Scope. This section consolidates requirements for conditions that were lawfully existing on the effective date of a Fire Code provision, and that, in accordance with FC 102.3 or 102.4, may be continued in compliance with laws, rules, regulations and permit conditions applicable at the time such condition was lawfully allowed or approved.
Definitions. The following term shall, for the purposes of this section and as used elsewhere in the rules, have the meaning shown herein:
Pre-existing (facility or condition). Any condition, including the design and installation of any facility, lawfully existing on the effective date of a Fire Code provision that, in accordance with FC 102.3 or 102.4 and this rule, may be continued in compliance with laws, rules, regulations and permit conditions applicable at the time such facility was lawfully allowed or approved, and which is not determined by the Department to be subject to the provisions of FC 102.5.
Types of Pre-Existing Conditions. The Fire Code was originally enacted effective July 1, 2008. It has been amended since its original enactment. Pre-existing conditions include facilities:
1. pre-dating the Fire Code that were lawfully designed and installed in accordance with the New York City Fire Prevention Code and/or other laws, rules, regulations, permit conditions and national standards in effect prior to July 1, 2008; and
2. lawfully designed and installed in accordance with the applicable provisions of the Fire Code and rules in effect on and after July 1, 2008, but which could no longer be designed and installed in the same manner as a result of a subsequent amendment to the Fire Code or rules that prohibits, or amends the requirements for, such facility. Pre-existing conditions do not include facilities that were designed under prior laws, rules or repealed or amended Fire Code provisions, if the facility is allowed or would be approved under the Fire Code, as subsequently amended.
Illustrative Pre-Existing Conditions. The following facilities illustrate the application of FC 102.3 and FC 102.4:
1. Conditions or facilities approved prior to July 1, 2008 that are pre-existing facilities. Approved facilities lawfully existing on June 30, 2008, may be pre-existing facilities under provisions of law that were in effect on that date but repealed effective July 1, 2008, or laws that had been repealed before June 30, 2008, where the facility was lawfully continued until that date. For example:
  1. A below-grade storage facility for flammable liquids lawfully designed and installed in a mercantile establishment prior to July 1, 2008, and that on June 30, 2008 was in compliance with the design and installation requirements for such facilities set forth in Subchapter 9 of the New York City Fire Prevention Code (New York City Administrative Code § 27-4066), is a pre-existing facility which may be continued in compliance with the provisions of the New York City Fire Prevention Code and the rules in effect on June 30, 2008, notwithstanding the fact that such below-grade facility would not be allowed or approved in a control area under the Fire Code.
  2. A refrigerating system that was lawfully designed and installed on a premises pursuant to Subchapter 18 of the New York City Fire Prevention Code prior to the enactment of the 1968 Building Code, and that had not been required by reason of alteration or otherwise to be replaced to comply with the superseding 1968 Building Code or subsequent construction code requirements for such systems, may be continued in compliance with the earlier provisions of the New York City Fire Prevention Code, notwithstanding the fact that such refrigerating system would not be allowed or approved under the Fire Code.
  3. An LPG storage facility that was lawfully designed and installed on a premises pursuant to Fire Prevention Directive 2-88, and that had not been required by reason of alteration or otherwise to be replaced or discontinued, may be continued in compliance with said directive, notwithstanding the fact that the quantity of LPG storage authorized by said directive exceeds the quantity that would be allowed or approved under the Fire Code.
2. Conditions or facilities not approved prior to July 1, 2008 that are pre-existing facilities. Any condition or facility lawfully existing on July 1, 2008, that had not been regulated under the New York City Fire Prevention Code or New York City Building Code prior to such date, and which are not allowed and could not be approved under the Fire Code or the rules, may be a pre-existing condition or facility within the meaning of this section, if:
  1. prior to June 30, 2008 or other effective date of the applicable Fire Code provision, the condition or facility was in compliance with the requirements of any applicable Federal, New York State or other laws, rules or regulations; and
  2. at the time the condition or facility was established, it was substantially in compliance with national or industry standards or practices.
3. Conditions or facilities lawfully existing prior to July 1, 2008 that were not pre-existing facilities but become pre-existing facilities as a result of subsequent Fire Code amendments. Any condition or facility which was lawfully existing on June 30, 2008, and which was allowed or approved under the Fire Code may become a pre-existing facility by a Fire Code amendment or rule that no longer allows or authorizes approval of the condition or facility. For example:
  1. An existing underground liquid motor fuel storage tank designed and installed after April 2000 pursuant to provisions of Subchapters 8, 9 and 11 of the New York City Fire Prevention Code and former rule § 21-20 that are substantively identical to the provisions of the Fire Code and the rules, was not a pre-existing facility within the meaning of former FC 102.3 and this section and was required to comply with the applicable provisions of the Fire Code and the rules. However, effective March 30, 2014, the Fire Code's design and installation requirements for underground liquid motor fuel storage and dispensing systems were amended. As a result, an underground liquid motor fuel storage tank designed and installed in accordance with these former Fire Prevention Code and rule provisions would not be allowed or approved under the Fire Code. Accordingly, such an underground liquid motor fuel storage tank, which was not previously a pre-existing facility, became a pre-existing facility pursuant to FC 102.3 and 102.4 on March 30, 2014, provided that, on March 29, 2014, its design and installation remained in compliance with the design and installation requirements under which it was originally approved or allowed.
4. Conditions or facilities designed or installed under the Fire Code (on or after July 1, 2008) that are pre-existing facilities. Any condition or facility designed and installed on or after July 1, 2008, pursuant to provisions of the Fire Code, or which was not regulated by the Fire Code between July 1, 2008 and the date of a Fire Code amendment, may be a pre-existing facility if the condition or facility was lawfully existing on the day prior to the effective date of an amendment of the Fire Code. For example:
  1. A fire apparatus access road dead end turnaround designed and installed in compliance with the Fire Code requirements for such turnarounds in effect prior to March 30, 2014 (as set forth in former FC 503.2.5), and lawfully continued until March 29, 2014, is a pre-existing facility that may be continued in compliance with the laws, rules, regulations and permit conditions applicable at the time such turnaround was lawfully allowed or approved, notwithstanding the fact that the turnaround would not be allowed or approved under the amended Fire Code, which increased the required size of the turnaround.
  2. A below-grade paint spray booth designed and installed in compliance with the Fire Code requirements for paint spray booths in effect prior to March 30, 2014 (as set forth in former FC 1504), and lawfully continued until March 30, 2014, is a pre-existing facility which may be continued in compliance with the laws, rules, regulations and permit conditions applicable at the time such paint spray booth was lawfully allowed or approved, notwithstanding the fact that such below-grade paint spray booth would not be allowed or approved under the amended Fire Code, which prohibited below-grade paint spray booths.
Consolidation of Provisions of Law Applicable to Pre-Existing Facilities and Conditions. Provisions of the New York City Fire Prevention Code and the rules in effect prior to the enactment of the Fire Code effective July 1, 2008, and provisions of the Fire Code and the rules in effect prior to the amendment of the Fire Code effective March 30, 2014, including requirements governing the design and installation of pre-existing facilities, and the manufacturing, storage, handling and use of materials in pre-existing facilities under conditions that would not be allowed or approved under the Fire Code, are consolidated in 3 RCNY Chapter 48, as follows:
1. The third and fourth characters of the number of each section of 3 RCNY Chapter 48 correlate to the Fire Code chapter with that number. For example, R4809-01 refers to pre-existing fire protection systems, which are governed by FC Chapter 9. The provisions of law consolidated in each such section are those applicable to pre-existing facilities and conditions relating to a material or facility governed by that Fire Code chapter.
2. The provisions of law consolidated in each such section have been abridged to delete operational and maintenance requirements, or design and installation requirements that are allowed or approved under the Fire Code, as to which compliance with the Fire Code is required. Deletions are indicated by asterisks (***).
3. Any amendments to the provisions of law consolidated in each such section are indicated by underlining, and, if terms defined in the Fire Code or rules are used, by italics.
Other Provisions of Law Applicable to Pre-Existing Facilities and Conditions. Pre-existing facilities and conditions shall comply with all applicable laws, rules and regulations, including provisions of law not consolidated in 3 RCNY Chapter 48.
Projects In Progress.
1. Approved facilities completed prior to January 1, 2010. The design and installation of a facility, the construction of which was completed and/or approved for use or occupancy by the Department of Buildings on or after July 1, 2008, and which would not be allowed and could not be approved under the applicable provisions of the Fire Code and the rules, shall be deemed a pre-existing facility under the following circumstances and subject to the following conditions:
  1. The design of the facility shall have been approved by the Department of Buildings and a work permit issued by that agency for the construction thereof prior to July 1, 2008;
  2. The design of the facility to be constructed was in compliance with all applicable provisions of the Fire Prevention Code and Fire Department rules in effect at the time such work permit was issued; and
  3. Construction of the facility is completed and its use and occupancy approved prior to January 1, 2010.
2. Approved facilities completed prior to January 1, 2011. The design and installation of a facility otherwise eligible to be deemed a pre-existing facility pursuant to R102-01(g)(1), except that construction of the facility will not be completed, and/or its use and occupancy will not be approved, prior to January 1, 2010, shall be deemed a pre-existing facility under the following circumstances and subject to the following conditions:
  1. A showing satisfactory to the Department that compliance with the applicable provisions of the Fire Code and rules would be an undue hardship; and
  2. Compliance with approved measures to ameliorate the fire safety concerns arising from non-compliance with the Fire Code and rule design requirements constituting the undue hardship; and
  3. Construction of the facility is completed and its use and occupancy approved prior to January 1, 2011, except that such deadline may be extended by modification upon a satisfactory showing that construction could not be reasonably completed by such date, and the construction continues to be authorized under the work permit issued by the Department of Buildings.
3. Approved facilities completed prior to September 30, 2015. The design and installation of a facility, the construction of which was completed and/or approved for use or occupancy by the Department of Buildings on or after March 30, 2014, and which would not be allowed and could not be approved under the applicable provisions of the Fire Code and the rules, shall be deemed a pre-existing facility under the following circumstances and subject to the following conditions:
  1. The design of the facility shall have been approved by the Department of Buildings and a work permit issued by that agency for the construction thereof prior to March 30, 2014;
  2. The design of the facility to be constructed was in compliance with all applicable provisions of the Fire Code and Fire Department rules in effect at the time such work permit was issued; and
  3. Construction of the facility is completed and its use and occupancy approved prior to September 30, 2015.
4. Approved facilities completed prior to September 30, 2016. The design and installation of a facility otherwise eligible to be deemed a pre-existing facility pursuant to R102-01(g)(3), except that construction of the facility will not be completed, and/or its use and occupancy will not be approved, prior to September 30, 2016, shall be deemed a pre-existing facility under the following circumstances and subject to the following conditions:
  1. A showing satisfactory to the Department that compliance with the applicable provisions of the Fire Code and rules would be an undue hardship; and
  2. Compliance with approved measures to ameliorate the fire safety concerns arising from non-compliance with the Fire Code and rule design requirements constituting the undue hardship; and
  3. Construction of the facility is completed and its use and occupancy approved prior to September 30, 2016, except that such deadline may be extended by modification upon a satisfactory showing that construction could not be reasonably completed by such date, and the construction continues to be authorized under the work permit issued by the Department of Buildings.

§104-01 Appeals

Scope. This section sets forth procedures by which any person aggrieved by the issuance of any notice, order, violation or other determination issued by the Department may appeal therefrom and obtain a final agency determination as to the validity thereof insofar as it relates to the interpretation or modification of the Fire Code, the rules, or other law, rule or regulation enforced by the Department.
General Provisions.
1. Appeals. Any person to whom the Department has issued a notice, order, violation or other determination pursuant to the provisions of the Fire Code, the rules, or other law, rule or regulation enforced by the Department, and who is aggrieved thereby, may obtain review of such notice, order, violation or other determination and a final agency determination relative to the interpretation or modification of such laws, rules or regulations, in accordance with the procedures set forth in this section. No appeal may be had from an appeal determination or other determination denominated as a final agency determination.
2. Relationship with adjudications. Nothing contained in this section shall be construed to affect the adjudication of any notice of violation returnable before ECB, or a summons returnable before the New York City Criminal Court, except a summons issued for failure to comply with a violation order or other Commissioner's order. Nothing contained in this section shall be construed to affect the adjudication of any other notice, order, violation or other determination issued by the Department, except insofar as a final agency determination as to the interpretation or modification of the code may be required for such adjudication.
Appeal Procedures.
1. Time for appeal. Appeals shall be filed with the Department no later than thirty (30) calendar days from the date of issuance of such notice, order, violation or other determination. The Department may extend such time upon a satisfactory showing that the party aggrieved by the determination appealed from did not receive timely notice of the determination, or other good cause shown.
2. Submission. The appeal shall be directed to the Department's Chief of Fire Prevention, with a copy to the Department's Bureau of Legal Affairs, except that if the notice, order, violation or determination appealed from was issued by the Chief of Fire Prevention, the appeal shall be directed to the Fire Commissioner, with a copy to the Department's Bureau of Legal Affairs.
3. Form and content. The appeal shall be made in writing in such form as may be prescribed by the Department; state with particularity the objections taken; and support such objections by relevant citation to the Fire Code or other law, rule, regulation or legal authority, and submission of relevant documentation or other evidence. Any additional information or other supplemental submission requested by the Department shall be submitted to the Department within twenty (20) days of the date of the request, or within such other time as may be prescribed by the Department.
4. Appeal determination. The Department shall render a written determination on the appeal, granting or denying the appeal, in whole or in part, and stating its reasons therefor.
Stay of Enforcement.
1. No automatic stay. The filing of an appeal shall not stay the enforcement of the notice, order, violation or other determination appealed from, nor shall it relieve any person affected by such determination of the obligation of complying with its requirements or appearing for any adjudication or other legal proceeding.
2. Request for stay. The person submitting an appeal may at any time request a stay of enforcement of such notice, order, violation or other determination. Such request shall be made in writing and shall be submitted in the manner set forth in R104-01(c).
3. Stay determination. The Department shall expeditiously render a written determination of such request, giving due consideration to the interests of public safety, the costs of compliance, and the apparent merits of the appeal. If the request for a stay is denied, the Department shall render its determination on the appeal no later than thirty (30) days from the date of such denial.

§104-02 Professional Certification of Fire Alarm System Installations

Scope. This section sets forth the standards, requirements and procedures for the professional certification of the design and installation of fire alarm systems.
Definitions. The following terms shall, for purposes of this section and as used elsewhere in the rules, have the meanings shown herein:
      Core building system. Fire alarm system devices and equipment in and around the central or main building stairwells, elevators and utility risers of any buildings, except buildings classified in Occupancy Group R-3. A fire alarm system includes the fire command center (commonly referred to as a fire command station), fire pump, main sprinkler water flow switch, main sprinkler valve tamper switch, elevator lobby smoke detectors, central station connections, elevator in readiness operation, and core alarm boxes, warden phones and other fire alarm communications devices. Such fire alarm systems are also commonly referred to as the "base" building system.
      Letter of approval. The written determination of the Department that a fire alarm system installation has been installed and is operating in compliance with the Building Code, Electrical Code and Fire Code requirements for such installation enforced by the Department.
      Professional certification. The submission to the Department of a signed, personal verification by a registered design professional that accompanies an application and/or design and installation documents filed with the Department and attests that such application or design and installation documents do not contain any false information and that such application or design and installation documents are in compliance with all applicable laws, rules and regulations.
General Provisions.
1. Professional certification of fire alarm system installations. Fire alarm system installations may be professionally certified, as set forth in FC 104.2.1, in accordance with the provisions thereof and this section, in buildings for which a letter of approval has been issued for the core building system. A core building system may not be professionally certified.
2. Qualifications. Only registered design professionals may professionally certify that fire alarm system installations are in compliance with the Fire Code, Building Code, applicable provisions of Department and Department of Buildings rules, and other applicable laws, rules and regulations.
3. Format of design and installation documents. Design and installation documents and related submissions shall be in the format set forth in R105-01(b)(4) or as otherwise designated by the Department.
4. Letter of approval. Letters of approval for fire alarm system installations that have been professionally certified will indicate that the fire alarm system installation, or part thereof, was approved by the Department based upon professional certification pursuant to FC 104.2.1.
5. Audit. All fire alarm system installations that have been professionally certified are subject to audit.
6. Disqualification for false certification. Pursuant to FC 104.2.1.1, in addition to the penalties for violating provisions of the applicable laws, rules and regulations, registered design professionals who submit false or fraudulent documents certifying compliance with the requirements of the Fire Code and rules may be disqualified from submission of professionally certified applications under the Fire Code.
Submission and Approval Procedure.
1. Submission of professional certification. A completed Fire Department fire alarm professional certification form for any fire alarm system installation, or part thereof, that is being professionally certified in lieu of a Department inspection in accordance with the provisions of FC 104.2.1 and R104-02, shall be submitted to the Department, together with the submissions required by R105-01(c)(2)(A)(2), (3) and (4), including the design and installation documents approved for the installation; "as-built" design and installation documents of the fire alarm system installation and the facility in which it is installed, as actually constructed; and the applicable fee for review of such an application. Such submission shall be made at the earliest date following the completion of such installation, but in all cases prior to occupancy of any building, or part thereof, that is to be newly occupied or reoccupied.
2. Acceptance and issuance of letter of approval. Professionally certified design and installation documents will be accepted for filing, and a letter of approval issued. The Department may review such professionally certified design and installation documents for completeness and/or other purposes, and if it determines they are deficient, may deny or rescind acceptance and issuance of the letter of approval.
3. Filing with Department of Buildings. The "as built" design and installation documents submitted to and accepted by the Department will be electronically filed with the Department of Buildings by the Department as part of the applicant's Department of Buildings application, unless another manner of filing such documents with the Department of Buildings is prescribed by the Department.

§104-03 Disposal of Contraband Materials

Scope.
1. This section sets forth standards, requirements and procedures for the destruction or other disposition of any article, device, or equipment, the manufacture, storage, handling, use transportation, possession or sale of which is prohibited by the Fire Code or the rules, or which is manufactured, stored, handled, used, transported, possessed or sold in violation thereof.
2. Nothing in this section shall be construed to define or limit the Department's discretion to seize contraband materials, or to define or limit the Department's discretion to arrange for the removal of contraband materials, by their owner or other person lawfully entitled to their possession, from the premises or location where such contraband materials are found.
Definitions. The following terms shall, for purposes of this section and as used elsewhere in the rules, have the meanings shown herein:
Notice of disposal. A written notice advising owners of contraband material or other interested parties of the final opportunity to reclaim such material.
Notice of seizure. A written notice advising the owner of contraband material of its seizure and of the procedures for reclaiming it.
Opportunity to Reclaim Contraband Material. Except as otherwise provided in R104-03(c)(1) and (2), the Department will afford any owner of contraband material, or other person lawfully entitled to its possession, an opportunity to reclaim such material, provided that it is reclaimed in accordance with the procedures set forth in this section.
1. Non-reclaimable contraband. The following contraband material may not be reclaimed, and shall not be subject to the procedures set forth in R104-03(d):
  1. Contraband materials whose condition presents an imminent hazard to life, health or property. This includes a material that has a serious defect, damage or deformity, that has leaked or is leaking its contents, or that cannot be safely stored.
  2. Contraband materials whose immediate disposal is necessary to prevent or abate an emergency situation, such as a fire,
  3. Contraband materials that may not be lawfully possessed by the owner or other person seeking to reclaim the material.
2. Contraband materials held as evidence. Notwithstanding any other provision of this section, the Department will not release contraband material held as evidence until such time as the use of such material is no longer required in accordance with applicable law.
Procedures for Disposal of Contraband Material. Contraband material shall be disposed of in accordance with the procedures set forth in this subdivision.
1. Notice of opportunity to reclaim. The Department shall give notice of the seizure and anticipated disposal of the contraband material and of the opportunity to reclaim to the owner and other interested parties at the time of the seizure, as follows:
  1. A notice of seizure shall be given to the person in possession of the contraband material at the time of its seizure, or to the person in control of the premises from which the contraband material is seized.
  2. If the identity of an owner of the contraband material is clearly marked on or is clearly ascertainable from the contraband material, and it is different from that of the recipient of any notice given pursuant to R104-03(d)(1)(A), a copy of the notice of seizure shall be mailed to such owner.
2. Notice of disposal. If the contraband material is not reclaimed within two weeks of the date of seizure, the Department shall publish a notice of disposal in the City Record. The notice of disposal shall identify the material by size, contents, serial number or other identifying mark, and date and place of seizure, and shall set forth a deadline for reclaiming the contraband material not less than ten calendar days from the date the notice is published. A copy of such notice of disposal shall be mailed to any person or organization who arranges with the Department to receive such notice.
3. Failure to timely reclaim. Owners and other persons lawfully entitled to possession of a contraband material who fail to timely reclaim the contraband material shall be deemed to have abandoned any right, title or interest they may have in the contraband material, and to have no objection to the Department's disposal of the contraband material in such manner as the Department deems appropriate.
4. Location for reclaiming. Owners reclaiming contraband material shall retrieve such material from the Department's storage facility or other place designated by the Department for such retrieval.
5. Qualifications of persons handling and transporting. Contraband materials reclaimed by their owners shall be handled and transported only by persons possessing the requisite qualifications (such as a certificate of fitness) where such qualifications are required by law or rule, and shall be transported only in motor vehicles that comply with federal, state and city rules and regulations.
6. Indemnification. An owner reclaiming contraband material shall provide a sworn affidavit representing that he or she owns or is lawfully entitled to possession of the material and will indemnify The City of New York, its agencies, officials, employees and agents, from any and all claims, suits, damages and expenses arising from claims of ownership to the reclaimed materials.
7. Fees. The fee for removal and storage of contraband material shall be as set forth in FC A04.1(6). No removal or storage fee shall be charged where it is determined by the Department or a court of competent jurisdiction that the contraband material had not been unlawfully manufactured, stored, handled, used, transported, possessed or sold.
Department Disposal of Contraband Materials. The Department may dispose of contraband materials which are not reclaimed in accordance with the procedures set forth in R104-02(d) in such manner as the Department deems appropriate, including but not limited to removal by a contract vendor retained by the Department for this purpose.

§104-04 Certification of Corrected Defects in Fire Alarm System Installations

Scope. This section sets forth the standards, requirements and procedures for certification of correction of defects in the design and installation of newly-installed and altered fire alarm systems, when such defective conditions are cited by the Department upon inspection or acceptance testing of such a system.
Definitions. The following terms, for purposes of this section and as used elsewhere in the rules, have the meanings shown herein:
Certification of corrected defects. Certification by licensed or certified professionals, in accordance with R104-04, that a defect cited by the Department in the design and/or installation of a fire alarm system has been corrected, as follows:
1. certification by the fire alarm system installer who personally corrected the defect. Such person shall either be:
  1. a principal of a company to which the Department has issued a company certificate for fire alarm system installation, inspection, testing and servicing who holds a certificate of fitness for fire alarm system installation, inspection, testing and servicing and for certification of corrected defects; or
  2. a technician employed by such a company who holds a certificate of fitness for fire alarm system installation, inspection, testing and servicing, and for certification of corrected defects; and
2. if correction of the defect necessitated the installation of electrical wiring or other work requiring the services of a licensed electrician, certification by the licensed master electrician or licensed special electrician who holds a certificate of fitness for certification of corrected defects who personally corrected the defect or supervised the work of a qualified electrical technician under such licensed electrician's direction and control; and
3. the licensed or certified professional who personally verified the functionality of the fire alarm system following correction of the defect. Such person shall hold a certificate of fitness for verification of corrected fire alarm system defects. Such person shall not be one of the licensed or certified professionals who certified correction of the fire alarm system defects.
4. A licensed special electrician may certify correction of work or verify system functionality only for fire alarm system installations for which the special electrician made the required filings.
Applicability. In lieu of Department re-inspection, owners may elect to certify correction of defects in newly-installed or altered fire alarm system installations that have not yet been approved by the Department, when all of the following conditions have been met:
1. Approved design documents. The owner submitted design and installation documents with the Department and obtained Department approval of the design of the system;
2. Acceptance test. The owner's representatives conducted the required acceptance test of the system before Department representatives;
3. System defects. The Department identified defects in the design and installation of the system, including whether it operates as designed, as set forth in a notice of defect or other Department documentation issued after the effective date of this section, and such defects cited prior to the effective date of this section as the Department may determine to allow to be certified pursuant to this section, consistent with the standards, requirements and procedures of this section;
4. Ineligible defects. The notice of defect does not identify more than 10 fire alarm system defects in a low-rise building or more than 20 fire alarm system defects in a high-rise building, and/or does not identify any defects in the design and installation of any of the following system components (when required), including whether they operate as designed:
  1. Emergency alarm systems;
  2. Emergency power switchover;
  3. Firefighter service (Phase 1 and Phase 2), including elevator recall operation;
  4. Fan shut down affecting the operation of more than 20% of fan systems;
  5. Fire shutter operation;
  6. [Reserved;]
  7. Power riser (including fire rating requirements);
  8. Primary power supply connection (including connection after building disconnect);
  9. Smoke control operation;
  10. Sprinkler water flow switches and other non-sprinkler fire extinguishing system activation devices;
  11. Stair pressurization; and
  12. Central station connection.
5. Timely submission. Certification of corrected defects is submitted to the Department within 90 days of the date the notice of defect was issued.
Eligibility for Certificate of Fitness for Certification of Corrected Defects. The following licensed or certified professionals may obtain a certificate of fitness for verification of corrected fire alarm system defects:
1. a registered design professional;
2. a principal of a company for which a company certificate for fire alarm system installation, inspection, testing and servicing has been issued, who is a fire alarm system installer registered with or licensed by the State of New York; and
3. a master electrician or special electrician licensed by the Department of Buildings.
Scope of Certification of Professional Correcting Defects. Certification of corrected defects constitutes a representation by the licensed or certified professional correcting the defects, made under the authority granted to the licensed or certified professional by his or her professional license or certification and the applicable Department certificate, that the defect in the design or installation of the fire alarm system, identified in the applicable notice of defect, has been corrected, in accordance with the applicable requirements of the Building Code, Fire Code, Electrical Code, NFPA 72 and/or other law, rule, regulation, standard or component listing, as follows:
1. Types of defects. Certification of corrected defects constitutes a representation that each defect has been corrected as follows:
  1. Missing component. If the defect was a system component that was not installed, the component has been installed and connected to the requisite power source, and operates as designed.
  2. Non-approved component. If the defect was a system component that was not listed or otherwise not approved for use in New York City, the component has been replaced with a listed or approved component, and operates as designed.
  3. Non-working component. If the defect was a system component that was not working or not working properly, the condition has been corrected, and the component is in good working order and operates as designed.
2. Operates as designed. For purposes of certification of corrected defects, "operates as designed" means that the system component performs the function for which it has been designed and installed, in accordance with the manufacturer's specifications and the approved design and installation documents for the system, as amended by any as-built design and installation documents and (with respect to electrical work) any A-433 form, including activating or shutting down all devices the system component is designed to activate or shut down.
3. Minimum duration of testing. Certification of corrected defects of a system component shall be based on operation of the device for the period of time necessary to assure its proper operation.
4. Inspection of other system components. Certification of corrected defects includes a representation that other system components, within the scope of work performed, have been inspected and tested, including inspection and testing of devices that activate such component and devices activated or shut down by the component. The certification does not include a representation that wiring and/or other inaccessible components have been inspected and tested, except for certifications by the licensed or certified professional who, to correct the defect, installed such wiring and/or performed work on such other inaccessible components.
Scope of Certification of Professional Verifying System Functionality. Certification of corrected defects constitutes a representation by the licensed or certified professional verifying the functionality of the fire alarm system following correction of defects, made under the authority granted to the licensed or certified professional by his or her professional license or certification and the applicable Department certificate, that a defect involving a missing or non-working component has been corrected and the fire alarm system is operating as designed in accordance with the approved plans for the fire alarm system, as amended by any asbuilt design and installation documents, including the Input/Output programming matrix that defines the sequence of operation (as set forth in Annex A to Section A.14.6.2.4 of NFPA Standard 72).
Submission and Acceptance of Certification of Corrected Defects. Certification of corrected defects shall be submitted to the Department, and, if satisfactory, accepted by the Department, in the following manner:
1. Submission. Certification of corrected defects shall be submitted on the form approved by the Department for this purpose.
2. Required signatures. The approved form for certification of corrected defects shall be personally signed by all parties required for the certification. As such, except as otherwise provided in R104-04(g)(3), it shall bear the signatures of up to three separate licensed or certified professionals: the signature of the one or two licensed or certified professional(s) who corrected the defect(s) and the signature of the licensed or certified professional who verified the functionality of the fire alarm system following correction of defects.
3. As-built plans and A-433 forms. To complete a fire alarm system application, any changes to a fire alarm system from the original approved design must be reflected on the applicable Department A-433 form, asbuilt design and installation documents and/or other required documentation and submitted to the Department prior to, or at the time of, the Department inspection. When a notice of defect directs the filing of an A-433 form, asbuilt design and installation documents and/or other documentation, such documentation shall be submitted together with a certification of corrected defects. If there are no defects in the design or installation of the fire alarm system and the notice of defect requires submission of the applicable A-433 form, asbuilt design and installation documents or other documentation solely to complete the application, the certification of corrected defects requires only a single signature, that of the licensed or certified professional verifying the functionality of the fire alarm system.
4. Acceptance and letter of approval. Upon acceptance of certification of corrected defects, including, where required, acceptance of the as-built design and installation documents, A433 forms and/or other documentation, the Department will deem the defective condition corrected. If there are no other outstanding defects or other considerations preventing its issuance, a letter of approval will be issued for the fire alarm system.
False Certification. All certifications of corrected defects are subject to audit. Any licensed or certified professional and certificate holder found to have submitted false or fraudulent certification shall be subject to the penalties provided therefor in the Fire Code and rules, and any other applicable law, rule or regulation, including the penalties for misconduct set forth in R113-01(g) and R115-01(i), as applicable. False certification of corrected defects may also be considered in connection with the false certifier's fitness to hold other certificates of fitness or company certificates.

(Added City Record 10/16/2020, eff. 12/1/2020)

§105-01 Approval of Fire Alarm System Installations

Scope. This section sets forth the standards, requirements and procedures for the submission of design and installation documents for fire alarm system installations for Department review and approval.
General Provisions.
1. Submission and approval required. Pursuant to FC 907.1.1, design and installation documents for fire alarm system installations, containing such details as may be required by the Fire Code, Building Code, Electrical Code and this section, shall be submitted for Department review and approval prior to system installation.
2. Certification of design and installation documents. Pursuant to FC 105.4.1, design and installation documents must be prepared by a registered design professional. Such documents shall bear the seal of such design professional, which shall serve to certify that the documents are in compliance with applicable provisions of the Fire Code, Building Code, rules, and other applicable laws, rules and regulations.
3. Filings upon completion of installation. Upon completion of a fire alarm system installation that comprises any part of a core building system, the owner shall submit a request for inspection pursuant to R105-01(c)(2). Upon completion of a fire alarm system installation that does not comprise part of a core building system, the owner shall submit such a request or a professional certification of the installation.
4. Format of design and installation documents. The design and installation documents required by this section shall be formatted (to scale) either to the standard size of 24 inches by 36 inches in dimension, or to the folio size of 11 inches by 17 inches in dimension, as specified in this section, or in such other format as may be designated by the Department. The Department may require, pursuant to FC 105.4, submission of design and installation documents and related submissions, in an electronic format designated by the Department.
Submission and Approval Procedure.
1. Submission and approval of design and installation documents.
  1. Submissions. Applications for approval of fire alarm systems shall first be filed with the Department of Buildings, and a Department of Buildings application number obtained. Thereafter, two (2) sets of engineering drawings complying with the requirements of Building Code Section BC 907.1.1 and bearing the Department of Buildings application number shall be submitted to the Department, by filing them at the Bureau of Fire Prevention's plan intake window, together with a copy of all forms filed in connection with the Department of Buildings application, and a Department design and installation document examination application form. One set of the engineering drawings shall be formatted to standard (24 x36) size and one to folio (11 x17) size.
  2. Approval. The Department will review the design and installation documents submitted pursuant to R105-01(c)(1)(A), and, if determined to be in compliance with the requirements of the laws, rules and regulations enforced by the Department, stamp such documents approved.
  3. Retention of approved engineering drawings. The Department will retain an electronic copy of the approved engineering drawings in folio (11 x 17) size, and return both sets of approved original engineering drawings to the applicant. The applicant shall retain the approved original engineering drawings, and make the standard (24 x 36) size set available to the Department representative at the time of inspection pursuant to R105-01(c)(3)(A).
2. Department inspection filing.
  1. Submissions. Applications for Department inspection of a fire alarm system installation shall include the following documentation and such other information and documentation as the Department may require:
    1. the Department's "request for inspection" application form;
    2. "as built" design and installation documents of the fire alarm system installation, and the facility in which it is installed, as actually constructed, formatted in folio (11 × 17) size, and containing: (a) the information required by Building Code Section 907.1; and (b) the Input/Output programming matrix and written certification required by R105-01(c)(2)(A)(3) and (4). If such "as built" design and installation documents cannot be filed at the time of submission of the request for inspection because installation work has not been completed, such "as built" documents may be submitted thereafter but no later than the date of inspection of the installation, either by filing them at the Bureau of Fire Prevention's plan intake window or by providing them to the Department representative at the time of inspection of the installation.
    3. a completed Input/Output programming matrix that defines the sequence of operation, as set forth in Annex A to Section A.10.6.2.3(9) of NFPA Standard 72; and
    4. a written statement from a registered design professional, a person holding a license to engage in the business of installing, servicing and maintaining fire alarm systems issued by the New York Secretary of State pursuant to Article 6-D of the New York State General Business Law, or a master electrician licensed by the Department of Buildings and registered with the New York Secretary of State in accordance with such Article 6-D, certifying that a functional test has been conducted of the fire alarm system and the system operates as designed and in accordance with the Input/Output programming matrix. If such functional test cannot be conducted at the time of submission of the request for inspection because installation work has not been completed, such written certification may be submitted to the Department in accordance with R105-01(c)(2)(A)(2).
  2. Acceptance. The Department will review such application for inspection and supporting documentation for completeness and/or other purposes, and if satisfactory, will authorize an inspection.
3. Inspection and approval of fire alarm system installation.
  1. Availability of documents. The standard (24 × 36) size approved original engineering drawings of the fire alarm system installation, pursuant to R105-01(c)(1)(C), and a set of "as built" design and installation documents of the installation, pursuant to R105-01(c)(2)(A)(2), shall be made available for inspection by the Department representative at the time of inspection of the fire alarm system installation.
  2. Filing with Department of Buildings. The "as built" design and installation documents submitted to and accepted by the Department will be electronically filed with the Department of Buildings by the Department as part of the applicant's Department of Buildings application, unless another manner of filing such documents with the Department of Buildings is prescribed by the Department.

§109-01 FDNY Summons, Certification of Correction and Stipulation Procedures

Scope. This section sets forth procedures for the certification of correction and adjudication of violations issued by the Department and returnable to the New York City Office of Administrative Trials and Hearings (OATH).
Definitions. The following terms shall, for the purposes of this section and as used elsewhere in the rules, have the meanings shown herein:
FDNY summons. A form, formerly known as a notice of violation, that is used for purposes of enforcing the Fire Code, the rules, or other law, rule or regulation enforced by the Department, that serves to notify the respondent named therein of a violation of such laws, rules or regulations, orders correction of same, commences a proceeding at OATH, and sets forth information relating to such violation and proceeding.
OATH. The New York City Office of Administrative Trials and Hearings, acting pursuant to Section 1049-a of the Charter.
Certification of Correction of Violations.
1. All FDNY summonses, except those that charge failure to certify correction, false certification or violation of a Commissioner's order (other than the order to certify correction), shall include an order requiring the respondent to correct the conditions constituting the violations, and to file a certification with the Department that the conditions have been corrected.
2. The required certification shall be made on the certificate of correction form accompanying the FDNY summons issued by the Department representative. The certificate of correction shall be completed and signed by the respondent in accordance with the instructions set forth thereon, and shall be notarized by a notary public or commissioner of deeds. The respondent shall submit with the certificate of correction all documentation necessary and appropriate to demonstrate correction of the violations.
3. The signed and notarized certificate of correction shall be directed to:
           Administrative Enforcement Unit
           Bureau of Legal Affairs
           New York City Fire Department
           9 MetroTech Center
           Brooklyn, NY 11201-3857
4. The certificate of correction must be received by the Administrative Enforcement Unit of the Bureau of Legal Affairs no later than the close of business on the 35th calendar day from the date of offense set forth on the FDNY summons. Both the date of offense and the date for certification of correction are indicated on the face of the violation.
5. The filing of a certificate of correction in accordance with this section constitutes an admission to the offense charged and results in a finding of liability, but respondents cited for one (1) or more first offenses who, for each such condition, timely correct and file a certificate of correction that is accepted by the Department, are not required to appear for a hearing at OATH and avoid the imposition of a penalty on such violation.
6. When more than one (1) violation of a law, rule or regulation is cited on the same FDNY summons, the respondent may certify correction as to one (1) or more of such violations. However, respondent must appear for a hearing at OATH, as set forth on the FDNY summons, if certification of correction is not filed with and accepted by the Department for all of the violations cited on the FDNY summons.
7. The Department will review all certificates of correction and determine whether to accept them as satisfactory certification of correction. The Department will notify each respondent as to whether the certificate has been accepted, and, if it has not been accepted, advise the respondent of the deficiencies in the certification and the actions and/or proof required to correct the violations.
Acceptance of Compliance Stipulations in Adjudications.
1. If the respondent admits to the violation but requires additional time to comply beyond the date indicated on the FDNY summons, the respondent may request a stipulation for compliance purposes.
2. The Department may agree to offer a stipulation to extend the time for correction, upon such terms and conditions as the Department determines to be reasonable. Such offer, and the finalization of any such stipulation, shall be consistent with 48 RCNY Chapter 3.

(Amended City Record 8/30/2017, eff. 10/1/2017)

§109-02 Consolidation of Administrative Code Provisions for Enforcement Purposes

Scope. This section establishes violation categories for the purpose of enforcing the provisions of the New York City Fire Code (FC) (Title 29 of the Administrative Code); Title 15 of the Administrative Code (Fire Prevention and Control); the New York City Construction Codes (Title 28 of the Administrative Code); the rules promulgated by the Department and codified in Title 3 of the Rules of the City of New York (3 RCNY); and/or other laws, rules and regulations enforced by the Department. These violation categories will be cited by Department personnel in connection with the issuance of FDNY summonses returnable to OATH, in lieu of citation to a particular code or rule section.
Violation Categories. The following violation categories are established for the aforementioned enforcement purposes:

Violation Category 1: Portable Fire Extinguishers and Fire Hoses

Failure to provide and/or maintain required portable fire extinguishers, fire hoses or other portable fire extinguishing devices, in violation of FC 303.5; 307.4; 307.5; 308.5; 308.6; 309.2; 309.3; 310.7; 315.3; 317.5; 319.6; 325.9; 603.3; 609.4; 609.6; 609.9; 901.4; 906.1; 906.2; 906.3; 2005.2; 2005.3; 2005.4; 2005.5; 2005.6; 2007.7; 2010.6; 2108.4; 2305.5; 2308.7; 2310.6; 2311.7; 2311.8.7; 2404.4; 2404.5; 2405.5; 2406.4; 2410.1; 2808.8; 2809.5; 2903.5; 3006.3; 3104.12; 3104.13; 3206.10; 3307.3; 3315.1; 3317.3; 3408.2; 3504.2; 3605.2.3; 3703.6; 3706.6; 4006.14; 5007.9; 5306.7; 5606.8; 5609.6; 5703.2; 5704.3; 5705.4; 5706.2; 5706.4; 5706.8; 5707.8; 5806.5; and 6108.2; Administrative Code section 28-103.1; and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

Violation Category 2: Combustible Waste Containers

Failure to provide a required container for combustible waste and/or store combustible waste in a required container, in violation of FC 304.3; 310.6; 609.4; 2304.1; 2310.5; 2311.2; 2403.4; 2409.3; 3304.2; 3703.1; 4005.2; 4006.9; and 6504.1; and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

Violation Category 3: Permits

Failure to obtain, renew or otherwise possess a Department permit required for any material, operation or facility regulated by the Fire Code, in violation of FC 105.6; and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

Violation Category 4: Unlawful Quantity or Location of Regulated Material

Manufacturing, storing, handling, using, transporting, selling or possessing hazardous materials, combustible materials, or other materials regulated by the Fire Code in an amount in excess of the quantity authorized by Department permit and/or the quantity or location restrictions for such materials set forth in the Fire Code or the rules, in violation of FC 105.1; 303.7; 308.3; 308.4; 308.5; 308.6; 309.2; 313.3; 314.4; 315.5; 315.7; 317.7; 605.11; 608.9; 2106.2; 2106.3; 2310.2; 2410.1; 3206; 3207; 3208; 3306.3; 3306.4; 3306.5; 3704; 3705; 4003.3; 4003.4; 5003.1; 5003.11; 5006.6; 5106.2; 5106.3; 5106.4; 5106.5; 5704.3; 5704.4; 5705.3; 5705.5; 5804.1; 5804.2; 5811.3; 6105.3; 6109.12; 6306.3; 6504.5; and 6504.1; and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

Violation Category 5: Recordkeeping

Failure to maintain and/or produce required recordkeeping, including records of inspections, tests, servicing, fire watch, emergency preparedness drills and other operations and maintenance, in violation of FC 105.3; 107.7; 311.5; 317.5; 401.4; 401.5; 401.7; 401.8; 412.3; 510.3; 604.3; 604.4; 606.1; 606.14; 608.12; 609.7; 609.10; 611.4; 901.6; 901.7; 901.9; 903.5; 904.6; 906.2; 907.18; 907.20; 908.5; 909.1; 909.2; 910.2; 2006.5; 2006.6; 2101.4; 2105.4; 2105.5; 2301.10; 2304.3; 2304.4; 2306.2; 2308.1; 2308.2; 2309.1; 2310.3; 3308.1; 3503.5; 3504.3; 3706.4; 5003.3; 5007.5; 5308.8; 5601.5; 5603.1; 5603.2; 5603.5; 5603.6; 5604.9; 5607.19; 5607.20; 5608.9; and 5704.2; and/or such other Fire Code or rule sections as provide therefor.

Violation Category 6: Signs, Postings, Notices and Instructions

Failure to provide and/or maintain required signs, postings, notices, and/or instructions, in violation of FC 105.3; 107.1; 107.4; 310.3; 310.4; 310.5; 316.2; 315.7; 401.2; 401.5; 401.6; 405.5; 406.2; 408.5; 410.4; 501.4; 503.2; 503.4; 504.4; 505.2; 505.4; 505.5; 509.1; 510.3; 603.1; 605.3; 606.7; 607.2; 608.11; 609.7; 703.2; 903.5; 904.3; 904.8; 904.10; 904.11; 906.6; 907.19; 912.4; 1027.8; 2003.2; 2005.7; 2006.3; 2104.2; 2105.1; 2304.1; 2304.2; 2305.4; 2308.1; 2308.8; 2309.1; 2310.5; 2310.6; 2403.2; 2407.4; 2410.6; 2507.1; 2603.3; 3007.1; 3104.6; 3205.3; 3304.1; 3305.4; 3306.2; 3309.1; 3318.1; 3503.6; 3509.3; 3509.5; 3706.5; 3706.6; 4006.12; 5003.5; 5003.6; 5003.7; 5003.11; 5004.3; 5303.2; 5307.6; 5308.8; 5503.4; 5604.6; 5607.9; 5607.10; 5607.16; 5608.6; 5703.5; 5704.2; 5704.3; 5705.4; 5706.2; 5706.4; 5706.8; 5707.6; 5803.1; 6005.3; 6107.2; 6203.3; 6303.3; 6306.2; 6306.6; 6603.3; and 6703.3; Administrative Code sections 28-103.1 and 15-127(c)(3); and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

Violation Category 7: Labels and Markings

Failure to provide and/or maintain a required and/or approved label, or other marking, in violation of FC 107.1; 112.3; 309.2; 309.3; 313.5; 316.2; 315.7; 504.4; 505.1; 505.3; 505.4; 509.1; 511.7; 512.4; 603.6; 603.9; 605.7; 609.4; 803.1; 803.2; 905.3; 906.2; 2306.7; 2308.2; 2506.1; 3007.2; 3104.2; 3303.1; 3306.2; 5003.5; 5003.7; 5103.2; 5303.2; 5503.4; 5703.5; 5704.2; 5704.3; 5705.4; 5706.4 ; and 6004.2; Administrative Code section 28-103.1; and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

Violation Category 8: Storage, Accumulation and Removal of Combustible Material and Waste

Storage of combustible material, failure to timely remove combustible waste from the premises, and/or allowing the accumulation of combustible waste and/or vegetation upon a premises, in violation of FC 304.1; 304.2; 307.5; 309.3; 311.3; 311.5; 315; 317.5; 318.3; 319.3; 325.8; 606.10; 804.2; 1027.3; 1027.4; 2003.3; 2006.4; 2105.1; 2304.1; 2310.5; 2505; 2505.1; 2803.3; 2808; 3104.5; 3104.22; 3304.2; 3305.3; 3403.3; 3504.1; 3504.3; 3509.4; 3603.2; 3604.2; 3703.1; 4005.2; 4006.9; 4007.5; 5003.12; 5004.11; 5005.3; 5303.5; 5504.3; 5604.7; 5704.4; 5706.2; 5707.4; 5804.2; 5810.5; 5904.3; 6107.3; 6503.2; and 6504.1; Administrative Code section 28-103.1; and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

Violation Category 9: Rooftop Access and Means of Egress

Failure to provide required rooftop access to, or required means of egress from, any premises or part thereof, free from obstructions or impediments, including unobstructed passage across the building parapet, unobstructed landing areas, and unobstructed clear paths, and overcrowding by reason of the presence of persons in locations that obstruct or impede egress, and/or failure to maintain rooftop access or means of egress, in violation of FC 315.2; 318; 501.4; 504; 512.2; 801.6; 1001.2; 1027; 2404.3; 3104.4; 3104.18; 3311.1; 3311.2; 5104.3; 5303.3; 5704.3; 5706.4; 5806.3; 6109.4; and 6503.3; Administrative Code section 28-103.1; and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

Violation Category 10: Overcrowding

Failure to limit the number of persons in a premises or any part thereof, in violation of FC 107.6; 202; 403.2; and 1027.3; Administrative Code section 28-103.1; and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

Violation Category 11: General Maintenance

Failure to maintain devices, equipment, systems, facilities or premises, or part thereof, in good working order (except as otherwise provided in Violation Categories 6 and 7), in clean condition, or in compliance with other general maintenance or housekeeping requirements, in violation of FC 107.1; 111.1; 304.1; 309.3; 315.6; 325.8; 607.5; 609; 1027.7; 2105.1; 2203.2; 2311.2; 2406.4; 2407.4; 2408.3; 3205.4; 3305.3; 4006.11; 5003.2.6; 5308.6; and 5604.8; Administrative Code section 28-103.1; and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

Violation Category 12: Fire Protection Systems

Failure to provide and/or maintain fire protection systems and other emergency building systems, including sprinkler systems and other fire extinguishing systems, standpipe systems, fire pumps, fire alarm systems, emergency alarm systems, in-building auxiliary radio communication systems, and/or other devices, and equipment associated with such systems, or to prevent unnecessary alarms and unwarranted alarms, in violation of FC 309.3; 509.2; 510; 608.9; 901.1; 901.6; 901.7; 901.9; 903.5; 903.6; 904.5; 904.6; 905.12; 907.20; 908; 909.1; 909.2; 910.2; 912.6; 913.5; 914.2; 2108.2; 2108.3; 2306.8; 2308.7; 2309.3; 2310.6; 2311.8; 2404; 2405; 2406; 2407; 2703.12; 2903; 3605; 4003.5; 4007.4; 5004.9; 5104.4; 5106.3; 5307.5; 5609.6; 5704; 5706.4; and 6004; Administrative Code section 28-103.1; and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

Violation Category 13: Flame-Resistant Materials

Failure to provide and/or maintain flame-resistant materials, in violation of FC 306.3; 310.7; 804.4; 805; 3104.2; 3104.4; 3604.2; and 5006.11; Administrative Code section 28-103.1; and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

Violation Category 14: Fire-Rated Doors and Windows

Failure to provide, protect and/or maintain a required door or window, including fire-rated doors, self-closing doors, access doors, or fire-rated glass, in violation of FC 315.2; 703.1; 703.2; 703.4; 704.1; 904.3; 3206.3; 3206.6; 3207.2; 3208.2; 3504.1; 4003.4; 5003.8; 5104.3; 5104.6; 5306.2; and 5705.3; Administrative Code section 28-103.1; and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

Violation Category 15: Fire-Rated Construction

Failure to provide and/or maintain required fire-rated construction, including walls and other partitions, in violation of FC 309.3.3; 311.2; 311.5; 315.2; 315.7; 608.9; 608.13; 703.1; 2108.3; 2703.14; 3206.3; 3304.8; 3504.1; 3704; 4003.4; 4007.4; 5003.8; 5006.6; and 5306.2; Administrative Code section 28-103.1; and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

Violation Category 16: Ventilation

Failure to provide and/or maintain required and/or approved natural or mechanical ventilation, including required devices, equipment or systems, in violation of FC 309.2; 309.3; 310.7; 608.9; 609; 904.3; 2104.2; 2105.2; 2105.3; 2108.3; 2311.4; 2311.8; 2404.2; 2404.3; 2404.4; 2404.5; 2405.3; 2405.4; 2406.3; 2407.3; 2409.2; 2410.5; 2703.14; 2905.5; 3003.1; 3305.2; 4003.4; 4003.7; 5004.3; 5306.2; 5307.5; 5308.5; 5309.2; 5704; 5705; 5706; 5806.3; and 6103.2; Administrative Code section 28-103.1; and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

Violation Category 17: Certificates of Fitness and Certificates of Qualification

Failure to obtain and/or produce a certificate of fitness and/or certificate of qualification for the supervision and/or operation of materials, operations and/or facilities, in violation of FC 303.4; 306.2; 307.6; 310.7; 313.5; 317.3; 325.6; 401.3; 401.4; 401.5; 403.1; 404.3; 405.3; 405.4; 406.2; 407.2; 407.3; 408.3; 410.3; 410.4; 413.3; 414.2; 414.3; 415.1; 510.2; 511.2; 601.4; 603.1; 604.5; 606.1; 606.6; 608.7; 608.10; 608.13; 609.3; 609.5; 609.6; 801.7; 901.6; 901.7; 903.5; 904.5; 905.1; 906.2; 907.20; 908.5; 914.3; 2010.6; 2101.4; 2301.7; 2301.8; 2308.1; 2309.1; 2311.1; 2401.4; 2601.4; 3104.20; 3303.6; 3304.5; 3306.2; 3308.1; 3318.1; 3503.4; 3504.2; 3510.4; 3706.4; 3706.8; 4001.6; 5006.4; 5007.7; 5101.3; 5301.4; 5307.4; 5401.4; 5501.4; 5601.3; 5601.5; 5604.3; 5606.8; 5608.5; 5608.6; 5608.8; 5608.9; 5609.4; 5701.6; 5706.2; 5706.4; 5801.4; 5810.3; 5901.4; 6001.5; 6005.3; 6101.5; 6109.15; 6201.5; 6301.4; 6401.5; 6501.5; 6601.5; and 6701.5; Administrative Code section 28-103.1; and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

Violation Category 18: Certificates of Approval, Certificates of License and Company Certificates

Failure to obtain and/or produce a certificate of approval, certificate of license or company certificate, in violation of FC 104.7; 112; 608.5; 609.3; 609.5; 801.8; 901.4; 901.6; 906.2; 907.3; 1025.5; 2301.9; 2401.5; 2601.4; 3501.7; 4004.5; 5601.3.3; 5601.5; 5608.2; 5608.8; 5609.4; 5701.8; and 5807.3; and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

Violation Category 19: Affidavits, Design and Installation Documents and Other Documentation

Failure to prepare, produce, file with the Department and/or submit for Department approval affidavits, applications, certifications, design and installation documents and/or other required documentation, in violation of FC 105.2; 105.3; 105.4; 401.4; 401.5; 407.4; 504.4; 801.7; 904.6; 907.3; 907.4; 2301.3; 2301.5; 2309.8; 5003.4; 5603.2; 5607.4; 5607.22; 5703.3; 5703.6; 5704.2; 5704.3; 5706.4; and 5810.4; Administrative Code section 28-103.1; and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

Violation Category 20: Inspection and Testing

Failure to conduct a required initial or periodic inspection or test of any device, equipment, system, facility or premises, in violation of FC 105.4; 507.4; 507.5; 510.2; 604.4; 606.6; 609.5; 609.6; 703.4; 901.6; 903.5; 903.6; 904.1; 904.4; 904.5; 904.11; 905.12; 906.2; 907.17; 907.20; 908.5; 909.1; 910.2; 912.6; 913.5; 1027.9; 2006.19; 2007.6; 2105.4; 2306.9; 4001.4; 5003.2.9; 5703.6; 5704.2; 5706.4; and 5807.4; Administrative Code section 28-103.1; and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

Violation Category 21: Portable Containers

Failure to provide or use a required container, in violation of FC 309.2; 2304.1; 2310.3; 4005.1; 5303.1; 5503.1; 5704.3; 5705.2; 5706.2; and 6303.1; and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

Violation Category 22: Stationary Tanks

Failure to provide a required stationary tank storage system, including aboveground or underground flammable or combustible liquid storage tank systems, and devices and equipment associated with such systems, in violation of FC 610.2; 2107.3; 2306.2; 2311.2; 2909.2; 4005.1; and 5704; Administrative Code section 28-103.1; and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

Violation Category 23: Storage Facilities

Failure to provide a required storage facility, including storage cabinets, enclosures, rooms or vaults, in violation of FC 309.3; 315.7; 608.9; 609.4; 3306.3; 3306.4; 3704; 4001.1; 4003.4; 4005.3; 5003.8; 5006.8; 5303.5; 5404; 5704.3; 5804; 5808; 5904; 6003; 6005.3; 6109; 6204; 6304; 6404; 6504; 6604; and 6704; and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

Violation Category 24: Storage of Hazardous Materials and Commodities

Failure to provide required racks and shelf storage, and/or failure to store hazardous materials, commodities or other goods in an approved manner, in violation of FC 3207; 3208; 4005.3; and 5704.3; and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

Violation Category 25: Electrical Hazards

Failure to provide and/or maintain required electrical devices and/or equipment (except as otherwise provided in Violation Category 27 for electrical lighting hazards), and/or allow electrical hazards to exist, in any facility or premises, in violation of FC 309.3; 603.1; 604.1; 605; 606.15; 804.3; 904.3; 2006.3; 2006.5; 2104.2; 2301.5; 2304.1; 2308.1; 2308.8; 2309.2; 2311.3; 2311.8.8; 2403.2; 2404.4; 2404.5; 2405.7; 2406.4; 2410.3; 2504.2; 2603.2; 2904; 2905.6; 3304.7; 3506; 4001.4; 4003.4; 4003.8; 4004.3; 5003.8; 5004.7; 5005.1; 5303.6; 5308.5; 5503.6; 5604.6; 5703.1; 5705.3; 5706.5; 5706.8; 5804.2; 6004.2; 6109.14; 6204.1; and 6204.2; and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

Violation Category 26: Heating and Refrigerating Equipment and Systems

Failure to provide and/or maintain required heating and/or refrigerating systems and/or devices and equipment associated with such equipment or systems, in violation of FC 313.6; 315.2; 603.5; 605.10; 606.5; 606.8; 606.9; 606.11; 606.12; 908.1; 2104.2; 2203.1; 2301.6; 2310.2; 2403.2; 2404.3; 2504.5; 2905.6; 3104.15; 3303.5; 4004.5; 5303.5; 5604.6; 5705.3; 5706.4; and 6504.4; Administrative Code section 28-103.1; and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

Violation Category 27: Electrical Lighting Hazards

Failure to provide and/or maintain required lighting devices or equipment and/or protection therefor, in violation of FC 605.2; 605.9; 605.11; 804.3; 904.3; 2404.3; 2404.4; 2504.4; 3104.9; 3304.7; 4003.8; 5005.1; 5503.10; and 6503.4; Administrative Code section 28-103.1; and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

Violation Category 28: Open Fires, Open Flames and Sparks

Causing or allowing an open fire, open flame or sparking device or equipment to be built, kindled, lit, maintained, operated or used, and/or failure to provide protection therefor, in violation of FC 307; 308; 309.2; 309.6; 317.2; 317.5.2; 804.3; 2004.6; 2006.10; 2006.14.1; 2203.1; 2304.1; 2308.1; 2310.5; 2403.2; 2408.3.8; 2506.2; 2603.2; 2903.6; 2905.6; 3304.3; 3404.1; 3504; 3505.5; 3603.3; 3604.3; 3704.6; 4006.12.2; 5003.7; 5601.3.5; 5604.7.2; 5609.8; 5704.2.4; 5704.2.7.6; 5706.2.1; and 6306.3.2; and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

Violation Category 29: Designated Handling and Use Rooms or Areas

Failure to provide a required room or area for handling and/or use of materials, operations or other activity regulated by the Fire Code, in violation of FC 309.2; 309.3; 310.2; 608.9.4; 2404.2; 2404.5; 3501.3; 4003.4; 4005.2; 4005.3; 4007.4; 5005; 5405.1; 5705.3; 5805.1; 5808; 5905.1; 6003; 6205.1; 6305.1; 6405.1; 6504.1; 6605.1; and 6705.1; and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

Violation Category 30: Emergency Planning and Preparedness

Failure to comply with emergency planning and preparedness requirements (except as otherwise provided in Violation Categories 5, 6 and 17), in violation of FC Chapter 4, including 401.3.6.1 (incorporating by reference former FC 404); and/or such other Fire Code, Administrative Code, or rule sections as provide therefor.

(Amended City Record 8/30/2017, eff. 10/1/2017; amended City Record 4/21/2022, eff. 4/21/2022)

§109-03 Penalty Schedule for FDNY Summonses

Scope. This section establishes a penalty schedule for violations of the laws, rules and regulations enforced by the Department, cited by Department personnel in FDNY Summonses returnable to OATH for adjudication. This penalty schedule is not applicable to violations returnable to, or adjudicated by, any other forum.
Penalty Schedule. The penalty schedule, annexed hereto as Appendix A, sets forth six (6) types of penalties, three for first violations and three for second and subsequent violations.
1. First violation penalty. This penalty will be applied to the first violation committed by the respondent, provided that the respondent appears at OATH in response to the violation. Violations for which the respondent timely certifies correction (in the manner and by the date specified on the FDNY Summons, in accordance with Administrative Code § 15-230 and R109-01) and the Department accepts proof of correction, do not require an appearance by either party and are not subject to civil penalty.
2. First violation mitigated penalty. This reduced penalty will be applied to a first violation, provided that the respondent appears at OATH in response to the violation and establishes that the violating condition has been corrected on or before the hearing date set forth on the FDNY Summons.
3. First violation maximum penalty. This is the maximum penalty provided by law for a first violation. It will be imposed when the respondent defaults on the violation or otherwise fails to appear or respond to a violation.
4. Second/subsequent violation penalty. This penalty will be applied to the second and each subsequent violation committed by the same respondent, for the same provision of law, rule, regulation or Violation Category within 18 months of the first violation, as set forth in Administrative Code § 15-229(a), provided that the respondent appears at OATH in response to the violation. All second and subsequent violations require an appearance and are subject to penalty. Special provisions apply to FDNY Summons for unnecessary and unwarranted alarms, as set forth in R907-01.
5. Second/subsequent violation mitigated penalty. This reduced penalty will be applied to a second and each subsequent violation, provided that the respondent appears at OATH in response to the violation and establishes that the violating condition has been corrected prior to the hearing.
6. Second/subsequent violation maximum penalty. This is the maximum penalty provided by law for a second and each subsequent violation. It will be imposed when the respondent defaults on the violation or otherwise fails to appear or respond to a second or subsequent violation.
7. Penalties for Administrative Code violations. The penalty schedule also sets forth penalties for violations of Administrative Code §§ 15-220.1 and 15-231 and FC 1404.1. There is no mitigated penalty for such violations.

APPENDIX A TO 3 RCNY § 109-03
FDNY SUMMONS PENALTY TABLE

Category (3 RCNY § 109-02)	Description of Violation	OATH Violation Code	First Violation Penalty ($)	First Violation Mitigated Penalty ($)	First Violation Maximum Penalty ($)	Second/ Subsequent Violation Penalty ($)	Second/ Subsequent Violation Mitigated Penalty ($)	Second/ Subsequent Violation Maximum Penalty ($)
VC 1	Portable Fire Extinguishers and Fire Hoses	BF01	600	300	1,000	1,500	750	5,000
VC 2	Combustible Waste Containers	BF02	500	250	1,000	1,500	750	5,000
VC 3	Permits	BF03	700	350	1,000	1,750	875	5,000
VC 4	Unlawful Quantity or Location of Regulated Material	BF04	600	300	1,000	1,500	750	5,000
VC 5	Recordkeeping	BF05	700	350	1,000	1,750	900	5,000
VC 6	Signs, Postings, Notices and Instructions	BF06	600	300	1,000	1,500	750	5,000
VC 7	Labels and Markings	BF07	600	300	1,000	1,500	750	5,000
VC 8	Storage, Accumulation and Removal of Combustible Material and Waste	BF08	700	350	1,000	1,750	900	5,000
VC 9	Rooftop Access and Means of Egress	BF09	950	475	1,000	2,375	1,185	5,000
VC 10	Overcrowding	BF10	950	475	1,000	2,375	1,185	5,000
VC 11	General Maintenance	BF11	750	375	1,000	1,875	935	5,000
VC 12	Fire Protection Systems	BF12	950	475	1,000	2,375	1,200	5,000
VC-12	Fire Protection Systems — Failure to Prevent Unnecessary/Unwarranted Alarms	BF-35	750	375	1,000	1,875	935	5,000
VC 13	Flame-Resistant Material s	BF13	900	450	1,000	2,250	1,125	5,000
VC 14	Fire-Rated Doors and Windows	BF14	900	450	1,000	2,250	1,125	5,000
VC 15	Fire-Rated Construction	BF15	900	450	1,000	2,250	1,125	5,000
VC 16	Ventilation	BF16	900	450	1,000	2,250	1,125	5,000
VC 17	Certificates of Fitness and Certificates of Qualification	BF17	750	375	1,000	1,875	935	5,000
VC 18	Certificates of Approval, Certificates of License and Company Certificates	BF18	750	375	1,000	1,875	935	5,000
VC 19	Affidavits, Design and Installation Documents and Other Documentation	BF19	600	300	1,000	1,500	750	5,000
VC 20	Inspection and Testing	BF20	600	300	1,000	1,500	750	5,000
VC 21	Portable Containers	BF21	600	300	1,000	1,500	750	5,000
VC 22	Stationary Tanks	BF22	750	375	1,000	1,875	935	5,000
VC 23	Storage Facilities	BF23	500	250	1,000	1,500	750	5,000
VC 24	Storage of Hazardous Materials and Commodities	BF24	500	250	1,000	1,500	750	5,000
VC 25	Electrical Hazards	BF25	900	450	1,000	2,250	1,125	5,000
VC 26	Heating and Refrigerating Equipment and Systems	BF26	750	375	1,000	1,875	935	5,000
VC 27	Electrical Lighting Hazards	BF27	750	375	1,000	1,875	935	5,000
VC 28	Open Fires, Open Flames and Sparks	BF28	900	450	1,000	2,250	1,125	5,000
VC 29	Designated Handling and Use Rooms or Areas	BF29	600	300	1,000	1,500	750	5,000
VC 30	Emergency Planning and Preparedness	BF30	950	475	1,000	2,250	1,200	5,000
Admin. Code § 15-220.1	False Certification	BF32	2,500	None	5,000	4,500	None	5,000
Admin. Code § 15-231	Failure to Comply with Commissioner's Order to Correct and Certify	BF31	1,250	None	5,000	3,500	None	5,000
FC 1404.1	Smoking on Construction Site	BF33	1,000	None	1,000	2,400	None	2,400

(Added City Record 8/30/2017, eff. 10/1/2017)