Administration

RCNY tit. 3, ch. 1

in effect

3 RCNY § 102-01 Pre-Existing Facilities and Conditions.

§ 102-01 Pre-Existing Facilities and Conditions. (a) 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. (b) 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. (c) 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 The Fire Code was originally enacted effective July 1, 2008.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 Pre-existing conditions do not include facilities that were designed under prior laws, rules or repealed or amended Fire Code provisions, if the facility is allowed or would be approved under the Fire Code, as subsequently amended. (d) 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existing on June 30, 2008, may be pre-existing facilities under provisions of law that were in effect on that date but repealed effective July 1, 2008, or laws that had been repealed before June 30, 2008, where the facility was lawfully continued until that date.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: (A) 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. (B) 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. (C) 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: (A) 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 (B) 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: (A) 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: (A) 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. (B) 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. (e) 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 83, as follows: (1) The third and fourth characters of the number of each section of 3 RCNY Chapter 83 correlate to the Fire Code chapter with that number. For example, 3 RCNY § 8309-01 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. (f) 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 83. (g) 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: (A) 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; (B) 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 (C) 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 3 RCNY § 102-01(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: (A) A showing satisfactory to the Department that compliance with the applicable provisions of the Fire Code and rules would be an undue hardship; and (B) 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 (C) 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: (A) 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; (B) 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 (C) 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 3 RCNY § 102-01(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: (A) A showing satisfactory to the Department that compliance with the applicable provisions of the Fire Code and rules would be an undue hardship; and (B) 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 (C) 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. (5) Approved facilities completed prior to October 15, 2023. 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 April 15, 2022, 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: (A) 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 April 15, 2022; (B) 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 (C) Construction of the facility is completed and its use and occupancy approved prior to October 15, 2023. (6) Approved facilities completed prior to October 15, 2024. The design and installation of a facility otherwise eligible to be deemed a pre-existing facility pursuant to 3 RCNY § 102-01(g)(5), except that construction of the facility was not completed, and/or its use and occupancy was not approved, prior to October 15, 2023, shall be deemed a pre-existing facility under the following circumstances and subject to the following conditions: (A) A showing satisfactory to the Department that compliance with the applicable provisions of the Fire Code and rules would be an undue hardship; and (B) 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 (C) Construction of the facility is completed and its use and occupancy approved prior to October 15, 2024, 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. (Amended City Record 9/20/2023, eff. 10/20/2023)

3 RCNY § 104-01 Appeals.

§ 104-01 Appeals. (a) 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. (b) 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. (c) 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. (d) 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 3 RCNY § 104-01(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.

3 RCNY § 104-02 Professional Certification of Fire Alarm System Design and Installation.

§ 104-02 Professional Certification of Fire Alarm System Design and Installation. (a) Scope. This section sets forth the standards, requirements and procedures for the professional certification of the design and installation of fire alarm systems. (b) Definitions. The following terms shall, for purposes of this section and as used elsewhere in the rules, have the meanings shown herein: Building core fire alarm system. Fire alarm system devices and equipment in and around the central or main building stairwells, elevators and utility risers of any building, except buildings classified in Occupancy Group R-3. The term is not limited to office buildings or other high-rise buildings that are constructed in phases. The following fire alarm system devices and equipment are considered to be part of the building core fire alarm system: (1) Fire alarm control unit, including booster panels and data gathering panels. (2) Central station communications devices and equipment. (3) Elevator recall initiating devices and equipment. (4) Automatic smoke control and pressurization devices and equipment. (5) Sprinkler water flow and tamper switch devices and equipment. (6) Fire detection devices in electrical, elevator, mechanical and telephone equipment rooms serving building core spaces and systems, excluding equipment rooms serving tenant business operations. (7) Manual fire alarm boxes at or near stairwells. (8) Warden phones and firefighter phones. (9) Duct detectors and fan shutdown relays for any HVAC unit greater than 2,000 cubic feet/minute (cfm) serving building core spaces and systems. (10) Notification appliances in building core areas and means of egress stairwells. 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 and other applicable requirements for such installation enforced by the Department. Professional certification / professionally certified. The submission to the Department of a signed, personal verification by a person holding a certificate of fitness for professional certification of fire alarm and emergency alarm system installations and testing who is a registered design professional, master electrician, special electrician, or fire alarm system installer with NICET-Level III certification licensed by or registered with the State of New York, 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. (c) 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 building core fire alarm system. A building core fire alarm system may not be professionally certified. (2) Qualifications. Only persons possessing the qualifications set forth in FC 104.2.1 and holding the requisite certificate of fitness 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. Such persons may professionally certify fire alarm system design and installation only within the scope of the lawful authority they possess under their license or certification, and in accordance with the provisions of this section. (3) Format of design and installation documents. Design and installation documents and related submissions shall be in the format set forth in 3 RCNY § 105-01 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, any person who submits 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, including revocation of their certificate(s) of fitness. (d) Submission and Approval Procedure. 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 plan examination and/or inspection in accordance with the provisions of FC 104.2.1 and 3 RCNY § 104-02, shall be submitted to the Department as follows: (1) Professional certification of proposed fire alarm system design in lieu of plan examination. Prior to installation, design and installation documents for the fire alarm system work professionally certified by a registered design professional, must be electronically filed with the Department in the form and manner prescribed on the Department's electronic portal, including completion of the applicable application form and payment of applicable fees, and with such supporting documentation (including any documentation required by FC 105.4.4.1) as may be required by the Department. If the application is satisfactorily completed and submitted, the Department will issue a letter of acceptance indicating acceptance of the professionally certified plans. (2) Project authorization. Application must be made for a project authorization authorizing commencement of work at time of filing of the professionally certified design and installation documents, or at any time thereafter. Issuance of project authorization shall be equivalent to a Department of Buildings work permit for purposes of consideration as a project in progress within the meaning of 3 RCNY § 102-01(g). (3) Professional certification of fire alarm system installation in lieu of department inspection. Upon completion and satisfactory testing of the fire alarm system installation, professional certification of the installation by a licensed or certified professional holding the requisite certificate of fitness, must be electronically filed with the Department in the form and manner prescribed on the Department's electronic portal, including completion of the applicable application form and payment of applicable fees. Such professional certifications shall be within the scope of their lawful authority under their license or certificate. Professional certification may be submitted for the scope of work set forth in the project authorization, unless the scope of such professional certification is restricted by the letter of acceptance approving the design of the installation. Professional certification of the installation can also be provided by a professional other than the party who professionally certified the design of the installation. Such submissions must be promptly filed upon 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. If the application and professional certification are satisfactory in form and content, the Department will issue a letter of approval indicating approval of the professionally certified installation. (Amended City Record 3/27/2023, eff. 4/26/2023)

3 RCNY § 104-03 Disposal of Contraband Materials.

§ 104-03 Disposal of Contraband Materials. (a) 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. (b) 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. (c) Opportunity to Reclaim Contraband Material. Except as otherwise provided in 3 RCNY § 104-03(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 3 RCNY § 104-03(d): (A) 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. (B) Contraband materials whose immediate disposal is necessary to prevent or abate an emergency situation, such as a fire, (C) 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. (d) 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: (A) 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. (B) 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 3 RCNY § 104-03(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. (e) Department Disposal of Contraband Materials. The Department may dispose of contraband materials which are not reclaimed in accordance with the procedures set forth in 3 RCNY § 104-02(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.

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

§ 104-04 Certification of Corrected Defects in Fire Alarm System Installations. (a) 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. (b) 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 3 RCNY § 104-04, 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: (A) 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 (B) 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. (c) 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: (A) Emergency alarm systems; (B) Emergency power switchover; (C) Firefighter service (Phase 1 and Phase 2), including elevator recall operation; (D) Fan shut down affecting the operation of more than 20% of fan systems; (E) Fire shutter operation; (F) [Reserved;] (G) Power riser (including fire rating requirements); (H) Primary power supply connection (including connection after building disconnect); (I) Smoke control operation; (J) Sprinkler water flow switches and other non-sprinkler fire extinguishing system activation devices; (K) Stair pressurization; and (L) 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. (d) 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. (e) 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: (A) 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. (B) 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. (C) 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. (f) 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 fire alarm system components after 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 components that were installed and/or repaired in order to correct the defective condition are operating as designed in accordance with the approved plans for the fire alarm system, as amended by any as-built design and installation documents, including the Input/Output programming matrix that defines the sequence of operation (as set forth in Section A.14.6.2.4 of Annex A to NFPA Standard 72). (g) 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. 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, as-built design and installation documents or other documentation required solely to complete the application (administrative defects), submission of certification of corrected defects is not required. Such submissions must bear such certifications as may be required by law, rule or Department procedure. (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 3 RCNY § 104-04(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. (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. (h) 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 3 RCNY § 113-01(g) and 3 RCNY § 115-01(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; amended City Record 3/27/2023, eff. 4/26/2023)

3 RCNY § 105-01 Approval of Fire Alarm System Design and Installation.

§ 105-01 Approval of Fire Alarm System Design and Installation. (a) 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. (b) General Provisions. (1) Submission and approval required. Pursuant to FC 907.3, 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 in the form and manner prescribed on the Department's electronic portal. (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 and satisfactory testing 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 3 RCNY § 105-01(c)(2). Upon completion of a fire alarm system installation that does not comprise any part of a building core fire alarm system, the owner may alternatively submit professional certification of the installation, except as may otherwise be provided in the letter of acceptance approving the design of the installation. (4) Format of design and installation documents. The design and installation documents required by this section shall be formatted (to scale) in the form and manner prescribed on the Department's electronic portal. (c) Submission and Approval Procedure. (1) Submission and approval of design and installation documents. (A) Submissions. Applications for approval of fire alarm systems shall be electronically filed with the Department in the form and manner prescribed on the Department's electronic portal, including completion of the applicable application form and payment of applicable fees. (B) Approval. The Department will review the design and installation documents submitted pursuant to 3 RCNY § 105-01(c)(1)(A), and, if determined to be in compliance with the requirements of the laws, rules and regulations enforced by the Department, approve such documents in accordance with FC 105.4.4.2 and Department procedures. (2) Department inspection filing. (A) 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 3 RCNY § 105-01(c)(2)(A)(3) and (4). If such "as built" design and installation documents cannot be electronically 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 electronically filing them using the Department‘s electronic portal 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 Section A.14.6.2.4 of Annex A to 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 3 RCNY § 105-01(c)(2)(A)(2). (B) 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. (A) Availability of documents. A printed copy of standard-size (24" × 36") set of approved engineering drawings of the fire alarm system design and installation, and a set of "as built" design and installation documents of the installation, pursuant to 3 RCNY § 105.01(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. (Amended City Record 3/27/2023, eff. 4/26/2023)

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

§ 109-01 FDNY Summons, Certification of Correction and Stipulation Procedures. (a) 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). (b) 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. (c) 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. (d) 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)

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

§ 109-02 Consolidation of Administrative Code Provisions for Enforcement Purposes. (a) 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. (b) 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)

3 RCNY § 109-03 Penalty Schedule for FDNY Summonses.

§ 109-03 Penalty Schedule for FDNY Summonses. (a) 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. (b) 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 3 RCNY § 109-01) 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 3 RCNY § 907-01. (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 575 300 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; amended City Record 9/20/2023, eff. 10/20/2023)

3 RCNY § 112-01 Certificates of Approval.

§ 112-01 Certificates of Approval. (a) Scope. This section sets forth standards, requirements and procedures for the issuance of certificates of approval for articles, equipment and devices required by the Fire Code to be of a type for which such certificate has been issued. (b) General Provisions. (1) Certificate of approval required. A certificate of approval is required for the articles, equipment and devices set forth in FC 112.1, ventilated metal lockers used for the storage of liquefied petroleum gases, and such other articles, equipment and devices that are required to be of a type for which a certificate of approval must be issued. (2) Revocation of New York City Board of Standards and Appeal Approvals. Articles, equipment and devices regulated by the Fire Code as to which there was a New York City Board of Standards and Appeals approval in effect on July 1, 2008, may continue to be installed and used, provided that such article, equipment or device is installed and used in compliance with the Fire Code and the rules, except as follows: (A) Flameproofing chemicals. Approvals for all flameproofing chemicals given by the New York City Board of Standards and Appeals were revoked on January 1, 2001. (B) Fire escape window gates. Approvals of all bars, grilles, grates or similar devices designed to be placed over openings onto fire escapes that were given by the New York City Board of Standards and Appeals are revoked as of the effective date of this section, except that pre-existing installations may continue to be used in compliance with the requirements of 3 RCNY § 102-01 and the operational and maintenance requirements of 3 RCNY § 1025-01. (c) General Application Requirements. Applicants for a certificate of approval shall submit all information and documentation necessary or appropriate to establish their eligibility for issuance of such certificate in accordance with FC 112 and this section. (1) Application forms and information. Information relating to certificates of approval and application procedures, including application forms, may be obtained from the Department's web site, www.nyc.gov/fdny, and from the Technology Management Unit of the Bureau of Fire Prevention, Fire Department Headquarters, 9 MetroTech Center, 1st Floor, Brooklyn, NY 11201-3857. (2) Submission. Applications for certificates of approval shall be made by a principal or officer of the manufacturer of the article, equipment or device for which such certificate is sought, or other person or company authorized to represent the manufacturer. Original and renewal applications may be filed with the Department in person or by mail, together with the non-refundable application fee. (3) Abandoned applications. An application for a certificate of approval shall be deemed to have been abandoned six (6) months after the date of filing, unless such application has been diligently prosecuted or a certificate of approval has been issued. The Department may, in its discretion, grant one (1) or more extensions of time for additional periods not exceeding 90 days each, if there is good cause. (4) Original applications. Applications for certificates of approval shall include the following information and documentation, and such other information and documentation as the Department may require: (A) the corporate and trade names of the manufacturer of the article, equipment and device, its principal address and any New York City address, and contact information; (B) the name and contact information of the manufacturer's authorized representative, if any; (C) a detailed description of the design and the intended installation and/or use of the article, equipment or device; and (D) the report of a nationally recognized testing laboratory or other approved organization approving the listing of the article, equipment or device, if such listing is required. (5) Examination, demonstration and testing. The Department will notify the applicant if examination, demonstration or further testing of the article, equipment or device will be required. (6) Renewal applications. An application for renewal of a certificate of approval shall disclose any changes in the design or intended installation and/or use of the article, equipment or device, and the following information and documentation: (A) Evidence demonstrating that the article, equipment or device complies with the requirements of all applicable Fire Code and rule provisions enacted or adopted after the date of approval of the original application or prior renewal. (B) Where required as a condition of approval, evidence that the article, equipment or device has a current listing. (7) Conditions of approval. An original or renewal application will not be granted and a certificate of approval will not be issued unless the applicant acknowledges and accepts the conditions of approval. Such acknowledgement and acceptance shall be in the form of an affidavit or other form prescribed by the Department. (8) Appeals. Any applicant aggrieved by a determination rendered upon an application for a certificate of approval may appeal such determination in accordance with the provisions of 3 RCNY § 104-01. (d) Special Application Requirements. In addition to the general application requirements set forth in 3 RCNY § 112-01(c), applications for the following certificates of approval shall include the following information and documentation: (1) Flame-retardant chemicals and treatments. Applications for a certificate of approval for flame-retardant chemicals and treatments shall include the following information and documentation: (A) a copy of the Material Safety Data Sheet for the flame-retardant chemical; (B) a report approving the listing of the flame-resistance chemicals and treatments that certifies that such chemicals and treatments have passed either Test 1 or Test 2 of NFPA 701. Such report shall indicate the flame-retardant chemicals tested, the manner in which they were applied, the materials to which they were applied, and such other information or documentation as the Department may require to demonstrate the flame-resistance imparted by such chemicals and treatments; and (C) an affidavit, executed by a principal or officer of the applicant, setting forth the following information: (1) the chemical's trade name; (2) the types of material that may be satisfactorily treated with the chemical; (3) the required or recommended manner in which such chemical shall be applied; (4) the period of time that the flame-resistant chemical will impart flame resistance to the material; and (5) a certification as to the effect, if any, that normal handling of the decoration (including washing, dry cleaning, ironing and sewing), will have on the effectiveness of the flame-resistant material. (2) Fire escapes and emergency escape and rescue openings window gates. Applications for a certificate of approval for a window gate for a fire escape or emergency escape and rescue opening, or similar device, shall demonstrate to the satisfaction of the Department that such device complies the requirements of 3 RCNY § 1025-01. (e) Revocation. A certificate of approval shall be automatically revoked upon the happening of any of the following events: (1) the article, equipment or device cannot be installed or used in compliance with the Fire Code or the rules; (2) change of ownership or corporate name; (3) change in manufacturing process; (4) change of product name; (5) change of product model number; (6) change in design; (7) change in testing laboratory listing (including amendment or approval conditions, or revocation); or (8) noncompliance with any of the original conditions of acceptance as specified in the certificate of approval. (Amended City Record 9/20/2023, eff. 10/20/2023)

3 RCNY § 113-01 Certificates of Fitness and Certificates of Qualification.

§ 113-01 Certificates of Fitness and Certificates of Qualification. (a) Scope. This section sets forth general standards, requirements and procedures for issuance of certificates of fitness and certificates of qualification. (b) General Provisions. (1) Minimum qualifications and general requirements. Applicants for certificates of fitness and certificates of qualification shall meet the minimum qualifications and comply with the general requirements set forth in FC 113 and this section. Holders of certificates of fitness and certificates of qualification shall maintain all qualifications and comply with all requirements throughout the term of the certificate. (A) Applicants for certificates of fitness for FLS director shall additionally comply with the requirements set forth in 3 RCNY § 113-02. (B) Applicants for certificates of fitness to inspect and clean commercial cooking exhaust systems shall additionally comply with the requirements set forth in 3 RCNY § 113-08. (C) Applicants for certificates of fitness for construction site fire safety manager shall additionally comply with the requirements set forth in 3 RCNY § 113-11. (2) Change of address or work location. All applicants and certificate holders are required to promptly notify the Department of any change in the applicant's or certificate holder's residence address, any change in work location when such location is required for and/or indicated on such certificate, and such other information as the Department may require. (c) General Application Requirements. Applicants for a certificate of fitness or certificate of qualification shall submit all information and documentation necessary or appropriate to establish their eligibility for issuance of such a certificate in accordance with FC 113, the rules and the applicable notice of examination. (1) Application forms and information. Information relating to certificate requirements and application and examination procedures, including application forms, notices of examination, examination study materials, and a list of accredited training courses for certificates for which completion of a Department-accredited training course is a qualification, may be obtained from the Department's web site, www.nyc.gov/fdny, and from the Licensing Unit of the Bureau of Fire Prevention, Fire Department Headquarters, 9 MetroTech Center, 1st Floor, Brooklyn, NY 11201-3857. (2) Submission. Original applications for certificates shall be filed in person with the Licensing Unit of the Bureau of Fire Prevention. Renewal certificate applications may be filed in person or by mail, except as may be otherwise specified by the Department. (3) Incomplete applications. The Department reserves the right not to accept for filing any application that is incomplete or otherwise deficient, including any application that is submitted without the required supporting documentation or application fee. The Department will provide the applicant notice of any application that is not accepted, and, except for applications determined to be fraudulent, shall afford the applicant a reasonable time to correct or supplement such application. Original applications not corrected or supplemented within 30 days of the applicant's being notified will be deemed abandoned. (4) Examinations. Except as otherwise provided in this section, applicants for an original certificate must obtain a passing score on the applicable examination administered by the Department. (5) Identification. Applicants for an original certificate shall provide two (2) pieces of picture identification satisfactory to the Department, such as a driver's license, passport or employee identification card. The Department reserves the right to require additional identification. (6) Photographs. All applicants for an original certificate will be photographed by the Department for identification purposes. The Department may require a certificate holder filing for renewal of his or her certificate to report to the Department to be photographed. Failure to comply with such a notice constitutes grounds for non-renewal of the certificate. In lieu of, or in addition to, such photographs, the Department may require submission of two (2) passport-size photographs in connection with an original or renewal certificate application. (7) Fees. Application fees relating to certificates of fitness and certificates of qualification, including any written examination and practical examination, shall be as set forth in FC Appendix A or the rules. Except as otherwise authorized by the Department, fees shall be paid in cash, check or money order payable to the "New York City Fire Department." (A) Written examination fees shall be paid at the time of submission of the application. Such fees are non-refundable. (B) Applicants for a practical examination will be notified of the date by which the applicable examination fee must be paid. Such examination fees are non-refundable, except when applicants give proper and timely notice of cancellation in accordance with the procedures set forth in the Department's notice of examination or other applicable notice. (8) Applicants delinquent on child support payments. In accordance with the United States Social Security Act, 42 U.S.C. § 666(a)(13), and New York State General Obligations Law § 3-503, applications for original or renewal certificates will be reviewed for compliance with child support obligations and will be denied when required by such laws when the applicant has been identified by the Office of Child Support Enforcement of the New York City Human Resources Administration (or any successor agency) as delinquent on child support payments. Applicants for certificates will be required to disclose their social security numbers on their applications for purposes of such review. (d) Examinations. (1) All written examinations, and the practical (computer simulator) examination for certificates of qualification, will be administered by the Licensing Unit of the Bureau of Fire Prevention at Fire Department Headquarters, except as may be otherwise specified by the Department in the notice of examination or other appropriate notice. Practical (on-site) examinations for fire safety director and fire safety/EAP director will be administered by such personnel and at such locations as may be specified by the Department in the notice of examination or other appropriate notice. (2) All examinations will be conducted in the English language. (3) The subject matter of an examination, and, for any numerically-graded certificate examination, the passing grade, shall be as set forth on the Department's notice of examination. The passing grade shall be set at 70% unless otherwise specified in such notice of examination. (4) An applicant will be provided written notice of his or her examination grade. (5) An applicant who fails to obtain a passing grade on a written, practical, or practical (on-site) examination may re-take the examination, subject to the availability of Department resources and appointments. The required fee must be paid by the applicant each time he or she is administered an examination. An applicant for a certificate of fitness that requires successful completion of a Department-accredited training course may be given two (2) opportunities to pass each written and practical examination for the certificate. An applicant who fails to obtain a passing grade after the second examination will be required to re-take and successfully complete the training course in its entirety and re-apply for the certificate of fitness. (6) In lieu of a written examination for a certificate of fitness, the Department, in its discretion, may accept educational credentials or professional licenses or certifications that demonstrate the applicant's knowledge of, or proficiency in, the subject matter for which the certificate is required. (7) In addition to any required written examination, applicants for certificates of fitness relating to the storage, handling or use of explosives in connection with blasting operations may be required to pass an oral examination administered by the Explosives Unit of the Bureau of Fire Prevention as set forth in the applicable notice of examination. (e) Certificates of Fitness Application Requirements. (1) In addition to general application requirements set forth in 3 RCNY § 113-01(c), applicants for a certificate of fitness shall submit the following proof of qualifications and fitness and such other information and documentation as the Department may require. The Department will not accept such proof if its validity cannot be satisfactorily verified. (A) A driver's license, passport, birth certificate or other proof satisfactory to the Department that the applicant meets the minimum age requirements set forth in FC 113.4. (B) Except as otherwise provided in this section, a letter of recommendation satisfactory to the Department, from the applicant's employer, previous employer, prospective employer, trade school or trade union. Such letter shall be on the letterhead of such employer, trade school or trade union; be signed by the employer, or an officer of the trade school or trade union (and indicate such officer's title); and contain the following information: (1) the full name of the applicant and any other name under which the applicant may be known; (2) the length of time the applicant has been known to the employer, trade school or trade union, the nature of the applicant's employment or training, and the length of time such employment or training was pursued and whether it was satisfactorily completed; (3) the address of the building wherein the applicant will be employed, if applicable; (4) information attesting to the good character, habits and relevant or required work experience or training of the applicant; and (5) information indicating that the applicant's physical condition will permit the applicant to perform the duties associated with the certificate for which application is being made. (C) Applicants for certificates of fitness who are self-employed shall submit, in lieu of letter of recommendation from a previous or prospective employer, a notarized written statement containing the information required by 3 RCNY § 113-01(e)(1)(B). (2) Special application requirements. (A) Applicants for certificates of fitness for blasting operations and special effects shall submit proof of not less than two years' satisfactory experience in handling the type of explosives or special effects for which a certificate of fitness is sought. Such proof shall include notarized letters from two (2) holders of a certificate of fitness for blasting operations, or from two (2) holders of a certificate of fitness for special effects, respectively, attesting to the applicant's character, habits and relevant work experience. (B) Applicants for a certificate of fitness for fireworks display shall have attended a class conducted by a company holding a fireworks contractor certificate and shall submit notarized letters from two (2) holders of a certificate of fitness for fireworks displays attesting to the applicant's character, habits and relevant work experience. (C) Applicants for a certificate of fitness for supervision of a standpipe system and/or sprinkler system shall obtain from their employer and submit as part of their application a sketch or plan of the standpipe and/or sprinkler systems that the applicant would be responsible for supervising. (f) Certificate of Qualification Application Requirements. (1) Original applications. In addition to general application requirements set forth in 3 RCNY § 113-01(c), applicants for an original certificate of qualification shall submit the following proof of qualifications and fitness and such other information and documentation as the Department may require: (A) A driver's license, passport, birth certificate or other proof satisfactory to the Department that the applicant satisfies the minimum age requirements set forth in FC 113.4; (B) A high school diploma, or its educational equivalent, approved by a state's Department of Education, or an approved accrediting organization; (C) A Universal Technician Certification issued by the United States Environmental Protection Agency pursuant to Subpart F of Part 82 of Title 40 of the Code of Federal Regulations; and (D) Proof of the following experience and/or qualifications in refrigerating systems or related technology: (1) at least one (1) year of practical experience in the preceding three (3) years working in a building or plant with refrigerating or air conditioning equipment that, at a minimum, has an individual system containing over 50 pounds of refrigerant, or a prime mover or compressor of more than 50 horsepower, or an aggregate of individual systems of more than 15 horsepower each with a total of more than 100 horsepower; or (2) at least one (1) year of practical experience in the preceding three (3) years engaged in the servicing and repair of refrigerating or air conditioning equipment rated at five (5) horsepower or more, or containing 20 pounds or more of refrigerant; or (3) a combination of practical experience as set forth in 3 RCNY § 113-01(f)(1)(D)(1) and (2) that is satisfactory to the Department; or (4) a current high pressure boiler operating engineer license issued by the Department of Buildings; or (5) a current marine engineer certificate issued by the United States Coast Guard; or (6) a current Professional Engineer's license issued in the United States; or (7) have satisfactorily completed a training course accredited by the Department in refrigerating systems and related technology, of at least 200 hours duration, at least 25 hours of which shall have involved practical skills exercises/hands-on demonstrations. (2) Renewal applications. On or after January 1, 2016, the holder of a certificate of qualification who has not successfully completed a course that addressed issues of building operation, maintenance and recordkeeping, as set forth in 3 RCNY § 113-07(c)(2)(V), shall, at the time of the next renewal of such certificate, present evidence of the successful completion of such a course. Such course shall be conducted by an institution or program accredited by the Department pursuant to 3 RCNY § 113-04 and 3 RCNY § 113-12. Applicants that can demonstrate that they have successfully completed a continuing education course in building operations, maintenance and recordkeeping in connection with the renewal of their certificate of fitness for fire safety director, as set forth in 3 RCNY § 113-02(c)(7), shall be deemed to have satisfied this requirement. (3) Registration of work locations. (A) Certificate of qualification applicants or holders must register each work location at which they will be performing the duties of a refrigerating system operating engineer. (B) A certificate of qualification does not authorize the holder to perform such duties at any location other than work locations registered with the Department. A certificate of qualification holder shall not perform any duties requiring such certificate until such time a work location has been registered in accordance with this section. A certificate of qualification that does not have a work location registered with the Department shall be deemed "Not in Use" (inactive) and not valid to perform the duties of a refrigerating system operating engineer. (C) To register a work location, a certificate of qualification applicant or holder shall submit a letter from the employer for whom he or she will be performing the duties of a certificate of qualification holder. Such letter shall be on business letterhead, and signed by an appropriate officer of the employer, and provide the following information and documentation: (1) full name of the applicant; (2) premises address, building designation and location of system to be supervised by the certificate holder (for example: 500 East 150th Street, B building, basement, east wing, Room B101); (3) name of the manufacturer of the refrigerating system; (4) type and number of pounds of refrigerant in the system; (5) horsepower rating of the refrigerating system; (6) date of installation of the refrigerating system; and (7) a copy of the Department permit for such refrigerating system. (D) Certificate of qualification applicants or holders seeking to register more than one (1) work location shall present a letter from the employer for each work location. In addition to the information and documentation set forth above, such letter shall indicate the days and specific hours worked, and specify whether or not the certificate holder would be providing personal or general supervision of the equipment in accordance with the requirements of FC 606.1.1. A certificate of qualification shall not be registered for more than one (1) work location for the same day and time if personal supervision is required at more than one (1) such location. (E) Certificate of qualification holders seeking to change a registered work location shall register such work location in accordance with the procedures set forth in this section. (g) Misconduct. In addition to any other penalties provided by law, misconduct on the part of an applicant or holder of a certificate of fitness or certificate of qualification shall be grounds for denial, non-renewal, suspension or revocation of a certificate, and denial of an application for a certificate or the opportunity to take a certificate examination. Such misconduct includes, but is not limited to: (1) the failure of a certificate holder to properly discharge his or her duties; (2) any false and fraudulent conduct in connection with an application for a certificate or the duties of a certificate holder, including: (A) any false or fraudulent statement or submission; (B) any unauthorized alteration or use of a certificate or possession of any fraudulent certificate; (C) cheating on an examination; and (D) impersonating another or allowing oneself to be impersonated; (3) the failure to promptly notify the Department of any change in the applicant's or certificate holder's residence address, work location, or any other notifications required pursuant to 3 RCNY § 113-01(b)(2). (4) any other unlawful or unsafe conduct that bears on the integrity or reliability of an applicant or certificate holder; and (5) compromising the integrity or confidentiality of a Department examination. (Amended City Record 10/28/2016, eff. 12/1/2016)

3 RCNY § 113-02 Fire and Life Safety Director Certificate of Fitness.

§ 113-02 Fire and Life Safety Director Certificate of Fitness. (a) Scope. This section sets forth standards, requirements and procedures for issuance of a certificate of fitness to perform the duties of an FLS director, including the process by which holders of a certificate of fitness for fire safety director or fire safety/EAP director may obtain a certificate of fitness for FLS director. (b) General Provisions. Applicants for FLS director certificates of fitness shall meet the minimum qualifications and comply with the general requirements for a certificate of fitness set forth in FC 113 and 3 RCNY § 113-01. (c) Qualifications. In addition to the qualifications set forth in FC 113 and 3 RCNY § 113-01, and except as otherwise provided in 3 RCNY § 113-02(f), applicants for an FLS director certificate of fitness shall possess and demonstrate to the satisfaction of the Department the following qualifications: (1) At least three (3) years' full-time work experience in one or more of the following fields (in any combination thereof), OR 18 months' full-time work experience in one or more of the following fields (in any combination thereof) that includes at least six (6) months of continuous employment at one work location: (A) firefighting or other public safety emergency response employment; (B) any fire safety-related employment, including code enforcement, fire safety inspection, fire prevention or emergency preparedness; (C) the design, installation, operation or maintenance of building fire protection, electrical, plumbing, heating, ventilation, or air conditioning systems, or other building system regulated by the construction codes; or (D) equivalent experience acceptable to the Department; (2) Successful completion of an FLS director training course accredited by the Department pursuant to 3 RCNY § 113-04 and 3 RCNY § 113-05; (3) Receipt of a passing grade on each of the Department's written examinations for an FLS director certificate of fitness, which tests the applicant's knowledge of matters having a bearing on the duties of an FLS director. The Department will issue a certificate of completion to each applicant who meets the requirements set forth in 3 RCNY § 113-01(c)(1) and (c)(2) and receives a passing grade on the written examinations. Such certificate of completion shall be included in the practical (on-site) examination application; (4) Receipt of a passing grade on the practical (on-site) examination administered by the Department, which tests the applicant's knowledge of the characteristics and occupancy of each work location in which the applicant is to serve as FLS director (as set forth in 3 RCNY § 113-02(e)), including knowledge of the following information: (A) FLS plan provisions and Building Information Card; (B) Certificate of occupancy provisions; (C) Height, area, construction and occupancy classification; (D) Number, type and location of exits; (E) Number, type and location of areas of refuge, if any; (F) Number, type and location of elevators and escalators; (G) Interior fire alarms and other fire alarm systems or communication systems; (H) Standpipe system components and operation; (I) Sprinkler system components and operation, including fire pumps; (J) Fire extinguishing system components and operation; (K) Number of persons normally employed in building; (L) Number of persons normally visiting the building; (M) Plan for drills (fire and non-fire emergencies); (N) Table of organization for drills and for FLS staff; (O) Operation of building service equipment, including electrical, lighting, heating, ventilating, air-conditioning and firefighting equipment, and trash compactors; (P) Operation of elevators, including firefighter emergency service and other elevator service modes; (Q) Alterations and repair operations and the protective and preventive measures necessary to safeguard such operations, with particular attention to hot work operations and the storage, handling and use of flammable liquids, combustible liquids and flammable gases; (R) Other occupancies in the building and the proper protection and maintenance thereof including but not limited to day care facilities and places of assembly, and (S) Procedures for assisting persons with special needs. (5) Physical ability to perform the duties of the position; and (6) At the time of renewal of an FLS director certificate of fitness, receipt of a passing grade on a practical (on-site) examination administered by the Department, when required by 3 RCNY § 113-02(e)(3). (d) Application Procedures. Applicants must complete each of the following steps in order to be eligible for an FLS director certificate of fitness: (1) Secure the experience necessary to satisfy the minimum qualifications for the certificate; (2) Attend and successfully complete an FLS director training course accredited by the Department pursuant to 3 RCNY § 113-04 and 3 RCNY § 113-05; (3) Within nine (9) months of successfully completing the FLS director training course, apply for and receive a passing grade on the fire safety component of the FLS director written examination administered by the Department. An applicant need not be currently employed as an FLS director to take the written examination; (4) Within nine (9) months of receiving a passing grade on the fire safety component of the FLS director written examination, apply for and receive a passing grade on the non-fire emergency component of the Department's written examination. An applicant need not be currently employed as an FLS director to take the examination. Upon receiving a passing grade on the non-fire emergency component of the FLS director written examination, the Department will issue a certificate of completion; and (5) Within one (1) year of obtaining a certificate of completion, apply for and receive a passing grade on the Department's practical (on-site) examination at the work locations in which the applicant is to serve as an FLS director. An applicant who has received a certificate of completion may perform the duties of a FLS director on an interim basis (as set forth in 3 RCNY § 113-02(f)(6)), pending administration of the practical (on-site) examination. (e) Registration of Work Locations. The FLS director certificate of fitness must be registered for each work location at which the holder of such certificate will be performing the duties of a FLS director. A FLS director certificate of fitness authorizes the holder of such certificate to perform such duties only at those work locations registered with the Department and at no other work location. Registration of multiple work locations shall not be construed to authorize performance of the duties of a FLS director at more than one (1) work location at the same time. (1) Limitation on work locations. An FLS director certificate of fitness may be registered by the Department for one (1) or two (2) work locations. Special approval is required to register for more than two (2) work locations, and shall only be granted upon a determination that the holder is capable of demonstrating and maintaining proficiency at each work location. Approval to register for more than one (1) work location shall be subject to administration of practical (on-site) examinations at each work location, as set forth in 3 RCNY § 113-02(e)(3), and such other terms and conditions as the Department may require to assure that proficiency is maintained. In determining the holder's ability to maintain proficiency at multiple work locations, considerations may include: (A) the number of hours to be regularly worked at each location; and (B) similarities in building configuration and building systems at the work locations (such as may be the case with an office building complex or hotel chain). (2) Submission. To register a work location, an FLS director certificate of fitness applicant or holder shall submit a letter from each employer for whom he or she will be performing the duties of an FLS director. Such letter shall be on business letterhead, and signed by an appropriate principal or officer of the employer, and provide such information and documentation as may be required by the Department. (3) Practical (on-site) examinations. The Department will administer, at the time of application, a separate practical (on-site) examination for a second work location that an FLS director certificate of fitness applicant or holder seeks to register, and each additional work location for which special approval is required from the Department in accordance with 3 RCNY § 113-02(e)(1). The Department may require the holder to submit to an additional practical (on-site) examination at time of renewal of the certificate, or such other time as the Department may specify, upon a determination that such examination is necessary to demonstrate the holder's continuing qualifications and fitness to serve as an FLS director in more than one work location. The Department may give priority to first-time applicants in the scheduling of practical (on-site) examinations. (4) Change in work location. A change in work location must be immediately reported to the Licensing Unit of the Bureau of Fire Prevention, and application made for a practical (on-site) examination at the new work location prior to commencing work at such location. (5) Certificate not in use. The certificate of fitness of an FLS director who has no work location registered with the Department shall be deemed "Not In Use" (inactive) and is not valid to perform the duties of an FLS director. An FLS director certificate of fitness that is in "Not In Use" status may be renewed only once. (f) Transition to FLS Director from Fire Safety Director and Fire Safety/EAP Director. (1) Transition timeframe. Effective March 1, 2020, an FLS director certificate of fitness or, as set forth in 3 RCNY § 113-02(f)(6), a certificate of completion allowing the applicant to perform the duties of an FLS director on an interim basis, will be required in all occupancies currently required to be staffed by a fire safety/EAP director or fire safety director. Fire safety/EAP director certificates of fitness and fire safety director certificates of fitness will not satisfy the Fire Code requirement for an FLS director and will not be renewed upon expiration. (2) Application for FLS director certification. All persons holding a fire safety director or fire safety/EAP director certificate of fitness must apply to the Department for an FLS director certificate of fitness no later than December 1, 2018, or the expiration of their certificate of fitness, whichever is sooner. An FLS director certificate of fitness will be issued to each such person who possesses and demonstrates to the satisfaction of the Department the qualifications set forth in 3 RCNY § 113-02(f)(3) or (4), as applicable. A person who, without good cause, fails to timely fulfill the requirements for the FLS director certificate of fitness may be required to submit an original application for such certificate of fitness. (3) Transition requirements for fire safety/EAP directors. Not later than September 4, 2017, or the expiration of the certificate of fitness, whichever is sooner, all persons holding a fire safety/EAP director certificate of fitness must attend and successfully complete a training course accredited by the Department pursuant to 3 RCNY § 113-04 and 3 RCNY § 113-06 that addresses active shooter and medical emergencies. (4) Transition requirements for fire safety directors. All persons holding a fire safety director certificate of fitness but not an EAP director certificate of fitness shall undertake and successfully complete the following requirements. (A) Not later than September 4, 2017, or the expiration of their certificate of fitness, whichever is sooner, attend and successfully complete a training course accredited by the Department pursuant to 3 RCNY § 113-04 and 3 RCNY § 113-06 that addresses active shooter and medical emergencies, which may be a training course in non-fire emergencies accredited pursuant to 3 RCNY § 113-04 and 3 RCNY § 113-05 that includes training in active shooter and medical emergencies; (B) Not later than September 3, 2018, or the expiration of their certificate of fitness, whichever is sooner, attend and successfully complete a training course accredited by the Department pursuant to 3 RCNY § 113-04 and 3 RCNY § 113-05 that addresses non-fire emergencies generally (commonly referred to as Emergency Action Plan training); (C) Not later than December 1, 2018, or the expiration of their certificate of fitness, whichever is sooner, apply to the Department for an FLS director certificate of fitness; (D) Not later than March 1, 2019, receive a passing grade on the non-fire emergency component of the Department's written examination. (Employment or the promise of employment as an FLS director in a particular building is not required to take such examination.) Upon receiving a passing grade on the non-fire emergency component of the written examination, the Department will issue a certificate of completion. An applicant who has received a certificate of completion may serve as an FLS director on an interim basis, as set forth in 3 RCNY § 113-02(f)(6), pending administration of the practical (on-site) examination; and (E) Not later than one year from obtaining a certificate of completion, apply for and receive a passing grade on the Department's practical (on-site) examination at the work location in which the applicant is to serve as an FLS director. (5) Transition requirements for certificates not in use. Any person holding a fire safety director or fire safety/EAP director certificate of fitness that is in "not in use" status must timely complete the transition requirements applicable to the FLS director certificate of fitness, as set forth in 3 RCNY § 113-02(f)(3) or (4), as applicable, or its "not in use" status will lapse on December 1, 2018, or the expiration of their certificate of fitness, whichever is sooner. (6) Interim FLS directors. When an applicant for an FLS director certificate of fitness is to be employed in a work location that has not yet obtained Department acceptance of its comprehensive fire safety/EAP plan, such applicant may, upon receiving a certificate of completion, perform the duties of an FLS director on an interim basis pending administration of the practical (on-site) examination for a period not to exceed one (1) year from the date of issuance of the certificate of completion or for such other period of time as the Department may grant in its discretion. The presence on the premises of a person holding such a certificate of completion satisfies the requirement for an FLS director during such interim period, as set forth in 3 RCNY § 113-02(d)(5) and (f)(4). "Perform the duties of an FLS director on an interim basis" means that such person is authorized to implement the provisions of FC Chapter 4 and 3 RCNY § 404-01 with respect to fire emergencies and to take such actions in response to non-fire emergencies as the owner may authorize, based on the non-fire emergency plan or procedures currently in place. (Amended City Record 10/28/2016, eff. 12/1/2016)

3 RCNY § 113-03 Fire Safety/EAP Director Certificates of Fitness. [Repealed] (Repealed City Record 10/28/2016, eff. 12/1/2016)

3 RCNY § 113-04 Accreditation of Training Courses.

§ 113-04 Accreditation of Training Courses. (a) Scope. (1) This section sets forth general procedures, standards and requirements for the accreditation of training courses by the Department. (2) Training courses for the FLS director certificate of fitness shall also comply with the provisions of 3 RCNY § 113-05. (3) Training courses for active shooter and medical emergency preparedness shall also comply with the provisions of 3 RCNY § 113-06. (4) Training courses for the refrigerating system operating engineer certificate of qualification shall also comply with the provisions of 3 RCNY § 113-07. (5) Training courses for the construction site fire safety manager certificate of fitness shall also comply with the provisions of 3 RCNY § 113-10. (6) Training courses for building operation, maintenance and recordkeeping shall also comply with the provisions of 3 RCNY § 113-12. (b) General Provisions. (1) Prohibited claims and representations. It shall be unlawful for any educator, educational institution or program or other person or entity to offer a course purporting to train or otherwise qualify an individual for the certificates of fitness formerly issued by the Department for fire safety director or fire safety/EAP director, a certificate of fitness for FLS director, a certificate of qualification to direct, control or supervise the operation of a refrigerating system or related technology, or a certificate of fitness for construction site fire safety manager, or to offer another training course requiring Department accreditation pursuant to this section, or to make a similar claim, or purport to be approved by the Department, or otherwise make reference to the Department in connection with such certificates, prior to receiving Department accreditation of such course. (2) Term of accreditation. Original and renewal accreditations will be issued for a term of one (1) year, unless a shorter term is specified by the Department. (c) Accreditation Standards. The Department will grant accreditation to a training course only if the applicant establishes that the training course will meet the following minimum standards: (1) The training course provides the hours and topics of instruction required by the Department for that type of training course. (2) A written examination of a type acceptable to the Department is administered and a passing grade acceptable to the Department is required for successful completion of the course. (3) The training course has been developed and will be taught and evaluated by individuals possessing the requisite knowledge, skills, experience or other appropriate qualifications. The Department may require applicants who are instructors at Department-accredited training schools to hold the applicable certificate of fitness or to establish their eligibility for issuance of such certificate. (4) Records satisfactorily demonstrating compliance with accreditation standards and requirements, including records of course administration and student performance, are maintained. (5) Department representatives are allowed to attend training courses and audit records to monitor compliance with accreditation standards and requirements. (6) Each student is required to complete a Department-approved course evaluation form upon completion of the training course, and the completed forms are returned to the Department no later than five (5) days after course completion. (d) Application Requirements. (1) Application information. Information relating to training course accreditation application requirements and procedures, including application forms, may be obtained from the Department's web site, www.nyc.gov/fdny, and from the Licensing Unit of the Bureau of Fire Prevention, Fire Department Headquarters, 9 MetroTech Center, 1st Floor, Brooklyn, NY 11201-3857. (2) Submission. All applications for training course accreditation shall be submitted to the Licensing Unit of the Bureau of Fire Prevention, and shall include the fee set forth in FC A02.1. (3) Original applications. All original applications shall include the following information and documentation, and such other information and documentation as the Department may require: (A) The name and address of the educator or educational institution or program proposing to offer the training course; (B) The name and contact information, including a telephone number, of a designated representative; (C) The course location and course schedule (dates and time), including the location of any practical skills exercise/hands-on demonstrations; (D) The type of course for which approval is being requested; (E) A detailed outline of the course curriculum; (F) A description of the teaching methods to be used to present each topic, (e.g., lectures, discussions, practical skills exercises and audio-visual materials); (G) Copies of all written materials to be distributed, including sample examinations; (H) Tuition fees, study material fees and any other fees to be charged students; (I) A list of instructors, documentation of their qualifications (including a resume), and a list of the subjects each instructor will teach; (J) The instructor-to-student ratio for classroom, practical skills exercises/hands-on demonstrations; (K) Procedure for documenting student attendance of each student at each training session; (L) Any affiliations with other educational institutions or trade, union or professional organizations; (M) A summary of the applicant's prior history and experience in conducting similar training courses, including the location and approximate date of each such course; (N) A list of all other licensing authorities for which the training courses have been approved or disapproved; and (O) Evidence of compliance with New York State Department of Education regulations, or a statement from the applicant that the applicant and/or the training course are not subject to such regulations. (4) Renewal applications. (A) An application for renewal of accreditation shall include updated course information, including any course schedule, curriculum or personnel changes. (B) The Department will evaluate the effectiveness of any training course, including consideration of the success of its students in achieving passing grades on certificate of fitness or certificate of qualification examinations, in determining whether to grant an application for renewal of accreditation. (e) Training Course Changes. (1) Notice required. Application shall be made to the Department for approval of the following training course changes prior to implementing such changes: (A) personnel; (B) course schedule (dates, times and location); (C) course curriculum; or (D) teaching methods. (2) Conditional approval. Conditional approval may be granted pending a complete evaluation of the changes. (f) Misconduct. In addition to any other penalties provided by law, misconduct on the part of an applicant for accreditation, or any educator or educational institution or program granted accreditation, shall be grounds for denial, non-renewal, suspension or revocation of accreditation. Such misconduct includes, but is not limited to, the following acts or omissions: (1) any false or fraudulent conduct in connection with an application for accreditation or other Department approval; (2) the failure to conduct the course in accordance with standards and requirements for accreditation; (3) the failure to timely notify the Department of training course changes or to obtain approval therefor; (4) the failure to maintain proper recordkeeping; (5) the failure to allow Department representatives to attend a training course and/or audit records in order to monitor compliance with accreditation standards and requirements; (6) the failure to disclose to the Department training course information, including relating to the preparation, security and administration of examinations and students' grades; or (7) any other conduct that bears on the integrity of the applicant or accredited educator or educational institution or program, or the effectiveness of the training course. (Amended City Record 10/28/2016, eff. 12/1/2016)

3 RCNY § 113-05 Fire and Life Safety Director Training Courses.

§ 113-05 Fire and Life Safety Director Training Courses. (a) Scope. This section sets forth the minimum hours of classroom instruction and topics required for Department accreditation of training courses for certificate of fitness for FLS director. (b) General Provisions. (1) General accreditation requirements. FLS director training courses shall comply with the general training school accreditation procedures, standards and requirements set forth in 3 RCNY § 113-04. (2) Instructor qualifications. Instruction in FLS director training courses shall be conducted by persons with law enforcement, fire prevention/suppression, engineering, environmental safety, fire safety director, meteorological, technological experience or expertise, prior experience in fire safety and non-fire emergency (EAP) training, or other appropriate experience or expertise that qualifies them to teach the respective instructional topics of the training course. (c) Course Structure, Required Hours and Topics of Instruction. FLS director training courses shall be organized and conducted to address general topics and fire safety, followed by non-fire emergencies. FLS director training courses shall provide not less than 31 hours of training, as follows: four (4) hours in general topics, 16 hours in fire safety, and 11 hours in non-fire emergencies (Emergency Action Plan training). (1) General topics. FLS director training courses shall provide instruction in the following general topics: (A) FLS director qualifications. (1) Qualifications for certificate of fitness. (2) Department application forms. (3) Certificate of fitness written and practical (on-site) examinations. (B) Building construction and systems. (1) Alarm systems. (2) Sprinkler systems. (3) Standpipe systems. (4) Smoke detectors. (5) Portable fire extinguishers. (6) Types of alarm systems: office building, hotel/motel, high-rise building, interior fire alarm. (7) Fire command center. (8) Elevators, including the different modes of elevator operation. (9) Signs. (10) Stair pressurization. (11) Smoke shaft. (12) Compartmentation. (13) Construction. (14) HVAC systems. (15) Smoke control and purge systems. (16) History of fatal fires in high-rise office and residential buildings, nursing homes, night clubs and other places of assembly, and other occupancies. (2) Fire safety training. FLS director training courses shall, at a minimum, provide not less than 16 hours of instructional training in fire safety, of which not less than two (2) hours shall consist of practical skills exercise/hands-on demonstrations. FLS director training courses shall provide instruction in the following fire safety topics: (A) FLS director duties and responsibilities in fire emergencies. (1) Role of FLS director and deputy FLS director. (2) FLS plan format. (3) Fire drills and evacuation. (4) Training of fire brigade. (5) Human behavior and personal safety of building occupants. (6) Communication with Department at fire incidents. (7) Inspection and prevention of fires. (B) Legal requirements. (1) Local Law Nos. 5 of 1973, 16 of 1984, 41 of 1978, 58 of 1987, 26 of 2004 and the 2008, 2014, and 2022 Fire Codes, including any amendments thereto. (2) Owner's legal responsibilities. (3) Americans with Disabilities Act of 1990, including any amendments thereto. (C) Firematics. (1) Chemistry of fire. (2) Properties of fire. (3) Behavior of fire. (4) Flame-resistant chemicals and treatments. (5) Ignition sources. (6) Heat transfer. (D) Practical skills exercise/hands-on demonstration. (1) Elevator recall. (2) Fire alarm systems in office buildings, hotels, places of assembly and other occupancies, and the features of such systems and capabilities, including fire command centers, announcements, and warden phones. (E) Building operation, maintenance and recordkeeping. Building Code, Fire Code and rule requirements for building operation, maintenance and recordkeeping, as set forth in 3 RCNY § 113-12(c)(2). (3) Non-fire emergency (Emergency Action Plan) training. FLS director training courses shall, at a minimum, provide not less than eleven (11) hours of instructional training, of which not less than nine (9) hours shall consist of Category 1 topics and not less than two (2) hours shall consist of Category 2 topics. (A) Category 1 shall include the following instructional topics, and such other topics as the Department may from time to time designate by written notice to accredited training course providers: (1) Local Law No. 26 of 2004, Fire Code Chapter 4 and any amendments or other rules promulgated pursuant thereto; (2) Shelter in place, in-building relocation, partial building evacuation and full building evacuation concepts; (3) Building communications and announcements; (4) Building ventilation options; (5) Use of elevators; (6) Human services, including building occupants with special needs and related mobility and communications issues; (7) Weapons of mass destruction, including dirty bombs and other radiological weapons; (8) Active shooter and medical emergencies, as set forth in 3 RCNY § 113-06; (9) Hazardous material incidents involving biological agents, including contamination issues; (10) Hazardous material incidents involving chemical agents; (11) Bombs, bomb threats and suspicious packages; (12) Weather-related emergencies; (13) Failure of building utilities, mechanical systems and/or telecommunications systems; and (14) Training methodology, including application protocols and post drill critiques. (B) Category 2 shall include the following instructional topics, and such other topics as the Department may from time to time designate by written notice to accredited training course providers: (1) Civil disturbances and blackouts; (2) Familiarization with incident command structure and emergency response operations; (3) Situational awareness in the context of non-fire emergencies; (4) Applicable lessons from major incidents including the World Trade Center; and (5) Practical (on-site) test information as provided by the Department. (d) Course Administration and Completion. (1) The ratio of students to instructors in the fire safety practical skills exercise, including practical skills exercise/hands-on demonstrations, shall not exceed 25-to-1. (2) Students must attend all training classes to be eligible to take the final examination. (3) Students shall be allowed two (2) opportunities to pass the final examination. Students who fail the final examination on the second attempt must re-take the course in its entirety. (Amended City Record 10/28/2016, eff. 12/1/2016; amended City Record 9/20/2023, eff. 10/20/2023)

3 RCNY § 113-06 Active Shooter and Medical Emergency Preparedness Training Courses.

§ 113-06 Active Shooter and Medical Emergency Preparedness Training Courses. (a) Scope. This section sets forth the minimum hours of classroom instruction and topics required for Department accreditation of training courses for active shooter and medical emergency preparedness. (b) General Provisions. (1) General accreditation requirements. Active shooter preparedness training courses shall comply with the general training school accreditation procedures, standards and requirements set forth in 3 RCNY § 113-04. (2) Instructor qualifications. Active shooter preparedness training courses shall be conducted by persons with police, fire, other governmental law enforcement, military, prior experience in fire safety and non-fire emergency (EAP) training, or other appropriate experience or expertise and fire prevention knowledge, that qualifies them to teach the respective instructional topics of the training course. (c) Required Hours and Topics of Instruction. (1) Training courses shall, at a minimum, provide not less than four (4) hours of live instruction. (2) Training courses shall include instruction in the following active shooter topics: (A) Introduction to active shooter emergencies (including the definition, profile and typical characteristics); (B) Recommended response of building occupants to an active shooter emergency (Avoid, Barricade, Confront); (C) Recommended response of emergency preparedness and building staff to an active shooter emergency (including 911 notification, building occupant notification, use of elevators, use of fire alarm system); (D) Notification of New York City 911 System and information to be reported; (E) Response of building occupants and emergency preparedness/building staff to law enforcement emergency responders; (F) Training of building occupants; (G) Emergency preparedness planning for an active shooter situation; (H) Scenarios of active shooter situations and case studies; and (I) Certificate of fitness testing information provided by the Department. (3) Training courses shall include instruction in the following medical emergency topics: (A) Training of building occupants to notify FLS director or other designated FLS staff of medical emergencies on the premises that have been reported to New York City 911 System; (B) Confirmation that the medical emergency has been reported to the New York City 911 System and additional information to be reported to 911, including the address of the appropriate building entrance or other location at which emergency responders will be met by FLS director or other designated FLS staff; (C) Designation of FLS staff to meet emergency responders, when necessary; (D) Designation of FLS staff to respond to patient location to investigate and report to FLS director; (E) FLS staff notification of CPR-trained volunteers on the premises and request to render assistance (when appropriate); (F) If patient is not on street level, recall of elevator prior to arrival of emergency responders and hold for emergency responder use; and (G) Location of defibrillators or other medical equipment for medical emergencies. (d) Course Administration and Completion. (1) The final examination required for successful completion of the training course shall not be included toward the minimum number of classroom hours required by this section. (2) Students must attend all training classes to be eligible to take the final examination. (3) Students shall be allowed two (2) opportunities to pass the final examination. Students who fail the final examination on the second attempt must re-take the course in its entirety. (Amended City Record 10/28/2016, eff. 12/1/2016)

3 RCNY § 113-07 Refrigerating System Operating Engineer Training Courses.

§ 113-07 Refrigerating System Operating Engineer Training Courses. (a) Scope. This section sets forth the minimum hours of classroom instruction and topics required for Department accreditation of training courses for certificate of qualification for refrigerating system operating engineer. (b) General Provisions. (1) General accreditation requirements. Refrigerating system operating engineer training courses shall comply with the general training school accreditation procedures, standards and requirements set forth in 3 RCNY § 113-04. (c) Required Hours and Topics of Instruction. (1) Training courses shall, at a minimum, provide not less than 200 hours of instructional training, of which not less than 25 hours shall consist of practical skill exercise/hands-on demonstration in which each student must personally perform the functions set forth in 3 RCNY § 113-07(c)(2)(U). (2) Training courses shall provide instruction in the following topics: (A) Definitions and terminology. (1) British thermal unit (2) Specific heat (3) Latent heat (4) Sensible heat (5) Refrigeration effect (6) Humidity (7) Absolute zero (B) Calculations with refrigeration formulas. (1) Refrigeration effect (2) Compressor displacement/capacity (3) Compression ratio (4) Horsepower requirements (5) Refrigerant circulation requirements (C) Thermodynamics principles of refrigeration. (1) Temperature scales (2) Nature of heat and heat flow (a) Conductors and insulators (3) Effects of heat energy (4) Molecular theory of heat (5) Temperature and heat (6) Pressure-temperature relationships (7) Physical changes of state (8) Calculations for heat conduction (D) Basic refrigeration cycles. (E) Absorption systems. (1) Ammonia systems (2) Lithium bromide systems (3) Purgers (4) Two stage steam absorption (F) Steam jet and thermocouple systems. (G) Compression systems. (H) Multiple systems. (1) Cascade (2) Multi-temperature (I) Refrigerants. (1) Primary and secondary (2) Qualities and properties (3) Tables and data (4) CFC and environmental issues (J) Evaporators. (K) Metering devices and automatic controls. (1) High and low-side floats (2) Automatic expansion valves (3) Thermostatic expansion valves (4) Manual expansion valves (L) Condensers. (1) Construction and operation of air-cooled condensers (2) Theory, operation and maintenance of water-cooled condensers (M) Receivers and accessories. (1) Filters and driers (2) Vibration isolators (3) Distribution headers (N) Cooling towers, and spray ponds. (O) Compressors. (1) Reciprocating (a) Open type (b) Serviceable and non-serviceable hermetic units (c) Vertical and horizontal ammonia compressors (d) High Speed freon compressors (2) Rotary (3) Centrifugal (a) Hermetic and non-hermetic types (b) Capacity control (P) Prime movers. (1) Steam turbines (2) Electric motors (3) Absorber generators (a) Steam powered (b) Direct fired – combustion principles (Q) Operation of valves and gauges. (R) Refrigerating systems oils and lubrication. (1) Qualities and characteristics (2) Methods of compressor lubrication (3) Lubricating system components (a) Filters (b) Pumps (S) Secondary refrigerating systems. (1) Holdover tanks (2) Congealing tanks (3) Circulating pumps (4) Operation and maintenance of brine system (5) Significance of pH (T) Regulatory and safety requirements. (1) Department permit and operator requirements, including FC 606 (2) Building Code and Mechanical Code requirements, including ASHRAE Standard 15 (3) Clean Air Act Amendments and United States Environmental Protection Agency regulations (4) OSHA regulations (5) Impact of Local Law Nos. 5 of 1973, 16 of 1984, 41 of 1978, 58 of 1987, 26 of 2004 and 26 of 2008 on the operation of refrigerating systems (6) Amendments to any of the foregoing (U) Refrigerating system servicing (practical skills exercise/hands-on demonstrations). (1) Selection and use of tools for diagnosis and servicing (a) Gauges (b) Thermometers (c) Charging containers (d) Vacuum pumps – system evacuation (2) Charging and testing (a) Critical charges (b) Correct low and high-side operating pressure (c) Use of gauge manifolds (3) Moisture (a) Its effects (b) Removal of blotting and/or evacuation (c) Use of desiccants and driers (4) System troubleshooting and diagnosis procedures (5) Leak repair and component replacement (a) Copper tubing – cut, bend, sweat and flare (b) Copper tubing and pipe, solder and braze (6) Open type compressors (a) Replace compressor valves and gaskets (7) Hermetic compressor-motor units (a) Testing hermetic-motor units for grounds, shorts, open windings (b) Testing power pack components – overload protectors, relays (c) Testing wiring harnesses (V) Building operation, maintenance and recordkeeping. Building Code, Fire Code and rule requirements for building operation, maintenance and recordkeeping, as set forth in 3 RCNY § 113-12(c)(2). (d) Course Administration and Completion. (1) The ratio of students to instructors in the practical skills exercise/hand-on demonstrations shall not exceed 8-to-1. (2) Students must attend at least 25 hours of practical skills exercise/hands-on demonstrations, and not less than 95% of other required instructional training, to be eligible to take the training course final written examination.

3 RCNY § 113-08 Commercial Cooking Exhaust Systems Certificates of Fitness.

§ 113-08 Commercial Cooking Exhaust Systems Certificates of Fitness. (a) Scope. This section sets forth standards, requirements and procedures for issuance of certificates of fitness to inspect and clean commercial cooking exhaust systems. (b) General Provisions. Applicants for certificates of fitness for inspection and cleaning of commercial cooking exhaust systems shall meet the minimum qualifications and comply with the general requirements for a certificate of fitness as set forth in FC 113 and 3 RCNY § 113-01. (c) Special Qualifications for Precipitator Inspection and Cleaning. Applicants who intend to inspect and clean the precipitator component of commercial cooking exhaust systems shall obtain an endorsement on their certificate of fitness for each type of precipitator to be serviced. (d) Special Application Requirements. In addition to the qualifications set forth in FC 113, applicants shall possess and demonstrate to the satisfaction of the Department that they possess the training and knowledge necessary to properly inspect and clean the particular precipitators that they intend to service, and possess the manufacturer's specifications and servicing manuals for such precipitators.

3 RCNY § 113-09 Non-Production Laboratory Certificates of Fitness.

§ 113-09 Non-Production Laboratory Certificates of Fitness. (a) Scope. This section sets forth standards, requirements and procedures for issuance of certificates of fitness for non-production laboratories. (b) General Provisions. Applicants for certificates of fitness for non-production laboratories shall meet the minimum qualifications and comply with the general requirements for a certificate of fitness as set forth in FC 113 and 3 RCNY § 113-01. (c) Qualifications. In addition to the qualifications set forth in FC 113, applicants for non-production laboratory certificates of fitness shall possess and demonstrate to the satisfaction of the Department that they have accumulated 60 college credits as a result of satisfactory completion of course work at a college or university accredited by an accrediting body recognized by the United States Secretary of Education and the Council for Higher Education Accreditation. Of the 60 required credits, not less than 21 shall be in the field of engineering, chemistry, fire science or other approved field of study. (d) Special Application Requirements. In addition to the applicable requirements set forth in FC 113, applicants shall demonstrate to the satisfaction of the Department that they have received training relating to the safe storage, handling and use of hazardous materials, including training in the requirements of FC 5006 and any rules promulgated pursuant to such section. (Amended City Record 9/20/2023, eff. 10/20/2023)

3 RCNY § 113-10 Construction Site Fire Safety Manager Training Courses.

§ 113-10 Construction Site Fire Safety Manager Training Courses. (a) Scope. This section sets forth the minimum hours of classroom instruction and topics required for Department accreditation of training courses for certificates of fitness for construction site fire safety manager. (b) General Provisions. (1) General accreditation requirements. Construction site fire safety manager training courses shall comply with the general training school accreditation procedures, standards and requirements set forth in 3 RCNY § 113-04. (2) Instructor qualifications. Instruction in construction site fire safety manager training courses shall be conducted by persons with fire code, fire prevention/suppression, construction, engineering or other appropriate experience or expertise that qualifies them to teach the respective instructional topics of the training course. (c) Required Hours and Topics of Instruction. (1) Training courses shall, at a minimum, provide not less than seven (7) hours of instruction. (2) Training courses shall provide instruction in the following topics, and such other topics as the Department may from time to time designate by written notice to accredited training course providers: (A) Introduction to the Fire Code and Fire Department Rules, including their organization and terminology. (B) Fire Code construction site provisions (FC Chapter 33 and 3 RCNY Chapter 33). (C) All construction site fire safety requirements, as set forth in 3 RCNY § 3301-01(c). (d) Course Administration and Completion. (1) Students must attend all training classes to be eligible to take the training course's final examination. (2) Students shall be allowed two (2) opportunities to pass the final examination. Students who fail the final examination on the second attempt shall be required to reattend the course in its entirety. (Amended City Record 9/20/2023, eff. 10/20/2023)

3 RCNY § 113-11 Construction Site Fire Safety Manager Certificates of Fitness.

§ 113-11 Construction Site Fire Safety Manager Certificates of Fitness. (a) Scope. This section sets forth standards, requirements and procedures for issuance of a certificate of fitness to perform the duties of a construction site fire safety manager. (b) General Provisions. Applicants for construction site fire safety manager certificates of fitness shall meet the minimum qualifications and comply with the general requirements for a certificate of fitness set forth in FC 113 and 3 RCNY § 113-01. (c) Qualifications. In addition to the qualifications set forth in FC 113 (including receipt of a passing grade on the Department's written examination), applicants for construction site fire safety manager certificate of fitness shall possess and demonstrate to the satisfaction of the Department the physical ability to perform the duties of the position and the following qualifications: (1) Certification or experience. Applicants shall hold or possess: (A) A site safety manager or site safety coordinator certificate issued by the Department of Buildings pursuant to BC 3310.5 and Department of Buildings rule 1 RCNY § 104-08; or (B) At least three (3) years of full-time experience within the past six (6) years prior to the date of the application: (1) working for a governmental agency or a construction, design or consulting firm; (2) at construction sites upon which "major buildings" (as that term is defined in BC 3310.2) are being constructed; and (3) with responsibility for construction site safety and/or supervision of construction; or (C) At least eight (8) years of full-time experience within the past 12 years prior to the date of the application working for a governmental agency with responsibility for conducting and/or supervising fire code or fire safety inspections or enforcement; or (D) At least ten (10) years of full-time experience within the past 15 years prior to the date of the application working as a firefighter or fire officer in a paid fire department. (2) Training Course. Applicants shall successfully complete a construction site fire safety manager training course conducted by an educator or educational institution or program accredited by the Department pursuant to 3 RCNY § 113-04 and 3 RCNY § 113-10. (d) Application Procedures. Application for a construction site fire safety manager certificate of fitness shall be made in accordance with 3 RCNY § 113-01.

3 RCNY § 113-12 Building Operation, Maintenance and Recordkeeping Training Courses.

§ 113-12 Building Operation, Maintenance and Recordkeeping Training Courses. (a) Scope. This section sets forth the minimum hours of classroom instruction and topics required for Department accreditation of training courses for building operations, maintenance and recordkeeping. (b) General Provisions. (1) General accreditation requirements. Building operation, maintenance and recordkeeping training courses shall comply with the general training school accreditation procedures, standards and requirements set forth in 3 RCNY § 113-04. (2) Instructor qualifications. Instruction in building operation, maintenance and recordkeeping training courses shall be conducted by persons with fire code, fire prevention, fire suppression, or other appropriate experience or expertise that qualifies them to teach the respective instructional topics of the training course. (c) Required Hours and Topics of Instruction. (1) Training courses shall, at a minimum, provide not less than seven (7) hours of live instruction. (2) Training courses shall provide instruction in the following Fire Code, Building Code, and rule requirements associated with building operation and maintenance: (A) permits, certificates of fitness, and company certificates (B) emergency planning and preparedness (C) emergency power systems, including Chapter 8 of NFPA 110, and NFPA 111 (D) elevator in readiness (E) refrigerating systems, including operator inspection after repair, monthly testing, and operator logbook. (F) flame-resistant decorations (G) fire alarm systems, including Chapter 14 of NFPA 72 (H) sprinkler systems, including Chapters 5, 8 and 9 of NFPA 25 (I) standpipe systems, including Chapters 6, 8 and 9 of NFPA 25 (J) out-of-service sprinkler, standpipe and fire alarm systems, including impairment coordinator, fire guard and notification requirements (K) portable fire extinguishers (L) commercial cooking systems (M) smoke control systems (N) non-water fire extinguishing systems (O) means of egress, including Building Code required exit and elevator signage, and photoluminescent pathway markings (P) hot work operations (Q) fumigation and insecticidal fogging operations (R) painting of sprinkler and standpipe system piping and valve handles in both new and existing buildings, as set forth in BC 903.6 and 905.11 (S) stationary storage battery systems. (R) painting of sprinkler and standpipe system piping and valve handles in both new and existing buildings, as set forth in BC 903.6 and 905.11. (d) Course Administration and Completion. (1) Students must attend all seven (7) hours of training to be eligible to take the training course's final examination. (2) Students shall be allowed two (2) opportunities to pass the final examination. Students who fail the final examination on the second attempt shall be required to reattend the course in its entirety. (Amended City Record 9/20/2023, eff. 10/20/2023)

3 RCNY § 114-01 Certificates of License.

§ 114-01 Certificates of License. (a) Scope. This section sets forth standards, requirements and procedures for issuance of certificates of license for the installation, alteration, testing and repair of automotive and marine liquid motor fuel storage and dispensing systems and flammable liquid and combustible liquid storage systems. (b) General Provisions. (1) Minimum qualifications and general requirements. Applicants for certificates of license shall meet the minimum qualifications and comply with the general requirements set forth in FC 114 and this section. Holders of a certificate of license shall maintain all qualifications and comply with all requirements throughout the term of the certificate. (2) Inspection of facilities. (A) All facilities maintained by certificate of license applicants and holders are subject to Department inspection. Such inspection may be conducted for any purpose related to the enforcement of the requirements of this section, including but not limited to verifying that the certificate of license applicant possesses such facilities and specialized equipment as may be required to perform the duties of business or activity requiring the certificate of license. (B) Facility inspections conducted in connection with original or renewal applications for a certificate of license shall be conducted at the expense of the applicant, based on the fees set forth in FC Appendix A, plus reasonable travel expenses for facilities located outside of New York City. (3) Agent for receipt of process. All applicants and certificate of license holders shall designate an agent located in New York City who is authorized to receive process on behalf of the company. The agent's designation shall provide that the service of process upon him or her shall confer personal jurisdiction over the certificate of license holder in any judicial or administrative proceeding or action. This provision shall not be construed to limit the parties upon whom, or manner by which, service may be effected in accordance with applicable law. (4) Change of contact information. All applicants and certificate holders are required to promptly notify the Department of any change in the applicant's or certificate holder's address, telephone number and other contact information, and such other information as the Department may require. (c) General Qualifications. The Department will grant an original or renewal application for a certificate of license where the applicant possesses and satisfactorily demonstrates to the Department that the applicant or certificate holder possesses the following qualifications: (1) A driver's license, passport, birth certificate or other proof satisfactory to the Department that the applicant satisfies the minimum age requirement set forth in FC 114.4; (2) sufficient knowledge and experience in the business or activity requiring the certificate of license to competently and safely engage in such business or activity; (3) the integrity and fitness to be responsible for performing duties affecting public safety; (4) qualified staff and sufficient equipment and facilities to competently and safely perform the business or activity requiring the certificate of license; (5) maintenance of the liability insurance policy required by the Fire Code or rules; and (6) for original applications filed on or after February 15, 2000, a high school diploma, or its educational equivalent, approved by a state's Department of Education, or an approved accrediting organization. (d) Special Qualifications. In addition to general qualifications set forth in 3 RCNY § 114-01(c), applicants for certificates of license shall possess and satisfactorily demonstrate to the Department that the applicant possesses the following qualifications: (1) Automotive and marine liquid motor fuel storage and dispensing systems. (A) A minimum of three (3) years work experience in the installation, alteration, testing or repair of automotive or marine liquid motor fuel storage and dispensing systems in the five (5) year period prior to the date of filing of such application. Such experience shall have been obtained working under the general supervision of a holder of a certificate of license holder for automotive or marine liquid motor fuel storage and dispensing systems. (2) Flammable liquid and combustible liquid storage systems. (A) A certificate of license for automotive and marine liquid motor fuel storage and dispensing systems; (B) A minimum of three (3) years work experience in the installation, alteration, testing or repair of automotive or marine liquid motor fuel storage and dispensing systems in the five (5) year period prior to the date of filing of such application. Such experience shall have been obtained working under the general supervision of a holder of a certificate of license holder for automotive or marine liquid motor fuel storage and dispensing systems; or (C) A minimum of three (3) years work experience in the installation, alteration, testing or repair of flammable liquid and combustible liquid storage systems in the five (5) year period prior to the date of filing of such application. (e) General Application Requirements. Applicants for a certificate of license shall submit all information and documentation necessary or appropriate to establish their eligibility for issuance of such certificate in accordance with FC 115 and this section. (1) Application forms and information. Information relating to certificate of license requirements and application procedures, including application forms, may be obtained from the Department's web site, www.nyc.gov/fdny, and from the Licensing Unit of the Bureau of Fire Prevention, Fire Department Headquarters, 9 MetroTech Center, 1st Floor, Brooklyn, NY 11201-3857. (2) Submission. Original applications for certificates of license shall be filed in person with the Licensing Unit of the Bureau of Fire Prevention. Renewal certificate applications may be filed in person or by mail, except as may be otherwise specified by the Department. (3) Incomplete applications. The Department reserves the right not to accept for filing any application that is incomplete or otherwise deficient, including any application that is submitted without the required supporting documentation or application fee. The Department will provide the applicant notice of any application that is not accepted, and, except for applications determined to be fraudulent, shall afford the applicant a reasonable time to correct or supplement such application. Original applications not corrected or supplemented within 30 days of being notified will be deemed abandoned. (4) Examination. Applicants for an original certificate of license must obtain a passing score on the applicable examination administered by the Department. (5) Identification. Applicants for an original certificate of license shall provide two (2) pieces of picture identification satisfactory to the Department, such as a driver's license, passport or employee identification card. The Department reserves the right to require additional identification. (6) Photographs. All applicants for an original certificate of license will be photographed by the Department for identification purposes. The Department may require a certificate of license holder filing for renewal of their certificate to report to the Department to be photographed. Failure to comply with such a notice constitutes grounds for non-renewal of the certificate. In lieu of, or in addition to, such photographs, the Department may require submission of two passport-size photographs in connection with an original or renewal certificate of license application. (7) Fees. Application fees relating to certificates of license shall be as set forth in FC Appendix A or the rules. Except as otherwise authorized by the Department, fees shall be paid in cash, check or money order payable to the "New York City Fire Department." (8) Applicants delinquent on child support payments. In accordance with the United States Social Security Act, 42 U.S.C. § 666(a)(13), and New York State General Obligations Law § 3-503, applications for original or renewal certificates of license will be reviewed for compliance of its principals and officers with child support obligations and will be denied when required by such laws when one (1) or more of such principals or officers has been identified by the Office of Child Support Enforcement of the New York City Human Resources Administration (or any successor agency) as delinquent on child support payments. The principals and officers of applicants for certificates of license will be required to disclose their social security numbers for purposes of such review. (9) Original applications. Applications for a certificate of license shall include the following information and documentation, and such other information and documentation as the Department may require: (A) The applicant's prior experience in the business or activity requiring the certificate of license, including the names and addresses of all companies with which such applicant has been employed or otherwise affiliated in the five-year period prior to the date of filing; (B) A list of all federal, state, or local licenses or certificates issued to the applicant in the five-year period prior to the date of filing that authorize the applicant to engage in the business or activity requiring the certificate of license, or similar business or activity. A copy of each such license and certificate shall be included with the application; (C) A list of its offices, facilities and any specialized equipment required to engage in the business or activity requiring the certificate of license; (D) A copy of any and all violations, judgments, convictions and penalties issued to or entered against the applicant, in the five-year period prior the date of filing, relating to the business or activity requiring the certificate of license, or similar business or activity; or relating to the offering or receiving of a bribe or unlawful gratuity. A copy of the charges, pleadings, adjudications and certificates of disposition from any such civil or criminal proceeding shall be included with the application; and (E) A list of any permits issued to the applicant, including the Department account numbers. (F) The name, address and contact information for the agent for receipt of process required by 3 RCNY § 114-01(b)(3). (10) Renewal applications. Renewal applications shall disclose any changes in the certificates of license holders, offices and facilities, and permits; disclose any violations, judgments, criminal convictions and penalties since the last date of filing; and include a copy of all current licenses and certificates. (f) Examinations. (1) All written examinations will be administered by the Licensing Unit of the Bureau of Fire Prevention at Fire Department Headquarters, except as may be otherwise specified by the Department in the notice of examination or other appropriate notice. (2) All examinations will be conducted in the English language. (3) The subject matter of an examination, and, for any numerically-graded certificate examination, the passing grade, shall be as set forth on the Department's notice of examination. The passing grade shall be set at 70% unless otherwise specified in such notice of examination. (4) An applicant will be provided written notice of his or her examination grade. (5) An applicant who fails to obtain a passing grade on a written examination may re-take the examination, subject to the availability of Department resources and appointments. The required fee must be paid by the applicant each time he or she is administered an examination. (g) General Insurance Requirements. (1) Except as may be otherwise required by the Fire Code or the rules, applicants for, and holders of, a certificate of license shall maintain a liability insurance policy in an amount not less than five hundred thousand dollars ($500,000), issued by an approved insurance company that is licensed to do business in New York State and has a A.M. Best rating of A- or better. Employees of city agencies that require such certificate in connection with their official city duties and responsibilities shall be exempt from maintaining such liability insurance policy. (2) Such liability policy shall provide insurance coverage in the event of any death, injury, damage or other loss to persons or property by reason of the business or activity requiring the certificate of license. Such coverage shall be at least as broad as that set forth in the most recent edition of ISO Form CG 0001, and shall include completed operations. (3) The Department may relieve the holder of a certificate of license of the obligation to maintain the liability insurance policy required by this section if the certificate holder makes a written request to the Department to place its certificate of license in "Not in Use" (inactive) status, and the Department grants such request. The holder of the certificate of license shall not engage in any business or activity requiring the certificate of license while its certificate is in such "Not in Use" status, and shall not resume any such business or activity unless and until a written request has been made to the Department to restore such certificate of license to active status, together with proof of compliance with the liability insurance policy required by the Fire Code, the rules or this section, and the certificate is restored by the Department to active status. (h) Misconduct. In addition to any other penalties provided by law, misconduct on the part of an applicant or holder of a certificate of license shall be grounds for denial, non-renewal, suspension or revocation of a certificate of license. Such misconduct includes, but is not limited to: (1) the failure of a holder of a certificate of license to properly discharge the duties of such certificate, including failing to properly supervise the work being conducted such certificate; (2) any false and fraudulent conduct in connection with an application for a certificate of license or the duties of a certificate of license holder, including: (A) any false or fraudulent statement or submission; and (B) any unauthorized alteration or use of a certificate of license or possession of any fraudulent certificate of license; and (C) cheating on an examination; and (D) impersonating another or allowing oneself to be impersonated; (3) any other unlawful or unsafe conduct that bears on the integrity or reliability of an applicant or certificate of license holder; (4) the failure to maintain the liability insurance policy required by the Fire Code, this section or the rules; (5) the failure to promptly notify the Department of any change in the designated agent for receipt of process, pursuant to 3 RCNY § 114-01(b)(3), or applicant's or certificate holder's contact information, or any other notification required pursuant to 3 RCNY § 114-01(b)(4); or (6) compromising the integrity or confidentiality of a Department examination.

3 RCNY § 115-01 Company Certificates.

§ 115-01 Company Certificates. (a) Scope. This section sets forth standards, requirements and procedures for issuance of company certificates, including blasting contractor, central station, commercial cooking exhaust system servicing, fireworks contractor, fumigation and insecticidal fogging operation, portable fire extinguisher sales, portable fire extinguisher servicing, pyrotechnic supplier, smoke detector maintenance company certificates, ARC system testing, and fire alarm system installation, inspection, testing and servicing. (b) General Provisions. (1) Minimum qualifications and general requirements. Applicants for company certificates shall meet the minimum qualifications and comply with the general requirements set forth in FC 115 and this section. Companies to which a company certificate has been issued, their principals and officers, shall maintain all qualifications and comply with all requirements throughout the term of the certificate. (2) Inspection of facilities. (A) All facilities maintained by company certificate applicants and holders are subject to Department inspection. Such inspection may be conducted for any purpose related to the enforcement of the requirements of this section, including but not limited to verifying that the company possesses such facilities and specialized equipment as may be required to perform the duties of business or activity requiring the company certificate. (B) Facility inspections conducted in connection with original or renewal applications for a company certificate shall be conducted at the expense of the applicant, based on the fees set forth in FC Appendix A, plus reasonable travel expenses for facilities located outside of New York City. (3) Agent for receipt of process. All applicants and certificate holders shall designate an agent located in New York City who is authorized to receive process on behalf of the company. The agent's designation shall provide that the service of process upon him or her shall confer personal jurisdiction over the company in any judicial or administrative proceeding or action. This provision shall not be construed to limit the parties upon whom, or manner by which, service may be effected in accordance with applicable law. (4) Change of contact information. All applicants and certificate holders are required to promptly notify the Department of any change in the applicant's or certificate holder's address, telephone number and other contact information, and such other information as the Department may require. (c) General Qualifications. The Department will grant an original or renewal application for a company certificate where the applicant possesses and satisfactorily demonstrates to the Department that the company, its principals and officers, possess the following qualifications: (1) sufficient knowledge and experience in the business or activity requiring the company certificate to competently and safely engage in such business or activity, including one (1) or more principals or officers holding a certificate of fitness for such business or activity, where such certificate of fitness is required by the Fire Code or rules; (2) the integrity and fitness to be responsible for performing duties affecting public safety; (3) qualified staff and sufficient equipment and facilities to competently and safely perform the business or activity requiring the company certificate, including, where the company certificate is for the servicing of equipment, the manufacturer's servicing manuals; and (4) maintenance of the liability insurance policy required by the Fire Code or rules. (d) Special Qualifications. In addition to general qualifications set forth in 3 RCNY § 115-01(c), applicants for the following company certificates shall possess and satisfactorily demonstrate to the Department that the company, its principals and officers, possess the following qualifications: (1) Blasting contractor certificates. (A) The company shall possess all licenses and other approvals required by the Bureau of Alcohol, Tobacco, Firearms and Explosives of the United States Department of Justice. (B) One (1) or more principals or officers of the company shall hold a certificate of fitness for blasting operations, or a certificate of fitness for blasting assistant, except, where the company only conducts blasting operations involving five (5) pounds or less of explosives, one (1) or more principals or officers may, in lieu of holding such certificate, have a minimum of two (2) years' experience in construction activities involving blasting operations. (2) Central station certificate of operation. (A) The central station company shall have been listed or otherwise shall have been approved by a nationally-recognized testing laboratory as a central station, or equivalent. (3) Fireworks contractor certificates. (A) One (1) or more principals or officers of the company shall hold a certificate of fitness for fireworks displays. (B) One (1) or more principals or officers of the company shall have a minimum of two (2) years' experience in conducting legal fireworks displays. (4) Fumigation and thermal insecticidal fogging operations company certificates. (A) One (1) or more principals or officers of the company shall have a minimum of two (2) years' experience in fumigation and thermal insecticidal fogging operations. (5) Portable fire extinguisher sales company certificates. (A) One (1) or more principals or officers of the company shall hold a certificate of fitness for portable fire extinguisher sales. (6) Portable fire extinguisher servicing company certificates. (A) One (1) or more principals or officers of the company shall have a minimum of two (2) years' experience in portable fire extinguisher servicing and hold a certificate of fitness for portable fire extinguisher servicing. (B) The company shall possess the tools, materials, equipment, facilities and servicing manuals specified in Chapter 7 of NFPA 10 to service portable fire extinguishers. (7) Smoke detector maintenance company certificates. (A) The company is listed as a fire alarm service organization by a national testing laboratory, or is an authorized smoke detector service company for a smoke detector manufacturer. (B) One (1) or more principals or officers of the company holds 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 is 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. (C) One (1) or more principals or officers of the company has received Level II certification in fire alarm systems from the National Institute for Certification in Engineering Technologies (NICET). (8) ARC system testing company certificates. (A) One (1) or more principals or officers of the company shall hold a General Radiotelephone Operator License issued by the FCC pursuant to 47 C.F.R. Part 90. (9) Commercial cooking exhaust system servicing company certificates. (A) One (1) or more principals or officers shall have a minimum of five (5) years' experience in the cleaning of commercial cooking exhaust systems. (B) One (1) or more principals or officers shall hold a certificate of fitness for commercial cooking exhaust system servicing technician. (C) The company shall have in its employ at least two (2) persons to conduct commercial cooking exhaust system cleaning and servicing. Each such person shall hold the certificate of fitness for commercial cooking exhaust system servicing technician required to conduct such cleaning and servicing. The principal(s) holding such certificate of fitness may be counted toward such minimum staffing requirement only if the principal(s) will be personally conducting such cleaning and servicing. (D) The company shall possess all tools, materials and equipment required to safely clean and service commercial cooking exhaust systems, including ladders, lighting equipment, scraping and washing equipment, cleaning materials, and vehicle(s) marked with the company name and company certificate number. (10) fire alarm system installation, inspection, testing and servicing. (A) One (1) or more principals of the company shall be a fire alarm system installer registered with or licensed by the State of New York, who is certified by the National Institute for Certification in Engineering Technologies (NICET) to at least Level II in fire alarm systems; or (B) One (1) or more principals of the company shall be a fire alarm system installer registered with or licensed by the State of New York, who holds a certificate of fitness as a fire alarm system installation, inspection, testing and servicing principal; or (C) One (1) or more principals of the company shall be a master electrician or special electrician licensed by the Department of Buildings. (e) General Application Requirements. Applicants for a company certificate shall submit all information and documentation necessary or appropriate to establish their eligibility for issuance of such certificate in accordance with FC 115, this section and the rules. (1) Application forms and information. Information relating to company certificate requirements and application procedures, including application forms, may be obtained from the Department's web site, www.nyc.gov/fdny, and from the Licensing Unit of the Bureau of Fire Prevention, Fire Department Headquarters, 9 MetroTech Center, 1st Floor, Brooklyn, NY 11201-3857. (2) Submission of applications. Original applications for company certificates shall be filed in person with the Licensing Unit of the Bureau of Fire Prevention. Renewal certificate applications may be filed in person or by mail, except as may be otherwise specified by the Department. (3) Incomplete applications. The Department reserves the right not to accept for filing any application that is incomplete or otherwise deficient, including any application that is submitted without the required supporting documentation or application fee. The Department will provide the applicant notice of any application that is not accepted, and, except for applications determined to be fraudulent, shall afford the applicant a reasonable time to correct or supplement such application. Original applications not corrected or supplemented within 30 days of being notified will be deemed abandoned. (4) Identification. Applicants for an original company certificate shall provide two (2) pieces of picture identification satisfactory to the Department, such as a driver's license, passport or employee identification card. The Department reserves the right to require additional identification. (5) Photographs. All applicants for an original company certificate will be photographed by the Department for identification purposes. The Department may require a company certificate holder filing for renewal of their certificate to report to the Department to be photographed. Failure to comply with such a notice constitutes grounds for non-renewal of the certificate. In lieu of, or in addition to, such photographs, the Department may require submission of two passport-size photographs in connection with an original or renewal company certificate application. (6) Fees. Application fees relating to company certificates shall be as set forth in FC Appendix A and the rules. Except as otherwise authorized by the Department, fees shall be paid in cash, check or money order payable to the "New York City Fire Department." (7) Applicants delinquent on child support payments. In accordance with the United States Social Security Act, 42 U.S.C. § 666(a)(13), and New York State General Obligations Law § 3-503, applications for original or renewal company certificates will be reviewed for compliance of its principals and officers with child support obligations and will be denied when required by such laws when one (1) or more of such principals or officers has been identified by the Office of Child Support Enforcement of the New York City Human Resources Administration (or any successor agency) as delinquent on child support payments. The principals and officers of applicants for company certificates will be required to disclose their social security numbers for purposes of such review. (8) Original applications. Applications for a company certificate shall include the following information and documentation, and such other information and documentation as the Department may require: (A) A list of all principals and officers of the company, and their prior experience in the business or activity requiring the company certificate, including the names and addresses of all companies with which such principals and officers have been employed or otherwise affiliated in the five-year period prior to the date of filing; (B) A list of all federal, state, or local licenses or certificates issued to such company, its principals or officers, in the five-year period prior to the date of filing, that authorize such company or its principals or officers to engage in the business or activity requiring the company certificate, or similar business or activity. A copy of each such license and certificate shall be included with the application; (C) A list of its offices, facilities and any specialized equipment required to engage in the business or activity requiring the company certificate; (D) A roster of the certificate of fitness holders who will be working under the company certificate, including their names and certificate of fitness numbers; (E) A copy of any and all violations, judgments, convictions and penalties issued to or entered against the company, its principals and officers, in the five-year period prior the date of filing relating to the business or activity requiring the company certificate, or similar business or activity, or relating to the offering or receiving of a bribe or unlawful gratuity. A copy of the charges, pleadings, adjudications and certificates of disposition from any such civil or criminal proceeding shall be included with the application; (F) A list of any permits issued to the company, its principals or officers, including the Department account numbers; and (G) The name, address and contact information for the agent for receipt of process required by 3 RCNY § 115-01(b)(3). (9) Renewal applications. Renewal applications shall disclose any changes in the company's principals and officers, offices and facilities, roster of certificate of fitness holders, and permits; disclose any violations, judgments, criminal convictions and penalties since the last date of filing; and include a copy of all current licenses and certificates. (f) Special Application Requirements. In addition to the general application requirements set forth in 3 RCNY § 115-01(e), applications for the following company certificates shall include the following information and documentation: (1) Central station certificates of operation. Applicants for such a company certificate shall include a copy of the listing or approval required by 3 RCNY § 115-01(d)(2); (2) Fireworks contractor certificates. Application for such a company certificate shall include a list of the fireworks displays conducted by the company, its principals or officers, in the three-year period prior to the date of filing, setting forth the date and location of such fireworks displays, and the number and types of fireworks discharged, including proof satisfactory to the Department that the company, its principals or officers, have safely conducted fireworks displays in urban or other confined settings comparable to those found in New York City; (3) Portable fire extinguisher servicing company certificates. Application for such a company certificate shall include a list of any other portable fire extinguisher servicing company certificate holders that will be performing services on behalf of the applicant in connection with the servicing of portable fire extinguishers, including a copy of the written agreement between such companies. (g) General Insurance Requirements. (1) Except as may be otherwise required by the Fire Code or the rules, applicants for, and holders of, a company certificate shall maintain a liability insurance policy in an amount not less than five hundred thousand dollars ($500,000), issued by an approved insurance company that is licensed to do business in New York State and has an A.M. Best rating of A- or better. (2) Such liability policy shall provide insurance coverage in the event of any death, injury, damage or other loss to persons or property arising from the conduct of the business or activity requiring the company certificate. Such coverage shall be at least as broad as that set forth in the edition of ISO Form CG 0001 most recently published as of the time coverage is obtained, and shall include completed operations. (3) The Department may relieve the holder of a company certificate of the obligation to maintain the liability insurance policy required by this section if the certificate holder makes a written request to the Department to place its company certificate in "Not in Use" (inactive) status, and the Department grants such request. The holder of the company certificate shall not engage in any business or activity requiring the company certificate while its certificate is in such "Not in Use" status, and shall not resume any such business or activity unless and until a written request has been made to the Department to restore such company certificate to active status, together with proof of compliance with the liability insurance policy required by the Fire Code, the rules or this section, and the certificate is restored by the Department to active status. (4) ARC system testing company certificates. Application for such a company certificate shall include: (A) a list of the ARC systems, or other in-building radio communication systems, installed and/or tested by the company, its principals or officers, in the three-year period prior to the date of filing, including the addresses of the buildings in which such systems were installed and/or tested and the dates of such installation and/or testing; (B) documentation of any enforcement action taken by FCC or other governmental authority with respect to an FCC General Radiotelephone Operator License or other radio communication-related license or permit held or formerly held by any principal or officer of the company in the five-year period prior to filing; (C) a request, in a form approved by the Department, for Department approval to purchase two (2) or more portable radios of the type utilized by Department personnel, and for Department programming of such portable radios to operate on radio frequencies licensed by the FCC to the City of New York, solely for purposes of the company certificate holder's testing of ARC systems; and (D) A written agreement, executed by a principal or officer of the company, in the form specified by the Department, that sets forth terms and conditions for use, by the company and its personnel, of portable radios that operate on Department frequencies, including compliance with FCC regulations and other applicable, laws, rules and regulations, and the authority of the Department to direct the company and its personnel to immediately discontinue operating on the frequencies and to submit the company's portable radios to the Department for removal of Department programming. (h) Special Insurance Requirements. In addition to the general insurance requirements set forth in 3 RCNY § 115-01(g), applicants for, and holders of, the following company certificates shall comply with the following insurance requirements: (1) Blasting contractor certificates. Applicants for, and holders of, blasting contractor certificates shall maintain a liability insurance policy in an amount not less than five million dollars ($5,000,000). Such insurance policy shall name the City of New York and the New York City Fire Department as additional insured parties, provide that the limit of coverage applicable to the named insured is equally applicable to the additional insured parties, and shall provide for notice to the Department at least thirty (30) days prior to any cancellation or termination of such policy. Such insurance policy shall provide coverage at least as broad as set forth in the most recent edition of ISO Forms CG 2012 or CG 2026. (2) Fireworks contractor certificates. Applicants for, and holders of, fireworks contractor certificates shall maintain a liability insurance policy in an amount not less than two million dollars ($2,000,000). Such insurance policy shall name the City of New York and the New York City Fire Department as additional insured parties, provide that the limit of coverage applicable to the named insured is equally applicable to the additional insured parties, and shall provide for notice to the Department at least thirty (30) days prior to any cancellation or termination of such policy. Such insurance policy shall provide coverage at least as broad as set forth in the most recent edition of ISO Forms CG 2012 or CG 2026. (i) Misconduct. In addition to any other penalties provided by law, misconduct on the part of a company that is applying for, or holds, a company certificate, and/or its principals or officers, shall be grounds for denial, non-renewal, suspension or revocation of a company certificate, and/or any other Department certificates held by the principals or officers of the company. Such misconduct includes, but is not limited to: (1) the failure of a holder of a company certificate, its principals or officers, to properly discharge the duties of such certificate, including failing to properly supervise the work being conducted such certificate; (2) any false and fraudulent conduct in connection with an application for a company certificate or the duties of a company certificate holder, including: (A) any false or fraudulent statement or submission; and (B) any unauthorized alteration or use of a company certificate or possession of any fraudulent company certificate; (3) any other unlawful or unsafe conduct that bears on the integrity or reliability of an applicant or company certificate holder, its principals or officers; (4) the failure to maintain the liability insurance policy required by the Fire Code or the rules; (5) the failure to obtain or maintain any license or other approval required by a federal, state or City agency to engage in the business or activity requiring the company certificate; (6) the failure to promptly notify the Department of any change in the designated agent for receipt of process, pursuant to 3 RCNY § 115-01(b)(3), or applicant's or certificate holder's contact information, or any other notification required pursuant to 3 RCNY § 115-01(b)(4); (7) misrepresenting the company, its principals, officers or employees, to be Department officials, employees or agents, including representing that the company, its principals, officers or employees, possess the authority to enforce the Fire Code or the rules, or wearing the uniform or insignia of the Department or similar attire or insignia that may mislead the public; or (8) with respect to portable fire extinguisher sales company certificates required for persons engaged in the business of selling portable fire extinguishers door-to-door, to sell, offer for sale or otherwise provide to the owner of buildings or businesses, for use on their premises, any portable fire extinguisher for a particular occupancy or use, when such portable fire extinguisher is no longer approved for such occupancy or use and/or would not be in compliance with the portable fire extinguisher requirements for such occupancy or use set forth in the Fire Code or the rules. (Amended City Record 12/1/2015, eff. 1/1/2016; amended City Record 4/18/2018, eff. 5/18/2018; amended City Record 10/16/2020, eff. 12/1/2020)

3 RCNY § 115-02 Issuance of Proof of Compliance to Company Certificate Holders

§ 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)

3 RCNY § 116-01 Expeditor Registration.

§ 116-01 Expeditor Registration. (a) Scope. This section sets forth standards, requirements and procedures for the registration of expeditors pursuant to FC 116. (b) General Provisions. (1) General requirements. Expeditors shall register in compliance with the requirements of FC 116 and this section. (2) Time for registration. Expeditors shall register at least two (2) weeks prior to engaging in expediting activities regulated by FC 116. (3) Change of contact information. All registrants are required to promptly notify the Department of any change in the registrant's address, telephone number and other contact information, and such other information as the Department may require. (c) Registration Standards. The Department will register an expeditor for the purposes of FC 116 where the expeditor possesses and satisfactorily demonstrates to the Department that he or she possesses the integrity and fitness to engage in the submission, filing, requesting, negotiating or otherwise seeking approval of applications for issuance of permits, design and installation documents and other Department approvals, given that such approvals affect public safety. (d) Registration Requirements. (1) Registration forms and information. Information relating to expeditor registration requirements and procedures, including registration forms, may be obtained from the Department's web site, www.nyc.gov/fdny, and from the Licensing Unit of the Bureau of Fire Prevention, Fire Department Headquarters, 9 MetroTech Center, 1st Floor, Brooklyn, NY 11201-3857. (2) Submission. Expeditor registrations shall be filed in person with the Licensing Unit of the Bureau of Fire Prevention. Renewal registrations may be filed in person or by mail, except as may be otherwise specified by the Department. (3) Incomplete registration forms. The Department reserves the right not to accept for filing any registration form that is incomplete or otherwise deficient, including any registration form that is submitted without the required supporting documentation or registration fee. The Department will provide an expeditor notice of any registration that is not accepted, and, except for registrations determined to be fraudulent, shall afford the expeditor a reasonable time to correct or supplement such registration. Original registration forms not corrected or supplemented within 30 days of being notified will be deemed abandoned. (4) Identification. Expeditors seeking to file an original registration form shall provide two (2) pieces of picture identification satisfactory to the Department, such as a driver's license, passport or employee identification card. The Department reserves the right to require additional identification. (5) Photographs. All expeditors filing an original registration form will be photographed by the Department for identification purposes. The Department may require an expeditor filing for renewal of their registration to report to the Department to be photographed. Failure to comply with such a notice constitutes grounds for non-renewal of the registration. In lieu of, or in addition to, such photographs, the Department may require submission of two passport-size photographs in connection with an original or renewal registration form. (6) Fees. Expeditor registration fees shall be as set forth in FC Appendix A or the rules. Except as otherwise authorized by the Department, fees shall be paid in cash, check or money order payable to the "New York City Fire Department." (7) Expeditor registrants delinquent on child support payments. In accordance with the United States Social Security Act, 42 U.S.C. § 666(a)(13), and New York State General Obligations Law § 3-503, expeditor registrations will be reviewed for compliance with child support obligations and will be denied when required by such laws when the registrant has been identified by the Office of Child Support Enforcement of the New York City Human Resources Administration (or any successor agency) as delinquent on child support payments. Expeditors will be required to disclose their social security numbers on their registration forms for purposes of such review. (8) Original registrations. Expeditors seeking to register with the Department shall submit the following information and documentation, and such other information and documentation as the Department may require: (A) A resume or other documentation indicating prior experience as an expeditor in connection with matters before the Department or other federal, state or local governments, including the names and addresses of any employers; (B) A list of all federal, state, or local licenses or certificates issued to such company, its principals or officers, in the five-year period prior to the date of filing, that authorize the expeditor to engage in a profession, business or other regulated activity. A copy of each such license and certificate shall be included with the registration; and (C) A copy of any and all violations, judgments, convictions and penalties issued to or entered against the registrant in the five-year period prior the date of filing, in connection with his or her expediting business and activity, any business or activity regulated by the Department, or the offering or receiving of a bribe or unlawful gratuity. A copy of the charges, pleadings, adjudications and certificates of disposition from any such civil or criminal proceeding shall be included with the application. (9) Renewal registrations. Renewal applications shall disclose any changes in the company's principals and managers; disclose any violations, judgments, criminal convictions and penalties since the last date of registration; and include a copy of all current licenses and certificates. (e) Misconduct. In addition to any other penalties provided by law, misconduct on the part of an expeditor shall be grounds for non-acceptance, non-renewal, suspension or revocation of registration. Such misconduct includes, but is not limited to: (1) any false or fraudulent conduct in connection with registration as an expeditor, including: (A) any false or fraudulent statement or submission; and (B) any unauthorized alteration or use of a certificate or possession of any fraudulent certificate; (2) any false or fraudulent conduct in connection with an application for a permit, approval of a design or installation document, or other Department approval, including but not limited to: (A) any false statement or submission; (B) knowingly or negligently misleading or failing to disclose facts material to the determination of any such application; (C) impersonating another or allowing oneself to be impersonated. (3) the destruction or removal from Department premises of official Department records or other Department property; (4) the offer or receipt of a bribe or unlawful gratuity, or any other unlawful conduct that bears on the integrity of the expeditor; (5) the failure to report any conviction of a criminal offense relating to false or fraudulent submissions to any governmental agency, the offering or receiving of a bribe or unlawful gratuity, or in connection with the registrant's expediting business or activity; (6) the provision of assistance or other participation in the misconduct of any other individual, including individuals exempt from expeditor registration requirements pursuant to FC 116.1, in relation to any application to, or other dealings with, the Department; and (7) the failure to promptly notify the Department of any change in the registrant's contact information, or an other notification required pursuant to 3 RCNY § 116-01(b)(2).

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/0-0-0-132783Fetched: 10/24/2026