Issuance of Proof of Compliance to Company Certificate Holders
3 RCNY § 115-02
in effect§ 115-02 Issuance of Proof of Compliance to Company Certificate Holders
(a) Scope. This section governs the requirements for issuance by the Department of decals and tags or other proof of compliance to companies and individuals to document the performance of certain fire safety inspections, testing, cleaning, servicing and/or other required or regulated activities.
(b) Definition. The following term shall, for purposes of this section, have the meaning set forth herein.
Proof of compliance. Department-Issued decals, tags or other forms of documentation, individually marked and/or numbered to identify the company and person who performed certain fire safety inspections, testing, cleaning servicing and/or other required or regulated activities.
(c) General. The Department will issue proof of compliance in accordance with the requirements and procedures set forth in this section.
(1) Types. The Department will issue only to businesses holding the following company certificates proof of compliance for the following fire safety inspections, testing, cleaning and servicing activities:
(A) Company certificate for portable fire extinguisher sales and company certificate for portable fire extinguisher servicing: proof of compliance for portable fire extinguisher inspection, testing and servicing (including repair and recharging).
(B) Company certificate for commercial cooking exhaust system servicing: proof of compliance for commercial cooking exhaust system inspection and cleaning.
(2) Issuance procedure. An authorized representative of a business holding a company certificate shall submit a written request (in such form or manner as prescribed by the Department) to the Public Certification Unit of the Bureau of Fire Prevention for issuance of proof of compliance. The Department will coordinate the purchase of the proof of compliance from an authorized vendor. Price, order and payment arrangements will be published on the Department's website (www.nyc.gov/fdny) and are subject to change. Minimum order sizes may apply. Except as otherwise provided in 3 RCNY § 115-02(d)(6), the purchase price is non-refundable and the proof of compliance is not returnable.
(d) Use of Proof of Compliance.
(1) Authorized use. Use of proof of compliance is restricted to the business to which the proof of compliance is issued, and to the certificate of fitness holders employed by the company who actually conduct commercial cooking exhaust duct system cleaning. Proof of compliance may not be transferred to any other company (including any subsidiary or other entity related to the company holding a company certificate) without the prior written authorization of the Chief of Fire Prevention.
(2) Commercial cooking exhaust system. The proof of compliance for a commercial cooking system (including any insert or marking identifying the certificate of fitness holder who performed the servicing) shall be affixed to each hood upon completion of a cleaning of the entire commercial cooking exhaust system (including any precipitator or other pollution control device) in compliance with FC 609, by the certificate of fitness holder who conducted the cleaning.
(3) Portable fire extinguisher. The proof of compliance for a portable fire extinguisher (including any insert or marking identifying the certificate of fitness holder who performed the servicing) shall be affixed to the extinguisher upon completion of the annual inspection and any required servicing.
(4) Safeguarding and reporting of loss or theft. The principals and officers of each company to which proof of compliance has been issued, and the certificate of fitness holders authorized to handle and affix proof of compliance for such company, shall safeguard the proof of compliance. Loss or theft of proof of compliance shall be reported to the Public Certification Unit of the Bureau of Fire Prevention by the company certificate holder or certificate of fitness holder within two (2) business days. Notification shall also be made to the Public Certification Unit within two (2) business days of the date a certificate of fitness holder leaves employment with the company, to enable the Department to monitor any future use of proof of compliance by that certificate of fitness holder.
(5) Unauthorized use and misuse. Unauthorized use of proof of compliance, by a company or individual other than the company to which the proof of compliance was issued (and its authorized representatives), and misuse of proof of compliance, by the company to which it was issued (and its authorized representatives):
(A) is a violation of the Fire Code, this Section, 3 RCNY § 113-01 and 3 RCNY § 115-01;
(B) may result in imposition of a civil or criminal penalty;
(C) may result in denial of an application for a company certificate or certificate of fitness; and
(D) constitutes misconduct within the meaning of 3 RCNY § 113-01(g) and 3 RCNY § 115-01(i), and may result in suspension, revocation and/or non-renewal of a company certificate and/or certificate of fitness.
(6) Changes in business operations. A company certificate holder to which proof of compliance has been issued must provide at least 10 business days' advance notice in writing to the Public Certification Unit of the Bureau of Fire Prevention any change in ownership, office location, or other information required by the application for issuance of the proof of compliance. If permanently discontinuing business operations, the company certificate holder may obtain a full refund of unused proof of compliance (not to exceed 4,000 items) by giving notice of discontinuance of business operations to the Public Certification Unit, and returning the unused proof of compliance, within 10 business days of discontinuing business operations.
(e) Recordkeeping.
(1) Each holder of a company certificate shall maintain a record of the identifying numbers of all proof of compliance:
(A) issued to the company;
(B) supplied by the company to individual certificate of fitness holders employed by the company and authorized to conduct the regulated activity and affix the proof of compliance;
(C) used to document the conduct of the regulated activity, as set forth in 3 RCNY § 115-02(e)(2) and (3); and
(D) lost or stolen, and the date such loss or theft was reported to the Department, as set forth in 3 RCNY § 115-02(d)(4).
(2) Each holder of a company certificate for commercial cooking exhaust cleaning shall maintain a record of the following information to document use of proof of compliance (in accordance with FC 107.7):
(A) Date of the cleaning and/or servicing of each commercial cooking exhaust system;
(B) The business name and address at which the commercial cooking exhaust system was cleaned and/or serviced, and proof of compliance affixed;
(C) The names and certificate of fitness numbers of the technicians that conducted the cleaning and/or servicing; and
(D) The identifying number of the proof of compliance.
(3) Each holder of a company certificate for portable fire extinguisher sales or servicing shall maintain a record (in accordance with FC 107.7) of the following information to document use of proof of compliance:
(A) The identifying number of the portable fire extinguisher to which proof of compliance was affixed;
(B) The name of the business to or for which the portable fire extinguisher was sold and/or serviced, and the premises address at which the portable fire extinguisher will be used;
(C) The name(s) and certificate of fitness number(s) of the technicians that conducted the cleaning and/or servicing; and
(D) The identifying number of the proof of compliance.
(Added City Record 4/18/2018, eff. 5/18/2018)
Source: City of New York, Charter, Administrative Code and Rules (American Legal Publishing XML export, codelibrary.amlegal.com)URL: https://codelibrary.amlegal.com/codes/newyorkcity/latest/NYCrules/0-0-0-106345Fetched: 10/24/2026