence altered as a dwelling for more than the number of families legally authorized by the C of O or official records.
28-210.2
Class 1
Industrial/manufacturing building converted, maintained or occupied for residential use for 3 or more dwelling units than legally authorized by the C of O or official records.
28-210.2
Class 2
Industrial/manufacturing building converted, maintained or occupied for residential use contrary to the C of O or official records.
28-210.3
Class 1
Permanent dwelling offered/used/converted for other than permanent-residential purposes
28-210.3
Class 2
Permanent dwelling offered/used/converted for other than permanent-residential purposes
28-211.1
Class 1
Filed a certificate, form, application etc., containing a material false statement(s).
28-211.1
Class 1
Filed a certificate of correction or other related materials containing material false statement(s).
28-217.1.1
Class 2
Failure to submit required report of inspection of potentially compromised buildings.
28-217.16
Class 1
Failure to immediately notify Department that building or structure has become potentially compromised.
28-301.1
Class 1
Failure to maintain building in code-compliant manner.
28-301.1
Class 2
Failure to maintain building in code-compliant manner.
28-301.1
Class 3
Failure to maintain building in code-compliant manner.
28-301.1
Class 1
Failure to maintain building in code-compliant manner: Use of prohibited door and/or hardware per BC 1008.1.8; 27-371(j).
28-301.1
Class 2
Failure to maintain building in code-compliant manner: Use of prohibited door and/or hardware per BC 1008.1.8; 27-371(j).
28-301.1
Class 1
Failure to maintain building in code-compliant manner: illumination for exits, exit discharges and public corridors per BC 1006.1; 27-381.
28-301.1
Class 2
Failure to maintain building in code-compliant manner: illumination for exits, exit discharges and public corridors per BC 1006.1; 27-381.
28-301.1
Class 1
Failure to maintain building in code-compliant manner: floor numbering signs missing and/or defective per BC 1019.1.7 (2008 code); 27-392; BC 1022.8 (2014 code).
28-301.1
Class 2
Failure to maintain building in code-compliant manner: floor numbering signs missing and/or defective per BC 1019.1.7 (2008 code); 27-392; BC 1022.8 (2014 code).
28-301.1
Class 1
Failure to maintain building in code-compliant manner: high-rise to provide exit sign requirement(s) within exits per BC 1011.1.1; 27-383.1.
28-301.1
Class 2
Failure to maintain building in code-compliant manner: high-rise to provide exit sign requirement(s) within exits per BC 1011.1.1; 27-383.1.
28-301.1
Class 1
Failure to maintain building in code-compliant manner: lack of emergency power or storage battery connection to exit signs per BC 1011.5.3; 27-384(c).
28-301.1
Class 1
Failure to maintain building in code-compliant manner: lack of emergency lighting for exits, exit discharges and public corridors per BC 1006.1; 27-542.
28-301.1
Class 2
Failure to maintain building in code-compliant manner: lack of emergency lighting for exits, exit discharges and public corridors per BC 1006.1; 27-542.
28-301.1
Class 2
Failure to maintain building in code-compliant manner: failure to provide non-combustible proscenium curtain or stage water curtain per BC 410.3.5; 27-546.
28-301.1
Class 1
Failure to maintain building in code-compliant manner: no fire stopping per BC 712.3; 27-345.
28-301.1
Class 2
Failure to maintain building in code-compliant manner: no fire stopping per BC 712.3; 27-345.
28-301.1
Class 1
Failure to maintain building in code-compliant manner: Improper exit/exit access doorway arrangement per BC 1014.2 (2008 code); 27-361; BC 1015.2 (2014 code).
28-301.1
Class 1
Failure to maintain building in code-compliant manner: service equipment – boiler.
28-301.1
Class 2
Failure to maintain building in code-compliant manner: service equipment – boiler.
28-301.1
Class 3
Failure to maintain building in code-compliant manner: service equipment – boiler.
28-301.1
Class 1
Failure to maintain building in code-compliant manner: lack of a system of automatic sprinklers where required per BC 903.2; 27-954.
28-301.1
Class 2
Failure to maintain building in code-compliant manner: lack of a system of automatic sprinklers where required per BC 903.2; 27-954.
28-301.1
Class 2
Failure to maintain building in code-compliant manner re: installation/maintenance of plumbing materials/ equipment per PC102.3; 27-902.
28-301.1
Class 2
Failure to maintain building in code-compliant manner: Gas vent reduced or undersized as per FGC 504.2; 27-887.
28-301.1
Class 2
Failure to maintain building in code-compliant manner: failure to comply with law for water supply system per PC 602.3; 27-908(c).
28-301.1
Class 2
Failure to maintain building in code-compliant manner: failure to comply with law for drainage system per PC 702.1; 27-911.
28-301.1
Class 2
Failure to maintain building in code-compliant manner: Plumbing fixture(s) not trapped and/or vented per PC 916.1 & PC 1002.1; 27-901(o).
28-301.1
Class 1
Failure to maintain building in code-compliant manner: Misc sign violation by Outdoor Ad Co as per 27-498 through 27-508 & BC H103.1.
28-301.1
Class 2
Failure to maintain sign in accordance with Tit. 27; Tit. 28; ZR; RCNY.
28-301.1
Class 1
Failure to maintain building in code compliant manner: Lack of required number of means of egress for every floor per BC 1018.1 (2008 code); 27-366; BC 1021.1 (2014 code).
28-301.1
Class 2
Failure to maintain building in code compliant manner: Exhaust discharge closer than 10 feet from building openings per RS 13 (2-2.1.4); MC 401.5.2.
28-302.1
Class 1
Failure to maintain building wall(s) or appurtenances.
28-302.1
Class 2
Failure to maintain building wall(s) or appurtenances.
28-302.1
Class 3
Failure to maintain building wall(s) or appurtenances.
28-302.3
Class 1
Failure to immediately notify the department of unsafe façade condition(s)
28-302.4
Class 2
Failure to submit a required report of critical examination documenting condition of exterior wall and appurtenances.
28-302.5
Class 1
Failure to take required measures to secure public safety – unsafe façade
28-302.5
Class 2
Failure to file an amended report acceptable to this Department indicating correction of unsafe conditions.
28-304.1
Class 1
Failure to maintain elevator or conveying system.
28-304.1
Class 2
Failure to maintain elevator or conveying system.
28-304.1
Class 3
Failure to maintain elevator or conveying system.
28-304.6
Class 1
Failure to inspect or test elevator or conveying system.
28-304.6
Class 2
Failure to inspect or test elevator or conveying system.
28-304.10
Class 2
Failure to provide notice of elevator to be out of service for alteration work.
28-305.4.4
Class 2
Failure to submit required report of condition assessment of retaining wall
28-305.4.6
Class 1
Failure to immediately notify Department of unsafe condition observed during condition assessment of retaining wall.
28-305.4.7.3
Class 2
Failure to file an amended condition assessment acceptable to Department indicating correction of unsafe conditions.
28-308.4
Class 2
Failure to file an energy efficiency report in accordance with section 28-308.4 or 28-308.7
28-317.3
Class 2
Failure to register cooling tower prior to operation.
28-317.3.1
Class 2
Failure to notify of discontinued use or removal of cooling tower.
28-317.5
Class 2
Failure to file an annual certification of cooling tower inspection/testing/cleaning/ disinfecting/maintenance per Adm. Code §17-194.1.
28-401.9
Class 1
Failure to file evidence of liability &/or property damage insurance.
28-401.9
Class 1
Failure to file evidence of compliance with Workers Comp, law and/or disability benefits law.
28-401.16
Class 2
Held self out as licensed, certified, registered etc., to perform work requiring a DOB license w/o obtaining such license.
28-401.20 &
1 RCNY 3301-02(g)
Class 1
Licensee/registrant failed to fully and completely cooperate as per section.
28-404.1
Class 1
Supervision or use of rigging equipment without a Rigger's license.
28-404.4.1
Class 2
Licensed Master/Special Rigger failed to place appropriate "Danger" sign while using rigging equipment.
28-405.1
Class 2
Supervision or use of power-operated hoisting machine without a Hoisting Machine Operator's license.
28-406.1
Class 1
Unlicensed concrete testing activity.
28-408.1
Class 1
Performing unlicensed plumbing work without a master plumber license.
28-415.1
Class 1
Hoisting, lowering, hanging, or attaching of outdoor sign not performed or supervised by a properly licensed sign hanger.
Misc. Chapter 4 of Title 28-Unlicensed Activity
Class 1
Illegally engaging in any business or occupation without a required license or other authorization.
28-502.2
Class 1
Outdoor Advertising Company engaged in outdoor advertising business without a valid registration.
28-502.2.1
Class 1
Outdoor Advertising Company failed to submit complete/accurate information as prescribed in 1 RCNY Chapter 49.
28-502.2.2
Class 1
Outdoor Advertising Company failed to post, renew or replenish bond or other form of security.
28-502.5
Class 1
Outdoor Advertising Company failed to post required information at sign location.
28-502.6
Class 1
Misc sign viol'n by outdoor ad co of Tit. 27; Tit. 28; ZR; or BC.
28-504.3
Class 2
Failure to complete/implement/amend bicycle access plan or provide request for exception.
28-504.3(2)
Class 2
Failure to implement the terms and conditions of bicycle access plan/letter of exception as prescribed in 34 RCNY 2-19.
28-504.6
Class 2
Failure to post a bicycle access plan/letter of exception/notice of availability of plan/letter.
28-504.7
Class 2
Failure to timely file bicycle access plan or amendment with DOT as prescribed in 34 RCNY 2-19.
BC 105.8.2
Class 2
Temporary Construction Equipment on Site – Expired Permit.
BC 903.6
Class 2
Failure to paint dedicated sprinkler piping/valves in accordance with section.
BC 903.6
Class 2
Failure to provide/maintain painting certification of sprinkler and combination sprinkler/standpipe systems in accordance with section.
BC 905.11
Class 2
Failure to paint dedicated standipe/valves in accordance with section.
BC 905.11
Class 2
Failure to provide/maintain painting certification of standpipe and combination sprinkler/standipe systems in accordance with section.
BC 1016.2
Class 2
Failure to maintain building in code-compliant manner: provide required corridor width per BC 1016.2; 27-369.
BC 1704.4
Class 2
Failure to perform special inspections and verifications for concrete construction as required by section and Table 1704.4.
BC 1704.21.1 (2008 code) & BC 1704.23.1 (2014 code)
Class 1
Failure to perform successful hydrostatic pressure test of sprinkler system.
BC 1704.22.1 (2008 code) & BC 1704.24.1 (2014 code)
Class 1
Failure to perform successful hydrostatic pressure test of standpipe system.
BC 1905.6.3.2 (2008 code) & BC 1905.6.3.3 (2014 code)
Class 2
Failure to comply with ASTM C31 standards for concrete cylinder test samples.
BC 3010.1 & 27-1006
Class 1
Failure to promptly report an elevator accident involving personal injury requiring the services of a physician or damage to property.
BC 3301.1.3 (2014 code)
Class 1
Failure to comply with manufacturer specifications.
BC 3301.1.3 (2014 code)
Class 2
Failure to comply with manufacturer specifications.
BC 3301.2
27-1009(a)
Class 1
Failure to safeguard all persons and property affected by construction operations.
BC 3301.2
27-1009(a)
Class 2
Failure to safeguard all persons and property affected by construction operations.
BC 3301.2
27-1009(a)
Class 1
Failure to institute/maintain safety equipment measures or temporary construction – No guard rails.
BC 3301.2
27-1009(a)
Class 1
Failure to institute/maintain safety equipment measures or temporary construction – No toe boards.
BC 3301.2
27-1009(a)
Class 1
Failure to institute/maintain safety equipment measures or temporary construction – No handrails.
BC 3301.3 & BC 3310.5 & BC 3310.5.2
Class 1
Failure to designate and/or have Site Safety Manager or Site Safety Coordinator present at site as required
BC 3301.3 &
1 RCNY 3301-02(b), (c)
Class 1
Failure to designate and/or have Construction Superintendent present at site as required.
BC 3301.7 (2014 code)
Class 1
Failure to maintain/display on site documents required by BC Chapter 33.
BC 3301.7 (2014 code)
Class 2
Failure to maintain/display on site documents required by BC Chapter 33.
BC 3301.8
Class 1
Failure to promptly notify the Department of an accident or damage to adjoining property at construction/demolition site.
BC 3301.9
Class 2
Project Information Panel/Sidewalk Shed Parapet Panel/Construction Sign not provided or not in compliance with section
BC 3303.3 (2008 code)
Class 2
Failure to post D.O.T. permit for street/sidewalk closing.
BC 3303.4
27-1018
Class 1
Failure to maintain adequate housekeeping per section requirements.
BC 3303.4
27-1018
Class 2
Failure to maintain adequate housekeeping per section requirements.
BC 3303.4.5 & 27-1018
Class 1
Unsafe storage of materials during construction or demolition.
BC 3303.4.6 & 27-1018
Class 1
Unsafe storage of combustible material and equipment.
BC 3303.7.3
Class 1
Smoking at construction/demolition site.
BC 3303.7.3
Class 2
Smoking at construction/demolition site.
BC 3303.7.3
Class 2
Failure to post No Smoking signs at construction/demolition sites per Fire Code.
BC 3303.8.1
Class 1
Failure to provide standpipe air pressurized alarm system for standpipe system during construction or demolition operation.
BC 3303.8.1
Class 1
Failure to conduct proper planned removal from service of standpipe system and/or standpipe air pressurized alarm.
BC 3303.15
Class 2
Failure to perform proper concrete washout water procedures
BC 3304.3 & 1 RCNY 52-01(a)
Class 1
Failure to notify the Department prior to the commencement of earthwork.
BC 3304.3 & 1 RCNY 52-01(b)
Class 2
Failure to notify the Department prior to the cancellation of earthwork .
BC 3304.4
27-1032
Class 1
Failure to provide protection at sides of excavation.
BC 3304.12 (2014 code)
Class 1
Failure to perform slurry operations in accordance with section.
BC 3305.3.1.2.1 (2014 code)
Class 1
Failure to obtain registered design professional evaluation prior to using existing structure to support formwork loads.
BC 3305.3.2 (2014 code)
Class 1
No site-specific formwork design drawings present per 3301.7.
BC 3305.3.3.2 (2014 code)
Class 1
Failure to perform required formwork observation.
BC 3306
27-1039
Class 1
Failure to carry out demolition operations as required by section.
BC 3306.2.1
Class 1
Failure to provide safety zone for demolition operations.
BC 3306.3
27-195
Class 1
Failure to provide required notification prior to the commencement of demolition.
BC 3306.5
Class 1
Mechanical demolition without plans on site.
BC 3307.1
Class 2
Pedestrian protection does not meet code specifications.
BC 3307.1.1 (2008 code) & BC 3307.4.6 (2014 code)
Class 1
Prohibited Outdoor Advertising Company sign on sidewalk shed or construction fence
BC 3307.1.1 (2008 code) & BC 3307.4.6 (2014 code)
Class 2
Posting of unlawful signs, information, pictorial representation, business or advertising messages on protective structures
BC 3307.3 (2008 Code) & BC 3307.1 (2014 Code)
Class 1
Failure to provide pedestrian protection for sidewalks and walkways
BC 3307.3.1 (2008 code), 27-1021(a) & BC 3307.6.2 (2014 code)
Class 1
Failure to provide sidewalk shed where required.
BC 3307.6.4 (2008 code) & BC 3307.6.4.11 (2014 code)
Class 2
Sidewalk shed does not meet color specification
BC 3307.7
Class 2
Job site fence not constructed or maintained pursuant to subsection.
BC 3309.4
27-1031
Class 1
Failure to protect adjoining structures during excavation operations.
BC 3310.8.2 (2008 code) & BC 3310.8.2.1 (2014 code)
Class 1
Site safety manager/coordinator failed to immediately notify the Department of conditions as required.
BC 3310.9.1
Class 1
No concrete safety manager present at site where at least 2,000 cubic feet of concrete will be poured.
BC 3310.10
Class 1
Failure to conduct a site-specific safety orientation program for all workers.
BC 3314.2
27-1042
Class 1
Erected or installed supported scaffold 40 feet or higher without a permit.
BC 3314.1.1 (2008 code), 27-1050.1 & BC 3314.4.1.5 (2014 code)
Class 2
Failed to notify Department prior to installation or removal of Suspended Scaffold.
BC 3314.4.3.1 (2008 code), 27-1045 & BC 3314.4.3 (2014 code)
Class 1
Failure to perform safe/proper inspection of suspended scaffold.
BC 3314.4.3.1 (2008 code), 27-1045(b) & BC 3314.4.3.4 (2014 code)
Class 1
No record of daily inspection of Suspended Scaffold performed by authorized person at site.
BC 3314.4.5 (2008) & BC 3314.4.5.1 (2014)
Class 1
Unqualified supervisor or worker performing work on scaffold.
BC 3314.4.6 (2008 code) & BC 3314.4.5.8 (2014 code)
Class 2
Scaffold training certificate card not readily available for inspection.
BC 3314.6.3
27-1009
Class 1
Failure to provide/use lifeline while working on scaffold.
BC 3314.6.3
27-1009
Class 2
Failure to provide/use lifeline while working on scaffold.
BC 3316.2 & BC 3319.1
Class 1
Inadequate safety measures: Operation of crane/ derrick/hoisting equipment in unsafe manner.
BC 3319.3
Class 1
Operation of a crane/derrick without a Certificate of Operation.
BC 3319.3
27-1057(b)
Class 2
Operation of crane/derrick without Certificate of Approval/Certificate of Operation.
BC 3319.3
27-1057(d)
Class 2
Operation of a crane/derrick without a Certificate of Onsite Inspection.
BC 3319.8
Class 1
Failure to provide erection, jumping, climbing, dismantling plan for tower/climber crane.
BC 3319.8.2
Class 1
Failure to conduct a safety coordination meeting.
BC 3319.8.3
Class 1
Failure to conduct a pre-jump safety meeting.
BC 3319.8.4
Class 1
Failure to notify the Department prior to pre-jump or safety coordination meeting.
BC 3319.8.4.2
Class 1
Failure to provide time schedule indicating erection, jumping, climbing or dismantling of crane.
BC 3319.8.6
Class 1
No meeting log available.
BC 3319.8.7
Class 1
Failure to file a complete and acceptable tower/climber Installation Report per BC 3319.8.7.
BC 3319.8.8
Class 1
Erection, jumping, climbing, dismantling operations of a tower or climber crane not in accordance with BC 3319.8.8.
EC-Misc
Class 1
Miscellaneous violation of the Electrical Code Technical Standards.
EC-Misc
Class 2
Miscellaneous violation of the Electrical Code Technical Standards.
EC-Misc
Class 3
Miscellaneous violation of the Electrical Code Technical Standards.
EC 110.12
Class 3
Failure to close unused openings (knockouts) in outlet/panel box.
EC 110.14(A)
Class 2
Failure to properly connect conductors to terminals
EC 110.2(A)
Class 1
Unapproved/unsafe/unsuitable electrical equipment, apparatus, materials, devices, appliances or wiring in use
EC 110.2(A)
Class 2
Unapproved/unsafe/unsuitable electrical equipment, apparatus, materials, devices, appliances or wiring in use
EC 110.2(B)
Class 2
Constructed electrical installation without required commissioner's approval per section.
EC 110.2
Class 2
Failure to use approved conductors and/or equipment.
EC 110.2
Class 3
Failure to use approved conductors and/or equipment.
EC 110.25
Class 1
Electrical closet not dedicated to electrical distribution equipment only.
EC 110.25
Class 2
Electrical closet not dedicated to electrical distribution equipment only.
EC 110.25
Class 3
Electrical closet not dedicated to electrical distribution equipment only.
EC 110.26
Class 2
Failure to provide/maintain sufficient access/work space about electrical equipment.
EC 210.12(B)
Class 2
Failure to provide Arc-fault circuit interrupter (AFCI) protection in dwelling units.
EC 210.52(A)
Class 3
Failure to provide proper spacing between receptacle outlets.
EC 210.8
Class 2
Failure to install Ground-fault circuit interrupter (GFCI) protection as required.
EC 230.72(A)
Class 1
Failure to properly group/label disconnects.
EC 230.72(A)
Class 2
Failure to properly group/label disconnects.
EC 240.3
Class 1
Failure to provide adequate circuit overcurrent protection device per table
EC 240.3
Class 2
Failure to provide adequate circuit overcurrent protection device per table
EC 240.3
Class 3
Failure to provide adequate circuit overcurrent protection device per table
EC 240.4
Class 1
Failure to protect conductor(s) against overcurrent per EC.
EC 240.4
Class 2
Failure to protect conductor(s) against overcurrent per EC.
EC 240.21
Class 2
Tap conductors not in compliance with section.
EC 250.4
Class 1
Failure to ground electrical systems
EC 250.4
Class 1
Failure to properly bond electrical systems.
EC 250.4
Class 2
Failure to properly bond electrical systems.
EC 250.4
Class 3
Failure to properly bond electrical systems
EC 250.4
Class 2
Failure to provide adequate grounding of electrical systems.
EC 250.64
Class 1
Failure to install grounding electrode conductor in accordance with section.
EC 300.10
Class 2
Fail to provide effective electrical continuity for metal raceways/enclosures/cable armor.
EC 300.11
Class 2
Failure to secure/support raceways/cable assemblies/boxes/cabinets/fittings.
EC 314.23
Class 3
Failure to secure electrical device enclosure per section requirement
EC 314.25
Class 2
Failure to provide cover/faceplate/lampholder/luminaire canopy for electrical outlet.
EC 358.12
Class 2
Prohibited use of electrical metallic tubing (EMT).
EC 358.30
Class 2
Failure to properly secure/support electrical metallic tubing (EMT)
EC 408.4
Class 3
Failure to provide required circuit directory/identification.
EC 410.30
Class 2
Luminaires and Lampholders not installed in an approved manner.
EC 590.4(G)
Class 2
Improper splicing of temporary wiring
EC 590.4(J)
Class 1
Failure to provide proper support for temporary wiring.
EC 590.4(J)
Class 1
Failure to protect temporary wiring from improper contact per section.
PC-Misc, FGC-Misc, MC-Misc
Class 1
Miscellaneous violations.
PC-Misc, FGC-Misc, MC-Misc
Class 2
Miscellaneous violations.
PC-Misc, FGC-Misc, MC-Misc
Class 3
Miscellaneous violations.
RS 6-1
Class 1
Failure to file affidavits and/or comply with other requirements set forth for photoluminescent exit path marking.
ZR 11-62
Class 2
Violation of discretionary Zoning conditions on privately owned public space.
Misc ZR
Class 2
Misc. violation of condition on as of right privately owned public space.
ZR 22-00
Class 2
Illegal use in residential district.
ZR 22-00
Class 3
Illegal use in residential district.
ZR 22-32
Class 1
Outdoor Ad Co has impermissible advertising sign in an R Dist.
ZR 22-342
Class 1
Outdoor Ad Co sign in R Dist exceeds height limits.
ZR 25-41
Class 2
Violation of parking regulations in a residential district.
ZR 25-41
Class 3
Violation of parking regulations in a residential district.
ZR 32-00
Class 2
Illegal use in a commercial district.
ZR 32-63
Class 1
Outdoor Ad Co advertising sign not permitted in specified C Dist.
ZR 32-64
Class 2
Sign(s) in specified C Dist exceed(s) surface area restrictions.
ZR 32-64
Class 1
Outdoor Ad Co sign(s) in specified C Dist exceed surface area limits.
ZR 32-652
Class 2
Sign in specified C Dist extends beyond street line limitation.
ZR 32-653
Class 2
Prohibited sign on awning, canopy, or marquee in C Dist.
ZR 32-655
Class 1
Outdoor Ad Co sign exceeds permitted height for specified C Dist.
ZR 42-00
Class 2
Illegal use in a manufacturing district.
ZR 42-52
Class 1
Outdoor Ad Sign not permitted in M Dist.
ZR 42-53
Class 1
Outdoor Ad sign in M Dist exceeds surface area limits.
ZR 42-543
Class 1
Outdoor Ad Co sign in M Dist exceeds height limit.
ZR 105-20
Class 2
Damaged or removed a tree within a Special Natural Area District without certification, authorization or special permit.
ZR-Misc
Class 2
Miscellaneous violations of the Zoning Resolution.
ZR-Misc
Class 3
Miscellaneous violations of the Zoning Resolution.
ZR-Misc.
Class 1
Misc sign violation under the Zoning Resolution by an Outdoor Ad Co.
ZR-Misc.
Class 2
Misc sign violation under the Zoning Resolution.
Misc – ZR
Misc – Title 28
Class 1
Misc outdoor sign violation of ZR and/or Building Code.
Misc – ZR
Misc – Title 28
Class 2
Misc outdoor sign violation of ZR and/or Building Code.
 
(Am. eff. 2/18/2016; Am. eff. 4/15/2016; Am. eff. 10/3/2016)
In accordance with the provisions of Administrative Code §28-216.6, registered design professionals appointed by a recognized professional organization to act on any survey or appointed to resolve disagreement between surveyors shall each be paid the sum of one hundred dollars.
   (a)   Potentially compromised. For the purposes of this section, "potentially compromised" means a building or structure that:
      (1)   has had an open roof for sixty days or longer,
      (2)   has been shored and braced or repaired pursuant to an emergency declaration issued by the commissioner pursuant to Article 215 of Title 28 of the Administrative Code,
      (3)   has been subject to a precept as a compromised structure under Article 216 of Title 28 of the Administrative Code,
      (4)   may have suffered structural damage by fire or by partial collapse of floors, interior or exterior walls or other cause as determined by the commissioner.
   (b)   Inspections.
      (1)   Initial inspections. Beginning September 1, 2013, the owner of a building or structure that has become potentially compromised must have a structural condition inspection of such building or structure. The inspection must be performed by a registered design professional within sixty days from the date that the building or structure becomes potentially compromised. The design professional must file a report as described in subdivision d of this section with the department within thirty days after the date of the inspection.
      (2)   Periodic inspections. After the initial inspection and filing of the report, structural condition inspections must be performed and reports as described in subdivision d of this section must be filed annually, unless otherwise specified by the department. The periodic inspections must continue until a certification is filed with the department by the registered design professional stating that the building or structure is no longer potentially compromised and the department has audited the certification to ensure its accuracy.
   (c)   Notifications to the department.
      (1)   Department notification by owner. An owner of a building or structure must notify the department in writing that such building or structure has become potentially compromised immediately after such owner knows or should have known of the condition.
      (2)   Department notification by registered design professional. If a structural condition inspection reveals that there is an immediate risk to the public or property due to a violation of any applicable law or rule or any unsafe condition, the registered design professional must immediately notify the department and the owner by both calling 311 and in writing.
   (d)   Report. The registered design professional must sign, seal, and submit to the department the report of the inspection required by section 28-216.12.1 of the Administrative Code and subdivision b of this section. The registered design professional must also submit a filing fee as specified in section 101-03 of the department's rules, and must send a copy of the report to the owner. The report must include, but need not be limited to, the following information:
      (1)   the address of the property;
      (2)   the block and lot of the property;
      (3)   the owner's name and contact information, including an address for the receipt of notifications and service of process;
      (4)   the registered design professional's name and contact information, including an address for the receipt of notifications and service of process;
      (5)   the date of inspection or inspections;
      (6)   detailed description and location of the structural damage found;
      (7)   a comprehensive analysis of the structural condition of the building or structure as a result of the structural damage, based on probes and calculations;
      (8)   photographs of the condition;
      (9)   8 1/2" × 11" sketches of the property showing its relationship to the adjacent properties;
      (10)   schematically sketched floor plans, sections and elevations of the building and adjacent buildings, roof to foundation, with notes relating to the existing description of the property;
      (11)   at least two different photographs of each of the following: street façades, side façades, rear façades, the roof and the condition of the interior of the property;
      (12)   a statement that the owner received the report;
      (13)   an estimate of how long the building will remain stable;
      (14)   a proposed schedule for monitoring and repairing the condition;
      (15)   8 1/2" x 11" sketches showing the work required to stabilize the property, such as shoring and bracing and/or partial demolition; and
      (16)   any additional information requested by the commissioner.
   (e)   Final report. After the condition that caused the building or structure to be potentially compromised has been repaired, the registered design professional must submit to the department a signed and sealed report certifying that the building or structure is no longer potentially compromised.
   (f)   Civil penalties. In addition to any other penalties authorized by law, failure to file a report pursuant to the requirements of section 28-216.12.1 and this section will result in a civil penalty of $3,000 for each violation of such section, payable to the department.
   (a)   Payment of civil penalty for work without a permit or violation of a stop work order. Except as otherwise provided in this section, payment of the civil penalty is required before:
      (1)   Issuance of a permit for work in a particular space when work was performed without a permit in such space and the penalty for such unpermitted work has not been paid.
      (2)   Renewal of a permit for work performed after the expiration of a permit when the penalty for such unpermitted work has not been paid.
      (3)   Acceptance of a certificate of correction for a violation issued for work without a permit, even if removal of such work occurred or is required and the removal does not require a permit.
      (4)   Rescission of a stop work order.
   (b)   Assessment of civil penalty for work without a permit. The civil penalty for work without a permit is assessed as follows:
      (1)   The civil penalty is based on occupancy status as shown on the Certificate of Occupancy or other Department records.
      (2)   Pursuant to §28-213.1.1 of the Administrative Code, the penalty for work performed without a permit on a one-family or two-family dwelling (which includes inside a residential condominium or cooperative unit) is either four times the amount of the current fee payable for the permit or $500, whichever is greater. Where only part of the work has been performed without a permit, the Department will reduce the penalty proportionately according to the amount of work still to be performed at the time the Department issues a permit but not to an amount less than $500.
      (3)   Pursuant to §28-213.1.2 of the Administrative Code, the penalty for work performed without a permit on a building other than a one-family or two-family dwelling (which includes work on any common area of a condominium or cooperative building) is either fourteen times the amount of the current fee payable for the permit or $5,000, whichever is greater. Where only part of the work has been performed without a permit, the Department will reduce the penalty proportionately according to the amount of work still to be performed at the time the Department issues a permit but not to an amount less than $5,000.
      (4)   Expired permits or working without an after-hours variance. The penalty for work performed after the expiration of a permit for such work or for work performed after hours without a variance permit is $500 when such unpermitted work is performed on a one-family or two-family dwelling or $5,000 when such unpermitted work is performed on a building other than a one-family or two-family dwelling.
      (5)   Removal of illegal work. If work that was performed without a permit is removed, the penalty for the unpermitted work is $500 when performed on a one-family or two-family dwelling or $5,000 when performed on a building other than a one-family or two-family dwelling, even if the removal did not require a permit.
      (6)   Fee-exempt properties. When unpermitted work is performed on properties not subject to permit fees pursuant to §28-112.1 of the Administrative Code, the penalty for such unpermitted work is $500 when performed on a one-family or two-family dwelling or $5,000 when performed on a building other than a one-family or two-family dwelling.
      (7)   Legalization of completed work. If work has been performed without a permit and an applicant seeks a permit for the unpermitted work before a notice of violation is issued, the penalty for such unpermitted work is $500 when performed on a one-family or two-family dwelling or $5,000 when performed on a building other than a one-family or two-family dwelling.
   (c)   Override of civil penalty for work without a permit. If an applicant has an outstanding violation for unpermitted work and seeks a permit for work in a space not related to the violation, the Department may issue a permit for work in the space not related to the violation. Any permit that is granted pursuant to this subdivision will not affect the outstanding violation or any civil penalty assessed for the unpermitted work.
   (d)   Waiver of civil penalty for work without a permit. Notwithstanding any penalty waiver, a permit must be obtained for the unpermitted work. The Department may waive a civil penalty for work without a permit in the following instances:
      (1)   Where an owner is a subsequent bona fide purchaser and the previous owner performed the unpermitted work, whether or not the subsequent bona fide purchaser received notice of the violation. The Department requires the following supporting documentation:
         (i)   Copy of the deed;
         (ii)   Notarized affidavit stating that there is no relationship between the previous owner and the subsequent bona fide purchaser. If the subsequent bona fide purchaser is an entity, the affidavit must be on the entity's letterhead and signed by the owner or an officer of the entity. The affidavit must include:
            (A)   The name of the subsequent bona fide purchaser;
            (B)   The location of the property;
            (C)   A statement that the subsequent bona fide purchaser did not receive the property as a gift;
            (D)   A statement that the subsequent bona fide purchaser had no interest or relationship with the prior owner at the time of purchase; and
            (E)   A statement that the subsequent bona fide purchaser is not acting in any way for the benefit of the prior owner.
      (2)   Where a violation for working without a permit has been dismissed.
      (3)   Where the Department of Housing Preservation and Development (HPD) or another agency performed emergency work as directed by the Commissioner pursuant to §28-215.1 of the Administrative Code or where HPD or another agency performed work on unsafe buildings in accordance with §28-216.8 of the Administrative Code.
      (4)   Where emergency work is performed without a permit, except for emergency work described in paragraph (3) of this subdivision, and an application for the work is filed with the Department within two business days after commencement of the work.
      (5)   Where a fence, shed or scaffold (or other temporary construction equipment) was installed with a valid permit and the permit has expired.
      (6)   Where a permit (other than for temporary construction equipment) expired and no work was performed after the permit's expiration.
      (7)   Where the city, state, or federal government or other government entity or public authority owns the property where the unpermitted work occurred.
      (8)   Where HPD third-party transfers occur after a court issues a foreclosure judgment allowing the City to transfer title of the foreclosed property to a new owner. The new owner must provide a letter from HPD stating that a third-party transfer occurred and that the Department must waive any penalties accrued before the closing date of the transfer.
      (9)   Multiple violations. Upon payment of the civil penalty and acceptance of a Certificate of Correction for unpermitted work for which multiple notices of violation have been issued, any outstanding civil penalties for the same unpermitted work at the same location will be waived.
   (e)   Waiver of civil penalty for failure to comply with a stop work order. The Department may waive a civil penalty for failure to comply with a stop work order in the following instances:
      (1)   Where the Commissioner determines that a stop work order has not been violated.
      (2)   Where a violation for failure to comply with a stop work order has been dismissed.
   (f)   Request for override, reduction, or waiver of a civil penalty.
      (1)   Any request for an override, reduction or waiver of a civil penalty must be in writing. The applicant must submit a notarized "L2 Request for Overrides, Reductions or Waivers of Civil Penalties for Work without a Permit and Stop Work Order Violations" form. In addition, the applicant must submit any supporting documentation required by the form or by paragraph (5) of this subdivision.
      (2)   The Department will review the application and issue a determination.
      (3)   An applicant may appeal the determination to the Commissioner of the borough (Borough Commissioner) in which the property is located or such Commissioner's designee.
      (4)   An applicant may appeal the Borough Commissioner's or his or her designee's determination by submitting it to the Borough Commissioner's office, where it will be forwarded to the Department's Associate Commissioner for Borough Operations or to the Associate Commissioner's designee. These final appeals must be submitted within 30 days from the date of the Borough Commissioner's or his or her designee's determination.
      (5)   Burden of proof and acceptable forms of supporting documentation.
         (i)   The burden of proof is on the applicant to show that a civil penalty should be overridden, reduced, or waived.
         (ii)   Supporting documentation for a request for an override of a penalty must consist of the following:
            (A)   A copy of approved plans;
            (B)   A completed job application; and
            (C)   A copy of the relevant violation and a dated color photograph of the area of the work at issue showing the current work area is unrelated to the violation;
         (iii)   Supporting documentation for a request for a reduction in a penalty must consist of:
            (A)   Affidavits from contractors or building supply warehouses concerning the unpermitted work at issue;
            (B)   A copy of the violation(s); and
            (C)   Any other documents required by the Commissioner.
         (iv)   Supporting documentation for a request for a waiver of the penalty must consist of a copy of the relevant violation and the following documents:
            (A)   For emergency work performed without a permit, a copy of the work application filed within two business days after commencement of the unpermitted emergency work;
            (B)   For a violation that has been dismissed, proof of dismissal;
            (C)   For subsequent bona fide purchasers claiming that unpermitted work was performed by a previous owner, the documents required as stated in subdivision (d) of this section; and
            (D)   Any other documents required by the Commissioner.
         (v)   Effect of inconsistent or incomplete documentation. If the information on the L2 form or supporting documentation contradicts the description of work completed as stated on the violation, or if the L2 form or supporting documentation is incomplete, the request for an override, reduction or waiver of the penalty may be denied.
         (vi)   The Commissioner may reject incomplete or illegible documents. The Commissioner reserves the right to audit all submissions.
   (g)   Refunds. If the civil penalty for performing unpermitted work is paid and the underlying violation is subsequently dismissed for any reason, the applicant will be eligible for a refund of the civil penalty payment upon submitting proof of dismissal and payment of the violation.

Subchapter C Maintenance of Buildings

   (a)   Scope. This rule implements Article 303 of Title 28 of the New York City Administrative Code ("Administrative Code") by specifying the low pressure boiler annual inspection requirements, the processes through which the department shall regulate the filings of low pressure boiler annual inspection reports and shall issue penalties and waivers for failure to file and/or late filing, and the penalties for failure to file and/or untimely filing of a written notice of removal or disconnection of a low pressure boiler.
   (b)   References. See §§28-201.2.2, 28-202.1 and Article 303 of Title 28 of the Administrative Code and 1 RCNY §101-07 of this chapter.
   (c)   Definitions. For the purposes of this section, the following terms shall have the following meanings:
      (1)   Filing deadline. For the low pressure boiler annual inspection report or any part of that report, forty-five (45) days from the inspection date.
      (2)   First Test. An inspection of a newly installed or replaced boiler required for the department to approve its use and operation.
      (3)   Inspection cycle. January 1st through December 31st of the calendar year for which the report is being submitted. Annual inspections must be at least six (6) months apart.
      (4)   Late filing. An inspection report or any part of that report filed after the forty-five (45) day filing deadline but in no event more than twelve (12) months from the date of the inspection.
      (5)   Owner. Any person, agent, firm, partnership, corporation or other legal entity having a legal or equitable interest in, or control of, the premises and/or boiler.
      (6)   Removal or disconnection. Removal or discontinuance, pursuant to §28-303.8 of the Administrative Code.
      (7)   Waiver. Removal of the obligation to pay a penalty associated with a violation. A waiver does not result in dismissal of the violation.
   (d)   Owner's responsibilities.
      (1)   Inspection and report filing. An owner must comply with the inspection requirements and must file low pressure boiler annual inspection reports pursuant to Article 303 of Title 28 of the Administrative Code and in accordance with Section 101-07 of this chapter.
      (2)   Notification. An owner shall notify the department's Boiler Division within thirty (30) days of the owner's change of address or sale of the premises housing the boiler. The owner must reference the department's boiler number in all correspondence.
      (3)   New owner. A new owner is responsible for inspection in the year that he or she purchases the building, only if he or she purchases the building on or before June 30 of that year.
   (e)   Acceptance of filings. Inspection reports filed after the forty-five (45) day filing deadline but within twelve (12) months of the inspection date will be considered late filings and will be subject to the appropriate civil penalties as set forth in subdivision (f) of this section. Reports filed after such twelve (12) month period will be considered expired. In such cases, owners will be subject to the appropriate civil penalties for failure to file an inspection report, as set forth in subdivision (f) of this section, and the department will require a new inspection to be performed for the current inspection cycle and a new report filed in accordance with this section.
   (f)   Civil penalties, low pressure boiler annual inspection report.
      (1)   Failure to file. An owner who fails to file the low pressure boiler annual inspection report or any part thereof for each boiler, pursuant to Article 303 of Title 28 of the Administrative Code and this section, shall be liable for a civil penalty of not less than one thousand dollars ($1000.00) per boiler. In accordance with 1 RCNY §101-07 of this chapter, a low pressure boiler annual inspection report not filed within twelve (12) months from the date of the inspection shall be deemed expired and shall not be accepted by the department.
      (2)   Late filing. An owner who submits a late filing, but who provides proof that the inspection took place within the inspection cycle for which the report was due, shall be liable for a civil penalty of not less than fifty dollars ($50.00) per month, per boiler, commencing on the day following the filing deadline and ending on the date of submission of a complete report, including a late filing of the boiler certificate of affirmation. The total penalty shall not exceed six hundred dollars ($600.00) per boiler. For the purposes of this paragraph, "proof" shall mean a notarized affidavit from the approved boiler inspector who conducted the inspection with his or her seal stating that the inspection was completed within the inspection cycle for which the report was due.
      (3)   Challenge of civil penalty. An owner may challenge the imposition of any civil penalty authorized to be imposed pursuant to this subdivision by providing written proof of a timely and complete inspection and filing to the department. Challenges shall be made in writing within thirty (30) days from the date of service of the violation by the department and sent to the office/unit of the department that issued the violation. The decision to dismiss or uphold the penalty shall be at the sole discretion of the department. Examples of such proof shall include, but are not limited to, the following:
         (i)   A copy of the boiler inspection report for the inspection performed during the applicable inspection cycle and a copy of the front and back of the canceled check or money order to the department for the boiler inspection report fee; or
         (ii)   The department-assigned transmittal number for the electronic disk filing report.
      (4)   Extension of the filing deadline. An owner may request an extension of the filing deadline in order to correct low pressure boiler defects and file a certification that identified defects have been corrected in accordance with 1 RCNY §101-07 of this chapter, upon submission of proof that the request is based on extraordinary circumstances and/or that the delay in correction is beyond the owner's control, not including financial or administrative hardship. The request shall be made prior to the expiration of the filing deadline and shall be made on such forms and in such manner as required by the commissioner.
      (5)   Waiver of penalties. An owner may request a waiver of penalties assessed for violation of §28-303.2 of the Administrative Code, §27-793 of the 1968 Building Code and/or related rules enforced by the department. Requests shall be made in writing.
         (i)   Owner status.
            (A)   New owner. A new owner may be granted a waiver of penalties contingent upon the department's acceptance of the owner's proof that transfer of ownership to the new owner occurred after penalties were incurred. Such a waiver is limited to one of the following circumstances: 
               ((a))   The new owner has obtained full tax exemption status from the New York City Department of Finance; or 
               ((b))   The new owner submits proof to the department (such as a certificate from the Department of Housing Preservation and Development) that he or she took title to the property as part of an economic development program sponsored by a government agency.
            (B)   Government ownership. An owner may be granted a waiver of penalties upon submission of official documentation from a government entity affirming that the premises was owned in its entirety by the entity during the period for which a waiver is requested.
            (C)   Bankruptcy. An owner may be granted a waiver of penalties upon submission of a copy of a bankruptcy petition, together with proof that either the department or the New York City Law Department was served with a "Notice of Bar Date".
         (ii)   Device status. An owner may be granted a waiver of penalties contingent upon the department's acceptance of proof of the following:
            (A)   Removed or disconnected. That the low pressure boiler was removed from the building or disconnected prior to the inspection cycle for which the report was due. In the event that proof of removal or disconnection has not yet been entered into the department's database at the time of the request for a waiver, the owner shall submit to the department a copy of the Self-Certification of Removed or Existing Boiler(s) form.
            (B)   New or replaced. That the First Test was performed during the inspection cycle for which the report was due.
            (C)   Work in progress. That there is work in progress for the replacement or installation of a new boiler or burner or a major renovation requiring that the boiler or burner be deactivated during the work.
         (iii)   Building status. An owner may be granted a waiver of penalties contingent upon the department's confirmation of the following:
            (A)   Demolished. That the full demolition of the building occurred prior to the inspection cycle for which the report was due and that such demolition was signed-off by the department and/or that a new building permit has been issued for the property.
            (B)   Sealed or vacated. That the building was ordered to be sealed or vacated by a government agency (e.g. Department of Buildings, Department of Housing Preservation and Development, Fire Department of New York or Office of Emergency Management) or by court order prior to the expiration of the inspection cycle for which the report was due.
   (g)   Civil penalties, written notice of removal or disconnection of a low pressure boiler. Failure to file a written notice of removal or disconnection (a Self-Certification of Removed or Existing Boiler(s) form) in accordance with §28-303.8 of the Administrative Code, or filing of such form past thirty (30) days of the date of the removal or disconnection of a low pressure boiler shall be deemed a lesser violation and shall subject the owner to penalties as set forth in this subdivision.
      (1)   Failure to file. An owner who fails to file such notice within twelve (12) months from the date following thirty (30) days from the removal or disconnection, shall be liable for a civil penalty of not less than five hundred dollars ($500.00) per boiler.
      (2)   Untimely filing. An owner who files such notice past thirty (30) days from the date of removal or disconnection, but within twelve (12) months from such date, may submit an untimely filing and shall be liable for a civil penalty of not less than fifty dollars ($50.00) per month, per boiler commencing on the day following the date the notice was due and ending on the date of submission of the notice. The total penalty shall not exceed five hundred dollars ($500.00) per boiler.
      (3)   Challenge of civil penalty. An owner may challenge the imposition of any civil penalty authorized to be imposed pursuant to this subdivision by providing proof of a timely filing to the department. Challenges shall be made in writing within thirty (30) days from the date of service of the violation by the department and sent to the office/unit of the department that issued the violation. The decision to dismiss or uphold the penalty shall be at the sole discretion of the department. An example of such proof shall include, but is not limited to, the following: a stamped and dated copy of a Self-Certification of Removed or Existing Boiler(s) form filed with the department, which may be supported by a copy of the front and back of a canceled check(s) to the department for the fee for the filing of a Self-Certification of Removed or Existing Boiler(s) form.
   (h)   Fees. Fees for filings related to boilers shall be as set forth in 1 RCNY §101-03 of these rules and Table 28-112.7.2 of the Administrative Code.
   (a)   Scope. This rule implements Article 304 of Title 28 of the New York City Administrative Code ("Administrative Code") by specifying the periodic elevator inspection and testing requirements to be conducted by an approved elevator inspection agency on behalf of the owner and the processes through which the department shall regulate the filings of elevator inspection and test reports and elevator affirmations of correction and issue penalties and waivers for failure to file and/or late and untimely filing.
   (b)   References. See Sections 28-201.2.2, 28-202.1 and Article 304 of Title 28 of the Administrative Code.
   (c)   Definitions. For the purposes of this rule, the following terms shall have the following meanings:
      (1)   Approved elevator inspection agency. An elevator inspection agency, including its directors and inspectors, that currently holds or hereafter secures a Certificate of Approval from the department.
      (2)   Elevator. For the purposes of this rule, such term shall include elevators, escalators, moving walkways, material lifts, vertical reciprocating conveyors ("VRC"), dumbwaiters and other conveying systems.
      (3)   Filing deadline. For category 1, 3 and 5 periodic elevator inspection and test reports, sixty (60) days from the date of the inspection and test.
      (4)   Final certificate. A certificate issued by the department authorizing the operation of an elevator following the satisfactory completion of an inspection and test.
      (5)   Inspection and test cycle.
         (i)   Category 1. Except as otherwise provided by the commissioner, January first through December thirty-first of each year.
         (ii)   Category 3. Except as otherwise provided by the commissioner, within three (3) years from the month of issuance of a final certificate for a new elevator or within three (3) years from the month of the most recent category 3 periodic inspection and test performed on an existing elevator.
         (iii)   Category 5. Except as otherwise provided by the commissioner, within five (5) years from the month of issuance of a final certificate for a new elevator or within five (5) years from the month of the most recent category 5 periodic inspection and test performed on an existing elevator.
      (6)   Late filing. An inspection and test report that is filed after the filing deadline.
      (7)   Owner. Any person, agent, firm, partnership, corporation or other legal entity having a legal or equitable interest in, or control of the premises and/or elevator.
      (8)   Periodic inspection and test. For the purposes of this rule, such term shall mean an elevator inspection and test to be conducted in accordance with Table N 1 of Appendix K of the New York City Building Code ("Building Code") and this section by an approved elevator inspection agency on behalf of the owner.
      (9)   Waiver. Removal of the obligation to pay a penalty associated with a violation. A waiver does not result in dismissal of the underlying violation.
   (d)   Inspection and tests, reports and filing requirements. Periodic elevator inspections and tests conducted by approved elevator inspection agencies on behalf of the owner and reports filed by such agency or owner shall comply with Article 304 of Title 28 of the Administrative Code, paragraph (4) of subdivision (c) of 1 RCNY §101-07 of Title 1 of these rules and the following:
      (1)   Category 1, 3 and/or 5 periodic inspections and tests shall be conducted during the inspection and test cycle.
      (2)   Category 1, 3 and/or 5 periodic inspection and test reports shall be submitted on forms supplied by the department and in such a manner as required by the commissioner by the filing deadline.
   (e)   Correction of defects and affirmation of correction filing requirements. In accordance with Section 28-304.6.6 of the Administrative Code, all defects found on a category 1 periodic inspection and test shall be corrected within one hundred twenty (120) days of the inspection and test conducted by an approved elevator inspection agency or owner, with the exception of all hazardous conditions, which shall be corrected immediately. Within sixty (60) days of the date of correction, an affirmation of correction stating that all found and reported defects have been corrected shall be filed by same with the department on such forms and in such a manner as prescribed by the commissioner. Failure to comply with this subdivision shall be deemed a major violation.
   (f)   Acceptance of filings. Late filings of inspection and test reports and/or untimely filings of affirmations of correction shall be accepted by the department as filed upon payment of the appropriate civil penalties as set forth in subdivisions (h) and (i) of this section, if filed within twelve (12) months of the date the inspection and test was conducted or the date the affirmation was due. Reports and affirmations filed after such twelve (12) month period shall be deemed expired. In such cases, the appropriate civil penalties shall be paid, a new inspection and test shall be performed for the current inspection and test cycle and a new report filed in accordance with this section.
   (g)   Ten- (10) day notifications. In accordance with Section 28-304.6.1 of Title 28 of the Administrative Code, the department shall be notified by an approved elevator inspection agency on behalf of the owner at least ten (10) calendar days prior to the category 1 (escalators only), 3 and/or 5 periodic inspection and testing to be conducted by such approved elevator inspection agency. The commissioner may require that such agency provide ten- (10) calendar day notifications to the department's Elevator Division for all periodic inspections and tests if he or she deems it necessary.
   (h)   Civil penalties – owners of buildings that contain (1) or two (2) single residential units.
      (1)   Failure to file the inspection and test report. An owner who fails to file the category 1, 3 and/or 5 periodic inspection and test report for each elevator within twelve (12) months from the date of the inspection and test, pursuant to Article 304 of Title 28 of the Administrative Code and this section, shall be liable for a civil penalty of one thousand dollars ($1000.00) per elevator.
      (2)   Late filing of the inspection and test report. An owner who submits a late filing, but who provides proof that the inspection and test took place within the period for which the report was due, shall be liable for a civil penalty of fifty dollars ($50.00) per month, per elevator, commencing on the day following the filing deadline and ending on the date of submission of an inspection and test report. The total penalty shall not exceed six hundred dollars ($600.00) per elevator. For the purposes of this paragraph, "proof" shall mean a copy of the elevator inspection and test report for the inspection and test conducted during the applicable period and a copy of the front and back of a canceled check(s) to the department for an elevator inspection and test report fee.
      (3)   Failure to file the affirmation of correction. An owner who fails to correct the defects within the applicable time after the inspection and test and to file the affirmation of correction within twelve (12) months from the date the affirmation was due, stating that all category 1 defects found on the inspection and test report have been corrected pursuant to Section 28-304.6.6 of the Administrative Code and subdivision (e) of this section, shall be liable for a civil penalty of one thousand dollars ($1000.00) per elevator.
      (4)   Untimely filing of the affirmation of correction. An owner who fails to correct the defects within the applicable time after the inspection and test and to file such affirmation within sixty (60) business days from the date of correction in accordance with subdivision (e) of this section, shall be liable for a civil penalty of fifty dollars ($50.00) per month, per elevator, commencing on the day following the date the affirmation was due and ending on the date of submission of the affirmation. The total penalty shall not exceed six hundred dollars ($600.00) per elevator.
   (i)   Civil penalties – owners of commercial buildings, mixed use buildings or buildings that contain more than two (2) residential units.
      (1)   Failure to file the inspection and test report. An owner who fails to file a category 1 periodic inspection and test report for each elevator within twelve (12) months from the date of the inspection and test, pursuant to Article 304 of Title 28 of the Administrative Code and this section, shall be liable for a civil penalty of three thousand dollars ($3000.00) per elevator. An owner who fails to file a category 3 or 5 periodic inspection and test report for each elevator within twelve (12) months from the date of the inspection and test, pursuant to Article 304 of Title 28 of the Administrative Code and this section, shall be liable for a civil penalty of five thousand dollars ($5000.00) per elevator.
      (2)   Late filing of the inspection and test report. An owner who submits a category 1 late filing, but who provides proof that the inspection and test took place within the period for which the report was due, shall be liable for a civil penalty of one hundred and fifty dollars ($150.00) per month, per elevator, commencing on the day following the filing deadline and ending on the date of submission of a complete report. The total penalty shall not exceed one thousand eight hundred dollars ($1800.00) per elevator. An owner who submits a category 3 or 5 late filing, but who provides proof that the inspection and test took place within the period for which the report was due, shall be liable for a civil penalty of two hundred and fifty dollars ($250.00) per month, per elevator, commencing on the day following the filing deadline and ending on the date of submission of a complete report. The total penalty shall not exceed three thousand dollars ($3000.00) per elevator. For the purposes of this paragraph, "proof" shall mean a copy of the elevator inspection and test report for the inspection and test conducted during the applicable period and a copy of the front and back of a canceled check(s) to the department for an elevator inspection/test report fee.
      (3)   Failure to file the affirmation of correction. An owner who fails to correct the defects within the applicable time after the inspection and test and to file the affirmation of correction within twelve (12) months from the date the affirmation was due, stating that all category 1 defects found on the inspection and test report have been corrected pursuant to Section 28-304.6.6 of the Administrative Code and subdivision (e) of this section, shall be liable for a civil penalty of three thousand dollars ($3000.00) per elevator.
      (4)   Untimely filing of the affirmation of correction. An owner who fails to correct the defects within the applicable time after the inspection and test and to file such affirmation within sixty (60) business days from the date of correction in accordance with subdivision (e) of this section, shall be liable for a civil penalty of one hundred and fifty dollars ($150.00) per month, per elevator, commencing on the day following the date the affirmation was due and ending on the date of submission of the affirmation. The total penalty shall not exceed one thousand eight hundred dollars ($1800.00) per elevator.
   (j)   Challenge of a civil penalty. An owner may challenge the imposition of any civil penalty authorized to be imposed pursuant to this section by providing written proof of a timely and complete inspection and test and filing and/or correction of defects and filing to the department. Examples of such proof shall include, but are not limited to a copy of the elevator inspection/test report for the inspection and test conducted during the applicable period and a copy of the front and back of a canceled check(s) to the department for an elevator inspection and test report fee. Challenges shall be made in writing within thirty (30) calendar days from the date of service of the violation by the department and sent to the office/unit of the department that issued the violation. The decision to dismiss or uphold the penalty shall be at the sole discretion of the department.
   (k)   Waiver of penalties. An owner may request a waiver of penalties assessed for violation of Article 304 of Title 28 of the Administrative Code, predecessor provisions of the 1968 New York City Building Code and/or related rules enforced by the department. Requests shall be made in writing.
      (1)   Owner status.
         (i)   New owner. A new owner may be granted a waiver of penalties contingent upon the department's acceptance of the owner's proof that transfer of ownership to the new owner occurred after penalties were incurred. Such a waiver is limited to one of the following circumstances:
            (A)   The new owner has obtained full tax exemption status from the New York City Department of Finance; or
            (B)   The new owner submits proof to the department (such as a certificate from the Department of Housing Preservation and Development) that he or she took title to the property as part of an economic development program sponsored by a government agency.
         (ii)   Government ownership. An owner may be granted a waiver of penalties upon submission of official documentation from a government entity affirming that the premises was owned in its entirety by the entity during the period for which a waiver is requested.
         (iii)   Bankruptcy. An owner may be granted a waiver of penalties upon submission of a copy of a bankruptcy petition, together with proof that either the department or the New York City Law Department was served with a "Notice of Bar Date".
      (2)   Device status. An owner may be granted a waiver of penalties contingent upon the department's acceptance of proof of the following:
         (i)   Removed or dismantled. That a permit was issued by the department for the removal or dismantling of the elevator(s) and that there was department sign-off, for removal only, indicating that the elevator was removed or dismantled prior to the inspection and test cycle for which the report was due.
         (ii)   New or replaced. That a final certificate was issued by the department as part of a new installation during the inspection and test cycle for which the report was due.
         (iii)   Work in progress. That there is work in progress for the replacement or installation of a new elevator or a major renovation requiring that the elevator be deactivated during the work. For the purposes of this subparagraph, "proof" shall mean the filing of an elevator application including a projected date of completion of work. Upon completion of such work, a new category 1 inspection and test report shall be filed in accordance with this section.
      (3)   Building status. An owner may be granted a waiver of penalties contingent upon the department's confirmation of the following:
         (i)   Demolished. That the full demolition of the building occurred prior to the inspection and test cycle for which the report was due and that such demolition was signed-off by the department and/or that a new building permit has been issued for the property.
         (ii)   Sealed or vacated. That the building was ordered to be sealed or vacated by a government agency (i.e. DOB, HPD, FDNY or OEM) or by court order prior to the expiration of the inspection and test cycle for which the report was due.
   (l)   Fees. Fees for filings related to elevators shall be as set forth in Section 101-03 of these rules and Table 28-112.7.2 of the Administrative Code.
The provisions of American Society of Mechanical Engineers ("ASME") A17.3-2002 shall apply to elevators and escalators built in accordance with the 1968, or any previous edition, of the Building Code of the City of New York except as modified in accordance with §3610-01 of this Title.
   (a)   Definitions.
   Acceptable report. A technical examination report filed by a Qualified Exterior Wall Inspector that meets the requirements of the Administrative Code and this rule as determined and approved by the Department.
   Amended report. A technical examination report filed by a Qualified Exterior Wall Inspector who certifies that the unsafe conditions reported in the initial report have been repaired and that no unsafe conditions exist at the building.
   Critical examination. An examination conducted to review the exterior of a building and all parts thereof to determine whether the exterior walls (façades) and the appurtenances thereto are either safe, unsafe, or safe with a repair and maintenance program and whether, in the judgment of a Qualified Exterior Wall Inspector, they require remedial work.
   Filed report. A report shall be deemed filed with the Department when it has been received by the Department. The filed report shall be completed in accordance with the provisions of paragraph (3) of subdivision (b) of this section.
   Filing window. The two-year period during which a report for a particular building may be filed without penalty.
   Qualified Exterior Wall Inspector (hereinafter "QEWI"). A qualified exterior wall inspector as defined in 1 RCNY §101-07 of the rules of the department.
   Report filing cycle. The five-year time interval established by the Commissioner for the filing of each successive report for each successive critical examination of every building subject to the requirements of Article 302 of Title 28 of the Administrative Code.
   Safe. A condition of a building wall, any appurtenances thereto or any part thereof not requiring repair or maintenance to sustain the structural integrity of the exterior of the building and that will not become unsafe during the next five years.
   Safe with a repair and maintenance program (hereinafter "SWARMP"). A condition of a building wall, any appurtenances thereto or any part thereof that is safe at the time of inspection, but requires repairs or maintenance during the next five years in order to prevent its deterioration into an unsafe condition during that five-year period.
   Staggered inspection cycle. The separate time intervals for filing reports of critical examinations as determined by the last digit of the building's block number, beginning February 21, 2010, and continuing thereafter for each subsequent report filing cycle.
   Subsequent report. A technical examination report that is filed by a QEWI after an acceptable report in order to change the status of the building for that report filing cycle to reflect changed conditions.
   Unsafe condition. A condition of a building wall, any appurtenances thereto, or any part thereof that is hazardous to persons or property and requires prompt repair. In addition, any condition that was reported as SWARMP in a previous report and that is not corrected at the time of the current inspection shall be reported as an unsafe condition.
   (b)   Critical examinations.
      (1)   Periodic inspection requirements. In order to maintain a building's exterior walls and appurtenances thereto in a safe condition, and in accordance with Article 302 of Title 28 of the Administrative Code, a critical examination of all parts of all exterior walls and any appurtenances thereto of all existing buildings greater than six stories in height or buildings hereafter erected that are greater than six stories in height, except for those parts of any exterior wall that are less than twelve inches (305 millimeters) from the exterior wall of an adjacent building, shall be conducted at periodic intervals.
      (2)   Inspection procedures.
         (i)   Before any exterior wall for any building is critically examined, the QEWI retained by or on behalf of the owner of the building shall carefully review the most recent report and any available previous reports. The Department will maintain a file of such reports submitted in conformance with the law in effect prior to July 1, 2008 and with Article 302 of Title 28 of the New York City Administrative Code, and furnish copies upon payment of fees set forth in the rules of the Department.
         (ii)   Such examination shall be conducted and witnessed by or under the direct supervision of a QEWI retained by the owner of the building or his or her representative.
         (iii)   The QEWI shall design an inspection program for the specific building to be inspected, which shall include, but not be limited to, the methods to be employed in the examination. The inspection program shall be based on considerations of the type of construction of the building's envelope, age of the material components, the facade's specific exposure to environmental conditions and the presence of specific details and appurtenances. Consideration shall be given to the facade's history of maintenance and repairs as described in previous reports and submittals to the department.  Except as provided in subparagraph (viii) of paragraph (2) of this subdivision, the QEWI need not be physically present at the location when the examination is made. Architects, engineers, tradesmen and technicians, working under the QEWI's direct supervision, may be delegated to perform selected inspection tasks only when they are employees or subcontractors of the QEWI.
         (iv)   The methods used to examine the building shall permit a complete inspection of same. Except as herein required, the use of a scaffold or other observation platform is preferred, but the QEWI may use other methods of inspection as he/she deems appropriate. A physical examination from a scaffold or other observation platform (a "close-up inspection") is required for a representative sample of the exterior wall. The QEWI shall determine what constitutes a representative sample. The representative sample shall include at least one physical examination along a path from grade to top of an exterior wall on a street front using at least one scaffold drop or other observation platform configuration, including all setbacks.
         (v)   The known history of the building, the nature of the materials used and the conditions observed will dictate the extent of the critical examination.  The QEWI shall utilize a professional standard of care to assess the building's condition, including splitting or fracturing of terra cotta on buildings, cracking of masonry and brick work in brick faced buildings, loosening of metal anchors and supports, water entry, movement of lintel angles, and shall ascertain the cause of these and such other conditions detected. The QEWI shall order any special or additional inspections and/or tests that may be required to support investigations and to determine the causes of any defects.  The removal of portions of the façade in order to facilitate the performance of tests may require a permit from the Landmarks Preservation Commission.
         (vi)   During the course of the critical examination, photographs shall be taken and/or sketches made to properly document the location of all conditions observed that are either unsafe or SWARMP.
         (vii)   Upon discovery of any unsafe condition the QEWI shall immediately notify the Department and the owner of the building by letter or by fax, in a form and manner as provided by the Department.
         (viii)   Completion of a critical examination shall mean that the QEWI has conducted a final physical inspection to determine that the building conditions as described in the report are consistent with the actual conditions. Such final inspection shall, at a minimum, include an actual visual examination and a walk around with binoculars or other inspectorial equipment. A drive-by inspection is not acceptable.
      (3)   Report requirements.
         (i)   The QEWI shall file with the Department and submit a copy to the owner of the building a written report describing the result of the critical examination, clearly documenting all conditions noted during the inspection and stating that the inspection was performed and completed in accordance with the Administrative Code and this rule. A separate acceptable report must be prepared and filed for each building, even if it shares a Block and Lot number with other structures.
         (ii)   Technical information in the report shall adhere to and follow the sequence and the labeling of the report requirements as listed in subparagraph (iii) of this paragraph, and shall be provided on such forms and in such format as the Department shall require. Additional information may be provided. All letters (A-O) shall be listed in the report. If a requirement is not applicable, this shall be indicated on the report under the relevant letter.
         (iii)   The report shall include an executive overview that shall consist of a summary of findings and recommendations, a concise statement of the scope of the inspection and findings, the conclusions and recommendations and a determination as to whether the building is categorized as "safe," "SWARMP," or "unsafe." The report shall also include, but shall not be limited to:
            (A)   The address, any a.k.a. addresses, Block and Lot number, the Building Identification Number ("BIN"), the landmark status of the building, the location from the nearest cross street, and a copy of the Property Profile Overview from the Buildings Information System ("BIS") found on the Department's website;
            (B)   The name, mailing address and telephone number of the owner of the building, or, if the owner is not an individual, the name, mailing address, telephone number, position/title of a principal of the owner;
            (C)   A description of the building, including the number of stories, height, plan dimensions, Certificate of Occupancy number if available, usage, and age and type of exterior wall construction;
            (D)   A detailed description of any settlements, repairs, or revisions to exterior enclosures since the previous;
            (E)   A detailed description of the procedures used in making the critical examination;
            (F)   A detailed description of:
               1.   The extent and location of all physical examinations performed;
               2.   The names, addresses, telephone numbers, and license or registration numbers for riggers and other consultants involved in the critical examination;
               3.   A location diagram of a discernable scale and with a north arrow, indicating the main entrance and nearest cross street and locations and dates of close-up inspections; and
               4.   Dates of the start and completion of the critical examination;
            (G)   A description and classification of each significant condition observed, including deterioration and any movement detected and the apparent water-tightness of the exterior surfaces.  The description must also include a list of all exterior appurtenances and their condition. Appurtenances include, but are not limited to, exterior fixtures, flagpoles, signs, parapets, railings, copings, guard rails, window frames (including hardware and lights), balcony enclosures, window guards, window air conditioners, flower boxes and any equipment attached to or protruding from the facade.  Each condition must be classified as safe, unsafe or SWARMP. If the building is classified as unsafe or SWARMP, the report must include the locations and descriptions of all unsafe or SWARMP conditions.  Balcony railings must be inspected to ensure that their components (balusters, intermediate railings and panel fillers) are positively secured against upward movement (e.g. by welds, bolts or screws). If any balcony enclosure is found not to be positively secured, the condition is classified as unsafe and must be made safe pursuant to the requirements of paragraph (5) of subdivision (b) of this section. In the event a cycle seven report has already been filed with the Department pursuant to paragraph (4) of this subdivision, a separate report regarding the condition of the balcony enclosures must be filed within cycle seven.
            (H)   An analysis of the causes of the conditions reported as unsafe or SWARMP;
            (I)   A detailed status report of maintenance work performed up to the date of submission of the report;
            (J)   A comparison of currently observed conditions with conditions observed during the previous report filing cycle examinations, including the status of the repairs or maintenance performed with respect to the prior conditions. The following shall be included and discussed:
               1.   Work permit numbers relating to facade repairs, including permits for sheds;
               2.   Job numbers, status and sign-off dates for any facade related jobs, where applicable; and
               3.   Violation numbers of any open Environmental Control Board ("ECB") facade violations and the status of the repairs of the conditions cited in the ECB violations;
            (K)   Detailed recommendations for repairs or maintenance of SWARMP items, including:
               1.   The recommended time frame for such repairs or maintenance to be performed, which shall indicate the date by which the work shall be performed (MM/YYYY) to prevent the conditions from becoming unsafe and not the date on which work is planned or scheduled;
               2.   Time frames of less than one (1) year, "ASAP," or "immediately," shall not be accepted.
            (L)   A list and description of the work permits required to accomplish the necessary work. If no work permits will be required, the reason shall be indicated;
            (M)   1.   Color photographs of the primary house number and at least one view of the entire street front elevation for all reports regardless of the building's filing condition, and color photographs and sketches documenting any conditions that are either unsafe or SWARMP and their locations. Photographs shall be at least 3" x 5" (76mm x 127mm) in size, unless otherwise requested by the Department. The photographs shall be dated and both the original photographs and all required copies shall be in color.
               2.   The page/sheet size for attachments shall not exceed 11" × 17" (280mm x 430mm).
            (N)   The classification of the building for the current report filing cycle, as determined by the following guidelines:
               1.   If there are no unsafe conditions and no conditions that are SWARMP, then the building shall be classified as safe;
               2.   If there is at least one unsafe condition, then the building shall be classified as unsafe.
               3.   If there is at least one condition that is SWARMP and there are no unsafe conditions, then the building shall be classified as SWARMP. A report may not be filed describing the same condition at the same location as SWARMP for two consecutive report filing cycles. The QEWI shall certify that all of the conditions identified in the previous report as requiring repair have been corrected or the building shall be classified as unsafe;
            (O)   The seal and signature of the QEWI under whose direct supervision the critical examination was performed.
      (4)   Report filing requirements.
         (i)   The requirements of this rule shall apply to all buildings with exterior walls or parts thereof that are greater than six stories in height, including the basement, but not the cellar, as defined in the building code, and regardless of the information in the Certificate of Occupancy. For buildings constructed on sloped sites that contain six (6) full stories plus one partial story where more than half the height of that partial story is above existing grade and/or adjacent to open areas (e.g., areaways, yards, ramps), the wall containing that partial story shall be subject to facade inspection. Conditions requiring facade inspections may also include other structures that add to the height of the building as per section BC 504. The Commissioner shall determine which additional buildings and/or parts thereof are required to file in accordance with this rule.
         (ii)   Buildings required to file a report shall do so once during each five-year report filing cycle established by the Department. The next complete report filing cycle, cycle seven, runs from February 21, 2010 to February 20, 2015.
         (iii)   An acceptable report shall be filed within the applicable two-year filing window to avoid a late filing penalty, except for cycle seven, during which the applicable filing window shall be:
            (A)   two years for buildings that meet the requirements of item (A) of subparagraph (v) of this paragraph,
            (B)   eighteen months for buildings that meet the requirements of item (B) of subparagraph (v) of this paragraph and
            (C)   twelve months for buildings that meet the requirements of item (C) of subparagraph (v) of this paragraph.
         (iv)   The report shall be submitted to the Department along with a filing fee as specified in the rules of the Department.
         (v)   Beginning with cycle seven, which runs from February 21, 2010 to February 20, 2015, an acceptable report for each building to which this rule applies is due in accordance with the following filing windows:
            (A)   For buildings located within a block ending with the number four (4), five (5), six (6), or nine (9), an acceptable report shall be filed within the filing window starting February 21, 2010 and ending February 21, 2012.
            (B)   For buildings located within a block ending with the number zero (0), seven (7), or eight (8), an acceptable report shall be filed within the filing window starting February 21, 2011 and ending August 21, 2012.
            (C)   For buildings located within a block ending with the number one (1), two (2), or three (3), an acceptable report shall be filed within the filing window starting February 21, 2012 and ending February 21, 2013.
         (vi)   For every five-year report filing cycle thereafter an acceptable report is due in accordance with the following filing windows:
            (A)   For buildings located within a block ending with the number four (4), five (5), six (6), or nine (9), an acceptable report shall be filed within the two-year filing window starting February 21 of years ending in zero (0) and five (5) and ending February 21 of years ending in two (2) and seven (7).
            (B)   For buildings located within a block ending with the number zero (0), seven (7), or eight (8), an acceptable report shall be filed within the two-year filing window starting February 21 of years ending in one (1) and six (6) and ending February 21 of years ending in three (3) and eight (8).
            (C)   For buildings located within a block ending with the number one (1), two (2), or three (3), an acceptable report shall be filed within the two-year filing window starting February 21 of years ending in two (2) and seven (7) and ending February 21 of years ending in four (4) and nine (9).
         (vii)   Initial reports for new buildings greater than six stories in height shall be filed as follows:
            (A)   The report shall be filed five years from the date the first Temporary Certificate of Occupancy or Certificate of Occupancy was issued, if that five year date falls within the applicable filing window according to the last digit of the building's block number as provided in subparagraph (v) or (vi) of this paragraph; or
            (B)   If five years from the date the first Temporary Certificate of Occupancy or Certificate of Occupancy was issued falls outside the applicable filing window according to the last digit of the building's block number as provided in subparagraph (v) or (vi) of this paragraph, then the initial report shall be filed within the applicable two-year filing window for the next five-year cycle.
         (viii)   If contiguous zoning lots under single ownership or management contain multiple buildings that are considered one complex where at least two buildings of more than six stories in height fall into different filing windows as described above in items (A), (B) and (C) of subparagraphs (v) and (vi) of this paragraph, the owner or management shall choose one of the following report filing options:
            (A)   An acceptable report for each building to which this rule applies may be filed separately according to the filing window corresponding to the last digit of that individual building's block number; or
            (B)   The owner or his or her representative may choose one of the applicable filing windows and file a report for all of the buildings within that filing window, regardless of that building's individual filing window. The owner or his or her representative shall inform the Department 180 days prior to the end of the assigned filing window if this option is chosen. If an owner or representative chooses this option, the owner or representative shall continue to file under this same filing window for the duration of the owner's ownership of the property.
         (ix)   A report shall be filed within sixty (60) days of the date on which the QEWI completed the critical examination (final inspection date), as defined in subparagraph (viii) of paragraph (2) of subdivision (b) of this section. Failure to file a report within sixty (60) days of the completed critical examination requires a new critical examination.
         (x)   A report may not be filed more than one (1) year after completion of the close-up inspection.
         (xi)   If the report is not acceptable and is rejected by the Department, a revised report must be filed within forty-five (45) days of the date of the Department's rejection. If the report is not acceptable after two (2) rejections, a new initial filing fee as specified in the rules of the department is required. Failure to submit a revised report addressing the Department's objections within one (1) year of the initial filing requires a new critical examination, including a new close-up inspection.
         (xii)   A subsequent report indicating revised conditions may be filed within a five-year report filing cycle to change a building's filing status for that cycle.
         (xiii)   The Department retains the right to destroy any copy of reports not picked up by the owner within thirty (30) days after the date of its acceptance or rejection by the Department.
      (5)   Unsafe conditions.
         (i)   Upon filing a report of an unsafe condition with the Department, the owner of the building, his or her agent, or the person in charge of the building shall immediately commence such repairs or reinforcements and any other appropriate measures such as erecting sidewalk sheds, fences, and safety netting as may be required to secure the safety of the public and to make the building's walls and appurtenances thereto conform to the provisions of the Administrative Code.
         (ii)   All unsafe conditions shall be corrected within thirty (30) days from the submission of the critical examination report.
         (iii)   Within two weeks after repairs to correct the unsafe condition have been completed, the QEWI shall inspect the premises. The QEWI shall obtain permit sign-offs as appropriate and shall promptly file with the Department a detailed amended report stating the revised report status of the building, along with a filing fee as specified in the rules of the Department. If the report is not acceptable and is rejected by the Department, a revised report must be filed within forty-five (45) days of the date of the Department's rejection. If the report is not acceptable after two (2) rejections, a new amended filing fee as specified in the rules of the department is required. Sheds or other protective measures shall remain in place until an amended report is accepted; however, the QEWI may request permission for the removal of the shed upon submission of a signed and sealed statement certifying that an inspection was conducted, the conditions were corrected and the shed is no longer required. Permission to remove the shed may be granted in the Commissioner's sole discretion.
         (iv)   The Commissioner may grant an extension of time of up to ninety (90) days to complete the repairs required to remove an unsafe condition upon receipt and review of an initial extension application submitted by the QEWI, together with:
            (A)   A copy of the original report for that report filing cycle and all required documentation submitted with such report;
            (B)   Notice that the premises have been secured for public safety by means of a shed, fence, or other appropriate measures as may be required;
            (C)   A copy of the contract indicating scope of work to remedy unsafe conditions;
            (D)   The QEWI's estimate of length of time required for repairs;
            (E)   A statement of all applicable permit requirements;
            (F)   A notarized affidavit by the owner of the building that work will be completed within the time of the QEWI's stated estimate; and
            (G)   a fee as specified in the rules of the Department.  Note: Financial considerations shall not be accepted as a reason for granting an extension.
         (v)   A further extension will be considered only upon receipt and review of a further extension application, together with notice of:
            (A)   An unforeseen delay (e.g., weather, labor strike) affecting the substantially completed work; or
            (B)   Unforeseen circumstances (e.g., fire, building collapse); or
            (C)   The nature of the hazard that requires more than ninety (90) days to remedy (e.g., new wall to be built).  Note: Financial considerations shall not be accepted as a reason for granting an extension.
      (6)   Conditions that are safe with a repair and maintenance program.
         (i)   The owner of the building is responsible for ensuring that the conditions described in the critical examination report as SWARMP are repaired and all actions recommended by the QEWI are completed within the time frame recommended by the QEWI, and are not left to deteriorate into unsafe conditions before the next critical examination. It is the owner's responsibility to notify the Department of any deviation from the timeframe to make corrections as specified in the QEWI's report. Such notification shall be accompanied by supporting documents from the QEWI justifying the request for a new time frame. The department may approve or disapprove such request.
         (ii)   A report may not be filed describing the same condition and pertaining to the same location on the building as SWARMP for two consecutive report filing cycles.
         (iii)   The QEWI shall certify the correction of each condition reported as requiring repair in the previous report filing cycle, or report conditions that were reported as SWARMP in the previous report filing cycle as unsafe if not corrected at the time of the current inspection.
   (c)   Civil penalties.
      (1)   Failure to file. An owner who fails to file the required acceptable inspection report shall be liable for a civil penalty of one thousand dollars ($1,000) per year immediately after the end of the applicable filing window.
      (2)   Late filing. In addition to the penalty for failure to file, an owner who submits a late filing shall be liable for a civil penalty of two hundred fifty dollars ($250.00) per month, commencing on the day following the filing deadline of the assigned filing window period and ending on the filing date of an acceptable initial report.
      (3)   In addition to the penalties provided in this section, an owner who fails to correct an unsafe condition shall be liable for a civil penalty of one thousand dollars ($1,000) per month, pro-rated daily, until the unsafe condition is corrected, unless the commissioner grants an extension of time to complete repairs pursuant to this section. This penalty shall be imposed until receipt of an acceptable amended report by the department indicating the unsafe conditions were corrected or an extension of time is granted.
      (4)   Challenge of civil penalty.
         (i)   An owner may challenge the imposition of any civil penalty authorized to be imposed pursuant to this subdivision by providing proof of compliance. Examples of such proof shall include, but are not limited to, a copy of an acceptable initial report, a copy of the acceptable amended report, copies of approved extension of time requests while work was/is in progress or written proof from a QEWI that the unsafe conditions observed at the building were corrected and the violation was dismissed.
         (ii)   Challenges shall be made in writing within thirty (30) days from the date of service of the violation by the department and sent to the office/unit of the department that issued the violation. The decision to dismiss or uphold the penalty shall be at the sole discretion of the department.
   (d)   Penalty waivers; eligibility and evidentiary requirements. Owners may request a waiver of penalties assessed for violation of Article 302 of Title 28 of the Administrative Code, the 1968 New York City Building Code and/or rules enforced by the Department. Requests shall be made in writing and shall meet eligibility and evidentiary requirements as follows:
      (1)   Owner status.
         (i)   New owner requesting a waiver due to change in ownership shall submit proof of a recorded deed evidencing transfer of ownership to the current owner after penalties were incurred, as well as any other documentation requested by the Department, and only in one of the following circumstances:
            (A)   the new owner has obtained full tax exemption status from the New York City Department of Finance; or
            (B)   the new owner took title of the property as part of an economic development program sponsored by a government agency.
         (ii)   A new owner of a government-owned property requesting a waiver due to change in ownership shall submit official documentation from the government entity affirming that the premises was entirely owned by the government entity during the period for which a waiver is requested.
         (iii)   An owner may be granted a waiver of penalties upon submission of a copy of a bankruptcy petition, together with proof that either the department or the New York City Law Department was served with a "Notice of Bar Date."
      (2)   Building status. An owner requesting a waiver because the building was demolished shall submit city or departmental records evidencing the demolition of the building prior to the filing deadline.
   (a)   Scope. This rule implements Article 303 of Title 28 of the New York City Administrative Code ("Administrative Code") by specifying the high-pressure boiler annual inspection requirements, the processes through which the department shall regulate the filings of high-pressure boiler annual inspection reports and shall issue penalties and waivers for failure to file and/or late filing, and the penalties for failure to file and/or untimely filing of a written notice of removal or disconnection of a high-pressure boiler.
   (b)   References. See Sections 28-201.2.2, 28-202.1 and Article 303 of Title 28 of the Administrative Code.
   (c)   Definitions. For the purposes of this section, the following terms shall have the following meanings:
      (1)   Department. The department of buildings.
      (2)   External high-pressure boiler annual inspection. An inspection made while the boiler is in operation.
      (3)   Filing deadline. For the high-pressure boiler annual inspection report or any part thereof, forty-five (45) days from the date of the inspection.
      (4)   First test. An inspection of a newly installed or replaced boiler required for the department to approve its use and operation.
      (5)   Inspection cycle. January 1st through December 31st of the calendar year for which an owner submits the report.
      (6)   Inspection type. There are two inspection types, an external high-pressure boiler annual inspection and an internal high-pressure boiler annual inspection.
      (7)   Internal high-pressure boiler annual inspection. An inspection made when the boiler is shut down and handholes and manholes or other inspection openings are opened or removed for inspection of the interior.
      (8)   Late filing. An inspection report or any part of that report filed after the forty-five (45) day filing deadline but in no event more than twelve (12) months from the date of the inspection.
      (9)   Owner. Any person, agent, firm, partnership, corporation or other legal entity having a legal or equitable interest in, or control of, the premises and/or boiler.
      (10)   Qualified boiler inspector. An inspector who has been issued a certificate of competence by the State Department of Labor and who is employed by an authorized insurance company as a high pressure boiler inspector.
      (11)   Removal or disconnection. Removal or disconnection shall have the same meaning as the term "removal or discontinuance" as used in Section 28-303.8 of the Administrative Code.
      (12)   Waiver. Removal of the obligation to pay a penalty associated with a violation. A waiver does not result in dismissal of the violation.
   (d)   Fees. Fees for filings related to high-pressure boilers shall be as set forth in Section 101-03 of these rules and Table 28-112.7.2 of the Administrative Code.
   (e)   Inspections, tests and filing requirements. The owner shall be responsible for hiring a qualified boiler inspector to conduct such inspections during such upcoming inspection cycle. Such inspections shall comply with Article 303 of Title 28 of the Administrative Code, applicable provisions of the New York State Labor Law and the following:
      (1)   Internal and external high-pressure boiler annual inspection reports along with the appropriate filing fee(s) shall be submitted for each inspection cycle on such forms and in such manner as required by the department. The reports shall include:
         (i)   An inspection report for each boiler identifying the qualified boiler inspector; and
         (ii)   An affirmation of correction from the owner along with the filing fee stating that identified defects have been corrected, if applicable.
      (2)   The reports shall be filed by the filing deadline. Any required part of the report not filed by the filing deadline shall be deemed late and shall subject the owner to penalties as set forth in subdivision (j) of this section.
      (3)   High-pressure boiler annual inspections shall be conducted twelve (12) months from the preceding annual inspection of the same inspection type.
      (4)   Internal and external high-pressure boiler annual inspections shall be performed approximately six (6) months from each other during the inspection cycle.
      (5)   The inspector must verify that a valid department-issued boiler number is affixed to the boiler, and this number must be used in all correspondence between the inspector and the department. If an inspection reveals any dangerous condition in a boiler that threatens life or safety and that requires an immediate shutdown of the boiler, or reveals an unregistered boiler, the inspector must immediately notify the department's boiler division of the condition via fax or email at the number or address provided on the department's website, http://www.nyc.gov/buildings.
   (f)   Acceptance of filings. Inspection reports filed after the forty-five (45) day filing deadline but within twelve (12) months of the date the inspection was conducted will be considered late filings and will be subject to the appropriate civil penalties as set forth in subdivision (j) of this section. Reports filed after such twelve (12) month period will be considered expired. In such cases, owners will be subject to the appropriate civil penalties for failure to file a report as set forth in subdivision (j) of this section, and the department will require a new inspection to be performed for the current inspection cycle and a new report filed in accordance with this section.
   (g)   Ten (10) day notifications. The inspector shall notify the department at least ten (10) days prior to the performance of an internal high-pressure boiler annual inspection.
   (h)   Notification of change of address or sale of premises. An owner shall notify the department's boiler division within thirty (30) days of the owner's change of address or sale of the premises housing the boiler. The owner shall reference the department's boiler number in all correspondence.
   (i)   Tenant notification. An owner of a building containing a high-pressure boiler(s) shall notify any affected tenants of the requirements set forth in this section.
   (j)   Civil penalties, high-pressure boiler annual inspection report.
      (1)   Late filing. An owner who submits a late filing, but who provides proof that the inspection took place within the inspection cycle for which the report was due, shall be liable for a civil penalty of not less than fifty dollars ($50.00) per month, per boiler, per inspection type, commencing on the day following the filing deadline and ending on the date of submission of a complete report, including a late filing of the affirmation of correction. The total penalty shall not exceed six hundred dollars ($600.00) per boiler, per inspection type. For the purposes of this paragraph, "proof" shall mean a notarized affidavit from the qualified boiler inspector who conducted the inspection stating that the inspection was completed within the inspection cycle for which the report was due and including his or her license number.
      (2)   Failure to file. An owner who fails to file the high-pressure boiler annual inspection report or any part thereof for each boiler and inspection type within twelve (12) months from the date of the inspection, pursuant to Article 303 of Title 28 of the Administrative Code and this section, shall be liable for a civil penalty of not less than one thousand dollars ($1000.00) per boiler, per inspection type.
      (3)   Challenge of civil penalty. An owner may challenge the imposition of any civil penalty authorized pursuant to this subdivision by providing written proof of a timely and complete inspection and filing to the department. Challenges shall be made in writing within thirty (30) days from the date of service of the violation by the department and sent to the office/unit of the department that issued the violation. The decision to dismiss or uphold the penalty shall be at the sole discretion of the department. Examples of such proof shall include, but are not limited to, the following:
         (i)   A copy of the high-pressure boiler annual inspection report for the inspection performed during the applicable inspection cycle and a copy of the front and back of the canceled check or money order to the department for the high-pressure boiler annual inspection report fee; or
         (ii)   The department-assigned transmittal number for the electronic disk filing report.
      (4)   Extension of the filing deadline. An owner may request an extension of the filing deadline in order to correct high-pressure boiler defects and to file an affirmation of correction stating that identified defects have been corrected by submitting proof that the request is based on extraordinary circumstances and/or that the delay in correction is beyond the owner's control, not including financial or administrative hardship. The request shall be made prior to the expiration of the filing deadline, submitted with the filing fee and made on such forms and in such manner as required by the commissioner.
      (5)   Waiver of penalties. An owner may request a waiver of penalties assessed for violation of Section 28-303.7 of the Administrative Code, Section 27-793 of the 1968 Building Code and/or related rules enforced by the department. Requests shall be made in writing and submitted with the filing fee.
         (i)   Owner status.
            (A)   New owner. A new owner may be granted a waiver of penalties contingent upon the department's acceptance of the owner's proof that transfer of ownership to the new owner occurred after penalties were incurred. Such a waiver is limited to one of the following circumstances:
               ((a)   The new owner has obtained full tax exemption status from the New York City Department of Finance; or
               ((b)   The new owner submits proof to the department (such as a certificate from the Department of Housing Preservation and Development) that he or she took title to the property as part of an economic development program sponsored by a government agency.
            (B)   Government ownership. An owner may be granted a waiver of penalties upon submission of official documentation from a government entity affirming that the premises was owned in its entirety by the entity during the period for which a waiver is requested.
            (C)   Bankruptcy. An owner may be granted a waiver of penalties upon submission of a copy of a bankruptcy petition, together with proof that either the department or the New York City Law Department was served with a "Notice of Bar Date".
         (ii)   Device status. An owner may be granted a waiver of penalties contingent upon the department's acceptance of proof of the following:
            (A)   Removed or disconnected. That the high-pressure boiler was removed from the building or disconnected prior to the inspection cycle for which the report was due. In the event that proof of removal or disconnection has not yet been entered into the department's database at the time of the request for a waiver, the owner shall submit to the department a copy of the Self-Certification of Removed or Existing Boiler(s) form.
            (B)   New or replaced. That the first test was performed during the inspection cycle for which the report was due.
            (C)   Work in progress. That there is work in progress for the replacement or installation of a new boiler or burner or a major renovation requiring that the boiler or burner be deactivated during the work. For the purposes of this clause, "proof" shall mean the filing of a boiler extension request with the department by the filing deadline. Upon completion of such work, an affirmation of correction shall be filed with the department.
         (iii)   Building status. An owner may be granted a waiver of penalties contingent upon the department's confirmation of the following:
            (A)   Demolished. That the full demolition of the building occurred prior to the inspection cycle for which the report was due and that such demolition was signed-off by the department and/or that a new building permit has been issued for the property.
            (B)   Sealed or vacated. That the building was ordered to be sealed or vacated by a government agency (e.g. Department of Buildings, Department of Housing Preservation and Development, Fire Department of New York or Office of Emergency Management) or by court order prior to the expiration of the inspection cycle for which the report was due.
   (k)   Civil penalties, written notice of removal or disconnection of a high-pressure boiler. Failure to file a written notice of removal or disconnection (a Self-Certification of Removed or Existing Boiler(s) form) with the filing fee in accordance with Section 28-303.8 of the Administrative Code, or filing of such notice more than thirty (30) days after the date of the removal or disconnection of a high-pressure boiler shall be deemed a lesser violation and shall subject the owner to penalties as set forth in this subdivision.
      (1)   Untimely filing. An owner who files such notice more than thirty (30) days after the date of removal or disconnection, but within twelve (12) months from the end of such thirty (30) days, may submit an untimely filing and shall be liable for a civil penalty of not less than fifty dollars ($50.00) per month, per boiler commencing on the thirty-first (31) day after the date of removal or disconnection and ending on the date of submission of the notice. The total penalty shall not exceed five hundred dollars ($500.00) per boiler.
      (2)   Failure to file. An owner who fails to file such notice within twelve (12) months from the end of the thirty (30) days after the date of removal or disconnection, shall be liable for a civil penalty of five hundred dollars ($500.00) per boiler.
      (3)   Challenge of civil penalty. An owner may challenge the imposition of any civil penalty authorized to be imposed pursuant to this subdivision by providing proof of a timely filing to the department. Challenges shall be made in writing within thirty (30) days from the date of service of the violation by the department and sent to the office/unit of the department that issued the violation. The decision to dismiss or uphold the penalty shall be at the sole discretion of the department. An example of such proof shall include, but is not limited to, the following: a stamped and dated copy of a Self-Certification of Removed or Existing Boiler(s) form filed with the department, which may be supported by a copy of the front and back of a canceled check(s) to the department for the fee for the filing of a Self-Certification of Removed or Existing Boiler(s) form.
(Am. eff. 12/30/2015)
   (a)   Purpose. This section establishes the procedures for benchmarking certain buildings.
   (b)   References. Article 309 of Chapter 3 of Title 28 of the New York City Administrative Code ("Article 309").
   (c)   Requirement. Owners of covered buildings, as defined in Article 309, must benchmark their whole buildings using the online Portfolio Manager tool of the United States Environmental Protection Agency ("EPA").
   (d)   Definitions. Terms defined in Article 309 of Title 28 have the same meanings in this section. For the purposes of this section, the following additional terms are defined as follows:
      ACTUAL ENERGY DATA: Actual energy data is data taken directly from 1) utility meters or billing information, or data for the entire building provided by the utility; and/or 2) sub-meters for entire buildings that share heating, cooling and/or service (domestic) hot water systems with other buildings; and/or 3) extrapolated energy data calculated in accordance with clause (A) of subparagraph (ii) of paragraph (2) of subdivision (g) of this section.
      AGGREGATED ENERGY DATA: Aggregated energy data means total energy data for a specified period as provided by the utility company for the building for a given energy type.
      DEFAULT ENERGY DATA: Default energy data means data calculated using default values taken from Table 1 or 2 of this section. Such data is designed to result in a low energy efficiency rating within the bottom 25th percentile in Portfolio Manager and must be used only when the owner is unable to obtain actual energy data either as aggregated energy data from the utility company, directly from meters or sub-meters, or from tenants.
      ENERGY TYPE: Energy type is electricity, natural gas, steam, and/or fuel oil. Energy type for a building may take the form of chilled or hot water when heating, cooling and/or service (domestic) hot water systems are shared by multiple buildings.
      GROSS FLOOR AREA: Gross floor area is the total number of square feet measured between the exterior surfaces of the enclosing fixed walls. It includes vent shafts, elevator shafts, flues, pipe shafts, vertical ducts, stairwells, light wells, basement space, mechanical/electrical rooms, and interior parking. It excludes unroofed courtyards and unroofed light wells. For atria, gross floor area only includes the area of atrium floors. For tenant spaces, interior demising walls should be measured to the centerline of the wall.
      GROSS SQUARE FEET (GROSS SQUARE FOOTAGE): Gross square feet or gross square footage means a building's total square footage as provided in Department of Finance records.
      NEW YORK CITY BENCHMARKING COMPLIANCE REPORT ("COMPLIANCE REPORT"): The New York City Benchmarking Compliance Report is an electronic report generated from the benchmarking data in Portfolio Manager.
      PORTFOLIO MANAGER: Portfolio Manager is the benchmarking tool as defined in §28-309.2 of the Administrative Code.
      TEMPORARY ENERGY DATA: Temporary energy data is a Portfolio Manager indicator for energy data entries that are not actual energy data, when actual energy data is not available. In this section, temporary energy data means energy data calculated from 1) default values calculated as described in this section, or 2) pro-rated energy use for a covered building that shares heating, cooling and/or service (domestic) hot water systems with other buildings on other tax lots.
   (e)   Requirement to calculate gross floor area. The owner must calculate the gross floor area and enter it into Portfolio Manager. All space areas entered into Portfolio Manager for a building must add up to the building's gross floor area. Gross floor areas as calculated by the owner under this provision are not related to the Department of Finance records that determine whether a building or buildings qualify as covered buildings under §28-309 of the Administrative Code.
   (f)   Period of benchmarking. The owner must enter energy consumption data into Portfolio Manager for the period covering January 1 through December 31 of the year being benchmarked for each energy type.
   (g)   Energy data entry into Portfolio Manager. In accordance with section 28.309.4 of the Administrative Code, the owner of a covered building must enter energy data for each applicable energy type into Portfolio Manager. This data must be obtained by one or more of the following methods:
      (1)   Access to total data for a given energy type used in a building. Where an owner obtains all energy data for a given energy type for the entire building via aggregated energy data from the utility company, meter data or fuel oil bills, and/or data collected from tenants, the owner must enter such information in Portfolio Manager as actual energy data for that energy type. In the energy meter section of Portfolio Manager, the owner must respond "No" to the question, "Are temporary values being used for energy data?" No further calculation of energy use for that energy type is required.
      (2)   Access to partial data for a given energy type used in a building. When an owner has not obtained entire-building energy data in accordance with paragraph (1) of this subdivision, energy use data for the building must be entered into Portfolio Manager as described in this paragraph. In the energy meter section of Portfolio Manager, whenever actual energy data is used, the owner must respond "No" to the question, "Are temporary values being used for energy data?" Whenever default energy data is used, the owner must respond "Yes" to the same question. In addition, when default energy data is entered into Portfolio Manager, the owner must set the meter configuration in the Energy Meters section to "Other" and enter "Default energy data" in the free-text box.
         (i)   Common area energy: For each energy type, the owner must enter actual energy data for common areas, and all common or central systems, including but not limited to heating, cooling, lighting and/or service (domestic) water heating as applicable.
         (ii)   Tenant energy data – residential: Where energy use data is unavailable for some or all dwelling units in a building, the owner must use one of the following methods to determine energy use for dwelling units. For the purpose of this subparagraph, "apartment" means "dwelling unit."
            (A)   Actual-energy data – Extrapolation method. When an owner obtains representative billing or meter data as described below for a given energy type from tenants, the owner may extrapolate such information for the building and enter it into Portfolio Manager as actual energy data. Extrapolation may be used only as follows:
               1.   The owner must obtain all meter data for such energy type for a minimum of ten percent (10%) of apartments in each apartment line in the building. Apartments are considered in the same line if they have similar shape and square footage and are stacked one above another.
               2.   For a given energy type, extrapolation must be performed each month as follows:
Total energy use = [;(E1/N1) * T1]; [;(E2/N2) * T2]; [;(E3/N3) * T3]; .   .   . [;(En/Nn) * Tn];,
where:
E is the total energy collected by the owner for the month for 10% or more of the apartments in the specified apartment line for a given energy type;
N is the number of apartments in the specified apartment line for which the energy was collected;
T is the total number of apartments in the specified apartment line;
1 refers to apartment line 1;
2 refers to apartment line 2;
n refers to the total number of apartment lines in the building, or the final apartment line under consideration in the building.
            (B)   Default value method. If the owner is unable to obtain actual energy data as described in clause (A) of this subparagraph, the owner may calculate tenant energy use from default values by apartment, regardless of the gross floor area of any apartment, and enter it into Portfolio Manager as temporary energy data in accordance with subclauses 1, 2, and 3 below:
      1.   Calculate the building's monthly residential tenant electrical use as follows: For each month, multiply the default kWh/unit value in the second column of Table 1 below by the total number of apartments in the building.
      2.   If the residential units are not centrally heated, in addition to the calculations in subclause 1, above, calculate the building's monthly tenant heating use, regardless of energy type actually used, as follows: Multiply the default kWh/unit values in the third column of Table 1 below by the total number of apartments in the building.
      3.   Enter the tenant electrical energy use for all cases and the tenant heating energy when applicable into Portfolio Manager.
TABLE 1
Default Values for Residential Tenant Space
 
Column 1
Month
Column 2 Tenant-paid electrical energy use (kWh/unit) Column 3 Tenant-paid heating energy use (kWh/unit)
January
420
1454
February
370
1238
March
350
1022
April
340
562
May
360
202
June
430
29
July
530
0
August
570
0
September
440
58
October
360
360
November
350
749
December
380
1209
Source: Values are based on averaged New York State Energy Research and Development Authority data for multi-family residential buildings in New York City from 2006-2009 and correspond to the 25th percentile of building energy performance.
         (iii)   Tenant energy data – non-residential: The owner must use one of the following methods to determine non-residential tenant energy use, as applicable, and must enter the energy data into Portfolio Manager.
            (A)   Actual energy data. The building owner must request information from his or her non-residential tenants on the non-residential tenant information collection form. This form is available at the Mayor's Office of Long-Term Planning and Sustainability website: www.nyc.gov/ggbp. If the building owner has access to aggregated energy data, the owner does not need to collect energy meter information on this form; all other information requested on the form must be completed, including, but not limited to, the service address and other information affecting energy use in the building. In the event the building owner does not have access to aggregated energy data, the owner must use the non-residential tenant information collection form to collect separately metered energy information from the non-residential tenants. In either case, the building owner must enter this information in Portfolio Manager as actual energy data.
            (B)   Default values.
               1.   If the owner is unable to obtain all actual energy data from a given non-residential tenant, the owner must calculate such tenant's monthly energy use by using the default values in Table 2 below, in kilowatt hours per month per gross square foot regardless of energy type actually used, and must enter such data in Portfolio Manager as temporary energy data. To calculate the temporary energy data, the owner must multiply the default value in Table 2 below by the gross floor area for the respective tenant space type.
               2.   Use of default energy values for non-residential tenant space will not be permitted for benchmarking submissions in 2013, measuring building energy use for calendar year 2012. For benchmarking reports due May 1, 2013 and thereafter, only actual energy data will be permitted.
TABLE 2
Default Values for Non-Residential Tenant Space
 
Space UsekWh/month/gsf
Preschool and K-12
1.17
College/University
2.00
Library
1.93
Laboratory
4.55
Hospital/Inpatient health
2.97
Medical offices/Clinics
1.73
Retail store
2.27
24 hour convenience store/Bodega
6.58
Grocery store/Food sales/Refrigerated warehouse
4.53
Fast food
10.93
Restaurant/Cafeteria
5.01
Fire station/Police station/Post office
1.11
Public assembly/Entertainment/Culture
1.41
Health clubs/Gymnasium
2.00
Office space
1.61
Bank/Other financial
2.46
Data centers/Trading floors/TV studios
15.00
Dormitory/Hotel/Nursing Home/Single Room Occupancy (SRO)
1.75
Religious worship
0.50
Warehouse/Storage/Shipping
0.62
Repair shop/Vehicle service
0.82
Interior parking
0.53
Other
4.00
 
Source: Values derived from the 2007 American Society of Heating, Refrigerating and Air Conditioning Engineers, Inc., Handbook, Chapter 35: "Energy Use and Management," Table 3 Electricity Index Percentiles from 2003 Commercial Buildings Energy Consumption Survey (CBECS) of the United States Department of Energy's Energy Information Administration and represent the 25th percentile of building energy performance.
         (iv)   Non-residential vacant space: The owner must account for non-residential vacant space in Portfolio Manager as directed by the EPA.
   (h)   Water data entry into Portfolio Manager. Buildings provided with automatic meter-reading equipment by the Department of Environmental Protection ("DEP") for the entire calendar year will be benchmarked by DEP in accordance with section 28-309.5.2 of the Administrative Code. Building owners are not required to enter such data.
   (i)   Special conditions. The following special conditions must be addressed in the following ways:
      (1)   Space use attributes for multi-family housing spaces. Building owners must enter all optional space use attributes for multi-family housing spaces as such attributes are defined in Portfolio Manager. Optional space use attributes for multi-family housing spaces include, but are not limited to: number of occupied and unoccupied apartment units in building, number of bedrooms in building, and maximum number of floors.
      (2)   Multiple buildings on a tax lot. Multiple buildings on a tax lot must be benchmarked as follows:
         (i)   Multiple buildings on a tax lot that are separately energy-metered and/or energy sub-metered and that have separate heating, cooling and service (domestic) hot water systems must be benchmarked individually.
         (ii)   Multiple buildings on a tax lot that are not separately energy-metered or energy sub-metered and/or that share heating and/or cooling and/or service (domestic) hot water systems must be benchmarked as one building for all energy types using gross energy consumption by energy type and total gross floor area of all such buildings.
      (3)   Buildings on multiple tax lots that share systems. Buildings on multiple lots that share systems must be benchmarked as follows:
         (i)   Buildings that are separately metered or are sub-metered for a given energy type must be benchmarked individually for that energy type.
         (ii)   For buildings that are neither separately metered nor sub-metered for a given energy type, the owner(s) must pro-rate the various energy types based on total energy consumption for each energy type. Owners must calculate their prorated share based on the gross square footage of their building compared to the gross square footage of other buildings that share systems with the building and enter the prorated energy data as temporary energy data.
      (4)   New buildings. Owners of new buildings must begin benchmarking such buildings in the first full calendar year following the year the building receives its first Temporary Certificate of Occupancy. Energy use for unused spaces or incomplete tenant areas must be estimated in accordance with subparagraph (iv) of paragraph (2) of subdivision (g) of this section.
      (5)   Buildings with change in ownership. When a building changes ownership, the new owner must benchmark such building for the first full calendar year following transfer of ownership and must submit the Compliance Report by May 1 of the following year and by the same date every year thereafter.
      (6)   Demolished buildings. Buildings for which a full demolition permit has been issued are not required to benchmark for the prior calendar year, provided that demolition work has commenced, some energy-related systems have been compromised and legal occupancy is no longer possible prior to May 1.
      (7)   Exemptions. The owner shall not be required to include the following in a building's benchmarking:
         (i)   Broadcast antennas, when metered or sub-metered separately from the building;
         (ii)   Cellular towers, when metered or sub-metered separately from the building;
         (iii)   Illuminated signs required by Section 81-732 of the New York City Zoning Resolution, when metered or sub-metered separately from the building;
         (iv)   Natural gas, when separately metered for kitchens in apartments.
   (j)   Submission to the City of New York. By May 1 following each benchmarked year, the owner must submit the Compliance Report to the Department of Finance. Submission must be made through a web-link provided by the Mayor's Office of Long-Term Planning and Sustainability at their website: www.nyc.gov/ggbp.
   (k)   Required records. Owners of covered buildings as defined in section 28-309.2 of the Administrative Code must maintain the following records as proof of benchmarking of energy and water use as required in article 309:
      (1)   The confirmation email from EPA for proof of submission date;
      (2)   Proof of request to non-residential tenants for information related to the non-residential tenant's separately metered energy use;
      (3)   Back-up information regarding energy use inputs, including, but not limited to, utility bills, fuel oil bills, calculations, and correspondence; and
      (4)   A copy of water and energy input data entered into Portfolio Manager. Such records must be retained for three (3) years from the required submission date of May 1 and must be made available to the Department and/or the Mayor's Office of Long Term Planning and Sustainability upon request.
   (l)   Violation and penalty. Failure to benchmark by August 1, 2011, or by May 1 of subsequent years, may result in a penalty of $500. Continued failure to benchmark may result in additional violations on a quarterly basis and an additional penalty of $500 per violation.
   (m)   Challenge to violations.
      (1)   An owner may challenge a violation for failure to benchmark issued pursuant to subdivision (l) of this section. Proof in support of any such challenge may include, but need not be limited to:
         (i)   Proof from the Department of Finance that the building in question is not a covered building as defined in section 28-309.2 of the Administrative Code;
         (ii)   Proof of timely benchmarking as indicated by a confirmation email from the EPA that includes a date-stamped copy of data released to the city; or
         (iii)   Proof of change in ownership during the year in question.
      (2)   Such challenge must be made in writing to the Department within thirty (30) days from the postmark date of the violation served by the Department.
   (a)   Purpose. This section sets forth the basic requirements for performing energy audits and retro-commissioning on certain buildings 50,000 square feet or more in floor area and submitting the associated Energy Efficiency Report ("EER") in accordance with article 308 of chapter 3 of title 28 of the administrative code, and establishes violations for failing to submit an EER.
   (b)   References. Article 308 of Chapter 3 of Title 28 of the New York City Administrative Code ("Article 308"); American Society of Heating, Refrigerating and Air-conditioning Engineers Inc. ("ASHRAE") Procedures for Commercial Building Energy Audits, 2011 edition.
   (c)   Approved agency qualifications. Individuals with relevant experience are deemed approved agencies pursuant to this section for the purpose of conducting energy audits and retro-commissioning of base building systems.
      (1)   Energy auditor qualifications. The energy auditor performing or supervising the audit may not be on the staff of the building being audited and must meet the qualifications of either subparagraph (i) or (ii).
         (i)   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:
            (A)   a New York State Energy Research and Development Authority- (NYSERDA) approved Flex Tech consultant;
            (B)   a Certified Energy Manager (CEM) or Certified Energy Auditor (CEA), certified by the Association of Energy Engineers (AEE);
            (C)   a High-Performance Building Design Professional (HPBD) certified by ASHRAE;
            (D)   a Building Energy Assessment Professional (BEAP) certified by ASHRAE; or
            (E)   for audits of multifamily residential buildings only, a Multifamily Building Analyst (MFBA), certified by the Building Performance Institute (BPI).
         (ii)   The energy auditor must be an individual registered with the department and must be one of the following:
            (A)   a Certified Energy Manager (CEM) or Certified Energy Auditor (CEA), certified by the Association of Energy Engineers (AEE);
            (B)   a High-Performance Building Design Professional (HPBD) certified by ASHRAE;
            (C)   a Building Energy Assessment Professional (BEAP) certified by ASHRAE; or
            (D)   for audits of multifamily residential buildings only, a Multifamily Building Analyst (MFBA), certified by the Building Performance Institute (BPI).
      (2)   Retro-commissioning agent qualifications. The retro-commissioning agent performing or supervising the retro-commissioning may not be on the staff of the building being retro-commissioned and must meet the qualifications of either subparagraph (i) or (ii).
         (i)   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:
            (A)   a Certified Commissioning Professional (CCP) certified by the Building Commissioning Association (BCA);
            (B)   a Certified Building Commissioning Professional (CBCP) certified by the AEE;
            (C)   an Existing Building Commissioning Professional (EBCP) as certified by the AEE;
            (D)   a Commissioning Process Management Professional (CPMP) certified by ASHRAE; or
            (E)   an Accredited Commissioning Process Authority Professional (ACPAP) approved by the University of Wisconsin.
         (ii)   The retro-commissioning agent performing or supervising the retro-commissioning must be an individual registered with the department and must be one of the following:
            (A)   a Certified Commissioning Professional (CCP) certified by the Building Commissioning Association (BCA);
            (B)   a Certified Building Commissioning Professional (CBCP) certified by the AEE;
            (C)   an Existing Building Commissioning Professional (EBCP) as certified by the AEE; or
            (D)   a Commissioning Process Management Professional (CPMP) certified by ASHRAE.
      (3)   Registration.
         (i)   General. An energy auditor or a retro-commissioning agent who is not a registered design professional must register with the department in accordance with the provisions of this paragraph. No such energy auditor or retro-commissioning agent may perform audits or retro-commissioning without a current registration.
         (ii)   Form and manner of registration. An application for registration must be submitted in a form and manner determined by the commissioner, including electronically, and the applicant must provide such information as the commissioner may require.
         (iii)   Certifications. All energy auditors or retro-commissioning agents who register with the department must obtain and maintain a current certification from one of the entities listed in subparagraph (ii) of paragraph (1) or subparagraph (ii) of paragraph (2) of this subdivision, as applicable. The certification must be presented to the department upon request.
         (iv)   Registration term. The term of an initial registration is three (3) years, beginning on the applicant's birthday following the date of registration, and may be renewed for additional three- (3) year periods after such initial registration.
         (v)   Registration and renewal fees. Fees will be those set forth in 1 RCNY §101-03 of these rules.
         (vi)   Renewals. A renewal application must be submitted between sixty (60) and ninety (90) days prior to the expiration date of the registration and must be accompanied by proof that the auditor or agent has, during the one (1) year period immediately preceding renewal, maintained a current certification as set forth in this rule.
         (vii)   Other applicable provisions. The provisions of sections 28-401.6, 28-401.8 and 28-401.19 of the Administrative Code shall apply to energy auditors and retro-commissioning agents registered pursuant to this paragraph.
   (d)   Energy Audit Procedures. An energy audit must be performed on the base building systems of a covered building prior to filing an energy efficiency report. The scope of such energy audit must be at a minimum equivalent to the procedures described for a Level 2 Energy Survey and Analysis in accordance with Procedures for Commercial Building Energy Audits, 2011 edition, published by the American Society of Heating, Refrigerating and Air-conditioning Engineers, Inc. (ASHRAE). The building's operations and maintenance staff must be consulted at the start of and during the energy audit process in order to establish the current facility requirements.
   (e)   Contents of Energy Audit Report. An audit report must be prepared for the owner that is at a minimum equivalent to the report prescribed by ASHRAE Procedures for Commercial Building Energy Audits, 2011 edition, and must include the information required by §28-308.2 of the Administrative Code. 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 rule.
   (f)   Retro-commissioning procedures. The base building system components subject to retro-commissioning as per §28-308.3 of the Administrative Code must be assessed in accordance with §28-308.3 of the Administrative Code, including the testing protocols, master list of findings and repairs and deficiencies corrected, and this section. Deficiencies found in the assessment must be corrected as required by this subdivision. Notwithstanding the particular provisions of this subdivision, where less than ninety percent of components tested in the initial sample set is found to be satisfactory, corrections may be made to all similar system components without further testing. The building's operations and maintenance staff must be consulted at the start of and during the retro-commissioning process in order to establish the current facility requirements.
      (1)   Operating protocols, calibration, and sequencing.
         (i)   Heating, ventilation, and air conditioning (HVAC) system temperature and humidity set points and setbacks. All major system components, such as chillers, boilers, cooling towers, air handlers, or pumps, must be tested to verify that such system set points and setbacks are appropriate to the current facility requirements. Where set points and setbacks require correction, the condition must be corrected and noted on the retro-commissioning report.
         (ii)   HVAC sensors.
            (A)   All critical sensors that are part of a control sequence and have direct control of a major piece of equipment such as a chiller, boiler, pump, or air handling unit of capacity greater than 5,000 cubic feet per minute must be tested for proper calibration. Where sensors require correction, the condition must be corrected and noted on the retro-commissioning report.
            (B)   For monitoring sensors that measure air flow or temperature but are not part of a control sequence, a sample set constituting ten percent of all monitoring sensors, but in no event fewer than ten individual sensors, must be tested for proper calibration. If more than ninety percent 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 ninety percent of the sample set is found to be satisfactory, then all monitoring sensors serving base building systems must be tested for proper calibration. Where sensors require correction, the condition must be corrected and noted on the retro-commissioning report.
         (iii)   HVAC controls. All control sequences and critical controls that are part of a control sequence of a major piece of equipment such as a chiller, boiler, pump, or air handling unit of capacity greater than 5,000 cubic feet per minute must be checked for proper function. Proper function may be determined from interviews with facility staff, through trend analysis, field observation or dedicated data loggers. Where controls require correction, the condition must be corrected and noted on the retro-commissioning report.
         (iv)   Load distribution. Fans, boilers, and pumps that are designed to run in parallel on major systems greater than ten horsepower must be tested for proper load distribution across the individual components. Where load distributions require correction, the condition must be corrected and noted on the retro-commissioning report.
         (v)   Ventilation rates. A sample set constituting ten percent of all outdoor air intakes, but in no event fewer than three outdoor air intakes, must be measured to verify that the flow rates are appropriate for the current facility requirements. If more than ninety percent of the sample set is found to be appropriate, then no further sampling is required for the purposes of the retro-commissioning report. If less than ninety percent of the sample set is found to be appropriate, then all outdoor air intakes serving base building systems must be measured. Where flow rates require correction, the condition must be corrected and noted on the retro-commissioning report.
         (vi)   System automatic reset functions. For each piece of major equipment, such as chillers, boilers, cooling towers, air handlers, or pumps, at least one energy-related reset function based on temperature or pressure must be tested to verify that the reset function is functioning properly. Where the reset function requires correction, the condition must be corrected and noted on the retro-commissioning report.
         (vii)   Adjustments to oversized or undersized equipment. Only major equipment, such as chillers, boilers, cooling towers, air handlers, or pumps, serving base building systems must be required to be adjusted to perform as efficiently as possible for the current facility requirements. Where the equipment requires correction, the condition must be corrected and noted on the retro-commissioning report.
         (viii)   Simultaneous cooling and heating. A sample set constituting ten percent of the HVAC system air handling units must be tested to verify that simultaneous heating and cooling is not occurring, unless intended. If the entirety of the sample set is found to be without unintended simultaneous heating and cooling, then no further sampling is required for the purposes of the retro-commissioning report. If any portion of the sample set is found to have unintended simultaneous heating and cooling, then all base building air handling units must be tested for unintended simultaneous heating and cooling. Where unintended simultaneous cooling and heating is occurring, the condition must be corrected and noted on the retro-commissioning report.
         (ix)   HVAC System Economizer controls. The economizer controls serving all major air handling units with a minimum air circulation capacity of 5,000 cubic feet per minute must be tested for proper functionality through trends or functional testing. Where the economizer controls are found to require correction, the condition must be corrected and noted on the retro-commissioning report.
         (x)   HVAC distribution balancing. All major systems that include chillers, boilers, cooling towers, air handlers, or pumps, must be tested for proper balance for current facility requirements. A major system as used in this subparagraph means a system that serves more than 10,000 square feet. If the system is found to be out of balance, the condition must be corrected and noted on the retro-commissioning report. System balancing may only be performed by an individual certified in the testing and balancing of HVAC systems by the National Environmental Balancing Bureau (NEBB), the Testing, Adjusting and Balancing Bureau (TABB), or the Associated Air Balance Council (AABC).
      Exceptions:
         1.   if the HVAC distribution has been tested and balanced within the twelve months prior to the reporting date of the retro-commissioning report, then the records of such testing and balancing must be included in the retro-commissioning report and no further testing and balancing will be required.
         2.   if the HVAC distribution has been tested and balanced within the sixty months prior to the reporting date of the retro-commissioning report, then no further testing and balancing is required, provided that all of the following conditions are satisfied:
            2.1. Space configurations have not been altered to affect the HVAC system since the prior testing and balancing; and
            2.2. no new equipment has been installed and no existing equipment has been removed during the sixty months since the prior testing and balancing; and
            2.3. if the major systems are controlled by a Building Management System (BMS), the BMS is monitoring or controlling all relevant equipment; and
            2.4. if the system is controlled by a BMS, more than ninety percent of the remote sensors, control valves, and control dampers are monitored or controlled by the BMS; and
            2.5. no piece of equipment is under manual control; and
            2.6. fewer than ten percent of the diffusers in the system require replacement; and
            2.7. if the system utilizes a Variable Air Volume (VAV) system, fewer than ten percent of the VAV terminal units are under manual control; and
            2.8. if the system utilizes economizers, all economizers and economizer controls are fully functioning; and
            2.9. the system supply air and water temperatures satisfy the current facility requirements.
         3.   If an HVAC system is out of balance but corrective work would be so extensive that it would require a work permit from the department, the condition need not be corrected in connection with the retro-commissioning but may be recommended for examination in connection with the energy audit.
         (xi)   Light levels. A sample set constituting ten percent of the area served by base building lighting systems must be tested to verify that the lighting levels are appropriate for the current facility requirements. The sample set should include areas of different uses. If more than ninety percent of the sample set is found to be within fifteen percent of current facility required lighting levels for a given area, then no further sampling is required for the purposes of the retro-commissioning report. If less than ninety percent of the sample set is found to be within fifteen percent of current facility required lighting levels, then all areas served by the base building lighting system must be tested. Where the light levels are found to require correction, the condition must be corrected and noted on the retro-commissioning report.
         (xii)   Lighting sensors and controls. A sample set constituting ten percent of the area served by base building lighting systems must be checked to verify that the lighting sensors and controls are functioning properly. The sample set should include areas of different uses. If more than ninety percent of the sample set is found to be served by properly functioning sensors and controls, then no further sampling is required for the purposes of the retro-commissioning report. If less than ninety percent of the sample set is found to be served by deficient sensors and controls, then all areas served by the base building lighting system must be checked to verify that the lighting sensors and controls are functioning properly. Where lighting sensors and controls are found to require correction, the condition must be corrected and noted on the retro-commissioning report.
         (xiii)   Domestic hot water heater temperature settings. All major hot water heaters serving base building systems must be visually checked to verify that the temperature settings are accurate and are appropriate for the current facility requirements. Where a given base building system is served by multiple domestic hot water heaters, a sample set constituting ten percent of such heaters, but in no event fewer than three domestic hot water heaters, must be visually checked to verify that the temperature settings are appropriate. If more than ninety percent of the sample set is found to be appropriate, then no further sampling is required for the purposes of the retro-commissioning report. If less than ninety percent of the sample set is found to be satisfactory, then all domestic hot water heaters must be visually checked to verify that the temperature settings are appropriate. Where the temperature settings are found to require correction, the condition must be corrected and noted on the retro-commissioning report.
         (xiv)   Water pumps. All water pumps greater than ten horsepower, excluding fire pumps, must be tested to verify that the devices are functioning to meet the current facility requirements. Where a pump is found to require correction, the condition must be corrected and noted on the retro-commissioning report.
         (xv)   Water leaks.
            (A)   All boilers and roof tanks must be visually checked to verify that they are not leaking water.
            (B)   For water distribution lines and makeup water lines including steam distribution, a sample set constituting ten percent of the areas where such lines are exposed must be visually checked to verify that no leaks are present. If the entirety of the sample set is found to be without water leaks, then no further sampling is required for the purposes of the retro-commissioning report. If any portion of the sample set is found to be leaking, then all areas where such water lines are exposed must be visually checked.
            (C)   For plumbing fixtures, such as faucets, toilets, and showerheads, served by base building systems, a sample set constituting ten percent of the fixtures must be visually checked to verify that they are without water leaks. If the entirety of the sample set is found to be without water leaks, then no further sampling is required for the purposes of the retro-commissioning report. If any portion of the sample set is found to be leaking, then all fixtures must be visually checked. All system water leaks identified must be repaired, and the condition must be noted on the retro-commissioning report.
      (2)   Cleaning and repair.
         (i)   HVAC equipment. A visual inspection of all accessible HVAC equipment, including vents, ducts, coils, valves, and soot bins must be visually checked for cleanliness where required for proper operation. If within the scope of the visual inspection the equipment is found to require cleaning, then that equipment must be cleaned, and the condition must be noted on the retro-commissioning report.
         (ii)   Filter cleaning and replacement. A sample set constituting ten percent of filters must be visually checked to verify cleanliness and tested to confirm that the filter is within the manufacturer's recommended pressure drop differential. The retro-commissioning agent must confirm with facility maintenance staff that a replacement protocol is in place for the replacement of filters according to the pressure drop differential or at least as frequently as the manufacturer's recommendation. Where such protocol is not in place, the lack of protocol must be noted as a deficiency to be corrected, and a satisfactory protocol must be developed in order to correct such deficiency and noted on the retro-commissioning report.
         (iii)   Light fixture cleanliness. A sample set constituting ten percent of the area served by base building lighting systems must be visually checked to verify that light fixtures serving such areas are clean. If more than ninety percent of the sample set is found to be clean, then no further sampling is required for the purposes of the retro-commissioning report. If less than ninety percent of the sample set is found to be clean, then all areas served by the base building lighting system must be visually checked to verify that the lighting fixtures are clean. Lighting fixtures requiring cleaning must be cleaned and the condition must be noted on the retro-commissioning report.
Exception: Cleaning of lighting fixtures throughout a building for the purposes of retro-commissioning is not required where there is regular maintenance of fixtures and the condition of fixtures is such that gains in energy efficiency from extensive cleaning would be minimal.
         (iv)   Operating conditions of motors, fans and pumps. A visual inspection of all motors, fans, or pumps, 5 horsepower and greater, and associated belts, pulleys, and bearings must be performed to determine that such components are in good operating condition. Where any motor, fan, or pump is found to require correction, the condition must be corrected and noted on the retro-commissioning report.
         (v)   Steam traps.
            (A)   The retro-commissioning agent must confirm with facility maintenance staff that a protocol is in place for the testing of steam traps and replacement of non-functional steam traps. Where such protocol is not in place, the lack of protocol must be noted as a deficiency to be corrected. A satisfactory protocol must be developed in order to correct such deficiency and noted on the retro-commissioning report.
            (B)   A sample set constituting ten percent of all steam traps in areas served by base building system must be tested to verify operation. If more than ninety percent of the sample set is found to be functioning properly, then no further sampling is required for the purposes of the retro-commissioning report. If less than ninety percent of the sample set is found to be functioning properly, then all areas served by the base building steam system must be tested to verify that the steam traps are operational. All steam traps found to be functioning improperly must be replaced, repaired or rebuilt, and the condition must be noted on the retro-commissioning report.
         (vi)   Manual override remediation. The retro-commissioning agent must confirm with facility maintenance staff that a protocol for the remediation of the issues causing manual overrides has been developed. Where such protocol is not in place, the lack of protocol must be noted as a deficiency to be corrected, and a satisfactory protocol must be developed in order to correct such deficiency, and the condition must be noted on the retro-commissioning report.
         (vii)   Boilers tuned for optimal efficiency. A combustion efficiency test must be conducted for each boiler serving a base building system, and the boiler must be tuned and cleaned to perform at optimal efficiency for the current facility requirements.  However, if the boiler has been tested and tuned within the twelve months prior to the reporting date of the retro-commissioning report, then the records of such tuning must be included in the retro-commissioning report, and no further testing and tuning will be required.
         (viii)   Pipe insulation. All exposed hot and chilled water and steam pipes three inches in diameter and greater and pipe fittings must be visually checked for insulation. Where any such pipes are found not to be insulated, they must be insulated in accordance with the New York City Energy Conservation Code and noted on the retro-commissioning report.
Exception: Insulation with asbestos. Existing insulation with asbestos containing materials found to be in need or replacement or repair shall not be required to be removed or replaced for the purposes of the retro-commissioning report. The condition must be noted on the retro-commissioning report and correction of such condition is not required.
         (ix)   Sealants and weather stripping. A visual inspection must be conducted in a sample set constituting ten percent of all accessible locations to confirm that sealants and weather stripping are installed and in good condition. If any portion of the sample set is found to require correction, then all accessible locations must be visually inspected. Where any sealant or weather stripping is found to require correction, the condition must be corrected and noted on the retro-commissioning report.
Exception: Sealants and weather stripping with asbestos. Sealants and weather stripping with asbestos containing materials shall not be required to be removed or replaced for the purposes of the retro-commissioning report. The condition must be noted on the retro-commissioning report and correction of such condition is not required.
         (x)   Training and documentation. On-site documentation in accordance with §28-308.3(3) of the Administrative Code must be verified and noted on the retro-commissioning report. Verification of training of critical operations and maintenance staff must be noted on the retro-commissioning report.
   (g)   Contents of 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 §28-308.3 of the Administrative Code and this rule. Such report must be retained by the owner in accordance with subdivision (j) of this section.
   (h)   Contents of Energy Efficiency Report. An Energy Efficiency Report 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.
   (i)   Multiple buildings.
      (1)   Multiple buildings on a lot. Two or more buildings on a lot that constitute a covered building in accordance with §28-308.1 of the Administrative Code are subject to an energy audit and retro-commissioning of base building systems as follows:
         (i)   Multiple buildings on a covered lot that are equipped with base building systems that are wholly separate from each other are subject to the requirements for an EER for each individual building.
         (ii)   Multiple buildings on a covered lot that share base building systems are subject to the requirements for an EER for each grouping of buildings that share base building systems.
      (2)   Multiple buildings on multiple tax lots that share systems. Two or more buildings on more than one tax lot that share base building systems are subject to the requirements for an EER for each grouping of buildings that share base building systems.
      (3)   Buildings on different blocks with shared base building systems. Two or more buildings on separate blocks that constitute a covered building in accordance with §28-308.1 of the Administrative Code are subject to the requirements for an EER for each grouping of buildings that share base building systems. The due date for the EER will be in the calendar year with a final digit that is the same as the last digit of the block number that is highest or with respect to a city building as defined in §28-308.1 of the Administrative Code in accordance with the schedule of the Department of Citywide Administrative Services.
   (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 §101-03 of these rules.
   (l)   Extension of time to file report.
      (1)   An owner may apply for an extension of time to file an energy efficiency report if, despite good faith efforts, the owner is unable to complete the required energy audit and retro-commissioning prior to the due date of the report, for reasons other than financial hardship of the building. The application must be on a form provided by the department and must be filed by October 1 of the year in which the report is due.
      (2)   An owner may apply for annual extensions of time to file an energy efficiency report based on the financial hardship of the building. The application must be on a form provided by the department and must be filed by October 1 of the year in which the report is due and by October 1 of every subsequent year for which an extension is requested.
   (m)   Violation and penalty. Failure to submit an 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. The department will not accept any outstanding EER submission if outstanding penalties are not paid in full.
   (n)   Challenge to violations.
      (1)   An owner may challenge a violation issued pursuant to this section by providing:
         (i)   proof from the Department of Finance that the building in question is not a "covered building" as defined in section 28-308.1 of the Administrative Code; or
         (ii)   proof of early compliance with the filing requirements pursuant to section 28-308.7 of the Administrative Code; or
         (xi)   proof that the building is less than ten years old at the start of its first assigned calendar year; or
         (xii)   proof that the base building systems underwent substantial rehabilitation within the preceding ten years; or
         (xiii)   proof that the owner was granted an extension of time to file the report.
      (2)   Such challenge must be made in writing on a form provided by the Department within thirty days from the postmark date of the violation served by the Department.
(Repealed eff. 8/24/2015)
   (a)   Definitions.
      (1)   Acceptable report. A report of condition assessment filed by a qualified retaining wall inspector that meets the requirements of the Administrative Code and this rule as determined by the Department.
      (2)   Amended report. A report of condition assessment filed by a qualified retaining wall inspector who certifies that the unsafe conditions reported in the initial report have been repaired and that the retaining wall is no longer unsafe.
      (3)   Close-up inspection. A physical examination performed on a retaining wall for the purpose of performing a condition assessment.
      (4)   Condition assessment. An examination conducted to review a retaining wall and all parts of it to determine whether the retaining wall and its parts are either safe, unsafe, or safe with a repair and maintenance program and whether, in the judgment of a qualified retaining wall inspector, it requires remedial work.
      (5)   Filed (in reference to a report). A report is deemed filed with the Department when it has been received by the Department.
      (6)   Filing window. The one-year period during which an acceptable report for a particular retaining wall may be filed with the Department without penalty.
      (7)   Fronting. The length of a retaining wall running parallel or near parallel to a public right-of-way.
      (8)   Height (of retaining wall). The vertical distance, measured from the ground surface above the toe of the wall to the top of the wall, wall stem, or wall step for tiered walls, including any parapets or fencing intended for retaining material.
      (9)   Maintenance. The cyclical or recurring upkeep of a retaining wall including, but not limited to, vegetation removal, weep holes, cleaning wall drains, removing debris from culverts, replacing dislodged chinking, painting soldier piles, cleaning and sealing concrete and wood facings.
      (10)   Public right-of-way. A public highway, railroad, street, avenue, alley, public driveway, sidewalk, roadway or any other public place or public way.
      (11)   Qualified Retaining Wall Inspector. An engineer as defined in section 28-101.5 of the administrative code with three years relevant experience as such experience is defined in 1 RCNY §101-07 of the rules of the Department.
      (12)   Repair. The non-routine fixing and restoring of wall elements to their intended function, including, but not limited to, resetting dislodged stonework, repointing stone masonry, re-grading or reseeding adjacent slopes, patching concrete spalls, mending damaged wire baskets, and repair or replacement of the drainage system.
      (13)   Report of condition assessment ("Report"). A written report filed with the Department by a qualified retaining wall inspector clearly documenting the conditions noted during the assessment; areas that need repair, maintenance, or engineering monitoring; a final wall rating; and any other requirements mandated by this rule.
      (14)   Report filing cycle. The five-year time interval established by the Commissioner for the filing of each successive report for each successive condition assessment of every retaining wall subject to the requirements of Article 305 of Title 28 of the Administrative Code.
      (15)   Retaining Wall. A wall that resists lateral or other forces caused by soil, rock, water or other materials, thereby preventing lateral displacement and the movement of the mass by sliding to a lower elevation. Such term does not include basement walls and vault walls that are part of a building, and underground structures, including but not limited to utility vault structures, tunnels, transit stations and swimming pools.
      (16)   Safe. A final wall rating in which a retaining wall is determined to be fully functional with no action required at the time of assessment.
      (17)   Safe with minor repairs or maintenance. A final wall rating in which a retaining wall is found at the time of assessment to be safe, but requires minor repair or routine maintenance within the next five years to correct minor deficiencies in order to minimize or delay further wall deterioration and remain safe.
      (18)   Safe with repairs and/or engineering monitoring. A final wall rating in which a retaining wall is found at the time of assessment to be safe but requires repair within the next five years to correct minor to severe deficiencies in order to minimize or delay further wall deterioration and remain safe. In addition to repair, the qualified retaining wall inspector deems it necessary to regularly monitor and/or investigate further the retaining wall to determine the nature or cause of observed distresses and what action may be required.
      (19)   Subsequent report. A technical examination report that is filed by a qualified retaining wall inspector after an acceptable report in order to change the status of a retaining wall for that reporting cycle to reflect changed conditions, except where an amended report should be filed.
      (20)   Unsafe. A condition of a retaining wall and any appurtenances found at the time of assessment that is a hazard to persons or property and requires immediate abatement and/or public protection.
   (b)   Condition assessments.
      (1)   In accordance with Article 305 of Title 28 of the Administrative Code, a condition assessment of all parts of retaining walls with any portion of the wall having a height of ten feet or more at any location and fronting a public right-of-way must be conducted by a qualified retaining wall inspector once every five (5) years. The results of the condition assessment must be submitted to the Department in the form of a report of condition assessment.
      (2)   Before performing a condition assessment of a retaining wall, the qualified retaining wall inspector retained by or on behalf of the owner must review the most recent report and any available previous reports. The Department will maintain a file of such reports submitted in conformance with article 305 of Title 28 of the Administrative Code, and provide copies upon payment of fees set forth in the rules of the Department.
      (3)   The qualified retaining wall inspector must design and implement an assessment program that is specific to the retaining wall to be assessed, including, but not limited to, observations, data collection and method of evaluation. The assessment program and methods to be employed must be based on the consideration of the wall construction type, wall function, year built, location and failure consequence. Consideration must be given to the retaining wall's history of maintenance and repairs as described in previous reports and submittals to the Department, if applicable. The assessment program must be provided to the Department for approval no fewer than 90 days prior to implementation. The Department reserves the right to object to the proposed program.
      (4)   The methods used to assess the retaining wall in question must permit a complete condition assessment of the wall, including, but not limited to, selective probes, cores and measurements of wall dimensions, including, but not limited to, thickness.
      (5)   The qualified retaining wall inspector must utilize a professional standard of care to assess the condition of the retaining wall and surrounding elements that impact the wall's stability. The following elements must be assessed as applicable:
         (i)   Primary wall elements, including, but not limited to, piles and shafts, lagging, anchor heads, wire or geo-synthetic facing elements, bins or cribs, concrete, shotcrete, mortar, manufactured block or brick, placed stone and wall foundation material.
         (ii)   Secondary wall elements and appurtenances, including, but not limited to, wall drains and water management systems, architectural facing, traffic barrier, fencing, roads, sidewalks, shoulders, upslope, downslope, lateral slope, vegetation, culverts, curbs, berms and ditches.
      (6)   The qualified retaining wall inspector must amend the scope of the condition assessment and add additional testing and investigation as required to characterize wall distresses, overall performance or if distresses warrant additional investigations.
      (7)   During the course of the condition assessment, photographs must be taken and sketches made to document the exact location of all distresses that require repair, maintenance, or monitoring, or that cause a retaining wall to have a final wall rating of unsafe.
      (8)   Upon the discovery of an unsafe condition, the qualified retaining wall inspector must notify the Department by calling 311 and then calling the Department directly with the 311 complaint number within 24 hours of discovering the unsafe condition.
      (9)   The condition assessment must include close-up inspections of the retaining wall. It is not acceptable to base a condition assessment on a drive-by inspection or a prior report without a close-up inspection of the retaining wall.
   (c)   Report requirements.
      (1)   The qualified retaining wall inspector must file with the Department and submit a copy to the owner of the retaining wall a written report of condition assessment. The report must clearly document all conditions noted during the assessment and state that the assessment was performed and completed in accordance with the Administrative Code and this rule. An acceptable report may be prepared and filed for multiple owners where a retaining wall which is required to comply with article 305 of Title 28 of the Administrative Code and this rule spans numerous blocks and lots.
      (2)   Technical information in the report must adhere to and follow the sequence and the labeling of the report requirements as listed in paragraph (3) of this subdivision, and must be provided on such forms and in such format as the Department requires. Additional information may be provided. All items in subparagraphs (i) - (xiv) of paragraph (3) must be listed in the report. If a requirement is not applicable, this must be indicated on the report under the relevant number.
      (3)   The report must include an executive overview that consists of a summary of findings and recommendations, a concise statement of the scope of the assessment and findings, the conclusions and recommendations and a final wall rating that categorizes the retaining wall as "safe," "safe with minor repairs or maintenance", "safe with repairs and/or engineering monitoring" or "unsafe." The report must also include, but not be limited to:
         (i)   The address, any a.k.a. addresses, the Block and Lot number, the Building Identification Number ("BIN") for the block and lot on which the retaining wall is located, the location from the nearest cross street, and a copy of the Property Profile Overview from the Buildings Information System ("BIS") found on the Department's website;
         (ii)   The name, mailing address and telephone number of the owner of the retaining wall, or, if the owner is not an individual, the name, mailing address, telephone number, and position/title of a principal of the owner;
         (iii)   A detailed description of any maintenance, repairs, or the results of engineering monitoring performed to the retaining wall since the previous report;
         (iv)   A detailed description of the scope and procedures used in making the condition assessment that should include:
            (A)   The dates of start and completion of the condition assessment;
            (B)   The extent and location of all physical examinations performed;
            (C)   A location or plot plan of a discernible scale and with a north arrow that shows the entire earth-retaining length of the wall, all structures located on the block or lot and within the zone of influence of the wall, including the number of stories and the type of occupancy, and any and all public rights-of-way adjacent to the retaining wall; and
            (D)   locations and dates of close-up inspections and tests performed;
         (v)   At least one cross-section of the retaining wall with details adequate to indicate the following:
            (A)   Retaining wall construction type;
            (B)   Architectural finishes or surface treatment;
            (C)   Maximum exposed wall height;
            (D)   Height of earth on each side of the retaining wall;
            (E)   Average vertical distance from the public right-of-way to cut wall toe or ground-line at the top of the fill wall;
            (F)   Horizontal distance to wall face from the edge of the public right-of-way;
            (G)   Wall face angle (batter) measured from the vertical;
            (H)   Maximum earth retaining length of the wall;
            (I)   Surcharges applied to the wall; and
            (J)   Additional cross-sections when the wall geometry and/or plumbness changes;
         (vi)   A description of each significant distress observed with supporting photographic documentation. Distresses must be mapped using gridlines enabling all distresses to be positively located;
         (vii)   An analysis of the cause of each significant distress reported;
         (viii)   A final wall rating that categorizes the retaining wall as "safe," "safe with minor repairs or maintenance," "safe with repairs and/or engineering monitoring" or "unsafe." A detailed description of the overall rating and factors attributing to the rating assigned must accompany the final wall rating.
         (ix)   Where a retaining wall is categorized with a final wall rating of safe with repairs and engineering monitoring:
            (A)   A plan detailing the proposed monitoring program;
            (B)   The name of the engineer performing the monitoring; and
            (C)   A stability analysis of the retaining wall that reports a "factor of safety" which shows that the wall is stable under current and expected loading conditions.
         (x)   A comparison of currently observed conditions with conditions observed during the previous report filing cycle examinations, including the status of the repairs or maintenance performed with respect to the prior conditions. The following must be included and discussed:
            (A)   Work permit numbers relating to repairs performed;
            (B)   Job numbers, status and sign-off dates for any retaining wall related jobs, where applicable; and
            (C)   Violation numbers of any open Environmental Control Board ("ECB") violations associated with the retaining wall and the status of the repairs of the conditions cited in the ECB violations.
         (xi)   Detailed recommendations for repairs or maintenance for retaining walls with final wall ratings of "safe with minor repairs or maintenance" or "safe with repairs and/or engineering monitoring," including:
            (A)   The recommended time frame for such repairs or maintenance to be performed, which must indicate the date by which the work will be performed (MM/YYYY) to prevent the conditions from becoming unsafe and not the date on which work is planned or scheduled;
            (B)   Time frames of less than one (1) year, "ASAP," or "immediately," will not be accepted.
         (xii)   A list and description of the work permits required to accomplish the necessary work. If no work permits will be required, the reason must be indicated;
         (xiii)   Color photographs of the retaining wall and at least one view of the entire street front elevation for all reports regardless of the retaining wall's final wall rating. Photographs must be at least 3" x 5" (76mm x 127mm) in size, unless otherwise requested by the Department. The photographs must be dated and both the original photographs and all required copies shall be in color. The page/sheet size for attachments must not exceed 11" x 17" (280mm x 430mm).
         (xiv)   The seal and signature of the qualified retaining wall inspector under whose direct supervision the condition assessment was performed.
      (4)   All reports and supporting documents must be submitted to the Department in an electronic format.
   (d)   Report filing requirements.
      (1)   The requirements of this rule apply to owners of retaining walls with a height of ten feet or more and fronting a public right-of-way.
      (2)   Owners of retaining walls who are required to file a report must do so once during each five-year report filing cycle established by the Department, depending on the borough, as described in subsection (5) below. The next complete report filing cycle runs from January 1, 2014 to December 31, 2018.
      (3)   An acceptable report must be filed within the applicable one-year filing window to avoid a late filing penalty.
      (4)   The report must be submitted to the Department along with a filing fee as specified in the rules of the Department.
      (5)   Beginning January 1, 2014 an acceptable report for each retaining wall to which this rule applies is due in accordance with the following filing windows:
         (i)   For retaining walls located within the Borough of the Bronx, an acceptable report must be filed within the filing window starting January 1, 2014 and ending December 31, 2014.
         (ii)   For retaining walls located within the Borough of the Manhattan, an acceptable report must be filed within the filing window starting January 1, 2015 and ending December 31, 2015.
         (iii)   For retaining walls located within the Borough of Staten Island, an acceptable report must be filed within the filing window starting January 1, 2016 and ending December 31, 2016.
         (iv)   For retaining walls located within the Borough of Queens, an acceptable report must be filed within the filing window starting January 1, 2017 and ending December 31, 2017.
         (v)   For retaining walls located within the Borough of Brooklyn, an acceptable report must be filed within the filing window starting January 1, 2018 and ending December 31, 2018.
      (6)   A report must be filed within sixty (60) days of the date on which the qualified retaining wall inspector completed the condition assessment, but not more than one (1) year after completion of the close-up inspection. If the report is not acceptable and is rejected by the Department, a revised report must be filed within forty-five (45) days of the date of the Department's rejection. Failure to submit a revised report addressing the Department's objections within one (1) year of the initial filing requires a new conditional assessment, including a new close-up assessment.
      (7)   A subsequent report may be filed within a five-year report filing cycle to change a retaining wall's status for that cycle.
   (e)   Unsafe conditions.
      (1)   If any retaining wall is found in an unsafe condition, the qualified retaining wall inspector or the person in charge of the retaining wall must notify the Department by calling 311 and then calling the Department directly with the 311 complaint number within 24 hours of discovering the unsafe condition.
      (2)   Upon discovery of an unsafe condition, the owner of the retaining wall, his or her agent, or the person in charge of the retaining wall must immediately commence such repairs or reinforcements and any other appropriate measures required to secure the safety of the public and to make the retaining wall safe.
      (3)   Within two weeks after repairs to correct the unsafe condition have been completed, the qualified retaining wall inspector must inspect the premises. The qualified retaining wall inspector must obtain permit sign-offs as appropriate and must promptly file with the Department a detailed amended report stating the revised report status of the retaining wall, along with a filing fee as specified in the rules of the Department. Protective measures must remain in place until an amended report is accepted; however, the qualified retaining wall inspector may request permission for the removal of the protective measures upon submission of a signed and sealed statement certifying that an assessment was conducted, the conditions were corrected, and the protective measures are no longer required. Permission may be granted at the Commissioner's sole discretion.
      (4)   The Commissioner may grant an extension of time of up to ninety (90) days to complete the repairs required to remove an unsafe condition upon receipt and review of an initial extension application submitted by the qualified retaining wall inspector on behalf of the owner, together with:
         (i)   A copy of the original report for that report filing cycle and all required documentation submitted with such report;
         (ii)   Notice that the retaining wall and surrounding area have been secured for public safety by means of a shed, bracing, or other appropriate measures as may be required;
         (iii)   A copy of the contract indicating scope of work to remedy unsafe conditions;
         (iv)   The qualified retaining wall inspector's estimate of length of time required for repairs; (v) A statement of all applicable permit requirements;
         (vi)   A notarized affidavit by the owner of the retaining wall that work will be completed within the time of the qualified retaining wall inspector's stated estimate; and
         (vii)   a fee as specified in the rules of the Department.  Financial considerations will not be accepted as a reason for granting an extension.
      (5)   A further extension will be considered only upon receipt and review of a further extension application, together with notice of:
         (i)   An unforeseen delay (e.g., weather, labor strike) affecting the substantially completed work; or
         (ii)   Unforeseen circumstances; or
         (iii)   The nature of the hazard that requires more than ninety (90) days to remedy (e.g., new retaining wall to be built).  Financial considerations will not be accepted as a reason for granting an extension.
      (6)   Notwithstanding any extensions granted to commence the repair of an unsafe condition, all work to repair an unsafe condition must be completed within 365 days of filing a report of an unsafe condition with the Department.
   (f)   Conditions classified as safe with repair and/or engineering monitoring.
      (1)   The owner of the retaining wall is responsible for ensuring that the conditions described in the report of condition assessment as safe with repair and/or engineering monitoring are repaired, the wall is restored to a safe condition, and all actions recommended by the qualified retaining wall inspector are completed within the time frame recommended by the qualified retaining wall inspector, and are not left to deteriorate into unsafe conditions before the next condition assessment. It is the owner's responsibility to notify the Department of any deviation from the timeframe to make corrections as specified in qualified retaining wall inspector's report. Such notification must be accompanied by supporting documents from the qualified retaining wall inspector justifying the request for a new time frame. The Department may approve or disapprove such request.
      (2)   A report may not be filed describing the same condition and pertaining to the same location on the retaining wall as safe with repair and/or engineering monitoring for two consecutive report filing cycles.
      (3)   The qualified retaining wall inspector must certify the correction of each condition reported as requiring repair in the previous report filing cycle, or report conditions that were reported as safe with repair and/or engineering monitoring in the previous report filing cycle as unsafe if not corrected at the time of the current assessment.
   (g)   Civil Penalties.
      (1)   Failure to file. An owner who fails to file the required acceptable condition assessment report will be liable for a civil penalty of one thousand dollars ($1,000) per year immediately after the end of the applicable filing window.
      (2)   Late filing. In addition to the penalty for failure to file, an owner who submits a late filing will be liable for a civil penalty of two hundred fifty dollars ($250.00) per month, commencing on the day following the filing deadline of the assigned filing window period and ending on the filing date of an acceptable initial report.
      (3)   In addition to the penalties provided in this section, an owner who fails to correct an unsafe condition will be liable for a civil penalty of one thousand dollars ($1,000) per month, pro-rated daily, until the unsafe condition is corrected, unless the commissioner grants an extension of time to complete repairs pursuant to this section. This penalty will be imposed until the Department receives an acceptable amended report indicating the unsafe conditions were corrected, or until an extension of time is granted.
   (h)   Challenge of civil penalty.
      (1)   An owner may challenge the imposition of any civil penalty authorized to be imposed pursuant to this subdivision by providing proof of compliance. Examples of such proof must include, but are not limited to, a copy of an acceptable initial report, a copy of the acceptable amended report, copies of approved extension of time requests while work was/is in progress, or written proof from a qualified retaining wall inspector that the unsafe conditions observed at the retaining wall were corrected and the violation was dismissed.
      (2)   Challenges must be made in writing within thirty (30) days from the date of service of the violation by the Department and must be sent to the office/unit of the Department that issued the violation. The decision to dismiss or uphold the penalty is at the sole discretion of the Department.
   (i)   Penalty waivers; eligibility and evidentiary requirements. Owners may request a waiver of penalties assessed for violation of Article 305 of Title 28 of the Administrative Code, or rules enforced by the Department. Requests must be made in writing and must meet eligibility and evidentiary requirements as follows:
      (1)   Owner status.
         (i)   A new owner requesting a waiver due to change in ownership must submit proof of a recorded deed showing evidence of transfer of ownership to the current owner after penalties were incurred, as well as any other documentation requested by the Department. The new owner may only request a waiver in one of the following circumstances: (A) The new owner has obtained full tax exemption status from the New York City Department of Finance; or
            (B)   The new owner took title of the property as part of an economic development program sponsored by a government agency.
         (ii)   A new owner of a government-owned property requesting a waiver due to change in ownership must submit official documentation from the government entity affirming that the premises was entirely owned by the government entity during the period for which a waiver is requested.
         (iii)   An owner may be granted a waiver of penalties upon submission of a copy of a bankruptcy petition, together with proof that either the Department or the New York City Law Department was served with a "Notice of Bar Date."
      (2)   Retaining wall status. An owner requesting a waiver because the wall was removed must submit city or Departmental records showing evidence of the removal of the retaining wall prior to the filing deadline.
   (j)   Alternate report filing requirements for owners of more than 200 retaining walls in multiple boroughs. Notwithstanding any other provisions of this section, the inspection and reporting requirements set forth above for retaining walls shall not apply to owners of 200 or more retaining walls in multiple boroughs with a height of ten feet or more and fronting on a public right-of-way who on the effective date of this rule (i) employ full-time professional engineers and (ii) have an established inspection procedure for such retaining walls acceptable to the Department. Such inspection procedure must comply with Article 305 of Title 28 of the Administrative Code. Such owners must file inspection reports for all such retaining walls in a form acceptable to the Department.

Subchapter D Licensing and Registration of Businesses, Trades and Occupations Engaged In Building Work

   (a)   Applicability. This subchapter shall apply to all licenses issued by the Department, except where otherwise specified.
   (b)   Definitions.
      (1)   For purposes of this subchapter, the terms "City," "Commissioner" and "Department" shall have the same meanings as set forth in §28-101.5 of the Administrative Code.
      (2)   For purposes of this subchapter, the term "license" shall include any license as defined in §28-401.3 of the Administrative Code, except that the term shall include "certificate of competence" whenever such a certificate is required by Chapter 4 of title 28 of the Administrative Code, and any Master Electrician's License and Special Electrician's License as defined in §27-3004 of the Administrative Code.
   (c)   Examinations.
      (1)   Applicability. This subdivision shall apply to Department-sponsored examinations administered for the following licenses:
         (i)   Electrician (Master/Special)
         (ii)   High Pressure Boiler Operating Engineer
         (iii)   Master Fire Suppression Piping Contractor (Classes A, B and C)
         (iv)   Master Plumber
         (v)   Oil Burning Equipment Installer (Classes A and B)
         (vi)   Portable High Pressure Boiler Operating Engineer
         (vii)   Private Elevator Inspection Agency Director
         (viii)   Private Elevator Inspection Agency Inspector
         (ix)   Rigger (Master/Special/Climber or Tower Crane)
         (x)   Sign Hanger (Master/Special)
         (xi)   Site Safety Manager
      (2)   Examination procedures.
         (i)   The examination shall consist of a written test, practical test, or a combination of such tests. The practical test may include oral, reading, and/or practical components. Admission to a test does not imply that the applicant possesses the minimum qualifications required. License applicants may not release or otherwise make public the questions and answers for such tests.
         (ii)   Applicants must apply for any test by submitting an application on a form prescribed by the Department to the Department's Licensing Unit or its designee. The application must be accompanied by the examination fee and any other required documents as set forth in the Department's rules. Applicants reapplying to take any test, including after a failure, must do so in accordance with the requirements in this paragraph.
         (iii)   Where either a written or practical test, but not both, is required, applicants have six (6) months from submission of the application to take the test. Where both written and practical tests are required, applicants have six (6) months from submission of the application to take the written test, two (2) months from notification of passing the written test to submit an application for the practical test, and six (6) months from submission of that application to take the practical test.
         (iv)   Failed written test.
            (A)   Applicants who fail the written test must wait at least fourteen (14) days before reapplying to take the test.
            (B)   Each time an applicant wishes to take the written test, including after a failure, the applicant must reapply to the Department and pay the required fee as set forth in the Department's rules.
            (C)   Applicants may take the written test no more than three (3) times within a six (6) month period.
            (D)   Applicants who fail the written test three (3) times within six (6) months must wait six (6) months from the date of the third failed written test before reapplying to take the written test.
         (v)   Failed practical test.
            (A)   Applicants who fail the practical test must wait at least ninety (90) days before reapplying to take the test.
            (B)   Each time an applicant wishes to take the practical test, including after a failure, the applicant must reapply to the Department and pay the required fee as set forth in the Department's rules.
            (C)   Applicants may take the practical test no more than two (2) times within a twelve (12) month period.
            (D)   Applicants who fail the practical test two (2) times within twelve (12) months must wait six (6) months from the date of the second failed practical test before reapplying to take the practical test.
         (vi)   An applicant who has been notified of failure to pass the written or practical test may appeal such failure only if the applicant has failed by not more than five (5) points. Such appeal must be in writing with an original signature and addressed as the Commissioner may require. The appeal must state the title of the license examination, the applicant's name, return address and social security number, the date of the test and a detailed statement of the grounds for appeal. The appeal must be received not later than thirty (30) days from the date of notification of failure to pass the test.
         (vii)   Impersonating and cheating.
            (A)   A person who impersonates another person, allows himself or herself to be impersonated, or otherwise cheats in a license examination shall be disqualified from receiving a license issued by the Department, and may be disqualified from receiving a license issued by another City department or agency and from holding any position with the City of New York.
            (B)   A person disqualified for impersonating or otherwise cheating may submit a written request to the Commissioner to appeal the disqualification. The written request must set forth reasons to substantiate the request and must be received not later than thirty (30) days from the date of notification of disqualification.
      (3)   License examinations administered by other agencies. License examinations administered by other agencies for licenses regulated by the Department shall continue to be subject to such other agency's rules and regulations regarding examinations and investigations until the responsibility for administering particular licensing examinations is transferred to the Department, at which point the provisions of this rule shall apply.
   (d)   Education, training and experience. An applicant must possess the minimum education, training and/or experience required by the Administrative Code at the time of filing the application. For purposes of this subdivision, the term "experience" refers to that experience gained in the relevant trade as the result of full-time compensated employment, unless otherwise determined by the Commissioner. An applicant shall verify the claimed experience by submitting documentation with the application, unless the applicant is required to pass an examination in which case the documentation shall be submitted upon passage of such examination. Such documentation shall include but not be limited to the following:
      (1)   Notarized affidavits from all past or current employers under whom experience is claimed. Affidavits from New York City licensees shall be sealed where applicable. Affidavits shall include the following information:
         (i)   Applicant's job title (helper, journeyman, etc.);
         (ii)   A detailed description of applicant's duties;
         (iii)   When applicant worked with the licensee (employment dates shall be in mm/dd/yyyy format);
         (iv)   Whether employment was on a full or part-time basis, detailing the average weekly hours; and
         (v)   Where license supervision is required, a statement by the licensee that he or she directly supervised applicant's work.
      (2)   Social Security History of Earnings for the years applicant is claiming as experience reflecting wages appropriate for the trade.
      (3)   Where the code requires supervision in the design and installation of plumbing or fire suppression systems, evidence that the supervising licensees performed such work as demonstrated by permits, completed contracts or such other documentation as the Department may require.
      (4)   Where the applicant is self-employed, the applicant shall verify that he or she performed qualifying work by submitting documentation, including but not limited to personal and business tax returns, route sheets or work logs from the supervising licensee, contracts with customers, and statements from customers detailing the work the applicant performed and when that work was performed.
      (5)   Where the applicant did not receive monetary compensation from his or her employer as evidenced by payroll records, such as social security payments, income tax withholding or the disbursement of other funds as required by law for the benefit of such employee, the Department may consider such experience if the applicant can provide evidence of an employer-employee relationship. The applicant must provide a detailed explanation of the nature of the employer-employee relationship, which may include, but is not limited to, written agreements between the applicant and the employer, the employer's workers compensation records, time-keeping records, work logs, or other contemporaneous documentation as the Department may require.
   (e)   Investigation.
      (1)   The Department or its designee shall conduct an investigation of each applicant to determine the applicant's fitness and qualification for the license. The burden of proving that an applicant meets the required qualifications is on the applicant. An applicant's failure to meet the requirements specified by the Administrative Code or by the Department's rules, and/or an applicant's refusal to cooperate with an investigation, will result in denial of the license or certificate of competence.
      (2)   Applicants who refuse to provide all requested documents within six (6) months of the date of request shall be denied a license or certificate of competence.
      (3)   An applicant who has been notified of failure to meet the fitness and qualification requirements and who has additional relevant information or documentation for the Department's review shall request reconsideration. Such appeal shall be in writing with an original signature and addressed as the Commissioner may require. The request for reconsideration shall state the title of the license examination, the applicant's name and return address, the date of the Department's denial and a detailed statement of the grounds for reconsideration with any supporting documentation. The request for reconsideration shall be received not later than sixty (60) days from the date of notification of the denial of the license.
   (f)   Issuance of license after approval.
      (1)   An applicant who passes an examination required pursuant to this rule, is found to have met the qualifications of §28-401.6 of the Administrative Code, and has been investigated by the Department or its designee, shall receive a notice of approval from the Department.
      (2)   Upon receipt of the notice of approval, the applicant must contact the Department's Licensing Unit to schedule an appointment to obtain the license.
      (3)   The applicant must appear and furnish to the Department all requested original forms, documents, and fees within one (1) year of the date of the Department's notice of approval. Failure to do so within the time specified will result in the denial of license issuance and will require a re-examination and reapplication.
   (g)   Change of address.
      (1)   Applicants shall promptly notify the Department in writing of any address change that occurs after filing the license application.
      (2)   Failure to furnish such notification may result in denial of the license and the loss of the opportunity to complete subsequent portions of the license examination, including any tests or investigation.
   (a)   The following categories of licensee are subject to the requirements set forth in this section:
      (1)   Elevator Inspection Agency Director
      (2)   General Contractor
      (3)   Master Electrician
      (4)   Master Fire Suppression Piping Contractor
      (5)   Master Plumber
      (6)   Oil Burner Equipment Installer
      (7)   Rigger (Master/Special/Climber or Tower Crane)
      (8)   Safety Registrants
      (9)   Sign Hanger (Master/Special)
      (10)   Special Electrician (employer's coverage)
   (b)   Commercial general liability insurance.
      (1)   Each applicant for and holder of a license shall, at its expense, procure and maintain commercial general liability (CGL) insurance covering the types and scope of work performed under the license, which satisfies the requirements of this subdivision. All CGL insurance policies shall:
         (i)   Be issued by a company or companies that may lawfully issue the required policy and has an A.M. Best rating of at least A-VII or a Standard and Poor's rating of at least A;
         (ii)   Provide coverage at least as broad as set forth in the most recent edition of Insurance Services Office (ISO) Form CG 0001; and
         (iii)   Provide coverage of at least $1,000,000 (one million dollars) combined single limit per occurrence.
      (2)   Each applicant for and holder of a license shall provide proof of CGL insurance by submission of a certificate of insurance in a form satisfactory to the Department that:
         (i)   satisfies the requirements of subdivision (e) of this section;
         (ii)   identifies the insurance company that issued such insurance policy, the policy number, limit(s) of insurance, and expiration date; and
         (iii)   is accompanied by a sworn statement in a form prescribed by the Department from a licensed insurance broker certifying that the insurance certificate may be relied upon as accurate in all respects and that the insurance certificate thereon is in force.
      (3)   Any holder of a license who, during the term of the license, is issued any permit of the types set forth in Administrative Code §28-105.2 shall cause the City, together with its officials and employees, to be named as an additional insured on the insurance required under this subdivision with regard to all work to be performed pursuant to all such permits. The City's coverage shall be at least as broad as set forth in the most recent edition of ISO Form CG 2012 or CG 2026.
   (c)   Workers' compensation insurance. Each applicant for and holder of a license shall, at its own expense, procure and maintain workers' compensation insurance, or a waiver of such insurance from the New York State Workers' Compensation Board, and shall submit proof thereof in a form acceptable to the Department and in compliance with subdivision (e) of this section. ACORD forms are not acceptable proof of workers' compensation coverage.
   (d)   Disability insurance. Each applicant for and holder of a license shall, at its own expense, procure and maintain disability insurance, or a waiver of such insurance from the New York State Workers' Compensation Board, and shall submit proof thereof in a form acceptable to the Department and in compliance with subdivision (e) of this section.
   (e)   Proof of insurance. Proof of insurance shall not contain any handwritten corrections and shall contain the following information:
      (1)   The applicant's or licensee's license, registration or tracking number(s) ;
      (2)   With regard to all workers' compensation or disability certificates, the applicant's or licensee's federal Employer Identification Number or social security number, and policy expiration date(s);
      (3)   The policy holder's business address (not a post office box) exactly as it appears on the Department's Buildings Information System ("BIS"); and
      (4)   New York City Department of Buildings, Attn: Licensing Unit, 280 Broadway, 6th Floor, New York, NY 10007 specified as a certificate holder.
   (f)   If, at any time after a license has been issued, any policy of insurance required by this section expires, is cancelled or otherwise terminates, the licensee shall notify the Department and procure, at its own expense, a renewal or replacement policy that fully complies with the requirements of this section and, prior to the date of such termination, submit proof thereof in conformity with the requirements of this section.
   (g)   Any applicant for or holder of a license shall provide a copy of any insurance policy secured in compliance with this section within thirty (30) days of a request for such policy by the Department or the New York City Law Department.
   (h)   A failure by the City or the Department to enforce any of the foregoing requirements shall not constitute a waiver of such requirement or any other requirement.
   (a)   The term of a license issued to a new or renewal applicant for which an examination is required shall be three (3) years, measured from the date the license is issued, except as otherwise specified by law or in this rule.
   (b)   The term of a license issued to a new or renewal applicant for which no examination is required shall be one (1) year, measured from the date the license is issued, except as otherwise specified by law or in this rule.
   (c)   The term of a construction superintendent registration issued to a new or renewal applicant shall be three (3) years measured from the date the registration is issued.
   (d)   The term of an initial general contractor registration is three (3) years, beginning on the applicant's birthday following the date of registration, and may be renewed for additional three (3) year periods after such initial registration.
   (e)   The term of a concrete safety manager registration issued to a new or renewal applicant shall be three (3) years, measured from the date the registration is issued.
   (f)   The term of a safety registration issued to a new or renewal applicant shall be three (3) years, measured from the date the registration is issued.
   (g)   The term of an initial master electrician or special electrician license is one (1) year, beginning on the applicant's birthday following the date of issuance, and may be renewed for additional one (1) year periods after such initial issuance.
   (h)   Beginning July 1, 2014, the term of an initial filing representative registration is three (3) years, beginning on the applicant's birthday following the date of registration, and may be renewed for additional three (3) year periods after such initial registration. Changing from a class 1 registered filing representative to a class 2 registered filing representative will require payment of a reissuance fee.
   (i)   Nothing contained herein shall limit the authority of the Commissioner to stagger the issuance of licenses based on considerations other than the date of issuance of the license or to otherwise provide for reasonable implementation of modifications to license terms.
License renewals shall be governed by the provisions of Administrative Code §28-401.12.
In accordance with §28-401.13 of the Administrative Code, a license may be reinstated in accordance with the following requirements.
   (a)   A license that has been expired for less than one (1) year may be reinstated upon filing of an application with the Department. Such reinstatement shall be subject to any applicable late and reinstatement fees.
   (b)   A license that has been expired for a period of one (1) year to five (5) years from the date of expiration may be reinstated without examination where the applicant demonstrates continued competence and completion of any and all required continuing education requirements.
      (1)   Continued competence shall be demonstrated by the applicant's active and legal engagement in the trade for which the applicant's license was issued. The applicant shall supply the Department with the following:
         (i)   A resume detailing employment history and the duties the applicant performed in each position during the time the license was expired;
         (ii)   A signed and notarized statement from the applicant's employer stating the nature of the applicant's duties and the dates of such employment;
         (iii)   For work in the trade requiring the supervision of a licensed person in accordance with Chapter 4 of the Code, a signed and notarized (or sealed) statement from the supervising licensee stating that he or she supervised the applicant, the dates of such supervision and the nature of the applicant's duties; and
         (iv)   Any other documentation the Department deems appropriate.
      (2)   An applicant for reinstatement must be actively and legally engaged in the trade during the time period between the expiration of the license and the date of the application for reinstatement, except for periods of time away from the trade not to exceed, in the aggregate, one (1) year.
      (3)   A candidate shall appear and furnish to the Department all requested original documents within six (6) months of the date of the request for reinstatement. Failure to do so will result in the denial of the reinstated license and will require a reexamination and reapplication.
      (4)   A candidate shall appear, furnish to the Department all requested original forms and pay to the Department all required fees within three (3) months of the date of the notice of approval of reinstatement. Failure to do so will result in the denial of the reinstated license and will require a reexamination and reapplication.
   (c)   No license shall be reinstated if it is expired for over five (5) years. The applicant must reapply for a new license and meet all applicable qualifications, including any required examination.
   (d)   Exceptions to reinstatement provisions. If an application for renewal of a registration for Construction Superintendent, Concrete Safety Manager, General Contractor or Safety Registration is not filed within one (1) year of a registration's expiration, the applicant must reapply for a new registration and meet all applicable qualifications.
   (e)   This section shall not apply to Electricians.
   (a)   Applicability. This section shall be applicable to license holders seeking renewal of licenses requiring the completion of continuing education course(s) and to applicants seeking Department approval to provide continuing education courses for the following license types:
      (1)   Concrete Safety Manager
      (2)   Construction Superintendent
      (3)   Electrician (Master/Special)
      (4)   Filing Representative
      (5)   Hoisting Machine Operator
      (6)   Master Fire Suppression Piping Contractor
      (7)   Master Plumber
      (8)   igger (Master/Special/Climber or Tower Crane)
      (9)   Site Safety Coordinator
      (10)   Site Safety Manager
   (b)   Course requirements for license renewals. The following courses are required for renewal of the below listed license types:
      (1)   Concrete Safety Manager. During the one (1) year immediately prior to renewal, the licensee shall have successfully completed an eight- (8) hour Department-approved course that is sufficient to qualify the individual as a competent person under OSHA standards to oversee concrete operations, or any equivalent course(s) approved by the Commissioner, including those in electronic format.
      (2)   Construction Superintendent. During the one (1) year immediately prior to renewal, the licensee shall have successfully completed a seven- (7) hour Site Safety Manager refresher course approved by the Department, or any equivalent course(s) approved by the Department, including those in electronic format.
      (3)   Electrician (Master/Special). Beginning July 1, 2015, during the one (1) year immediately prior to renewal, the licensee must have successfully completed a course approved by the Department of at least eight (8) hours, at least four (4) hours of which must focus on the New York City Electrical Code and other requirements pursuant to 1 RCNY §105-03 of subchapter E of this chapter. The Department will accept for each license year up to four (4) credit hours earned from an electrical continuing education course offered in another jurisdiction as part of a licensed electrician renewal process in that jurisdiction, provided that the course is at least eight (8) credit hours per license year in that jurisdiction, the credits were earned during the three (3) years immediately prior to renewal and:
         (i)   the jurisdiction follows the National Electrical Code/NFPA 70;
         (ii)   the course provider is a certified provider within that jurisdiction; and
         (iii)   the course is taught by an instructor with experience in the electrical field who is certified as an electrical course provider in jurisdictions following the National Electrical Code/NFPA 70.  Credit hours earned in another jurisdiction will not count toward the at least four (4) hours that must focus on the New York City Electrical Code and other requirements pursuant to 1 RCNY §105-03.
      (4)   Filing Representative. Renewals for class 1 or class 2 filing representative registration are subject to the requirements set forth in 1 RCNY 104-24.
      (5)   Hoisting Machine Operator. Beginning July 1, 2015, during the one (1) year immediately prior to renewal, the licensee must have successfully completed a Department-approved eight- (8) hour course covering those provisions of the administrative code and regulations that are unique to New York City for the operation of a hoisting machine and the unique hazards of operating a hoisting machine within New York City.
      (6)   Master Fire Suppression Piping Contractor and Master Plumber. During the two (2) years immediately prior to renewal, the licensee shall have successfully completed a one- (1) day (seven- (7) hour) continuing education course approved by the Department.
      (7)   Master Rigger. Beginning July 1, 2015, during the three (3) years immediately prior to renewal, the licensee shall have successfully completed a Department-approved eight- (8) hour re-certification course including instruction on inspection, maintenance, repair, use, installation, hazards associated with, and the relevant sections of the building code and industry practice with regards to:
         (i)   Rigging methods, hardware, and equipment;
         (ii)   Hoisting machines, including cranes and derricks;
         (iii)   Climber/tower crane assembly, jumping, and disassembly;
         (iv)   Suspended scaffolds;
         (v)   Critical picks; and
         (vi)   Fall hazards and fall protection.
      (8)   Special Rigger. Beginning July 1, 2015, during the three (3) years immediately prior to renewal, the licensee shall have successfully completed a Department-approved eight- (8) hour re-certification course including instruction on inspection, maintenance, repair, use, installation, hazards associated with, and the relevant sections of the building code and industry practice with regards to:
         (i)   Rigging methods, hardware, and equipment;
         (ii)   Hoisting machines with a manufacturer's rated capacity of one ton or less;
         (iii)   Suspended scaffolds;
         (iv)   Critical picks; and
         (v)   Fall hazards and fall protection.
      (9)   Climber or Tower Crane Rigger. During the three (3) years immediately prior to renewal, the licensee shall have successfully completed a Department-approved eight- (8) hour re-certification course including instruction on inspection, maintenance, repair, use, installation, hazards associated with, and the relevant sections of the building code and industry practice with regards to:
         (i)   Climber/tower crane assembly, jumping, and disassembly; and
         (ii)   Fall hazards and fall protection.
      (10)   Site Safety Coordinator. During the two (2) years immediately prior to renewal, the licensee shall have successfully completed a Site Safety Manager refresher course approved by the Department.
      (11)   Site Safety Manager. During the one (1) year immediately prior to renewal, the licensee shall have successfully completed a seven- (7) hour Site Safety Manager refresher course approved by the Department.
   (c)   Department-approved courses. The Department will approve continuing education courses pursuant to the requirements of 1 RCNY §105-03 of subchapter E of this chapter.
   (d)   Additional powers of the commissioner. The commissioner may, upon a determination of good cause, extend the dates and deadlines set forth in this rule.
   (e)   Repealed.
   (a)   Hearings concerning disciplinary proceedings pursuant to Administrative Code §28-401.19 seeking suspension or revocation, with or without penalties, against any licensee or holder of a certificate[;s]; of competence issued by the Department shall be held before the Office of Administrative Trials and Hearings pursuant to 1 RCNY 105-05 and shall be governed by the rules of procedure utilized at that tribunal.
   (b)   Stop work and suspension of permits. Upon any suspension or revocation of a license, certificate of competence, approval or authorization, unless replaced by another licensee, certificate holder, approved agency, special inspector, or registered design professional within five (5) business days of such suspension or revocation, all open jobs on which the licensee, certificate holder, approved agency, special inspector, or registered design professional is designated shall be stopped and the permits shall be suspended until such time as another licensee, certificate holder, approved agency, special inspector, or registered design professional is designated or such permits expire. Where the Commissioner has summarily suspended a license or certificate of competence pursuant to Administrative Code §28-401.19.1, all open jobs on which the licensee, certificate holder, approved agency, special inspector, or registered design professional is designated shall be stopped immediately and the permits shall be suspended immediately for the earlier of the duration of the suspension or until such time as another licensee, certificate holder, approved agency, special inspector, or registered design professional is designated or until such permits expire.
   (c)   Conduct of hearing by office of administrative trials and hearings. The administrative law judge assigned to hear any matter specified in this rule shall submit his or her proposed findings of fact and recommended decision to the Commissioner. Where the Commissioner has summarily suspended a license or certificate of competence pursuant to Administrative Code §28-401.19.1, at the conclusion of the hearing on the first return date, the administrative law judge may lift the suspension, finally determine the matter, or, if the administrative law judge finds that the summary suspension was appropriate, but that further hearings are necessary to make a final determination of the charges, the administrative law judge may make a finding as to the need for further hearings and continue the suspension pending such further hearings without need for issuance of a Commissioner's order.
   (a)   Site safety managers. The Department of Buildings shall issue a site safety manager certificate to an individual who shall have satisfied the requirements of section 28-402.2 of the Administrative Code.
      (1)   For purposes of satisfying the requirements of paragraph (5) of section 28-402.2 of the Administrative Code, equivalent education and construction experience shall consist of successful completion within two years prior to application of an OSHA 30-hour safety course and one of the following:
         (i)   Eight years of experience within 10 years prior to the date of the application as a building code enforcement official charged with enforcement of the provisions of the New York City Building Code. The enforcement must have included inspections of major buildings under construction or demolition and thus this basis for qualification excludes officials whose primary role is to perform inspections of occupied or vacant buildings; or
         (ii)   Eight years of field experience working on buildings within 10 years prior to the date of the application as a safety official for a governmental entity or construction firm or as a safety manager or safety engineer for a safety consulting firm specializing in construction or demolition. The experience must have included 4 years relevant work on major buildings under construction or demolition; or
         (iii)   Successful completion of a New York State Apprenticeship Program for Site Safety Manager approved by the Department; or
         (iv)   Ten years of experience within 12 years prior to the date of the application working in a relevant construction trade with plans in furtherance of building construction or demolition, five years of which must have been on major buildings under construction or demolition and three of those five years must have been in an on-site supervisory position.
            (A)   For purposes of this subparagraph, each year of formal training or education in a program with emphasis on construction at a college, technical or trade school may be substituted for one year of construction work up to a maximum of three years. Experience acquired pursuant to this paragraph must have been full-time experience acquired in the United States.
      (2)   A holder of a site safety manager certificate may not simultaneously hold either an active site safety coordinator certificate or an active registration as a superintendent of construction.
      (3)   For the purposes of satisfying the requirements of paragraph (4) of section 28-402.2, an acceptable 18 month on-the-job training program shall consist of successful completion within two years prior to application of an OSHA 30-hour safety course and the following:
         (i)   The buildings worked on must have been major buildings; and
         (ii)   The work must have been site safety work performed under the direct supervision of a certified site safety manager. For purposes of this subdivision, direct supervision shall include daily training at the location specified in the monthly summaries in the presence of the supervising certified site safety manager; and
         (iii)   The trainee must have worked on a paid and full-time basis; and
         (iv)   Dated and notarized summaries must have been completed by the certified supervising site safety manager at the end of every month. Such summaries must specify the location and the precise nature of the construction activity the trainee was engaged in at the location for the month covered; and
         (v)   The program must include at least four months of training in soil or foundation work, and at least four months of training in structural erection; and
         (vi)   The supervising certified site safety manager may supervise a maximum of three trainees simultaneously.
   (b)   Site Safety Coordinators. The Department of Buildings shall issue a site safety coordinator certificate to an individual who shall have satisfied the requirements of section 28-403.2 of the Administrative Code.
      (1)   For purposes of satisfying the requirements of paragraph (4) of section 28-403.2 of the Administrative Code, equivalent education and construction experience shall consist of successful completion within two years prior to application of an OSHA 30-hour safety course and one of the following:
         (i)   Five years of experience within 10 years prior to the date of the application as a building code enforcement official charged with enforcement of the provisions of the New York City Building Code. The enforcement must have included inspections of major buildings under construction or demolition and thus this basis for qualification excludes officials whose primary role is to perform inspections of occupied or vacant buildings; or
         (ii)   Five years of field experience working on buildings within 10 years prior to the date of the application as a safety official for a governmental entity or construction firm or as a safety manager or safety engineer for a safety consulting firm specializing in construction. The experience must have included 2.5 years relevant work on major buildings under construction or demolition; or
         (iii)   Five years of experience within 10 years prior to the date of the application working in a relevant construction trade with plans in furtherance of building construction or demolition, three years of which must have been on major buildings under construction or demolition and two of those three years must have been in an on-site supervisory position.
            (A)   For purposes of this subparagraph, each year of formal training or education in a program with emphasis on construction at a college, technical or trade school may be substituted for one year of construction work up to a maximum of two years. Experience acquired pursuant to this paragraph must have been full-time experience acquired in the United States.
      (2)   A holder of a site safety coordinator certificate may not simultaneously hold either an active site safety manager certificate or an active registration as a superintendent of construction.
      (3)   Applicants for a site safety coordinator certificate shall not be required to take an examination in order to qualify for the certificate.
   (c)   The term "major building" as used in this rule shall have the meaning given to it in Chapter 33 of the New York City Building Code.
   (a)   Qualifications. In addition to the qualification requirements set forth in the Administrative Code, an applicant for a Class A, B or C Hoisting Machine Operator license shall satisfy the following requirements:
      (1)   An applicant for a Class A, B or C Hoisting Machine Operator license shall possess a valid driver's license effective for the term of the Hoisting Machine Operator license sought.
      (2)   An applicant for a Class A, B or C Hoisting Machine Operator license shall provide evidence on a form prescribed by the Commissioner that he or she has passed a physical exam that complies with the standards of ASME B 30.5-2007, or the most recent version approved by the Department, and that he or she has complied with the substance abuse testing provisions and standards of ASME B 30.5-2007, or the most recent version approved by the Department. Such evidence shall include the name, address and telephone number of the laboratory that performed the tests and consent to the release by such laboratory of the test results to the Department upon request of the Department.
      (3)   An applicant for a Class A, B or C Hoisting Machine Operator license shall satisfy the [;qualification and]; examination requirements of the Administrative Code by complying with the following requirements:
         (i)   For a Class A or C applicant, providing to the Department one or more certifications issued by an organization accredited to offer crane certifications by the National Commission for Certifying Agencies (NCCA) or the American National Standards Institute (ANSI) and acceptable to the Commissioner. The certification shall authorize operation of the type of equipment for which the applicant seeks a license. The applicant shall provide to the Department a copy of the certification, a copy of future re-certifications and documentation of new specialties acquired. The applicable certification shall be maintained continuously for the duration of the license term.
         (ii)   For a class B applicant, providing to the Department all crane operator certifications issued by an organization accredited to offer tower, mobile, and crawler crane operator certifications by the National Commission for Certifying Agencies (NCCA) or the American National Standards Institute (ANSI) and acceptable to the Commissioner. The applicant must have passed at least one of the certification exams on a friction crane. The applicant must provide to the Department a copy of the certifications, a copy of future re-certifications and documentation of new specialties acquired. The applicable certifications must be maintained continuously for the duration of the license term.
      (4)   An applicant for a Class A or C Hoisting Machine Operator license shall provide proof of experience demonstrating the years of experience required by the Administrative Code and compliance with the following requirements:
         (i)   For a Class A Hoisting Machine Operator license at least three (3) years of work within the five (5) years prior to application must have been under the direct and continuing supervision of a Hoisting Machine Operator licensed by the Department or by another jurisdiction within the United States that regulates crane operators.
            (A)   At least one (1) year of the qualifying experience must have been undertaken in the City of New York.
            (B)   Notwithstanding the above, in lieu of the one (1) year of qualifying experience undertaken in the City of New York, the applicant may have, for at least the past ten (10) years prior to application, held a Hoisting Machine Operator license issued by a jurisdiction within the United States, with at least five (5) years of experience within those (10) years having been in an urban area of comparable density within the United States, as determined by the Commissioner.
            (C)   In addition to the requirements of either (A) or (B), above, the other two (2) required years of qualifying experience must have been undertaken either in the City of New York or in an urban area of comparable density within the United States, as determined by the Commissioner.
         (ii)   For a Class C Hoisting Machine Operator license at least two (2) years of work within the three (3) years prior to application must have been under the direct and continuing supervision of a Hoisting Machine Operator licensed by the Department or by another jurisdiction within the United States that regulates crane operators. At least one (1) year of the qualifying work must have been undertaken in the City of New York or in an urban area of comparable density within the United States, as determined by the Commissioner.
      (5)   For a Class A or C Hoisting Machine Operator license, the qualifying work shall include outrigger placement incorporating at least one hundred (100) crane set-ups. For a Class A Hoisting Machine Operator license, at least 25 of the set-ups must have occurred on machinery for which a Class A license is required. Where an applicant for a Class A Hoisting Machine Operator license already possesses a Class C Hoisting Machine Operator license, the requirement for the remaining 75 set-ups on non Class A machinery is waived.
      (6)   Additional qualification requirements. In addition to the qualification requirements set forth in the Administrative Code and in this subdivision (a), all Hoisting Machine Operator Class A, B, and C license applicants shall complete a forty- (40) hour training course, approved by the Department, covering those provisions of local law and regulation that are unique to New York City for the operation of a hoisting machine and the unique hazards of operating a hoisting machine within New York City.
   (b)   Fitness requirements for renewal and reinstatement. As a condition of license renewal or reinstatement, a licensed or previously licensed Class A, B or C Hoisting Machine Operator shall provide evidence of fitness to perform the work authorized to be performed by a holder of the license held or once held by the applicant. Such evidence shall consist of:
      (1)   For Class A, B and C Hoisting Machine Operators, evidence on a form prescribed by the Commissioner that the licensee has passed a physical exam that complies with the standards of ASME B 30.5-2007, or the most recent version approved by the Department, and that the licensee has complied with the substance abuse testing provisions and standards of ASME B 30.5-2007, or the most recent version approved by the Department. Such evidence shall include the name, address and telephone number of the laboratory that performed the tests and consent to the release by such laboratory of the test results to the Department upon request of the Department.
      (2)   Valid national certification(s) as follows:
         (i)   For Class A Hoisting Machine Operators whose license is renewed or reinstated on or after July 1, 2015, one or more valid certification(s) issued by an organization accredited to offer crane operator certifications by the National Commission for Certifying Agencies (NCCA) or the American National Standards Institute (ANSI) and acceptable to the Commissioner. For Class A Hoisting Machine Operators with licenses renewed or reinstated prior to July 1, 2015, such certification must be obtained within one year of renewal. The certification(s) shall authorize the operation of the type of equipment for which the license is held or sought and the licensee shall provide to the Department a copy of the certification(s), a copy of future re-certifications and documentation of new specialties acquired. The applicable certification(s) must be maintained continuously for the duration of the license term.
         (ii)   For Class B Hoisting Machine Operators whose license is renewed or reinstated on or after July 1, 2015, all crane operator certifications issued by an organization accredited to offer tower, mobile and crawler crane operator certifications by the National Commission for Certifying Agencies (NCCA) or the American National Standards Institute (ANSI) and acceptable to the Commissioner. For Class B Hoisting Machine Operators with licenses renewed or reinstated prior to July 1, 2015, such certification must be obtained within one year of renewal. The applicant must have passed at least one of the certification exams on a friction crane. The licensee must provide to the Department a copy of the certifications, a copy of future re-certifications and documentation of new specialties acquired. The applicable certifications must be maintained continuously for the duration of the license term.
         (iii)   For Class C Hoisting Machine Operators, one or more valid certification(s) issued by an organization accredited to offer crane operator certifications by the National Commission for Certifying Agencies (NCCA) or the American National Standards Institute (ANSI) and acceptable to the Commissioner. The certification(s) shall authorize the operation of the type of equipment for which the license is held or sought and the licensee shall provide to the Department a copy of the certification(s), a copy of future re-certifications and documentation of new specialties acquired. The applicable certification(s) must be maintained continuously for the duration of the license term.
      (3)   A renewal applicant shall possess a valid driver's license effective for the term of the renewal sought.
      (4)   A renewal applicant shall satisfy the requirements of this rule at every subsequent renewal.
   (c)   Hoisting Machine Operator Class A and B licensees shall provide to the Department no later than six months after the effective date of this section, or upon application, renewal, or reinstatement, as applicable, the information required in paragraph (1) of subdivision (b) of this section. The Commissioner may for cause, following notice and an opportunity to be heard, accelerate the date by which holders of Hoisting Machine Operator Class A and B licenses must satisfy the requirements of this subdivision and in such case, upon failure to satisfy such condition, the license shall lapse.
   (d)   A Class A, B or C Hoisting Machine Operator license issued following compliance with this rule shall authorize the operation of only that type of crane for which Department records indicate the licensee is qualified or certified. For a Class A or C Hoisting Machine Operator license, where the applicant or licensee wishes to operate a friction crane, the applicant must have passed at least one of the certification exams on a friction crane.
   (e)   The provisions of this rule shall be in addition to the qualification, renewal and reinstatement requirements prescribed by articles 401 and 405 of title 28 of the Administrative Code.
   (f)   In addition to any other documents required to be maintained on site by a licensed Class A, B or C Hoisting Machine Operator, such Operator shall have on site at all times the following documents:
      (1)   The certification(s) issued to him or her by an organization accredited by the National Commission for Certifying Agencies (NCCA) or the American National Standards Institute (ANSI) and acceptable to the Commissioner; and
      (2)   The hoisting machine operator license issued to him or her by the Department.
   (g)   Additional powers of the commissioner. The commissioner may, upon a determination of good cause, extend the dates and deadlines set forth in this rule.
   (a)   Qualifications. In addition to the qualification and examination requirements of the Administrative Code, an applicant for the following types of rigger licenses shall satisfy the following requirements:
      (1)   Master Rigger. An applicant for a Master Rigger license shall have successfully completed a Department-approved training course of not less than thirty (30) hours, including instruction on inspection, maintenance, repair, use, installation, hazards associated with, and the relevant sections of the building code and industry practice with regards to:
         (i)   Rigging methods, hardware, and equipment;
         (ii)   Hoisting machines, including cranes and derricks;
         (iii)   Climber/tower crane assembly, jumping, and disassembly;
         (iv)   Suspended scaffolds;
         (v)   Critical picks; and
         (vi)   Fall hazards and fall protection.
      (2)   Special Rigger. An applicant for a Special Rigger license shall have successfully completed a Department-approved training course of not less than thirty (30) hours, including instruction on inspection, maintenance, repair, use, installation, hazards associated with, and the relevant sections of the building code and industry practice with regards to:
         (i)   Rigging methods, hardware, and equipment;
         (ii)   Hoisting machines with a manufacturers rated capacity of one ton or less;
         (iii)   Suspended scaffolds;
         (iv)   Critical picks; and
         (v)   Fall hazards and fall protection.
      (3)   Climber or tower crane rigger. An applicant for a Climber or Tower Crane Rigger license shall have successfully completed a Department-approved training course of not less than thirty (30) hours, including instruction on inspection, maintenance, repair, use, installation, hazards associated with, and the relevant sections of the building code and industry practice with regards to:
         (i)   Climber/tower crane assembly, jumping, and disassembly; and
         (ii)   Fall hazards and fall protection.
      (4)   Previous course. Any person who, within the three (3) years prior to the date of the application has successfully completed at least a thirty- (30) hour training course meeting the requirements of this subdivision need not take a second thirty- (30) hour course, provided such person provides the Department a dated certificate evidencing completion of such a training course. Such person shall, however, be subject to the continuing education requirements of 1 RCNY §104-06 of this subchapter.
      (5)   Fitness. An applicant for a Master, Special or Climber or Tower Crane Rigger license shall provide evidence of fitness to perform the work authorized by the license. Such evidence shall be on a form prescribed by the Commissioner and shall establish that the applicant has passed a physical exam that complies with subdivision (c) of this section, and that the applicant has complied with the substance abuse testing provisions and standards of subdivision (c) of this section. Such evidence shall include the name, address and telephone number of the laboratory that performed the tests and consent to the release by such laboratory of the test results to the Department upon request of the Department.
      (6)   Additional requirements.
         (i)   Where a licensed master rigger chooses to personally supervise the installation or use of a suspended scaffold, the licensee shall have completed all additional training required by section 3314.4.5.3 of the New York City Building Code.
         (ii)   Where a licensed master rigger chooses to personally supervise the assembly, jump, or disassembly of a climber/tower crane, the licensee shall have completed all additional training required by section 3319.10 of the building code.
         (iii)   Where a licensed special rigger chooses to personally supervise the installation or use of a suspended scaffold, the licensee shall have completed all additional training required by section 3314.4.5.3 of the New York City Building Code.
   (b)   Fitness requirements for renewal and reinstatement. As a condition of license renewal or reinstatement, a licensed or previously licensed Master, Special or Climber or Tower crane rigger shall provide evidence of fitness to perform the work authorized to be performed by a holder of the license held or once held by the applicant. Evidence shall be on a form prescribed by the Commissioner and shall establish that the applicant has passed a physical exam that complies with subdivision (c) of this section, and that the applicant has received a negative result for a substance abuse test as required in subdivision (c) of this section. Such evidence shall include the name, address and telephone number of the laboratory that performed the tests and consent to the release by such laboratory of the test results to the Department upon request of the Department. A renewal applicant shall satisfy the requirements of this rule at every subsequent renewal.
   (c)   Physical exam. Applicants for a Master, Special or Climber or Tower Crane Rigger license shall meet the following physical qualifications, unless it can be shown that failure to meet the qualifications will not affect the ability to perform the work authorized to be performed by a holder of the license sought. In such cases, specialized clinical or medical judgments and tests may be required. The following physical qualifications shall be met at all times throughout the term of the license.
      (1)   Vision of at least 20/30 Snellen in one eye and 20/50 in the other, with or without corrective lenses.
      (2)   Ability to distinguish colors, regardless of position, if color differentiation is required to perform the work authorized to be performed by the license.
      (3)   Adequate hearing to meet operational demands, with or without hearing aid.
      (4)   Sufficient strength, endurance, agility, coordination, and speed of reaction to meet job demands.
      (5)   Normal depth perception, field of vision, reaction time, manual dexterity, coordination, and no tendencies to dizziness or similar undesirable characteristics.
      (6)   A negative result for a substance abuse test.
      (7)   No evidence of having physical defects or emotional instability that could create a hazard for the rigger or others, or that in the opinion of the examiner could interfere with the rigger's performance.
      (8)   No evidence of being subject to seizures or loss of physical control.
   (a)   Qualifications. An applicant for a welder license shall satisfy the qualification and examination requirements of the Administrative Code by complying with the following requirements:
      (1)   Applicants shall furnish to the Department a welder certification issued by the American Welding Society or the State of New York. The applicant shall provide to the Department a copy of the certification, a copy of future re-certifications and documentation of new certifications acquired. The applicable certification shall be maintained continuously for the duration of the license term and shall authorize performance of the type of welds the licensee performs.
      (2)   Applicants shall provide evidence of fitness to perform the work authorized to be performed by a holder of the license sought. Such evidence shall consist of documentation on a form prescribed by the Department that the applicant has passed a visual acuity test effective for the term of the license sought.
   (b)   Fitness requirements for renewal and reinstatement. As a condition of license renewal or reinstatement, a licensed or previously licensed welder shall provide evidence of fitness to perform the work authorized to be performed by a holder of the license held or once held by the licensee. Such evidence shall consist of:
      (1)   A welder certification issued by the American Welding Society or the State of New York. The licensed or previously licensed welder shall provide to the Department a copy of the certification, a copy of future re-certifications and documentation of new certifications acquired. The applicable certification shall be maintained continuously for the duration of the license term and shall authorize performance of the type of welds the licensee performs.
      (2)   Documentation on a form prescribed by the Department that the licensee has passed a visual acuity test effective for the term of the license held or once held by the licensee.
      (3)   A renewal applicant shall satisfy the requirements of this subdivision at every subsequent renewal.
   (a)   Applicability. This section shall apply to all rigging work performed by or under the direct and continuing supervision of a licensed rigger pursuant to section 28-404.1 of the Administrative Code.
   (b)   Definitions.
      (1)   For the purposes of this section, the term "critical pick" shall have the same meaning as set forth in section 3302.1 of the Building Code.
      (2)   For the purposes of this section, the term "direct and continuing supervision" shall have the same meaning as set forth in section 28-401.3 of the Administrative Code.
      (3)   For the purposes of this section, the term "registered design professional" shall have the same meaning as set forth in section 28-101.5 of the Administrative Code.
      (4)   For the purposes of this section, the term "rigging foreman" shall mean an individual designated by a licensed rigger in accordance with subdivision (i) of this section. Such person shall have the qualifications set forth in subdivision (h) of this section. The term shall also refer to "suspended scaffold foreman" where such term is used in Chapter 33 of the Building Code.
   (c)   Planning. Except where the design prepared by a registered design professional is authorized by chapter 33 of the Building Code or as otherwise specifically provided in paragraph (2) of subdivision (g) of this section, the licensee must personally plan the equipment set-up and operation of all rigging operations. This responsibility may not be delegated.
   (d)   Supervision of rigging operations other than critical picks and tower or climber crane erection, jumping, climbing or dismantling. Except as otherwise provided in subdivision (e) of this section, the licensee need not be personally on site during rigging operations provided that a rigging foreman designated by the licensee pursuant to subdivision (i) of this section is continuously on site and that such rigging foreman performs and/or manages the work under the off-site supervision of the licensee as follows:
      (1)   the licensee and the rigging foreman at the work site are in frequent and direct contact with each other during the course of the rigging operation;
      (2)   for work involving the use of cranes, derricks, work platforms, suspended scaffolds, or other rigging setup where the safe founding or support of such equipment is a cause of concern (i.e. over sidewalks, roadways or yards where vaults or other subsurface structures exist; or where hooks or clamps are used on parapet walls to support hanging scaffolds, etc.), the licensee personally visits the work site to inspect and approve the rigging equipment founding and setup prior to commencement of rigging operations and each time the founding or support changes;
      (3)   the licensee is readily available to provide on-site supervision should the need arise; and,
      (4)   the rigging foreman has in his or her possession at the work site the "Designated Foreman Card" issued by the department pursuant to subdivision (j) of this section, which shall be presented upon the demand of any authorized enforcement officer.
   (e)   Supervision of critical picks and tower or climber crane erection, jumping, climbing, or dismantling. The licensee must be continuously on site during critical picks and tower or climber crane erection, jumping, climbing, or dismantling, and must personally perform or personally supervise all such work. Off-site supervision of such work is not permitted.
   (f)   Rigging Crew. Except as otherwise provided in subdivision (g) of this section, all members of the rigging crew must be under the direct and continuing supervision of the licensee.
   (g)   Specialty Crew. Notwithstanding the provisions of section 28-401.17 of the Administrative Code, where rigging work is best handled by or requires crews of a specialty trade (e.g. handling hazardous materials or chemicals such as asbestos, or tower or climber crane erection, jumping, climbing, or dismantling) the licensee and/or a rigging foreman designated by such licensee may perform or supervise work on behalf of a person, partnership, corporation or business association engaged in such specialty trade by making an application on a form provided by the department subject to the following conditions:
      (1)   the department must approve the licensee's application for such proposed rigging operation;
      (2)   the licensee must either plan the equipment setup and operation or be an active participant of the planning team;
      (3)   for loads of two thousand pounds or more, for all critical picks, and for tower or climber crane erection, jumping, climbing, or dismantling, the licensee must provide continuous on-site personal supervision to the rigging crew;
      (4)   for loads below two thousand pounds and which are not critical picks, or which are not related to tower or climber crane erection, jumping, climbing, or dismantling, the licensee need not be on site if a rigging foreman designated by such licensee is continuously on site. The rigging foreman shall manage the work under the off-site supervision of the licensee in accordance with the conditions set forth in subdivision (d) of this section;
      (5)   the licensee and/or his or her designated rigging foreman must have full authority to examine rigging hardware, to approve rigging setups, to mandate changes and to stop the job;
      (6)   the licensee is responsible for all aspects of rigging safety on the job; and
      (7)   the licensee shall confirm that members of the specialty crew are insured to the minimum requirements specified in section 28-401.9 of the Administrative Code and are covered by worker's compensation under the specialty crew's employer.
   (h)   Qualifications for designation as a rigging foreman.
      (1)   An individual designated as a rigging foreman by a licensed special or master rigger shall:
         (i)   be an employee on the payroll and covered by the worker's compensation insurance of the licensee or the business association of the licensee;
         (ii)   be at least 18 years of age;
         (iii)   be able to read and write English;
         (iv)   be able to identify critical picks;
         (v)   be familiar with the relevant sections of Chapter 33 of the Building Code, OSHA safety standards as contained in 29 C.F.R. part 1926, and industry safety practices;
         (vi)   have been trained to react properly to mechanical malfunctions or adverse weather; and
         (vii)   be able to evaluate the fitness of the rigging crew, including, where applicable, the issuance of a certificate of fitness pursuant to subdivision (k) of this section.
      (2)   An individual designated as a rigging foreman by a licensed special rigger shall, in addition to the qualifications set forth in the first paragraph of this subdivision, have the following additional qualifications:
         (i)   at least one year's practical experience in the hoisting and rigging business; and
         (ii)   the ability to explain the risks related to such business and precautions to be taken in connection therewith.
      (3)   An individual designated as a rigging foreman by a licensed master rigger shall, in addition to the qualifications set forth in the first paragraph of this subdivision, have the following additional qualifications:
         (i)   at least five years of practical experience in the hoisting and rigging business; and
         (ii)   the knowledge of and ability to explain the risks related to the following, where applicable to the particular job:
            (A)   rigging operations and precautions to be taken in connection therewith;
            (B)   safe loads and computation thereof;
            (C)   types and methods of rigging; and
            (D)   pertinent hardware such as ropes, cables, blocks, poles, derricks, sheerlegs and other tools used in connection with rigging operations.
         (i)   Designation of a Rigging Foreman.
      (1)   The licensed rigger must submit a notification of designation, on a form provided by the department, which includes the following information:
         (i)   A list of all rigging foremen employed by the licensee or by the business association of the licensee. Each rigging foreman's full name, home address, and home phone number shall be included as part of the list.
         (ii)   A photograph of any newly designated rigging foreman.
         (iii)   The notification shall be signed and notarized by the licensee and shall contain his or her license number.
         (iv)   The notification shall contain a representation by the licensee that all of the rigging foremen designated by him or her have the qualifications specified in subdivision (h) of this section.
      (2)   A newly designated rigging foreman cannot perform foreman duties until such notification is received by the department and the department has issued a "Designated Foreman Card" pursuant to subdivision (j), below.
      (3)   The list must be updated within two weeks of any change in the reported information relating to current designated foremen or within one week of the termination of a designation. When a list is updated, a new notification listing all rigging foremen designated by the licensee shall be filed. The new notification shall be filed in a manner required by the department and shall contain the information set forth in subparagraphs (i), (ii), (iii) and (iv), above. The new list will supersede any earlier filed notification.
      (4)   The designation of one or more rigging foremen shall not detract from the licensee's responsibility or liability, individually and/or through his business, for all aspects of rigging safety. This includes, but is not limited to, the actions of rigging foremen, rigging crews and specialty crews, if any.
   (j)   Designated Foreman Card.
      (1)   The department shall issue a "Designated Foreman Card" for each designated rigging foreman. Such card and a photo identification card acceptable to the department shall be carried by the rigging foreman at all times while he or she is engaged in any of the duties requiring such designation and shall be presented upon the demand of any authorized enforcement officer.
      (2)   It shall be the responsibility of the licensee to take possession of the "Designated Foreman Card" when such designation is terminated and return the card to the department. A designation shall be terminable by the licensee at any time, including if:
         (i)   the person leaves the employ of the licensee or the business associated with the license holder under section 28-401.17 of the Administrative Code;
         (ii)   the licensee finds that the designee is not competently performing his or her duties; or
         (iii)   the licensee finds that the designee has acted in an unsafe or irresponsible manner in performing his or her duties.
   (k)   Certificate of Fitness for Scaffold Users. In addition to the training requirements of section 3314.4 of the Building Code, individuals who use a suspended scaffold under the direct and continuing supervision of the licensed rigger shall possess a certificate of fitness.
      (1)   An individual issued a certificate of fitness must:
         (i)   be found capable of performing the scaffold work in a safe and responsible manner by the issuer at the time of issuance;
         (ii)   be able to communicate without difficulty with the supervising licensed rigger or rigging foreman; and
         (iii)   have been trained in accordance with section 3314.4 of the Building Code and possess a valid certificate card from the training provider evidencing successful completion of the training.
      (2)   Certificates of fitness may be issued by the licensed master or special rigger and the rigging foreman designated pursuant to this section.
      (3)   It shall be the sole responsibility of the licensee who issues the certificate of fitness, either personally or through a designated foreman, to ensure that the individual who receives the certificate meets the requirements of paragraph one of this subdivision for the particular job. It shall be the licensee's responsibility to maintain written records and copies relating to whom and when certificates were issued, as well as each certificate holder's certificate card. If a person issued a certificate of fitness is later found to be unqualified or to have failed to use a suspended scaffold in a safe and workmanlike manner, it shall be the licensee's responsibility to rescind the certificate of fitness and to remove the individual from the job.
      (4)   The certificate of fitness must be issued in a form acceptable to the department and include the name of the holder, the date of the issuance, the name and license number of the licensee, the name, address, and telephone number of the licensee's company, and the signature of the issuer.
      (5)   Such certificate of fitness, as well as the certificate card issued pursuant to 3314.4.5.8 of the Building Code, and photo identification of the certificate holder acceptable to the department, must be available on site for inspection.
   (l)   Failure to comply with rule. If this rule is not complied with, the department may order that rigging operations stop, initiate disciplinary action against the licensee and/or contractor, and/or initiate proceedings for the impositions of fines or civil penalties.
   (a)   Applicability. This section shall apply to all sign hanging work performed by or under the direct and continuing supervision of a licensed sign hanger pursuant to section 28-415.1 of the Administrative Code.
   (b)   Definitions.
      (1)   For the purposes of this section, the term "critical pick" shall have the same meaning as set forth in section 3302.1 of the Building Code.
      (2)   For the purposes of this section, the term "direct and continuing supervision" shall have the same meaning as set forth in section 28-401.3 of the Administrative Code.
      (3)   For the purposes of this section, the term "registered design professional" shall have the same meaning as set forth in section 28-101.5 of the Administrative Code.
      (4)   For the purposes of this section, the term "sign hanging foreman" shall mean an individual designated by a licensed sign hanger in accordance with subdivision (h) of this section. Such person shall have the qualifications set forth in subdivision (g) of this section.
   (c)   Planning. Except where the design prepared by a registered design professional is authorized by chapter 33 of the Building Code, the licensee must personally plan the equipment set-up and operation of all sign hanging operations. This responsibility may not be delegated.
   (d)   Supervision of sign hanging operations other than critical picks. Except as otherwise provided in subdivision (e) of this section, the licensee need not be personally on site during sign hanging operations provided that a sign hanging foreman designated by the licensee pursuant to subdivision (h) of this section is continuously on site and that such sign hanging foreman performs and/or manages the work under the off-site supervision of the licensee as follows:
      (1)   the licensee and the sign hanging foreman at the work site are in frequent and direct contact with each other during the course of the sign hanging operation;
      (2)   for work involving the use of cranes, derricks, work platforms, suspended scaffolds, or other rigging setup where the safe founding or support of such equipment is a cause of concern (i.e. over sidewalks, roadways or yards where vaults or other subsurface structures exist; or where hooks or clamps are used on parapet walls to support hanging scaffolds, etc.), the licensee personally visits the work site to inspect and approve the sign hanging equipment founding and setup prior to commencement of sign hanging operations and each time the founding or support changes;
      (3)   the licensee is readily available to provide on-site supervision should the need arise; and
      (4)   the sign hanging foreman has in his or her possession at the work site the "Designated Foreman Card" issued by the department pursuant to subdivision (i) of this section, which shall be presented upon the demand of any authorized enforcement officer.
   (e)   Supervision of critical picks. The licensee must be continuously on site during critical picks and must personally perform or personally supervise all critical picks. Off-site supervision of critical picks is not permitted.
   (f)   Sign Hanging Crew. All members of the sign hanging crew must be under the direct and continuing supervision of the licensee.
   (g)   Qualifications for designation as a sign hanging foreman.
      (1)   An individual designated as a sign hanging foreman by a licensed special or master sign hanger shall:
         (i)   be an employee on the payroll and covered by the worker's compensation insurance of the licensee or the business association of the licensee;
         (ii)   be at least 18 years of age;
         (iii)   be able to read and write English;
         (iv)   be able to identify critical picks;
         (v)   be familiar with the relevant sections of Chapter 33 of the Building Code, OSHA safety standards as contained in 29 C.F.R. part 1926, and industry safety practices;
         (vi)   have been trained to react properly to mechanical malfunctions or adverse weather;
         (vii)   be able to evaluate the fitness of the sign hanging crew, including, where applicable, the issuance of a certificate of fitness pursuant to subdivision (j) of this section;
         (viii)   be able to read plans and specifications relating to sign construction and erection, including supporting framework and other supports;
         (ix)   have a knowledge of the problems and practices of sign construction and hanging; and
         (x)   be familiar with the equipment and tools used in sign installations.
      (2)   An individual designated as a sign hanging foreman by a licensed special sign hanger shall, in addition to the qualifications set forth in the first paragraph of this subdivision, have at least three years of practical experience in sign hanging work.
      (3)   An individual designated as a sign hanging foreman by a licensed master sign hanger shall, in addition to the qualifications set forth in the first paragraph of this subdivision, have at least five years of practical experience in sign hanging work.
   (h)   Designation of a Sign Hanging Foreman.
      (1)   The licensed sign hanger must submit a notification of designation, on a form provided by the department, which includes the following information:
         (i)   A list of all sign hanging foremen employed by the licensee or by the business association of the licensee. Each sign hanging foreman's full name, home address, and home phone number shall be included as part of the list.
         (ii)   A photograph of any newly designated sign hanging foreman.
         (iii)   The notification shall be signed and notarized by the licensee and shall contain his or her license number.
         (iv)   The notification shall contain a representation by the licensee that all of the sign hanging foremen designated by him or her have the qualifications specified in subdivision (g) of this section.
      (2)   A newly designated sign hanging foreman cannot perform foreman duties until such notification is received by the department and the department has issued a "Designated Foreman Card" pursuant to subdivision (i), below.
      (3)   The list must be updated within two weeks of any change in the reported information relating to current designated foremen or within one week of the termination of a designation. When a list is updated, a new notification listing all sign hanging foremen designated by such licensee shall be filed. The new notification shall be filed in the manner required by the department and shall contain the information set forth in subparagraphs (i), (ii), (iii) and (iv), above. The new list will supersede any earlier filed notification.
      (4)   The designation of one or more sign hanging foremen shall not detract from the licensee's responsibility or liability, individually or through his licensed business, for all aspects of sign hanging safety. This includes, but is not limited to, the actions of sign hanging foremen and sign hanging crews.
   (i)   Designated Foreman Card.
      (1)   The department shall issue a "Designated Foreman Card" for each designated sign hanging foreman. Such card and a photo identification card acceptable to the department shall be carried by the sign hanging foreman at all times while he or she is engaged in any of the duties requiring such designation and shall be presented upon the demand of any authorized enforcement officer.
      (2)   It shall be the responsibility of the licensee to take possession of the "Designated Foreman Card" when such designation is terminated and return the card to the department. A designation shall be terminable by the licensee at any time, including if:
         (i)   the person leaves the employ of the licensee or the business associated with the license holder under section 28-401.17 of the Administrative Code;
         (ii)   the licensee finds that the designee is not competently performing his or her duties; or,
         (iii)   the licensee finds that the designee has acted in an unsafe or irresponsible manner in performing his or her duties.
   (j)   Certificate of Fitness for Scaffold Users. In addition to the training requirements of section 3314.4 of the Building Code, individuals who use a suspended scaffold under the direct and continuing supervision of the licensed sign hanger shall possess a certificate of fitness.
      (1)   An individual issued a certificate of fitness must:
         (i)   be found capable of performing the scaffold work in a safe and responsible manner by the issuer at the time of issuance;
         (ii)   be able to communicate without difficulty with the supervising licensed sign hanger or sign hanging foreman; and,
         (iii)   have been trained in accordance with section 3314.4 of the Building Code and possess a valid certificate card from the training provider evidencing successful completion of the training.
      (2)   Certificates of fitness may be issued by the licensed master or special rigger and the sign hanger foreman designated pursuant to this section.
      (3)   It shall be the sole responsibility of the licensee who issues the certificate of fitness, either personally or through a designated foreman, to ensure that the individual who receives the certificate meets the requirements of paragraph one of this subdivision for the particular job. It shall be the licensee's responsibility to maintain written records and copies relating to whom and when certificates were issued, as well as each certificate holder's certificate card. If a person issued a certificate of fitness is later found to be unqualified or to have failed to use a suspended scaffold in a safe and workmanlike manner, it shall be the licensee's responsibility to rescind the certificate of fitness and to remove the individual from the job.
      (4)   The certificate of fitness must be issued in a form acceptable to the department and include the name of the holder, the date of the issuance, the name and license number of the licensee, the name, address, and telephone number of the licensee's company, and the signature of the issuer.
      (5)   Such certificate of fitness, as well as the certificate card issued pursuant to 3314.4.5.8 of the Building Code and photo identification of the certificate holder acceptable to the department, must be available on site for inspection.
   (k)   Failure to comply with rule. If this rule is not complied with, the department may order that sign hanging operations stop, initiate disciplinary action against the licensee and/or contractor, and/or initiate proceedings for the impositions of fines or civil penalties.
   (a)   Licensees shall promptly notify the Department in writing of any address change within thirty (30) days of the change.
   (b)   Licensees, as part of their obligation to maintain good moral character, shall notify the Department in writing of any criminal conviction within ten (10) days of the occurrence.
This section establishes two types of filing representatives and sets forth the training, education, and experience requirements necessary at registration for both classes of representatives.
   (a)   References. See Article 416 of Title 28 of the New York City Administrative Code and Section 28-416.2 of same for a list of persons exempt from filing representative registration.
   (b)   Definitions. For the purposes of this chapter, the following terms mean:
      (1)   Architect. A person licensed and registered to practice the profession of architecture under the education law of the state of New York.
      (2)   Engineer. A person licensed and registered to practice the profession of engineering under the education law of the state of New York.
      (3)   Job. An application with an individual job number filed by the registered design professional of record. This does not include limited alteration applications, post-approval amendments, electrical applications, or demolition applications.
      (4)   Registered design professional. An architect or engineer.
      (5)   Registered design professional of record. The registered design professional who prepared or supervised the preparation of applicable construction documents filed with the department.
   (c)   Class 1 registered filing representatives. Class 1 filing representatives may, following registration and issuance of an identification card, present, submit, furnish or seek approval of applications or construction documents, and remove documents from the possession of the department. However, beginning July 1, 2013, such filing representatives cannot appear before or attend appointments with plan examiners and other department technical staff including, but not limited to code and zoning specialists, plan examiners, chief plan examiners, borough commissioners, and deputy borough commissioners, regarding construction document approvals, including, but not limited to, plan review, audit review, pre-determinations, and determinations.
   (d)   Class 1 filing representative registration requirements.
      (1)   Beginning May 1, 2013, those seeking class 1 filing representative status must submit proof of the successful completion of a department-approved, integrity training at registration.
      (2)   Beginning May 1, 2014, those seeking class 1 filing representative status must submit the following at registration:
         (i)   Proof of the successful completion of a sixteen- (16) hour training course, approved by the department, within one (1) year of application for registration, in the following areas:
            (A)   The New York City Building Code;
            (B)   The New York City Energy Conservation Code;
            (C)   The New York City Zoning Resolution; and
            (D)   Relevant provisions of the New York City Administrative Code and department practices.
         (ii)   Proof of the successful completion of a department-approved, integrity training.
   (e)   Class 1 filing representative renewal requirements. Beginning July 1, 2014, during the one (1) year immediately prior to renewal, or beginning July 1, 2017, during the three (3) years immediately prior to renewal, a class 1 registered filing representative must have attended and successfully completed a Department-administered or Department-approved integrity training and the sixteen- (16) hour training course required by subdivision (d) of this rule. If the sixteen- (16) hour training course was successfully completed prior to registration, it need not be completed again prior to renewal. Proof of completion of such course(s) must be submitted to the Department at renewal.
   (f)   Class 2 registered filing representatives. Class 2 registered filing representatives (also referred to as "code and zoning representatives") may, following registration and issuance of an identification card, perform all of the activities of a class 1 registered filing representative and may also appear before and attend appointments with plan examiners and other department technical staff regarding construction document approvals, including, but not limited to, plan review, audit review, pre-determinations, and determinations. However, class 2 registered filing representatives can only appear before, or attend such appointments at, the NYC Development Hub for New Building applications, Alteration Type 1 applications, and any and all related applications, in person or online, if they are employed and supervised by the registered design professional of record. If not, when appearing before or attending such appointments at the NYC Development Hub, class 2 registered filing representatives must be accompanied by the registered design professional of record or an individual employed and supervised by the registered design professional of record in the preparation of the construction documents being discussed.
   (g)   Class 2 filing representative requirements.
      (1)   Beginning May 1, 2013, those seeking class 2 filing representative status must submit the following:
         (i)   Proof of:
            (A)   A four (4) year degree in Architecture or Engineering from an accredited college; or
            (B)   A four (4) year degree in another field from an accredited college, and proof of two (2) years as a registered filing representative with the department with at least fifty (50) jobs filed within four (4) years of application for class 2 filing representative status; or
            (C)   Those who do not meet the requirements of paragraphs (i) or (ii) above may register and submit proof of the following during the limited time period of May 1, 2013 through June 30, 2013 only: four (4) years as a registered filing representative with the department with at least one hundred and twenty-five (125) jobs filed within eight (8) years of application for class 2 filing representative status.
         (ii)   Proof of the successful completion of a department-approved, integrity training.
      (2)   Beginning May 1, 2014, those seeking class 2 filing representative status must submit the following:
         (i)   Proof of:
            (A)   A four (4) year degree in Architecture or Engineering from an accredited college; or
            (B)   A four (4) year degree in another field from an accredited college, and proof of two (2) years as a registered filing representative with the department with at least fifty (50) jobs filed within four (4) years of application for class 2 filing representative status.
         (ii)   Proof of the successful completion of a thirty-six- (36) hour training course approved by the department, within one (1) year of application for class 2 filing representative status, in the following areas:
            (A)   The New York City Building Code;
            (B)   The New York City Energy Conservation Code;
            (C)   The New York City Zoning Resolution; and
            (D)   Relevant provisions of the New York City Administrative Code and department practices.
         (iii)   Proof of the successful completion of a department-approved, integrity training.
   (h)   Class 2 filing representative renewal requirements.
      (1)   Beginning July 1, 2014, during the one (1) year immediately prior to renewal, a class 2 registered filing representative must have attended and successfully completed a Department-administered or Department-approved integrity training and the thirty-six- (36) hour training course required by subdivision (g) of this rule. If the thirty-six- (36) hour training course was successfully completed prior to registration, it need not be completed again prior to renewal. Proof of completion of such course(s) must be submitted to the Department at renewal.
      (2)   Beginning July 1, 2017, during the three (3) years immediately prior to renewal, a class 2 registered filing representative must have attended and successfully completed a Department-administered or Department-approved integrity training and a sixteen- (16) hour, Department-approved, refresher course. Proof of completion of such course(s) must be submitted to the Department at renewal.
         (i)   Additional powers of the commissioner. The commissioner may, upon a determination of good cause, extend the dates and deadlines set forth in this rule.
   (j)   Suspension or revocation. Filing representative registration may be suspended or revoked in accordance with Section 28-401.19 of the New York City Administrative Code.
   (a)   At the time of issuance of a class A or class B oil-burning equipment installer license, upon payment of the required fee, the commissioner shall issue to the licensee a seal containing the full name of the license holder, the words "licensed oil-burning equipment installer – Class A" or "licensed oil-burning equipment installer – Class B", and the license number. Except as set forth in paragraph (f) below, the license holder shall not be entitled to perform work or hold himself or herself out as a licensed oil-burning equipment installer until such seal has been obtained.
   (b)   The fee for obtaining a seal shall be one hundred dollars. The triennial renewal fee to retain such seal shall be seventy-five dollars.
   (c)   If the seal is lost, and an affidavit is submitted by the licensee establishing such fact, a new seal shall be issued by the commissioner upon application and payment of seventy-five dollars.
   (d)   All documents which are required to be filed with this Department or other government agency in connection with work by such licensee shall bear the stamp of the seal as well as the signature of such licensee.
   (e)   The seal shall remain the property of the city of New York. Upon revocation of an oil-burning equipment installer's license or death of the licensee or failure of a licensee to renew such license, the seal must be surrendered to the Department.
   (f)   Persons who hold class A or class B oil-burning equipment installer licenses on the effective date of this rule must obtain their seals within 90 days of the effective date of this rule. Prior to the expiration of this 90 day period, such licensees may perform work under their licenses and hold themselves out as licensed oil-burning equipment installers without the use of a seal.
   If the holder of a license issued pursuant to §28-401.10 of the Administrative Code is no longer engaged in a business or trade licensed by the department, but does not wish to leave the licensed trade, the license holder may so notify the department and submit his or her license and seal to the department for deactivation. If the licensee deactivates such license, the deactivated license shall no longer represent an authorization to engage in a particular trade, occupation, or business. While a licensee who chooses to deactivate his or her license may continue to work in the licensed trade under the supervision of an active licensee, he or she may not practice in the trade or business as a licensee or hold him or herself out as a licensee while the license is deactivated.
   (a)   Applicability. This section applies to Master Plumbers, Master Fire Suppression Piping Contractors, High Pressure Boiler Operating Engineers, Welders, Riggers, Sign Hangers, Oil Burners, Site Safety Managers, Hoist Machine Operators, Private Elevator Inspection Agency Inspectors and Private Elevator Inspection Agency Directors.
   (b)   Deactivation. A license can remain deactivated for a maximum of twelve years after the date of deactivation. If a licensee fails to reactivate a license after this twelve year period, the deactivated license will lapse. In order to deactivate a license, at the time of application for deactivation, the licensee must ensure that:
      (1)   All outstanding fines, penalties, or fees related to the licensee's professional dealings with the city or any governmental entity are paid, and
      (2)   There are no violations for work performed under such license pending hearing or in default, and
      (3)   Open applications filed under such license – including permits, jobs, scaffold notifications, and Limited Alteration Applications (LAAs) that name the licensee, as well as permits issued to the licensee – have been scheduled for inspection in accordance with department procedures, re-filed by another licensee, or withdrawn, and
      (4)   He or she surrenders his or her license card, plate and/ or seal, if applicable.
   (c)   Deactivation renewal. While the license is deactivated, the licensee must still submit a renewal application, continue to pay the license renewal fees required during each deactivation period, take any required continuing education courses and maintain certifications required by rule. If the licensee submits the renewal application after the date on which the license would have otherwise expired, the licensee must comply with the relevant provisions of Administrative Code §28-401.13, and any other applicable rules and regulations.
   If a license has been deactivated for more than five, but fewer than twelve, years:
      (1)   At renewal, the commissioner may require the licensee submit an affidavit and supporting documentation satisfactory to the department stating that, during each of the last three years, the individual has continuously been actively and legally engaged in the trade for which the applicant's license was issued, under the direct supervision of a licensee for their specific trade in order to prevent the deactivated license from expiring.
      (2)   If the licensee cannot satisfactorily demonstrate active and legal engagement in the relevant trade, in order to prevent the license from expiring, the licensee must reactivate the license for at least one license term. If the license expires, applicants must comply with late renewal and reinstatement requirements of Administrative Code §28-401.13, and any other applicable rules and regulations.
   (d)   Reactivation. To reactivate a license, the licensee must comply with the license issuance requirements for his or her specific trade, pay all applicable fees, and submit all forms as prescribed by the commissioner.
      (1)   If the licensee has complied with the deactivation requirements of this rule, the license may be reactivated up to five years after the date of deactivation.
      (2)   The department may refuse to reactivate a license on any grounds on the basis of which it could deny, suspend or revoke such license.
   (e)   Master Plumbers and Master Fire Suppression Piping Contractors must also comply with the certificate of competence requirements of Chapter 4 of Title 28 of the Administrative Code.
(Eff. 10/3/2016)

Subchapter E Miscellaneous Provisions

   (a)   Purpose and applicability. This section establishes the procedure for a property tax abatement application for a green roof as defined in Title 4-B of Article 4 of the New York State Real Property Tax Law ("Title 4-B"). A green roof shall not be eligible for a tax abatement pursuant to Title 4-B if the construction of any of the required elements of the green roof set forth in Title 4-B §499-aaa(10), except §499-aaa(10)(a) and §499-aaa(10)(c), was commenced prior to August 5, 2008.
   (b)   Designated agency. For purposes of Title 4-B, the designated agency shall be the Department of Buildings ("Department").
   (c)   Definitions. The terms used in this section shall have the same meanings as the terms defined in Title 4-B §499-aaa. In addition, for purposes of this section, the following terms shall have the following meanings:
      (1)   Alteration application. An application for the alteration of a building that is filed with the Department in accordance with Chapter 1 of Title 28 of the Administrative Code.
      (2)   Applicant for property tax abatement. The applicant as defined in Title 4-B §499-aaa, including such applicant's successors-in-interest.
      (3)   Applicant of record. The architect or engineer who files the alteration application with the Department.
      (4)   Compliance period. The tax year, beginning July 1 and ending the following June 30, in which the green roof property tax abatement is taken.
      (5)   Green roof space. Such part of the eligible rooftop space that consists of a green roof.
      (6)   Property tax abatement application. The application, including certifications and agreements required by Title 4-B and this section, that is filed with the Department for a green roof property tax abatement in accordance with Title 4-B.
      (7)   Vegetation layer. The layer of a green roof required by Title 4-B §499-aaa(10)(g) that, in accordance with generally accepted horticultural practice and as certified by an architect, engineer, New York State licensed and registered landscape architect or a horticulturist with a degree or certificate from an accredited training institute, consists of live plants such as sedum or equally drought resistant and hardy plant species, native plant species, and/or agricultural plant species spaced in such a manner that such plants will cover at least eighty (80) percent of such layer by the end of the compliance period.
   (d)   Codes. All work relating to the installation of a green roof shall comply with the requirements of the New York City Construction Codes contained in Title 28 of the Administrative Code ("Title 28") or the 1968 Building Code, as provided in Administrative Code § 101.4.3. All such work shall also comply with the requirements of the New York City Electrical Code, the New York City Fire Code, the Energy Conservation Construction Code of New York State, the New York City Zoning Resolution and other applicable laws and rules.
   (e)   Procedure: Alteration application.
      (1)   Filing. The Department shall not accept a property tax abatement application unless the applicant of record shall have first filed an alteration application that is professionally certified and agreed to have performed by an architect or engineer the final inspection on behalf of the Department in accordance with Administrative Code §28-116.2.4.2. This filing is required regardless of whether the building is new or existing and regardless of whether a prior new building or alteration application for work beyond but including installation of the green roof was filed prior to the effective date of this rule.
         (i)   At the time of submission of the alteration application, the applicant of record shall indicate on forms furnished by the Department that the alteration application will be the subject of a property tax abatement application; the Department shall then record such indication as a required item for that alteration application.
         (ii)   No work unrelated to the property tax abatement shall be included in the alteration application. Such application shall include, but not be limited to, the following construction documents:
            (A)   Roof plan showing eligible rooftop space and green roof space, and providing the net square footage of each. The plan shall demonstrate that the green roof does not obstruct firefighting access, in accordance with Section 504 of the New York City Fire Code, and equipment maintenance access.
            (B)   Details demonstrating that the green roof meets all requirements set forth in Title 4-B §499-aaa(10) as well as in applicable provisions of the codes listed in subdivision (d) of this section. Details shall indicate the depth of the growth medium.
            (C)   Design and construction drawings reflecting construction work necessary to enable the building, its structure, the roof structure with the green roof, together with any other existing or added rooftop structures and/or equipment, the roof covering and roof drainage systems to comply with the codes enumerated in subdivision (d) of this section and other requirements set forth in this section and/or Title 4-B. The weight of the green roof shall be considered a superimposed dead load. The design shall consider the green roof in saturated condition.
            (D)   The construction documents required by clauses (A), (B) and (C) of this subparagraph shall not be necessary for an application for a green roof installation of a depth of four inches or less where a structural analysis of the existing building has been performed establishing that such building can, without modification, sustain the load of the green roof in a fully saturated condition in a manner that complies with the codes enumerated in subdivision (d) of this section, provided the applicant of record certifies that the construction work reflected in the alteration application complies with such codes and other requirements set forth in this section and Title 4-B and that the analyses reflected in the requirements of clauses (A), (B) and (C) of this subparagraph have been performed. In making such certifications, the weight of the green roof shall be considered a superimposed dead load. The design shall consider the green roof in saturated condition. Where, in accordance with the provisions of this subdivision, construction documents required by clauses (A), (B) and (C) of this subparagraph are not submitted to the Department, the applicant of record shall perform the inspections for the installation required by subdivisions (e)(4) and (f)(1) of this section.
            (E)   Technical Report(s) identifying those responsible for any special, progress and final inspections required by the New York City Construction Codes contained in Title 28.
      (2)   Document retention. Construction documents required by clauses (A), (B) and (C) of subparagraph (1) of this section, including structural analyses and calculations, regardless of whether submitted to the Department shall be retained by the applicant of record in accordance with the provisions of the New York State Education Law and Rules of the Board of Regents and shall be made available upon request of the Department.
      (3)   Permit. All required permits shall be obtained, including any required electrical permits. Application for required electrical permits shall be made by a New York City licensed electrician. Electrical permit applications that do not indicate that the application is an "S Sustainable Energy Install" application and/or omit the application number for the alteration application will be cause for rejecting the property tax abatement application.
      (4)   Inspections. Inspections shall be performed in accordance with Title 28 and Title 4-B after the completion and sign-off of any required electrical work. Final inspection shall be performed in accordance with Administrative Code §28-116.2.4.2.
      (5)   Construction sign-off. Upon completion of work, the applicant of record shall submit to the Department completed Technical Reports, including final inspection, and a request for sign-off pursuant to Administrative Code §28-116.4. The request shall be accompanied by a completed property tax abatement application. If the property tax abatement application is not submitted together with and at the same time as the request for construction sign-off, the property tax abatement application shall be denied and the Department shall not further review or process the property tax abatement application.
      (6)   The Department shall register receipt of the property tax abatement application as a required item in its records.
      (7)   The date of filing of the property tax abatement application shall be the date of submission of construction sign-off documents and the application for property tax abatement as described in subdivision (e)(5) of this section and as recorded by the Department.
   (f)   Procedure: Property tax abatement application.
      (1)   Professional certification. An architect or engineer shall inspect the completed green roof and shall certify (1) its compliance with the requirements of Title 4-B, including but not limited to Sections 499-aaa(10) and 499-ccc of Title 4-B and the designation of eligible rooftop space on the drawings, and (2) the square footage of green roof space eligible for tax abatement pursuant to Title 4-B. In making such certification, the architect or engineer may rely on the report(s) of a New York State licensed and registered landscape architect or a horticulturist with a degree or certificate from an accredited training institute with respect to whether the green roof's vegetation layer complies with Title 4-B §499-aaa(10).
      (2)   Maintenance plan. An architect, engineer, New York State licensed and registered landscape architect or a horticulturist with a degree or certificate from an accredited training institute shall prepare a maintenance plan for the green roof. Such maintenance plan shall be sufficient to enable the applicant for property tax abatement to maintain the green roof during the compliance period and for a minimum of three (3) years thereafter in such a way that it continuously constitutes a green roof in accordance with Title 4-B and this section.
         (i)   The maintenance plan shall require at least semi-annual maintenance inspections of the condition of the roof and plants, contingency plans for irrigation during dry or drought conditions when necessary to ensure the survival of plants, contingency plans for replanting areas where plants have died, and any other corrective measures necessary to ensure that the green roof is maintained in accordance with Title 4-B and this section.
         (ii)   The maintenance plan shall include monthly maintenance inspections to ensure that roof drains remain free of debris and in working condition.
         (iii)   The maintenance plan shall identify any problems that may be encountered, describe corrective measures for each such problem and identify when and how often such corrective measures are required in order to maintain the green roof in continuous compliance.
         (iv)   The individual who prepared the maintenance plan shall certify, either on the property tax abatement application, if such individual is an architect or engineer, or in a report provided to the architect or engineer filing the property tax abatement application, if such individual is a New York State licensed and registered landscape architect or a horticulturist with a degree or certificate from an accredited training institute, that the maintenance plan complies with this section and that he or she has provided the maintenance plan to the applicant for property tax abatement. Such maintenance plan shall be provided, upon request, to the Department.
      (3)   Property tax abatement application form and signatures. An architect or engineer shall complete the property tax abatement application form, sign and seal the form, and obtain the signature of the applicant for property tax abatement or such applicant's representative. Such property tax abatement form shall be accompanied by a certification by the property tax abatement applicant or such applicant's representative that no construction of any required element of the green roof set forth in Title 4-B §499-aaa(10), except §499-aaa(10)(a) or §499-aaa(10)(c), was commenced prior to August 5, 2008.
      (4)   Delivery of property tax abatement application form to applicant of record. The architect or engineer who files the application for property tax abatement shall provide the completed property tax abatement application form, which shall include all certifications required by Title 4-B and this section, and any required electrical sign-off, to the applicant of record for submission to the Department at construction sign-off. The completed property tax abatement application, together with the Technical Reports and request for construction sign-off, must be filed with the Department by March 15 in order for the property tax abatement to take effect on July 1 of the same calendar year. If a property tax abatement application is filed after March 15, the property tax abatement to which such application relates shall not take effect until July 1 of the following calendar year.
      (5)   Upon receipt and acceptance of the completed property tax abatement application form, the Department shall record its acceptance and shall notify the Department of Finance.
   (g)   Compliance period.
      (1)   The applicant for property tax abatement shall allow all architects, engineers, landscape architects and horticulturists involved in the installation and maintenance of the green roof and the Department to have access to the green roof and any related structures and equipment for inspection thereof at any time during the compliance period upon reasonable notice.
      (2)   Pursuant to Title 4-B §499-ddd(1), within the fifteen (15) calendar days prior to the last day of the compliance period, the applicant of record, landscape architect or other architect or engineer shall inspect the green roof, including without limitation its vegetation layer, to certify its continuing compliance with Title 4-B, this section and applicable provisions of law and rules, including but not limited to the codes enumerated in subdivision (d) of this section. Such inspecting professional shall prepare an inspection report and maintain it on file in accordance with the provisions of the New York State Education Law and Rules of the Board of Regents for review by the Department upon request. If the inspecting professional finds that the green roof is not in compliance with Title 4-B, such inspecting professional shall notify the Department on such forms and in such manner as prescribed by the Department.
   (h)   Revocation.
      (1)   Should the Department have reason to believe at any time during the compliance period that a condition described in Title 4-B §499-eee(1) exists, the Department shall inspect or otherwise investigate the condition. If the findings of such inspection or investigation indicate that a condition described in Title 4-B §499-eee(1) exists, the applicant for property tax abatement shall pay the inspection and investigation expenses of the Department. The Department shall notify the applicant for property tax abatement of any findings that indicate that a condition described in Title 4-B §499-eee(1) exists and provide such applicant with an opportunity to dispute the findings.
      (2)   No later than the ninetieth day after the last day of the compliance period, the Department shall notify the Department of Finance of any findings of noncompliance, and shall identify the period of noncompliance.
      (3)   The Department may declare an applicant for property tax abatement ineligible for future tax abatements in accordance with Title 4-B §499-eee(4).
   (i)   Notification of the New York State Department of Education. In accordance with Title 4-B §499-fff(3), should the Department determine that any architect, engineer or landscape architect involved in the installation and maintenance of the green roof engaged in professional misconduct in making certifications required by Title 4-B or this rule, the Department shall so notify the New York State Department of Education. Any misconduct in making such certifications may, following hearing by the Board of Regents, provide a basis for revocation of the professional's license or imposition of other penalty or sanction.
   (j)   Variation of requirements. For applications for property tax abatement filed for the tax year beginning July 1, 2009, the Department may vary any requirement relating to an administrative filing provision of this section with which the applicant was not otherwise required to comply pursuant to the New York City Construction Codes contained in Title 28 or Title 4-B at the time the work was performed.
   (a)   Purpose and applicability. This section establishes the procedure for a property tax abatement application for a solar electric generating system as defined in Title 4-C of Article 4 of the New York State Real Property Tax Law ("Title 4-C"). No solar electric generating system expenditures shall be eligible for a tax abatement pursuant to Title 4-C if such expenditures were: (1) incurred before August 5, 2008; or (2) incurred in connection with a solar electric generating system placed in service before August 5, 2008.
   (b)   Designated agency. For purposes of Title 4-C, the designated agency shall be the Department of Buildings ("Department").
   (c)   Definitions. The terms used in this section shall have the same meanings as the terms defined in Title 4-C §499-aaaa. In addition, for purposes of this section, the following terms shall have the following meanings:
      (1)   Alteration application. An application for the alteration of a building that is filed with the Department in accordance with Chapter 1 of Title 28 of the Administrative Code.
      (2)   Applicant for property tax abatement. The applicant as defined in Title 4-C §499-aaaa, including such applicant's successors-in-interest.
      (3)   Applicant of record. The architect or engineer who files the alteration application with the Department.
      (4)   Compliance period. The tax year, beginning July 1 and ending the following June 30, in which the property tax abatement commences and the three tax years, each beginning July 1 and ending the following June 30, immediately thereafter.
      (5)   Placed in service. The latter of:
         (i)   The date of the utility company's (i.e. Con Ed, LIPA, etc.) final acceptance of interconnection; or
         (ii)   The date of the department's electrical division's sign-off, as evidenced on the department's website.
      (6)   Property tax abatement application. The application, including certifications required by Title 4-C and this section, that is filed with the Department for a solar electric generating system property tax abatement in accordance with Title 4-C.
   (d)   Codes. All work relating to the installation of a solar electric generating system shall comply with the requirements of the New York City Construction Codes contained in Title 28 of the Administrative Code of the City of New York ("Title 28"). All such work shall also comply with the requirements of the New York City Electrical Code, the New York City Fire Code, the Energy Conservation Construction Code of New York State, the New York City Zoning Resolution and other applicable laws and rules.
   (e)   Procedure: Alteration application.
      (1)   Filing. The Department shall not accept a property tax abatement application unless the applicant of record shall have first filed an alteration application that is professionally certified and agreed to have performed by an architect or engineer the final inspection on behalf of the Department in accordance with Administrative Code §28-116.2.4.2. 
         (i)   At the time of submission of the alteration application, the applicant of record shall indicate on forms furnished by the Department that the alteration application will be the subject of a property tax abatement application; the Department shall then record such indication for that application.
         (ii)   No work unrelated to the property tax abatement shall be included in the alteration application. Such application shall include, but not be limited to, the following construction documents:
            (A)   Zoning height and setback documents demonstrating that the solar electric generating system complies with height and setback regulations as prescribed by the New York City Zoning Resolution.
            (B)   Plot plan showing site bounds and location of the building on the site, showing the location of the solar electric generating system elements on the building and/or site, showing the location of and describing any trees that, were they to fall, could come into contact with any part of the solar electric generating system, and showing the location of and identifying any city infrastructure services, utility lines or other potential hazards on the building and/or site.
            (C)   Site plan, roof plan(s), elevation(s) and/or other drawings sufficient to show and describe the solar electric generating array(s), building-integrated solar electric generating panels, solar electric generating laminate and related elements of the solar electric generating system on the building and/or site, and their arrangement and operation.
            (D)   Details demonstrating that the solar electric generating system meets all requirements set forth in Title 4-C §499-aaaa(10), as well as in applicable provisions of the codes listed in subdivision (d) of this section.
            (E)   If a roof installation, a roof plan demonstrating that the solar electric generating system does not obstruct access for both firefighting, in accordance with Sections 504 and 512 of the New York City Fire Code, and maintenance of all roof equipment. If a site installation, the site plan shall show access for firefighting and maintenance to and around site buildings and the solar electric generating system in accordance with the New York City Fire Code.
            (F)   Drawings showing the foundation and/or anchorage of the solar electric generating system. Ballast shall be prohibited for grade-level installations and for installations one hundred (100) feet or higher above grade. For rooftop installations less than one hundred (100) feet above grade, ballast shall be fully contained.
            (G)   Design and construction drawings reflecting construction work necessary to enable the building, its structure, the roof structure, the structural work related to the solar electric generating system (and, for rooftop installations, any other rooftop structures and/or equipment), the roof covering and roof drainage systems to comply with the codes listed in subdivision (d) of this section and other requirements set forth in this section and Title 4-C.
            (H)   Proof of compliance with the requirements of Appendix G of the Building Code, if applicable.
      (2)   Document retention. Construction documents required by clauses (A) through (H) of subparagraph (ii) of paragraph (1) of this section, including structural analyses and calculations, shall be retained by the applicant of record in accordance with the provisions of the New York State Education Law and Rules of the Board of Regents and shall be made available upon request of the Department.
      (3)   Permits. Following approval of the alteration application, permits shall be obtained for both the construction work and the electrical work to be performed. Electrical work shall be performed by a New York City licensed electrician.
         (i)   The property tax abatement application will be rejected if the electrical permit applications do not indicate that the application is an "S Sustainable Energy Install" application and/or omit the application number for the alteration application.
         (ii)   No work other than installation of the solar electric generating system shall be included in the electrical permit application.
         (iii)   Any Technical Report(s) identifying those responsible for special, progress and final inspections required by the New York City Construction Codes contained in Title 28 must be filed with the Department.
      (4)   Construction inspections. Any construction work performed in connection with the alteration application, including but not limited to the solar electric generating system, shall be inspected and have its final inspection, in accordance with Administrative Code §28-116.2.4.2. Other inspections as required by the New York City Construction Codes contained in Title 28 or this section shall be performed in accordance therewith.
      (5)   Electrical inspections. The electrical work performed in connection with the solar electric generating system shall be completed and inspected in accordance with the New York City Electrical Code.
      (6)   Construction sign-off. The applicant of record shall submit to the Department completed Technical Reports and a request for construction sign-off pursuant to Administrative Code §28-116.4.
      (7)   Electrical sign-off. The electrical inspection is deemed signed off when it passes an inspection performed by the Department's Electrical Division.
      (8)   Job sign-off. The request for job sign-off shall be accompanied by utility company acknowledgement that the application for interconnection is complete or certification by the applicant for property tax abatement or such applicant's representative attesting that the solar electric generating system will not be interconnected with the electrical grid. The request shall also be accompanied by a completed property tax abatement application. If the property tax abatement application is not submitted together with and at the same time as the request for job sign-off, the property tax abatement application shall be denied and the Department shall not further review or process the property tax abatement application.
      (9)   Required item. The Department shall register receipt of the property tax abatement application as a required item in its records.
      (10)   Filing date. The date of filing of the property tax abatement application shall be the date of submission of construction sign-off documents and the application for property tax abatement as described in paragraph (8) of subdivision (e) of this section and as recorded by the Department.
   (f)   Procedure: Property tax abatement application.
      (1)   Title 4-C certification. An architect or engineer shall inspect the completed solar electric generating system installation and shall certify its compliance with the requirements of Title 4-C, including but not limited to Sections 499-aaaa(10) and 499-cccc.
      (2)   Property tax abatement application form and signatures. An architect or engineer shall complete the property tax abatement application form, sign and seal the form, and obtain the signature of the applicant for property tax abatement or such applicant's representative.
      (3)   Eligible solar electric generating system expenditures.
         (i)   Such property tax abatement form shall include a certification by the property tax abatement applicant or such applicant's representative of the solar electric generating system expenditures for which the tax abatement is sought.
         (ii)   Such expenditures shall not include: (A) any expenditures incurred prior to August 5, 2008; (B) any interest or other finance charges; or (C) any expenditures incurred using a federal, state or local grant. A federal, state or local grant shall not include another tax benefit, including a tax abatement, tax credit, tax exemption or tax rebate.
         (iii)   No expenditures shall be eligible for a tax abatement pursuant to Title 4-C if such expenditures were incurred in connection with a solar electric generating system placed in service before August 5, 2008.
      (4)   Delivery of property tax abatement application form to applicant of record. The architect or engineer who files the application for property tax abatement shall provide the completed property tax abatement application form, which shall include all certifications required by Title 4-C and this section, to the applicant of record for submission to the Department at construction sign-off. The completed property tax abatement application, together with the Technical Reports, the electrical sign-off and the request for construction sign-off, must be filed with the Department by March 15 in order for the property tax abatement to take effect on July 1 of the same calendar year. If a property tax abatement application is filed after March 15, the property tax abatement to which such application relates shall not take effect until July 1 of the following calendar year.
      (5)   Upon receipt and acceptance of the completed property tax abatement application form, the Department shall record its acceptance and shall notify the Department of Finance. However, the Department shall not notify the Department of Finance until all applicable fees for the solar installation have been paid.
   (g)   Compliance period.
      (1)   The applicant for property tax abatement shall allow all architects, and engineers involved in the installation and maintenance of the solar electric generating system and the Department to have access to the solar electric generating system and any related structures and equipment for inspection thereof at any time during the compliance period upon reasonable notice.
      (2)   Pursuant to Title 4-C §499-dddd(1), within fifteen (15) calendar days prior to the last day of the compliance period, any architect or engineer involved in the installation and maintenance of the solar electric generating system shall inspect the solar electric generating system to certify its continuing compliance with Title 4-C, this section and applicable provisions of law and rules, including but not limited to the codes enumerated in subdivision (d) of this section. The applicant of record shall prepare an inspection report and maintain it on file in accordance with the provisions of the New York State Education Law and Rules of the Board of Regents for review by the Department upon request. If the applicant of record finds that the solar electric generating system is not in compliance with Title 4-C, such applicant shall notify the Department on such forms and in such manner as prescribed by the Department.
   (h)   Revocation.
      (1)   Should the Department have reason to believe at any time during the compliance period that a condition described in Title 4-C §499-eeee(1) exists, the Department shall inspect or otherwise investigate the condition. If the findings of such inspection or investigation indicate that a condition described in Title 4-C §499-eeee(1) exists, the applicant for property tax abatement shall pay the inspection and investigation expenses of the Department. The Department shall notify the applicant for property tax abatement of any findings that indicate that a condition described in Title 4-C §499-eeee(1) exists and provide such applicant with an opportunity to dispute the findings.
      (2)   No later than the ninetieth day after the last day of the compliance period, the Department shall notify the Department of Finance of any findings of noncompliance, and shall identify the period of noncompliance.
      (3)   The Department may declare an applicant for property tax abatement ineligible for future tax abatements in accordance with Title 4-C §499-eeee(4).
   (i)   Notification of the New York State Department of Education. In accordance with Title 4-C §499-ffff(3), should the Department determine that any architect or engineer involved in the installation and maintenance of the solar electric generating system engaged in professional misconduct in making certifications required by Title 4-C or this rule, the Department shall so notify the New York State Department of Education. Any misconduct in making such certifications may, following hearing by the Board of Regents, provide a basis for revocation of the professional's license or imposition of other penalty or sanction.
   (j)   [Repealed.]
(Am. eff. 6/16/2016)
   (a)   Scope. This section outlines the requirements for Department-approved courses required by the Administrative Code and Department rules for training, license qualification and licensee continuing education. Unless otherwise authorized under the Administrative Code or Department rules, only Department-approved courses may be offered to fulfill Department course requirements.
   (b)   Course Provider Application Process.
      (1)   The course provider applicant must submit:
         (i)   an application form provided by the Department; and
         (ii)   proof that the applicant has met the requirements of paragraph (2) of subdivision (d) of this section. Prior to the date provided in that paragraph, an applicant that does not meet the requirements of that paragraph must submit upon application all documentation necessary for the department to determine whether the course would meet all the requirements of this section.
      (2)   A listing of the providers of the approved courses will be available through the Department's website. Incomplete or inaccurate applications will be rejected.
   (c)   Approved Courses.
      (1)   Course Requirements.
         (i)   All courses must comply with the Department's course curricula published on its website, which lists the relevant citations for statutory or other requirements listed in this paragraph.
         (ii)   No more than four (4) hours of any curriculum may consist of course materials or credits to be applied to multiple license types.  Exception: Subparagraph (ii) does not apply to course curricula for Master and Special Electrician, Master Plumber and Master Fire Suppression Piping Contractor.
         (iii)   All curricula must include the following information as applicable to the relevant construction trade:
            (A)   Business practices;
            (B)   Relevant building code provisions, rules, and policy and procedure notices enacted or promulgated by the Department;
            (C)   Administrative code provisions, rules and policy and procedure notices enacted or promulgated by any other city agency;
            (D)   Overview of Occupational Safety and Health Standards ("OSHS") for the Construction Industry;
            (E)   Relevant Department of Buildings filing and inspection requirements;
            (F)   Safety/hazardous materials;
            (G)   New technology;
            (H)   Corruption prevention standards; and
            (I)   Other subjects identified by the Commissioner.
         (iv)   All courses must reflect any changes in the Department's published course curricula or any applicable laws, rules and regulations within ninety (90) days.
      (2)   Notification of Approved Courses.
         (i)   The course provider must have a website and must publish course schedules on its website, including dates, times, and locations, and otherwise make all course schedules available in writing to the Department upon request. The course provider must also notify the Department of a scheduled course at least three (3) business days prior to it being offered. All information on the course provider's website, including the location of courses and the courses taught, must be current.
         (ii)   The course provider must notify the Department of any changes to the course within fourteen (14) days of such change.
      (3)   Course Review. At the end of each course, the instructor(s) must conduct a review of the materials taught. The Department may require that a hands-on or written performance evaluation be given to attendees.
      (4)   Course Instructor(s). Course providers must require that the course instructor(s) demonstrate that he or she is credentialed or trained in instructional methods and learning processes. The instructor(s) must also successfully demonstrate to the course provider his or her ability to solve or resolve problems relating to the subject matter by possession of a recognized degree, certificate, licensure or professional standing, or by extensive knowledge, training, and experience, in the subject matter being taught. To the extent that the course instructor(s) holds, or has held, a trade license issued by the Department, it must be in good standing and not be surrendered to, suspended by or revoked by the Department.
         (i)   For Supported Scaffold, Suspended Scaffold and Mast-Climber training courses, the instructor(s) must also be authorized by the Occupational Safety and Health Administration ("OSHA") as a trainer(s) for its Construction and Outreach Program.
         (ii)   For Hoist Machine Operator courses, the instructor(s) must also hold a valid New York City Hoist Machine Operator's license or hold a national certification for crane operation.
         (iii)   For Master and Special Electrician courses, the instructor(s) must demonstrate credentials or training in instructional methods and learning processes through licensure or certification, including but not limited to, certification as an electrical course provider in jurisdictions following the National Electrical Code/NFPA 70.
      (5)   Course Facilities. The course facilities must:
         (i)   Have sufficient room to accommodate all expected attendees and the equipment needed to perform hands-on exercises where required as part of the course;
         (ii)   Make provisions for the presentation of training material in all media types (computer, projectors, video/DVD players, etc); and
         (iii)   Comply with all applicable laws, rules and regulations relating to occupancy, zoning, egress, fire detection, fire suppression, light, ventilation, cleanliness, sanitary facilities, emergency notification and evacuation procedures.
      (6)   Attendance Record. The course provider must have in place fraud- resistant procedures for confirming the identity and attendance of individuals taking any course(s), including logs reflecting those in attendance at different times during the course, and be able to produce the logs and any other documentation demonstrating that an attendee attended the course(s).
      (7)   Course Completion.
         (i)   For training courses, the course provider must issue a wallet-size identification card to attendees upon course completion. Such card must contain the following information:
            (A)   The name of the person to whom it was issued;
            (B)   A photograph of the person to whom it was issued;
            (C)   The name and address of the issuing organization;
            (D)   The date of issuance;
            (E)   An indication of the type of training and the number of credit hours completed; and
            (F)   The signature of the course administrator.
         (ii)   For qualification and continuing education courses, the course provider must issue a certificate of completion to the attendees upon course completion. Such certificate must contain the following information:
            (A)   The name of the person to whom it was issued;
            (B)   The name and address of the issuing organization;
            (C)   The date of issuance;
            (D)   An indication of the type of course and the number of credit hours completed; and
            (E)   The signature of the course administrator.
         (iii)   The course provider must maintain a record of all the names of course attendees and the course they completed for a period of seven (7) years from the date of completion. The course provider must make these records available to the Department upon request.
      (8)   Department Observation and Evaluation. The Department may observe any Department-approved course without prior notification to the course provider. The Department may evaluate courses taught by course providers through audit or other means at such intervals as it deems necessary and may require additional information as it deems necessary.
   (d)   Course Provider Requirements.
      (1)   The course provider must be a sole proprietorship, a corporate officer of a course provider corporation, a partner of a course provider partnership, an educational institution, a governmental agency or authority, a trade union, or a trade association, provided that a governmental agency or authority need not comply with paragraph (2) of this subdivision.
      (2)   Beginning on August 31, 2014, the course provider must provide proof that it is:
         (i)   approved by the New York State Department of Education, such as through a registered New York State Department of Labor vocational, trade or apprenticeship program;
         (ii)   licensed as an educational institution by the New York State Department of Education;
         (iii)   accredited by an accrediting organization recognized by the United States Department of Education or the Council for Higher Education Accreditation; or
         (iv)   certified by an organization accredited by the American National Standards Institute (ANSI) as a Standards Developing Organization with published standards for continuing education and training.  Upon a determination of good cause, including but not limited to the absence of approved courses needed to meet a Department requirement, the Commissioner may extend the time to meet the requirements of this paragraph beyond August 31, 2014.  For alternative Mast-Climbing work platform training course provider requirements to those listed in (d)(2), herein, see section 3314-01(m).
      (3)   Course providers must continuously maintain the qualifications required by paragraphs (1) and (2) of this subdivision and must provide a copy of such approval, license, accreditation or certification to the Department upon request. The course provider must immediately notify the Department of any lapse or expiration of its approval, license, accreditation or certification.
      (4)   The individual course provider, the principals or partners of the course provider corporation or partnership and all course instructors must comply with all applicable Federal, State and local laws, rules and regulations.
      (5)   The course provider must notify the Department of any changes to the course provider's name within fourteen (14) days of such change.
   (e)   Suspension and Revocation of Approval.
      (1)   Following notice and an opportunity to be heard, the Department may suspend or revoke approval of a course provider's courses based on the failure to comply with a Department requirement. However, when the public safety may be imminently jeopardized, the Commissioner may, pending an opportunity to be heard and Department determination, suspend approval for a period not exceeding thirty (30) days.
      (2)   The basis for the suspension or revocation of a course approval may form the basis for the suspension or revocation of any or all of that course provider's approved courses.
      (3)   The Department will post on its website that the approval of a course has been suspended or revoked.
   (f)   Notwithstanding the forgoing, the Department may act as a provider, or the sole provider, of any course to fulfill a Department course requirement. A listing of available Department courses will be posted on the Department's website.
   (a)   Hearings concerning the following matters under the jurisdiction of the Department shall be held before the Office of Administrative Trials and Hearings and shall be governed by the rules of procedure utilized at that tribunal:
      (1)   Proceedings pursuant to Administrative Code §28-104.2.1 and §28-104.2.1.3.2 against a registered design professional seeking suspension, exclusion, or other limitation on such registered design professional's participation in the Professional Certification Program.
      (2)   Proceedings pursuant to Administrative Code §§28-104.2.1, §28-114.1 and §28-115.2 seeking the suspension, revocation, disqualification or other limitation, with or without penalties, of the authority of any licensee or holder of a certificates of competence issued by the Department, approved agency, special inspector, registered design professional or any other person to conduct inspections of work or tests or to participate in any program authorizing either less than full examination of documents based on a registered design professional's professional certification or self-certification of the results of document preparation or review or an inspection.
      (3)   Proceedings pursuant to Administrative Code §28-211.1.2 charging a person with having knowingly or negligently made a false statement or having knowingly or negligently falsified or allowed to be falsified any certificate, form, signed statement, application, report or certification of the correction of a violation required under the provisions of the code or of any rule of any agency.
      (4)   Proceedings pursuant to Administrative Code Articles 212 and 214 seeking an order of closure.
      (5)   Disciplinary proceedings pursuant to Administrative Code §28-401.19 seeking suspension or revocation, with or without penalties, against any licensee or holder of a certificates of competence issued by the Department.
      (6)   Hearings pursuant to Administrative Code Article 419 for the return of seized property, separately or in conjunction with hearings to adjudicate the violation underlying the seizure.
      (7)   Civil service employee disciplinary matters.
      (8)   Any other administrative adjudicatory hearing not otherwise committed to the jurisdiction of another agency.
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