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Subchapter C: Maintenance of Buildings
(a) Scope. This rule implements Article 303 of Title 28 of the New York City Administrative Code ("Administrative Code") by specifying the low pressure boiler annual inspection requirements, the processes through which the department shall regulate the filings of low pressure boiler annual inspection reports and shall issue penalties and waivers for failure to file and/or late filing, and the penalties for failure to file and/or untimely filing of a written notice of removal or disconnection of a low pressure boiler.
(b) References. See §§ 28-201.2.2, 28-202.1 and Article 303 of Title 28 of the Administrative Code and 1 RCNY § 101-07.
(c) Definitions. For the purposes of this section, the following terms shall have the following meanings:
(1) Filing deadline. For the low pressure boiler annual inspection report or any part of that report, fourteen (14) days from the inspection date.
(2) First test. An inspection of a newly installed or replaced boiler required for the department to approve its use and operation.
(3) Inspection cycle. January 1st through December 31st of the calendar year for which the report is being submitted. Annual inspections must be at least six (6) months apart.
(4) Late filing. An inspection report or any part of that report filed after the fourteen (14) day filing deadline but in no event later than January 14th of the calendar year immediately following the inspection cycle.
(5) Owner. Any person, agent, firm, partnership, corporation or other legal entity having a legal or equitable interest in, or control of, the premises and/or boiler.
(6) Qualified boiler inspector. A qualified boiler inspector as defined in 1 RCNY § 101-07.
(7) Removal or disconnection. Removal or discontinuance, pursuant to § 28-303.9 of the Administrative Code.
(8) Small business. A business that employs fewer than one hundred persons and provides goods or services onsite.
(9) Waiver. Removal of the obligation to pay a penalty associated with a violation. A waiver does not result in dismissal of the violation.
(d) Inspection and report filing. The owner shall be responsible for hiring a qualified boiler inspector to conduct inspections and file low pressure boiler annual inspection reports pursuant to Article 303 of Title 28 of the Administrative Code and in accordance with the following provisions:
(1) Low pressure boiler annual inspection reports must be submitted for each inspection cycle on such forms and in such manner as required by the department. The report must include:
(i) An inspection report for each boiler identifying the qualified boiler inspector or inspection agency;
(ii) An affirmation of correction that identified defects that have been corrected, if applicable; and
(iii) The filing fee as provided in subdivision (h).
(2) If an inspection reveals any dangerous condition in a boiler that threatens life or safety and that requires an immediate shut down of the boiler, the inspector must immediately notify the department's boiler division of the condition via email at the address provided on the department's website, www.nyc.gov/buildings. Notification of an unregistered boiler must be made by filing a report electronically in a form and manner required by the department.
(3) The filing is deemed accepted upon payment of the fee(s) and any civil penalties due. If the payment is not honored, the filing will be deemed invalid and the owner may receive a violation for failure to file and be subject to all applicable penalties as set forth in subdivision (f).
(e) Acceptance of filings. Inspection reports filed after the fourteen (14) day filing deadline but on or before January 14th of the calendar year immediately following the inspection cycle will be considered late filings and will be subject to the appropriate civil penalties as set forth in subdivision (f) of this section. Reports filed after such late filing period will be considered expired. In such cases, owners will be subject to the appropriate civil penalties for failure to file an inspection report, as set forth in subdivision (f) of this section, and the department will require a new inspection to be performed for the current inspection cycle and a new report filed in accordance with this section.
(f) Civil penalties, low pressure boiler annual inspection report and affirmation of correction.
(1) Failure to file. An owner who fails to file the low pressure boiler annual inspection report or any part thereof for each boiler, pursuant to Article 303 of Title 28 of the Administrative Code and this section, shall be liable for a civil penalty of not less than one thousand dollars ($1,000.00) per boiler. A low pressure boiler annual inspection report not filed within the late filing period shall be deemed expired and shall not be accepted by the department.
(2) Late filing. An owner who submits a late filing, but who provides proof that the inspection took place within the inspection cycle for which the report was due, shall be liable for a civil penalty of not less than fifty dollars ($50.00) per month, per boiler, commencing on the day following the filing deadline and ending on the date of submission of a complete report, including a late filing of the affirmation of correction. The total penalty shall not exceed six hundred dollars ($600.00) per boiler. For the purposes of this paragraph, "proof" shall mean a copy of the filed inspection report from the qualified boiler inspector who conducted the inspection indicating that the inspection was completed within the inspection cycle for which the report was due.
(3) Failure to file the affirmation of correction. An owner who fails to correct the defects within the applicable time after the inspection and to file the affirmation of correction by the date the affirmation was due, stating that all defects found during the inspection have been corrected pursuant to § 28-303.5 of the Administrative Code shall be liable for a civil penalty of one thousand dollars ($1,000.00) per boiler.
(4) Challenge of civil penalty. An owner may challenge the imposition of any civil penalty authorized to be imposed pursuant to this subdivision by providing written proof of a timely and complete inspection and filing to the department. Challenges shall be made in writing within thirty (30) days from the date of service of the violation by the department and sent to the office/unit of the department that issued the violation. The decision to dismiss or uphold the penalty shall be at the sole discretion of the department. Examples of such proof shall include, but are not limited to, the following:
(i) A copy of the boiler inspection report for the inspection performed during the applicable inspection cycle and a copy of the front and back of the canceled check or money order to the department for the boiler inspection report fee or proof of electronic payment of such fee; or
(ii) The department-assigned transmittal number for the electronic disk filing report or DOB NOW tracking number.
(5) Extension of the filing deadline. An owner may request an extension of the filing deadline in order to correct low pressure boiler defects and file an affirmation of correction stating that identified defects have been corrected in accordance with Article 303 of Title 28 of the Administrative Code, by submitting proof that the request is based on extraordinary circumstances and/or that the delay in correction is beyond the owner's control, not including financial or administrative hardship. The request shall be made prior to the expiration of the filing deadline, submitted with the filing fee and shall be made on such forms and in such manner as required by the commissioner.
(6) Waiver of penalties. An owner may request a waiver of penalties assessed for violation of Article 303 of Title 28 of the Administrative Code and/or related rules enforced by the department. Requests shall be made in writing and submitted with the filing fee.
(i) Owner status.
(A) New owner. A new owner may be granted a waiver of penalties contingent upon the department's acceptance of the owner's proof that transfer of ownership to the new owner occurred after penalties were incurred. Proof includes a recorded deed evidencing transfer of ownership to the current owner after penalties were incurred, as well as any other documentation requested by the Department.
(B) Government ownership. An owner may be granted a waiver of penalties upon submission of official documentation from a government entity affirming that the premises was owned in its entirety by the entity during the period for which a waiver is requested.
(C) Bankruptcy. An owner may be granted a waiver of penalties upon submission of a copy of a bankruptcy petition and a decision from the bankruptcy court.
(D) Small business. An owner of a small business may be granted a one-time waiver of the civil penalty for a violation issued for failure to file an annual boiler inspection report where all of the following conditions are met:
1. The applicant demonstrates, in a form and manner determined by the Department, that the individual or entity requesting the waiver is the owner of the small business;
2. The failure to file for which the violation was issued occurred on or after November 20, 2022;
3. The applicant demonstrates, in a form and manner determined by the Department, that the owner of the small business owns or has responsibility for the boiler and such boiler exclusively serves the space occupied by the small business;
4. A small business waiver was not previously granted to the small business owner for any boiler at the subject building that is owned by the small business or for which the small business is responsible;
5. A small business waiver was not previously granted to any small business for the boiler for which the waiver is being requested; and
6. The sole or primary purpose of the business is not filing representative or expeditor services, real estate, real estate development, property management, construction or other related services as determined by the Department.
(ii) Device status. An owner may be granted a waiver of penalties contingent upon the department's acceptance of proof of the following:
(A) Removed or disconnected. That the low pressure boiler was removed from the building or disconnected prior to the inspection cycle for which the report was due. In the event that proof of removal or disconnection has not yet been entered into the department's database at the time of the request for a waiver, the owner shall submit to the department a copy of the submission for removal or disconnection of the boiler.
(B) New or replaced. That the first test was performed during the inspection cycle for which the report was due.
(C) Work in progress. That there is work in progress for the replacement or installation of a new boiler or burner or a major renovation requiring that the boiler or burner be deactivated during the work. For the purposes of this subparagraph, "proof" means the filing of a boiler application including a projected date of completion of work. Upon completion of such work, a new inspection and test report must be filed in accordance with this section.
(iii) Building status. An owner may be granted a waiver of penalties contingent upon the department's confirmation of the following:
(A) Demolished. That the full demolition of the building occurred prior to the inspection cycle for which the report was due and that such demolition was signed off by the department or that a new building permit has been issued for the property.
(B) Sealed or vacated. That the building was ordered to be sealed or vacated by a government agency (e.g. Department of Buildings, Department of Housing Preservation and Development, Fire Department of New York or Office of Emergency Management) or by court order prior to the expiration of the inspection cycle for which the report was due.
(g) Civil penalties, written notice of removal or disconnection of a low pressure boiler. Failure to file a written notice of removal or disconnection with the filing fee in accordance with § 28-303.9 of the Administrative Code, or filing such notice more than thirty (30) days after the date of the removal or disconnection of a low pressure boiler shall be deemed a lesser violation and shall subject the owner to penalties as set forth in this subdivision.
(1) Failure to file. An owner who fails to file such notice by thirty (30) days after the end of the inspection cycle shall be liable for a civil penalty of not less than one thousand dollars ($1,000) per boiler.
(2) Untimely filing. An owner who files such notice more than thirty (30) days after the date of removal or disconnection, but by thirty (30) days after the end of the inspection cycle may submit an untimely filing and shall be liable for a civil penalty of not less than fifty dollars ($50.00) per month, per boiler, commencing on the day following the date the notice was due and ending on the date of submission of the notice. The total penalty shall not exceed five hundred dollars ($500.00) per boiler.
(3) Challenge of civil penalty. An owner may challenge the imposition of any civil penalty authorized to be imposed pursuant to this subdivision by providing proof of a timely filing to the department. Challenges shall be made in writing within thirty (30) days from the date of service of the violation by the department and sent to the office/unit of the department that issued the violation. The decision to dismiss or uphold the penalty shall be at the sole discretion of the department. An example of such proof shall include, but is not limited to, the following: a stamped and dated copy of the submission for removal or disconnection of the boiler filed with the department, which may be supported by a copy of the front and back of a canceled check(s) to the department for the filing fee or proof of electronic payment of such fee.
(h) Fees. Fees for filings related to boilers shall be as set forth in 1 RCNY § 101-03.
(Amended City Record 12/16/2021, eff. 1/15/2022; amended City Record 10/21/2022, eff. 11/20/2022; amended City Record 9/26/2024, eff. 10/26/2024)
(a) Scope. This rule implements Article 304 of Title 28 of the New York City Administrative Code ("Administrative Code") by specifying the periodic elevator inspection and testing requirements to be conducted by an approved elevator agency on behalf of the owner and the processes through which the department shall regulate the filings of elevator inspection and test reports and elevator affirmations of correction and issue penalties and waivers for failure to file and/or late and untimely filing.
(b) References. See Sections 28-201.2.2, 28-202.1 and Article 304 of Title 28 of the Administrative Code.
(c) Definitions. For the purposes of this rule, the following terms shall have the following meanings:
(1) Approved elevator agency. An elevator agency as defined in § 28-401.3 of the Administrative Code, including its directors and insp© who are licensed pursuant to Articles 421 and 422 of Title 28 of the Administrative Code.
(2) Certificate of compliance. A certificate issued by the department authorizing the operation of an elevator following the satisfactory report of an inspection and test.
(3) Elevator. For the purposes of this rule, such term shall include elevators, escalators, moving walkways, material lifts, vertical reciprocating conveyors ("VRC"), dumbwaiters and other conveying systems.
(4) Filing deadline. For category 1, 3, and 5 test reports, twenty-one (21) days from the date of the test. For periodic inspection reports, fourteen (14) days from the date of the inspection.
(5) Inspection and test cycle.
(i) Category 1. Except as otherwise provided by the commissioner, January first through December thirty-first of each year.
(ii) Category 3. Except as otherwise provided by the commissioner, within three (3) years from the month of issuance of a certificate of compliance for a new elevator or within three (3) years from the month of the most recent category 3 periodic inspection and test performed on an existing elevator.
(iii) Category 5. Except as otherwise provided by the commissioner, within five (5) years from the month of issuance of a certificate of compliance for a new elevator or within five (5) years from the month of the most recent category 5 periodic inspection and test performed on an existing elevator.
(iv) Periodic inspection. Except as otherwise provided by the commissioner, January first through December thirty-first of each year at a minimum of three months from the date of any Category 1 testing or previous periodic inspection. Initial periodic inspections on new installations must be performed in the calendar year following the final acceptance test. For private residence elevators, the periodic inspection and category testing may be performed on the same date.
(6) Late filing. An inspection and test report that is filed after the filing deadline.
(7) Owner. Any person, agent, firm, partnership, corporation or other legal entity having a legal or equitable interest in, or control of the premises and/or elevator.
(8) Periodic inspection and test. For the purposes of this rule, such term shall mean an elevator inspection and test to be conducted in accordance with Table N 1 of Appendix K of the New York City Building Code ("Building Code") and this section by an approved elevator agency on behalf of the owner.
(9) Waiver. Removal of the obligation to pay a penalty associated with a violation. A waiver does not result in dismissal of the underlying violation.
(d) Inspection and tests, reports and filing requirements. Periodic elevator inspections and tests conducted by approved elevator agencies on behalf of the owner and reports filed by such agency or owner shall comply with Article 304 of Title 28 of the Administrative Code and the following:
(1) Category 1, 3 and/or 5 tests and periodic inspections shall be conducted during the inspection and test cycle.
(2) Category 1, 3 and/or 5 test reports and periodic inspection reports shall be submitted on forms supplied by the department and in such a manner as required by the commissioner by the filing deadline.
(3) Test reports must be filed with the filing fee as provided in subdivision (l).
(4) The filing is deemed accepted upon payment of the fee(s) and any civil penalties due. If the payment is not honored, the filing will be deemed invalid and the owner may receive a violation for failure to file and be subject to all applicable penalties as set forth in subdivisions (h) and (i).
(5) Periodic inspection reports for private elevators need not be filed with the department but must be kept for six (6) years and made available to the department upon request.
(e) Correction of defects and affirmation of correction filing requirements. In accordance with § 28-304.6.6 of the Administrative Code, all defects found on a category test or a periodic inspection shall be corrected within ninety (90) days of the inspection or test conducted by an approved elevator agency, with the exception of all hazardous conditions and defects related to firefighters' Phase I emergency recall operations or Phase II emergency in-car operation as required by section 3003.2 of the New York City Building Code, which shall be corrected immediately. Within fourteen (14) days of the date of correction, an affirmation of correction stating that all found and reported defects have been corrected shall be filed with the department on such forms and in such a manner as prescribed by the commissioner. Failure to comply with this subdivision shall be deemed a major violation.
(f) Acceptance of filings. Late filings of inspection and test reports and/or untimely filings of affirmations of correction shall be accepted by the department as filed upon payment of the appropriate civil penalties as set forth in subdivisions (h) and (i) of this section, if filed within the timeframes set forth in subdivisions (h) and (i) of this section. Reports and affirmations filed after such timeframe shall be deemed expired. In such cases, the appropriate civil penalties shall be paid, a new inspection and test shall be performed for the current inspection and test cycle and a new report filed in accordance with this section.
(g) Test notifications. In accordance with § 28-304.6.1.1 of Title 28 of the Administrative Code, the department shall be notified by an approved elevator agency on behalf of the owner at least five (5) calendar days prior to the category 1 (escalators only), 3 and/or 5 testing to be conducted by such approved elevator agency. The commissioner may require that such agency provide five- (5) calendar day notifications to the department's Elevator Division for all periodic inspections if he or she deems it necessary.
(h) Civil penalties – owners of buildings that contain (1) or two (2) single residential units.
(1) Failure to file the test report. An owner who fails to file the category 1, 3 and/or 5 test report for each elevator by twenty-one (21) days after the end of the inspection and test cycle, pursuant to Article 304 of Title 28 of the Administrative Code and this section, shall be liable for a civil penalty of one thousand dollars ($1,000.00) per elevator.
(2) Late filing of the test report. An owner who submits a late filing, but who provides proof that the test took place within the period for which the report was due, shall be liable for a civil penalty of fifty dollars ($50.00) per month, per elevator, commencing on the day following the filing deadline and ending on the date of submission of a test report. The total penalty shall not exceed six hundred dollars ($600.00) per elevator. For the purposes of this paragraph, "proof" shall mean a copy of the elevator test report for the test conducted during the applicable period and, if applicable, a copy of the front and back of a canceled check(s) to the department for the filing fee or proof of electronic payment of such fee.
(3) Failure to file the affirmation of correction. An owner who fails to correct the defects within the applicable time after the test and to file the affirmation of correction by the date the affirmation was due, stating that all defects found and indicated on the test report have been corrected pursuant to § 28-304.6.6 of the Administrative Code and subdivision (e) of this section, shall be liable for a civil penalty of one thousand dollars ($1,000.00) per elevator, except that this penalty will not be imposed for affirmations due with respect to defects identified during the 2022 and 2023 test cycles, provided that such affirmations were submitted by April 14, 2023 or April 14, 2024, respectively.
(4) Untimely filing of the affirmation of correction. An owner who fails to correct the defects within the applicable time after the inspection and test and to file such affirmation within fourteen (14) days from the date of correction in accordance with subdivision (e) of this section, shall be liable for a civil penalty of fifty dollars ($50.00) per month, per elevator, commencing on the day following the date the affirmation was due and ending on the date of submission of the affirmation. The total penalty shall not exceed six hundred dollars ($600.00) per elevator.
(5) Extension of the filing deadline. An owner may request an extension of the filing deadline in order to correct defects found during category testing and to file an affirmation of correction stating that identified defects have been corrected in accordance with Article 304 of Title 28 of the Administrative Code by submitting proof that the request is based on extraordinary circumstances and/or that the delay in correction is beyond the owner's control, not including financial or administrative hardship. The request must be made prior to the expiration of the filing deadline, submitted with the filing fee and made on such forms and in such manner as required by the commissioner.
(i) Civil penalties – owners of commercial buildings, mixed use buildings or buildings that contain more than two (2) residential units.
(1) Failure to file the inspection and test report. An owner who fails to file a category 1 test report for each elevator on or by twenty-one (21) days after the end of the inspection and test cycle, pursuant to Article 304 of Title 28 of the Administrative Code and this section, shall be liable for a civil penalty of three thousand dollars ($3000.00) per elevator. An owner who fails to file a category 3 or 5 test report for each elevator on or by twenty-one (21) days after the end of the inspection and test cycle, pursuant to Article 304 of Title 28 of the Administrative Code and this section, shall be liable for a civil penalty of five thousand dollars ($5000.00) per elevator. An owner who fails to file the periodic inspection report for each elevator on or by fourteen (14) days after the end of the inspection and test cycle, pursuant to Article 304 of Title 28 of the Administrative Code and this section, shall be liable for a civil penalty of three thousand dollars ($3000.00) per elevator.
(2) Late filing of the inspection and test report. An owner who submits a category 1 late filing or periodic inspection late filing, but who provides proof that the inspection and test took place within the period for which the report was due, shall be liable for a civil penalty of one hundred and fifty dollars ($150.00) per month, per elevator, commencing on the day following the filing deadline and ending on the date of submission of a complete report. The total penalty shall not exceed one thousand eight hundred dollars ($1800.00) per elevator. An owner who submits a category 3 or 5 late filing, but who provides proof that the inspection and test took place within the period for which the report was due, shall be liable for a civil penalty of two hundred and fifty dollars ($250.00) per month, per elevator, commencing on the day following the filing deadline and ending on the date of submission of a complete report. The total penalty shall not exceed three thousand dollars ($3000.00) per elevator. For the purposes of this paragraph, "proof" shall mean a copy of the elevator inspection and test report for the inspection and test conducted during the applicable period and, if applicable, a copy of the front and back of a canceled check(s) to the department for an elevator inspection/test report fee or proof of electronic payment of such fee.
(3) Failure to file the affirmation of correction. An owner who fails to correct the defects within the applicable time after the inspection and test and to file the affirmation of correction by the date the affirmation was due, stating that all defects found during the inspection and test and indicated on the report have been corrected pursuant to § 28-304.6.6 of the Administrative Code and subdivision (e) of this section, shall be liable for a civil penalty of three thousand dollars ($3000.00) per elevator, except that this penalty will not be imposed for affirmations due with respect to defects identified during the 2022 and 2023 inspection and test cycles, provided that such affirmations were submitted by April 14, 2023 or April 14, 2024, respectively.
(4) Untimely filing of the affirmation of correction. An owner who fails to correct the defects within the applicable time after the inspection and test and to file such affirmation within fourteen (14) days from the date of correction in accordance with subdivision (e) of this section, shall be liable for a civil penalty of one hundred and fifty dollars ($150.00) per month, per elevator, commencing on the day following the date the affirmation was due and ending on the date of submission of the affirmation. The total penalty shall not exceed one thousand eight hundred dollars ($1,800.00) per elevator.
(5) Extension of the filing deadline. An owner may request an extension of the filing deadline in order to correct defects found during category testing and to file an affirmation of correction stating that identified defects have been corrected in accordance with Article 304 of Title 28 of the Administrative Code by submitting proof that the request is based on extraordinary circumstances and/or that the delay in correction is beyond the owner's control, not including financial or administrative hardship. The request must be made prior to the expiration of the filing deadline, submitted with the filing fee and made on such forms and in such manner as required by the commissioner.
(j) Challenge of a civil penalty. An owner may challenge the imposition of any civil penalty authorized to be imposed pursuant to this section by providing written proof of a timely and complete inspection and test and filing and/or correction of defects and filing to the department. Examples of such proof shall include, but are not limited to a copy of the elevator inspection/test report for the inspection and test conducted during the applicable period and, if applicable, a copy of the front and back of a canceled check(s) to the department for an elevator inspection and test report fee or proof of electronic payment of such fee. Challenges shall be made in writing within thirty (30) calendar days from the date of service of the violation by the department and sent to the office/unit of the department that issued the violation. The decision to dismiss or uphold the penalty shall be at the sole discretion of the department.
(k) Waiver of penalties. An owner may request a waiver of penalties assessed for violation of Article 304 of Title 28 of the Administrative Code, and/or related rules enforced by the department. Requests shall be made in writing and submitted with the filing fee.
(1) Owner status.
(i) New owner. A new owner may be granted a waiver of penalties contingent upon the department's acceptance of the owner's proof that transfer of ownership to the new owner occurred after penalties were incurred. Proof includes a recorded deed evidencing transfer of ownership to the current owner after penalties were incurred, as well as any other documentation requested by the Department.
(ii) Government ownership. An owner may be granted a waiver of penalties upon submission of official documentation from a government entity affirming that the premises was owned in its entirety by the entity during the period for which a waiver is requested.
(iii) Bankruptcy. An owner may be granted a waiver of penalties upon submission of a copy of a bankruptcy petition and a decision from the bankruptcy court.
(2) Device status. An owner may be granted a waiver of penalties contingent upon the department's acceptance of proof of the following:
(i) Removed or dismantled. That a permit was issued by the department for the removal or dismantling of the elevator(s) and that there was department sign-off, indicating that the elevator was removed or dismantled prior to the inspection and test cycle for which the report was due.
(ii) New or replaced. That a certificate of compliance was issued by the department as part of a new installation during the inspection and test cycle for which the report was due.
(iii) Work in progress. That there is work in progress for the replacement or installation of a new elevator or a major renovation requiring that the elevator be deactivated during the work. For the purposes of this subparagraph, "proof" shall mean the filing of an elevator application including a projected date of completion of work. Upon completion of such work, a new category 1 test report shall be filed in accordance with this section.
(3) Building status. An owner may be granted a waiver of penalties contingent upon the department's confirmation of the following:
(i) Demolished. That the full demolition of the building occurred prior to the inspection and test cycle for which the report was due and that such demolition was signed off by the department or that a new building permit has been issued for the property.
(ii) Sealed or vacated. That the building was ordered to be sealed or vacated by a government agency (i.e. DOB, HPD, FDNY or OEM) or by court order prior to the expiration of the inspection and test cycle for which the report was due.
(l) Fees. Fees for filings related to elevators shall be as set forth in 1 RCNY § 101-03.
(Amended City Record 12/16/2021, eff. 1/15/2022; amended City Record 4/2/2024, eff. 5/2/2024)
The provisions of American Society of Mechanical Engineers ("ASME") A17.3-2002 shall apply to elevators and escalators built in accordance with the 1968, or any previous edition, of the Building Code of the City of New York except as modified in accordance with 1 RCNY § 3610-01.
(a) Definitions. For the purposes of this section, the following terms have the following meanings.
Acceptable report. A technical examination report filed by a Qualified Exterior Wall Inspector that meets the requirements of the Administrative Code and this rule as determined and approved by the Department.
Amended report. A technical examination report filed by a Qualified Exterior Wall Inspector who certifies that the unsafe conditions reported in the initial report have been repaired and that no unsafe conditions exist at the building.
Appurtenance. An exterior wall element including, but not limited to, fire escapes, exterior fixtures, ladders to rooftops, flagpoles, signs, parapets, railings, copings, guard rails, window frames (including hardware and lites), balcony and terrace enclosures, including greenhouses or solariums, window guards, window air conditioners, flower boxes, satellite dishes, antennae, cell phone towers, and any equipment attached to or protruding from the facade.
Cavity wall construction. An exterior wall system consisting of an exterior veneer with a backup wall whereby the exterior veneer relies on a grid of metal ties to the backup wall for lateral stability. The two layers of wall are separated by an air cavity which may or may not be filled with insulation.
Critical examination. An examination conducted to review the exterior of a building and all parts thereof to determine whether the exterior walls (facades) and the appurtenances are either safe, unsafe, or safe with a repair and maintenance program (SWARMP) and whether, in the judgment of a Qualified Exterior Wall Inspector, they require remedial work.
Filed report. A report shall be deemed filed with the Department when it has been received by the Department. The filed report must be completed in accordance with the provisions of paragraph (3) of subdivision (c) of this section.
Filing window. The two-year period during which a report for a particular building may be filed without penalty.
Public right-of-way. A public street, avenue, sidewalk, roadway or any other public place or public way.
Qualified Exterior Wall Inspector (hereinafter "QEWI"). A qualified exterior wall inspector as defined in 1 RCNY § 101-07.
Report filing cycle. The five-year time interval established by the Commissioner for the filing of each successive report for each successive critical examination of every building subject to the requirements of Article 302 of Title 28 of the Administrative Code.
Safe condition. A condition of a building wall, any appurtenances thereto or any part thereof not requiring repair or maintenance to sustain the structural integrity of the exterior of the building and that will not become unsafe during the next five years.
Safe with a repair and maintenance program (hereinafter "SWARMP"). A condition of a building wall, any appurtenances thereto or any part thereof that is safe at the time of inspection, but requires repairs or maintenance during the next five years, but not less than one year, in order to prevent its deterioration into an unsafe condition during that five-year period.
Staggered inspection cycle. The separate time intervals for filing reports of critical examinations as determined by the last digit of the building's block number, beginning February 21, 2010, and continuing thereafter for each subsequent report filing cycle.
Subsequent report. A technical examination report that is filed by a QEWI after an acceptable report in order to change the status of the building for that report filing cycle to reflect changed conditions or the recommended time frame for repairs of SWARMP or unsafe conditions.
Unsafe condition. A condition of a building wall, any appurtenances thereto, or any part thereof that is hazardous to persons or property and requires repair within one (1) year of completion of critical examinations. In addition, any condition that was reported as SWARMP in a previous report and that is not corrected at the time of the current inspection must be reported as an unsafe condition.
(b) Responsibilities of qualified exterior wall inspectors.
(1) A QEWI must conduct critical examinations and file reports in accordance with this section and Article 302 of Title 28 of the Administrative Code.
(2) A QEWI must maintain records of inspections and tests for at least six years and must make such records available to the Department upon request.
(3) A QEWI must maintain insurance coverage as set forth in paragraph (7) of subdivision (b) of 1 RCNY § 101-07. Copies of such insurance policies must be made available to the Department upon request.
(c) Critical examinations.
(1) Periodic inspection requirements. In order to maintain a building's exterior walls and appurtenances in a safe condition, and in accordance with Article 302 of Title 28 of the Administrative Code, a critical examination of all parts of all exterior walls and any appurtenances of all existing buildings greater than six stories in height or buildings hereafter erected that are greater than six stories in height, except for those parts of any exterior wall that are less than twelve inches (305 millimeters) from the exterior wall of an adjacent building, must be conducted at periodic intervals.
(2) Inspection procedures.
(i) Before any exterior wall for any building is critically examined, the QEWI retained by or on behalf of the owner of the building must carefully review the most recent report and any available previous reports. The Department will maintain a file of such reports submitted in conformance with Article 302 of Title 28 of the New York City Administrative Code, and furnish copies upon payment of fees set forth in the rules of the Department.
(ii) Examination of a building's exterior walls and appurtenances thereof pursuant to § 28-302.2 of the Administrative Code must be performed by or under the direct supervision of a QEWI retained by the owner of the building or his or her representative.
(iii) The QEWI must design an inspection program for the specific building to be inspected, which must include, but not be limited to, the methods to be employed in the examination. The inspection program shall be based on considerations of the type of construction of the building's envelope, age of the material components, the facade's specific exposure to environmental conditions and the presence of specific details and appurtenances. Consideration shall be given to the facade's history of maintenance and repairs as described in previous reports and submittals to the Department. Architects, engineers, individuals with a bachelor's degree in architecture or engineering and three (3) years of relevant FISP inspection experience, or individuals with five (5) years of relevant FISP inspection experience working under the QEWI's direct supervision, may be delegated to perform selected inspection tasks.
(iv) The methods used to examine the building must permit a complete inspection of same. Except as herein required, the use of a scaffold or other observation platform is preferred, but the QEWI may use other methods of inspection as he/she deems appropriate. Physical examinations from scaffolding or other observation platform ("close-up inspections") must be performed at intervals of not more than 60'-0", with the minimum number of physical examinations per total length of facade elevation noted in the table below. If the building does not front a public right-of-way, physical examinations are to be performed at a representative sample of the facade elevations with a minimum of one examination per building. All physical examinations shall occur along a path from grade to top of an exterior wall fronting each public right-of-way, using at least one scaffold drop or other observation platform configuration, including all exterior wall setbacks. The QEWI shall determine the most deleterious locations and perform physical examinations at those locations. The use of drones, high resolution photography, non-destructive testing, or other similar methods does not eliminate the requirements for close-up inspections.
Length of Facade Elevation Fronting Public Right-of-Way (L) | Minimum # of Physical Examinations |
Length of Facade Elevation Fronting Public Right-of-Way (L) | Minimum # of Physical Examinations |
L < 60'-0" | 1 |
60'-0" ≤ L < 120'-0" | 2 |
120'-0" ≤ L < 180'-0" | 3 |
180'-0" ≤ L < 240'-0" | 4 |
240'-0" ≤ L < 300'-0" | 5 |
300'-0" ≤ L < 360'-0" | 6 |
For every additional 60'-0" of length of facade, one additional close-up inspection is required. | |
(v) The known history of the building, the nature of the materials used and the conditions observed will dictate the extent of the critical examination. The QEWI must apply a professional standard of care to assess the building's condition and the individual building systems that comprise the facades, including splitting or fracturing of terra cotta on buildings, cracking of masonry and brick work in brick faced buildings, mortar and other joint materials, loosening or corrosion of metal anchors and supports, water entry or flow within cavities, mineral build-up, coping materials, movement of lintel/shelf angles, and must ascertain the cause of these and such other conditions detected. The QEWI must order any special or additional inspections and/or tests, including sounding procedures, that may be required to support investigations and to determine the causes of any defects. Starting with the ninth cycle, probes must be performed on all cavity wall construction, and, at a minimum, during every subsequent odd-numbered cycle. The QEWI shall determine the location of the probes, which shall be in areas not previously renovated. At a minimum, a single probe must be completed along each required close-up inspection interval. The QEWI must ensure that the number and size of the probes are sufficient to report the presence, condition, and spacing of wall ties. The removal of portions of the facade in order to facilitate the performance of tests may require a permit from the Landmarks Preservation Commission.
Exceptions: The requirement for probes may be waived in the following cases:
1. When a repair campaign addressing cavity wall ties has been completed within ten (10) years of the filing deadline and the owner or QEWI provides proof of such repair including, but not limited to, photographs, special inspection reports, and construction documents, which must be submitted and found acceptable by the Department.
2. When the first Temporary Certificate of Occupancy or Certificate of Occupancy for a new building was issued within ten (10) years of the filing deadline and the owner or QEWI provides evidence of tie installation including, but not limited to, photographs, special inspection reports, and construction documents, which must be submitted and found acceptable by the Department.
3. Where a QEWI proposes an alternate method of determining tie condition and spacing, which must be submitted and found acceptable by the Department.
(vi) Photographs must be taken and/or sketches made during the course of the Critical Examination to properly document the location of all conditions observed that are either unsafe or SWARMP.
(vii) Upon discovery of any unsafe condition, the QEWI must immediately notify the Department and the owner of the building. The QEWI must identify the location of any unsafe condition, advise the owner on the appropriate protective measures to be taken, and include the recommended type and location of public protection in the notification to the Department.
(viii) Completion of a critical examination means that the QEWI has conducted a final physical inspection to determine that the building conditions as described in the report are consistent with the actual conditions. Such final inspection must, at a minimum, include an actual visual examination and a walk around with binoculars or other inspectorial equipment. A drive-by inspection is not acceptable.
(3) Report requirements.
(i) The QEWI must file with the Department a written report describing the result of the critical examination, clearly documenting all conditions noted during the inspection and stating that the inspection was performed and completed in accordance with the Administrative Code and this rule. A separate acceptable report must be prepared and filed for each building with a control number, as provided by the Department, even if it shares a Block and Lot number with other structures. The QEWI must also submit a copy of the report to the owner of the building.
(ii) Technical information in the report must adhere to and follow the sequence and the labeling of the report requirements as listed in subparagraph (iii) of this paragraph, and must be provided on such forms and in such format as the Department requires. Additional information may be provided. If a requirement is not applicable, this must be indicated on the report.
(iii) The report must include an executive overview that consists of a summary of findings and recommendations, a concise statement of the scope of the inspection and findings, the conclusions and recommendations and a determination as to whether the building is categorized as "safe," "SWARMP," or "unsafe." The report must also include, but not be limited to:
(A) The address, any a.k.a. addresses, Block and Lot number, the Building Identification Number ("BIN"), the landmark status of the building, and the location from the nearest cross street;
(B) The name, mailing address and telephone number of the owner of the building, or, if the owner is not an individual, the name, mailing address, telephone number, position/title of a principal of the owner;
(C) A description of the building, including the number of stories, height, plan dimensions, Certificate of Occupancy number if available, usage, and age and type of exterior wall construction, specifying all materials present in the exterior wall;
(D) A detailed description of any distress, settlements, repairs, or revisions to exterior enclosures since the previous report, including, but not limited to, settlement, splitting or fracturing, displacement, bulging, cracking of any exterior wall elements, loosening of metal anchors and supports, water entry, movement of lintel or shelf angles, or other defects or changes;
(E) A detailed description of the procedures used in making the critical examination;
(F) The following information:
1. The extent and location of all physical examinations performed, including odd-numbered cycle cavity wall probes;
2. The names, addresses, telephone numbers, and license or registration numbers for riggers, contractors, and consultants involved in the critical examination;
3. A location diagram of a discernable scale and with a north arrow, indicating the main entrance, dimensions of the length of each facade elevation, including all setbacks and returns, and nearest cross street and locations and dates of close-up inspections;
4. Dates of the start and completion of the critical examination; and
5. Dated photo documentation of the QEWI and/or his or her employees performing physical ("close-up") inspections.
(G) A description, classification, and mapping of each significant condition observed, including deterioration and any movement detected and the apparent water-tightness of the exterior surfaces. The description must also include a list of all exterior appurtenances and their condition. Each condition must be classified as safe, unsafe or SWARMP. If the building is classified as unsafe or SWARMP, the report must include the locations and descriptions of all unsafe or SWARMP conditions. If unsafe conditions are noted, the report must recommend the type and location of public protection. Photographs must be labeled and the report must include key plans, key elevations and locator drawings documenting these conditions. Guards and railings, including, but not limited to, balconies, must be inspected to ensure that their components (balusters, intermediate railings and panel fillers) are positively secured against movement (e.g. by welds, bolts or screws). If any guard or railing, balcony enclosure, or greenhouse structure is found not to be positively secured, the condition is classified as unsafe and must be made safe pursuant to the requirements of paragraph (5) of subdivision (c) of this section.
(H) An analysis of the causes of the conditions reported as unsafe or SWARMP;
(I) A detailed status report of maintenance work performed up to the date of submission of the report and the maintenance plan implemented for building facades;
(J) A comparison of currently observed conditions with conditions observed during the previous report filing cycle examinations, including the status of the repairs or maintenance performed with respect to the prior conditions. The following must be included and discussed:
1. Work permit numbers relating to facade repairs, including permits for sheds;
2. Job numbers, status and sign-off dates for any facade related jobs, where applicable; and
3. Violation numbers of any open Environmental Control Board ("ECB") facade violations and the status of the repairs of the conditions cited in the ECB violations;
(K) Recommendations for repairs or maintenance of SWARMP and unsafe conditions, including:
1. If a building is categorized as SWARMP:
A. The recommended time frame for such repairs or maintenance to be performed, which must indicate the date by which the work must be performed (MM/DD/YYYY) to prevent the conditions from becoming unsafe and not the date on which work is planned or scheduled;
B. Time frames of less than one (1) year, "ASAP," or "immediately," shall not be accepted.
2. If a building is categorized as unsafe :
A. The QEWI must provide a recommended time frame for repairs to be performed to bring the building to SWARMP or safe status, and must indicate the date by which the work will be completed (MM/DD/YYYY);
B. Time frames of more than five (5) years will not be accepted.
(L) A list and description of the work permits required to accomplish the necessary work. If no work permits will be required, the reason must be indicated;
(M) All photographs must be color, clearly legible, dated, and high resolution. Digital photos must be a minimum of 800 x 600 pixels. Photographs must be arranged into PDF uploads of no larger than 11" x 17". The following photos must be submitted:
1. Elevation photos. Color photographs of the primary house number and at least one view of the entire street front elevation for all reports regardless of the building's filing condition.
2. Detailed condition photos. Color photographs of specific conditions must be clearly labeled and indicate the status designation. Detailed conditions must be located on the mapping of the building's facade required by item G of this subparagraph (iii).
A. All SWARMP and unsafe must be catalogued.
B. If building status is safe, submit a minimum of three typical conditions.
3. Cavity wall probe photos. Color photographs of the following items:
A. each probe opening showing the location and size of the probes;
B. the interior of the probe showing the cross section of the wall;
C. the measurement of the spacing of the wall ties;
D. a close-up of the wall tie type and installation;
E. any other condition that indicates the soundness of the wall ties and cavity wall;
F. condition of relieving angle, including flashing and connection; and
G. condition of substrate.
(N) The classification of the building for the current report filing cycle, as determined by the following guidelines:
1. If there are no unsafe conditions and no conditions that are SWARMP, then the building shall be classified as safe;
2. If there is at least one unsafe condition, then the building shall be classified as unsafe.
3. If there is at least one condition that is SWARMP and there are no unsafe conditions, then the building shall be classified as SWARMP. A report may not be filed describing the same condition at the same location as SWARMP for two consecutive report filing cycles. The QEWI must certify that all of the conditions identified in the previous report as requiring repair have been corrected or the building shall be classified as unsafe;
(O) The seal and signature of the QEWI under whose direct supervision the critical examination was performed.
(4) Report filing requirements.
(i) The requirements of this rule apply to all buildings with exterior walls or parts thereof that are greater than six stories, regardless of the information in the Certificate of Occupancy. For buildings that contain six (6) stories above grade plane plus a cellar, where more than half the height of that cellar as measured at any individual exterior wall is above the adjacent ground level, including but not limited to areaways, yards, and ramps, all walls of such building shall be subject to facade inspection. Conditions requiring facade inspections may also include other structures that add to the height of the building as per section BC 504. The Commissioner shall determine which additional buildings and/or parts thereof are required to file in accordance with this rule.
(ii) Buildings required to file a report must do so at least once during each five-year report filing cycle established by the Department.
(iii) An acceptable report must be filed within the applicable two-year filing window to avoid a late filing penalty.
(iv) The report must be submitted to the Department along with a filing fee as specified in the rules of the Department.
(v) Staggered inspection cycle: For every five-year report filing cycle, an acceptable report is due in accordance with the following filing windows:
(A) For buildings located within a block ending with the number four (4), five (5), six (6), or nine (9), an acceptable report must be filed within the two-year filing window starting February 21 of years ending in zero (0) and five (5) and ending February 21 of years ending in two (2) and seven (7).
(B) For buildings located within a block ending with the number zero (0), seven (7), or eight (8), an acceptable report must be filed within the two-year filing window starting February 21 of years ending in one (1) and six (6) and ending February 21 of years ending in three (3) and eight (8).
(C) For buildings located within a block ending with the number one (1), two (2), or three (3), an acceptable report must be filed within the two-year filing window starting February 21 of years ending in two (2) and seven (7) and ending February 21 of years ending in four (4) and nine (9).
Exception: Starting in Cycle 10, owners whose buildings have their most recent status as "No Report Filed" may file a report prior to the start of their designated filing window provided that all applicable civil penalties set out in subdivision (d) of this section are paid at the time of filing.
(vi) Initial reports for new buildings greater than six stories in height must be filed as follows:
(A) The report must be filed five years from the date the first Temporary Certificate of Occupancy or Certificate of Occupancy was issued, if that five year date falls within the applicable filing window according to the last digit of the building's block number as provided in subparagraph (v) or (vi) of this paragraph; or
(B) If five years from the date the first Temporary Certificate of Occupancy or Certificate of Occupancy was issued falls outside the applicable filing window according to the last digit of the building's block number as provided in subparagraph (v) of this paragraph, then the initial report must be filed within the applicable two-year filing window for the next five-year cycle.
(vii) If contiguous zoning lots under single ownership or management contain multiple buildings that are considered one complex where at least two buildings of more than six stories in height fall into different filing windows as described above in items (A), (B) and (C) of subparagraph (v) of this paragraph, the owner or management must choose one of the following report filing options:
(A) An acceptable report for each building to which this rule applies may be filed separately according to the filing window corresponding to the last digit of that individual building's block number; or
(B) The owner or his or her representative may choose one of the applicable filing windows and file a report for all of the buildings within that filing window, regardless of that building's individual filing window. The owner or his or her representative must inform the Department 180 days prior to the end of the assigned filing window if this option is chosen. If an owner or representative chooses this option, the owner or representative must continue to file under this same filing window for the duration of the owner's ownership of the property.
(viii) A report must be filed within sixty (60) days of the date on which the QEWI completed the critical examination (final inspection date), as defined in subparagraph (viii) of paragraph (2) of subdivision (c) of this section. Failure to file a report within sixty (60) days of the completed critical examination requires a new critical examination.
(ix) A report may not be filed more than one (1) year after completion of the close-up inspection.
(x) If the report is not acceptable and is rejected by the Department, a revised report must be filed within forty-five (45) days of the date of the Department's rejection, after which the original file date will no longer be valid. If the report is not acceptable after two (2) rejections, a new initial filing fee as specified in the rules of the Department is required. Failure to submit a revised report addressing the Department's objections within one (1) year of the initial filing requires a new critical examination, including a new close-up inspection.
(xi) A subsequent report indicating revised conditions may be filed within a five-year report filing cycle to change a building's filing status for that cycle.
(5) Unsafe conditions.
(i) Upon filing a report of an unsafe condition with the Department, the owner of the building, his or her agent, or the person in charge of the building must immediately commence such repairs or reinforcements and any other appropriate measures such as erecting sidewalk sheds, fences, and safety netting as may be required to secure the safety of the public and to make the building's walls and appurtenances conform to the provisions of the Administrative Code.
(ii) All unsafe conditions must be corrected within ninety (90) days from the submission of the critical examination report.
(iii) If, due to the scope of the repairs, the unsafe conditions cannot be corrected within the required 90 days, the QEWI must recommend a timeframe for repairs as noted in item (K) of subparagraph (iii) of paragraph (3) of subdivision (c). The owner of the building is responsible for ensuring that the conditions described in the critical examination report as unsafe are corrected and all actions recommended by the QEWI are completed within this timeframe. The owner must notify the Department of any deviation from the timeframe to make corrections as specified in QEWI's report. The subsequent report must include supporting documents from the QEWI justifying the request for a new time frame.
(iv) Within two weeks after repairs to correct the unsafe condition have been completed, the QEWI must inspect the premises. The QEWI must promptly file with the Department a detailed amended report stating the revised report status of the building, along with a filing fee as specified in the rules of the Department and the owner must obtain permit sign-offs as appropriate. If the report is not acceptable and is rejected by the Department, a revised report must be filed within forty-five (45) days of the date of the Department's rejection. If the report is not acceptable after two (2) rejections, a new amended filing fee as specified in the rules of the Department is required. Sheds or other protective measures must remain in place until an amended report is accepted; however, the QEWI may request permission for the removal of the shed upon submission of a signed and sealed statement certifying that an inspection was conducted, the conditions were corrected and the shed is no longer required. Permission to remove the shed may be granted in the Commissioner's sole discretion.
(v) The Commissioner may grant an extension of up to ninety (90) days to complete the repairs required to remove an unsafe condition upon receipt and review of an initial extension application submitted by the QEWI, together with:
(A) Notice that the premises have been secured for public safety by means of a shed, fence, or other appropriate measures as may be required;
(B) A copy of the contract indicating scope of work to remedy unsafe conditions;
(C) The QEWI's estimate of length of time required for repairs;
(D) A statement of all applicable permit requirements;
(E) A notarized affidavit by the owner of the building that work will be completed within the time of the QEWI's stated estimate; and
(F) A fee as specified in the rules of the Department.
Note: Financial considerations shall not be accepted as a reason for granting an extension.
(vi) A further extension will be considered only upon receipt and review of a further extension application, together with notice of:
(A) An unforeseen delay (e.g., weather, labor strike) affecting the substantially completed work; or
(B) Unforeseen circumstances (e.g., fire, building collapse); or
(C) The nature of the hazard that requires more than ninety (90) days to remedy (e.g., new wall to be built); or
(D) Progress photos showing current facade repairs.
Note: Financial considerations shall not be accepted as a reason for granting an extension.
(6) Conditions that are safe with a repair and maintenance program (SWARMP).
(i) The owner of the building is responsible for ensuring that the conditions described in the critical examination report as SWARMP are corrected and all actions recommended by the QEWI are completed within the time frame recommended by the QEWI, and are not left to deteriorate into unsafe conditions. It is the owner's responsibility to notify the Department of any deviation from the timeframe to make corrections as specified in the QEWI's report. The subsequent report must include supporting documents from the QEWI justifying the request for a new time frame.
(ii) A report may not be filed describing the same condition and pertaining to the same location on the building as SWARMP for two consecutive report filing cycles.
(iii) The QEWI must certify the correction of each condition reported as requiring repair in the previous report filing cycle, report conditions that were reported as SWARMP in the previous report filing cycle as unsafe if not corrected at the time of the current inspection, or report corrections that were made in the previous cycle as unsafe if they need further or repeated repair at the time of the current cycle.
(d) Civil penalties.
(1) Failure to file. An owner who fails to file the required acceptable inspection report shall be liable for a civil penalty of five thousand dollars ($5,000) per year immediately after the end of the applicable filing window.
(2) Late filing. In addition to the penalty for failure to file, an owner who submits a late filing shall be liable for a civil penalty of one thousand dollars ($1,000.00) per month, commencing on the day following the filing deadline of the assigned filing window period and ending on the filing date of an acceptable initial report.
(3) In addition to the penalties provided in this section, an owner who fails to correct an unsafe condition shall be liable for a civil penalty as detailed in the table below, until the unsafe condition is corrected. Unless the Commissioner grants an extension of time to complete repairs pursuant to this section, the penalties will be incurred as detailed in the table below. This penalty shall be imposed until receipt of an acceptable amended report by the Department indicating the unsafe conditions were corrected, the sidewalk shed has been removed and the associated permits are signed off with the Department, including shed permits, or an extension of time is granted by the Commissioner.
Base penalty | Plus | |
Year 1 | $1,000/month | NA |
Year 2 | $1,000/month | $10 / linear foot (l.f.) of shed / month |
Year 3 | $1,000/month | $20 / l.f. shed / month |
Year 4 | $1,000/month | $30 / l.f. shed / month |
Year 5 | $1,000/month | $40 / l.f. shed / month |
(4) Failure to correct SWARMP conditions. An owner who fails to correct a SWARMP condition reported as requiring repair in the previous report filing cycle and subsequently files the condition as unsafe shall be liable for a civil penalty of two thousand dollars ($2,000).
(5) Challenge of civil penalty.
(i) An owner may challenge the imposition of any civil penalty authorized to be imposed pursuant to this subdivision by providing proof of compliance. Examples of such proof must include, but are not limited to, a copy of an acceptable initial report, a copy of the acceptable amended report, copies of approved extension of time requests while work was/is in progress or written proof from a QEWI that the unsafe conditions observed at the building were corrected and the violation was dismissed.
(ii) Challenges must be made in writing within thirty (30) days from the date of service of the violation by the Department and sent to the office/unit of the Department that issued the violation. The decision to dismiss or uphold the penalty shall be at the sole discretion of the Department.
(e) Full or partial penalty waivers; eligibility and evidentiary requirements. Owners may request a full or partial waiver of penalties assessed for violation of Article 302 of Title 28 of the Administrative Code, the New York City Building Code and/or rules enforced by the Department. Requests must be made in writing and must meet eligibility and evidentiary requirements as follows:
(1) Owner status.
(i) A new owner requesting a waiver due to change in ownership must submit proof of a recorded deed evidencing transfer of ownership to the current owner after penalties were incurred, as well as any other documentation requested by the Department, and only in one of the following circumstances:
(A) A new owner of a property previously owned by a government entity requesting a waiver due to change in ownership must submit official documentation from the government entity affirming that the premises was entirely owned by the government entity during the period for which a waiver is requested.
(B) A new owner who receives a notice of violation for failure to comply with the requirements of this section or Article 302 of Title 28 of the Administrative Code that was issued to the property after the transfer of ownership must submit a recorded deed showing the date that the property was acquired or transferred. The waiver period shall be from the date of the deed to the date of the violation issuance.
(ii) An owner may be granted a waiver of penalties upon submission of a copy of an order signed by a bankruptcy court judge.
(iii) If a state of emergency is declared that prevents an owner from conducting an inspection, filing a report or correcting unsafe conditions, an owner may be granted a waiver of penalties.
(2) Building status. An owner requesting a waiver because the building was demolished must submit city or departmental records evidencing the demolition of the building prior to the filing deadline.
(f) Posting of conditions certificate. A conditions certificate issued by the Commissioner must be posted in a frame with a transparent cover in the lobby or vestibule of the subject building within thirty (30) days of issuance. The certificate must indicate the most recent condition of the building's exterior walls and appurtenances.
(Amended City Record 1/21/2020, eff. 2/20/2020; amended City Record 10/13/2021, eff. 11/12/2021)
(a) Scope. This rule implements Article 303 of Title 28 of the New York City Administrative Code ("Administrative Code") by specifying the high-pressure boiler annual inspection requirements, the processes through which the department shall regulate the filings of high-pressure boiler annual inspection reports and shall issue penalties and waivers for failure to file and/or late filing, and the penalties for failure to file and/or untimely filing of a written notice of removal or disconnection of a high-pressure boiler.
(c) Definitions. For the purposes of this section, the following terms shall have the following meanings:
(1) Department. The department of buildings.
(2) External high-pressure boiler annual inspection. An inspection made while the boiler is in operation.
(3) Filing deadline. For the high-pressure boiler annual inspection report or any part thereof, fourteen (14) days from the date of the inspection.
(4) First test. An inspection of a newly installed or replaced boiler required for the department to approve its use and operation.
(5) Inspection cycle. January 1st through December 31st of the calendar year for which an owner submits the report.
(6) Inspection type. An external high-pressure boiler annual inspection or an internal high-pressure boiler annual inspection.
(7) Internal high-pressure boiler annual inspection. An inspection made when the boiler is shut down and handholes and manholes or other inspection openings are opened or removed for inspection of the interior.
(8) Late filing. An inspection report or any part of that report filed after the fourteen (14) day filing deadline but in no event later than January 14th of the calendar year immediately following the inspection cycle.
(9) Owner. Any person, agent, firm, partnership, corporation or other legal entity having a legal or equitable interest in, or control of, the premises and/or boiler.
(10) Qualified boiler inspector. A qualified boiler inspector as defined in 1 RCNY § 101-07.
(11) Removal or disconnection. Removal or disconnection shall have the same meaning as the term "removal or discontinuance" as used in § 28-303.9 of the Administrative Code.
(12) Small business. A business that employs fewer than one hundred persons and provides goods or services onsite.
(13) Waiver. Removal of the obligation to pay a penalty associated with a violation. A waiver does not result in dismissal of the violation.
(d) Fees. Fees for filings related to high-pressure boilers shall be as set forth in 1 RCNY § 101-03.
(e) Inspections, tests and filing requirements. The owner shall be responsible for hiring a qualified boiler inspector to conduct inspections and tests and file high pressure boiler annual inspection reports pursuant to Article 303 of Title 28 of the Administrative Code. Such inspections shall comply with Article 303, applicable provisions of the New York State Labor Law and the following:
(1) Internal and external high-pressure boiler annual inspection reports along with the appropriate filing fee(s) shall be submitted for each inspection cycle on such forms and in such manner as required by the department. The reports shall include:
(i) An inspection report for each boiler identifying the qualified boiler inspector;
(ii) An affirmation of correction along with the filing fee stating that identified defects have been corrected, if applicable; and
(iii) The filing fee as provided in subdivision (d).
(2) The reports shall be filed by the filing deadline. Any required part of the report not filed by the filing deadline shall be deemed late and shall subject the owner to penalties as set forth in subdivision (i) of this section.
(3) The filing is deemed accepted upon payment of the fee(s) and any civil penalties due. If the payment is not honored, the filing will be deemed invalid and the owner may receive a violation for failure to file and be subject to all applicable penalties as set forth in subdivision (i).
(4) High-pressure boiler annual inspections shall be conducted twelve (12) months from the preceding annual inspection of the same inspection type.
(5) Internal and external high-pressure boiler annual inspections shall be performed approximately six (6) months from each other during the inspection cycle.
(6) The inspector must verify that a valid department-issued boiler number is affixed to the boiler, and this number must be used in all correspondence between the inspector and the department.
(7) If an inspection reveals any dangerous condition in a boiler that threatens life or safety and that requires an immediate shutdown of the boiler, the inspector must immediately notify the department's boiler division of the condition via email at the address provided on the department's website, http://www.nyc.gov/buildings. Notification of an unregistered boiler must be made by filing a report electronically in a form and manner required by the department.
(f) Acceptance of filings. Inspection reports filed after the fourteen (14) day filing deadline but on or before January 14th of the calendar year immediately following the inspection cycle will be considered late filings and will be subject to the appropriate civil penalties as set forth in subdivision (i) of this section. Reports filed after such late filing period will be considered expired. In such cases, owners will be subject to the appropriate civil penalties for failure to file a report as set forth in subdivision (i) of this section, and the department will require a new inspection to be performed for the current inspection cycle and a new report filed in accordance with this section.
(g) Ten (10) day notifications. The inspector shall notify the department at least ten (10) days prior to the performance of an internal high-pressure boiler annual inspection.
(h) Tenant notification. An owner of a building containing a high-pressure boiler(s) shall notify any affected tenants of the planned shutdown of the boiler for inspection at least forty-eight (48) hours prior to such shutdown by (i) distributing a notice regarding such plan to each occupied dwelling unit and (ii) posting a notice regarding such plan in a conspicuous manner in the building lobby.
(i) Civil penalties, high-pressure boiler annual inspection report and affirmation of correction.
(1) Late filing. An owner who submits a late filing, but who provides proof that the inspection took place within the inspection cycle for which the report was due, shall be liable for a civil penalty of not less than fifty dollars ($50.00) per month, per boiler, per inspection type, commencing on the day following the filing deadline and ending on the date of submission of a complete report, including a late filing of the affirmation of correction. The total penalty shall not exceed six hundred dollars ($600.00) per boiler, per inspection type. For the purposes of this paragraph, "proof" shall mean a copy of the filed inspection report from the qualified boiler inspector who conducted the inspection indicating that the inspection was completed within the inspection cycle for which the report was due.
(2) Failure to file. An owner who fails to file the high-pressure boiler annual inspection report or any part thereof for each boiler and inspection type, pursuant to Article 303 of Title 28 of the Administrative Code and this section, shall be liable for a civil penalty of not less than one thousand dollars ($1,000.00) per boiler, per inspection type. A high- pressure boiler annual inspection report not filed within the late filing period shall be deemed expired and shall not be accepted by the department.
(3) Failure to file the affirmation of correction. An owner who fails to correct the defects within the applicable time after the inspection and to file the affirmation of correction by the date the affirmation was due, stating that all defects found during the inspection have been corrected pursuant to § 28-303.5 of the Administrative Code shall be liable for a civil penalty of one thousand dollars ($1,000.00) per boiler.
(4) Challenge of civil penalty. An owner may challenge the imposition of any civil penalty authorized pursuant to this subdivision by providing written proof of a timely and complete inspection and filing to the department. Challenges shall be made in writing within thirty (30) days from the date of service of the violation by the department and sent to the office/unit of the department that issued the violation. The decision to dismiss or uphold the penalty shall be at the sole discretion of the department. Examples of such proof shall include, but are not limited to, the following:
(i) A copy of the high-pressure boiler annual inspection report for the inspection performed during the applicable inspection cycle and a copy of the front and back of the canceled check or money order to the department for the high-pressure boiler annual inspection report fee or proof of electronic payment of such fee; or
(ii) The department-assigned transmittal number for the electronic disk filing report or DOB NOW tracking number.
(5) Extension of the filing deadline. An owner may request an extension of the filing deadline in order to correct high-pressure boiler defects and to file an affirmation of correction stating that identified defects have been corrected in accordance with Article 303 of Title 28 of the Administrative Code by submitting proof that the request is based on extraordinary circumstances and/or that the delay in correction is beyond the owner's control, not including financial or administrative hardship. The request shall be made prior to the expiration of the filing deadline, submitted with the filing fee and made on such forms and in such manner as required by the commissioner.
(6) Waiver of penalties. An owner may request a waiver of penalties assessed for violation of Article 303 of Title 28 of the Administrative Code and/or related rules enforced by the department. Requests shall be made in writing and submitted with the filing fee.
(i) Owner status.
(A) New owner. A new owner may be granted a waiver of penalties contingent upon the department's acceptance of the owner's proof that transfer of ownership to the new owner occurred after penalties were incurred. Proof includes a recorded deed evidencing transfer of ownership to the current owner after penalties were incurred, as well as any other documentation requested by the Department.
(B) Government ownership. An owner may be granted a waiver of penalties upon submission of official documentation from a government entity affirming that the premises was owned in its entirety by the entity during the period for which a waiver is requested.
(C) Bankruptcy. An owner may be granted a waiver of penalties upon submission of a copy of a bankruptcy petition and a decision from the bankruptcy court.
(D) Small business. An owner of a small business may be granted a one-time waiver of the civil penalty for a violation issued for failure to file an annual boiler inspection report where all of the following conditions are met:
1. The applicant demonstrates, in a form and manner determined by the Department, that the individual or entity requesting the waiver is the owner of the small business;
2. The failure to file for which the violation was issued occurred on or after November 20, 2022;
3. The applicant demonstrates, in a form and manner determined by the Department, that the owner of the small business owns or has responsibility for the boiler and such boiler exclusively serves the space occupied by the small business;
4. A small business waiver was not previously granted to the small business owner for any boiler at the subject building that is owned by the small business or for which the small business is responsible;
5. A small business waiver was not previously granted to any small business for the boiler for which the waiver is being requested; and
6. The sole or primary purpose of the business is not filing representative or expeditor services, real estate, real estate development, property management, construction or other related services as determined by the Department.
(ii) Device status. An owner may be granted a waiver of penalties contingent upon the department's acceptance of proof of the following:
(A) Removed or disconnected. That the high-pressure boiler was removed from the building or disconnected prior to the inspection cycle for which the report was due. In the event that proof of removal or disconnection has not yet been entered into the department's database at the time of the request for a waiver, the owner shall submit to the department a copy of the submission for removal or disconnection of the boiler.
(B) New or replaced. That the first test was performed during the inspection cycle for which the report was due.
(C) Work in progress. That there is work in progress for the replacement or installation of a new boiler or burner or a major renovation requiring that the boiler or burner be deactivated during the work. For the purposes of this clause, "proof" shall mean the filing of a boiler application including a projected date of completion of work. Upon completion of such work, a new inspection and test report shall be filed in accordance with this section.
(iii) Building status. An owner may be granted a waiver of penalties contingent upon the department's confirmation of the following:
(A) Demolished. That the full demolition of the building occurred prior to the inspection cycle for which the report was due and that such demolition was signed off by the department or that a new building permit has been issued for the property.
(B) Sealed or vacated. That the building was ordered to be sealed or vacated by a government agency (e.g. Department of Buildings, Department of Housing Preservation and Development, Fire Department of New York or Office of Emergency Management) or by court order prior to the expiration of the inspection cycle for which the report was due.
(j) Civil penalties, written notice of removal or disconnection of a high-pressure boiler. Failure to file a written notice of removal or disconnection with the filing fee in accordance with § 28-303.9 of the Administrative Code, or filing such notice more than thirty (30) days after the date of the removal or disconnection of a high-pressure boiler shall be deemed a lesser violation and shall subject the owner to penalties as set forth in this subdivision.
(1) Untimely filing. An owner who files such notice more than thirty (30) days after the date of removal or disconnection, but by thirty (30) days after the end of the inspection cycle, may submit an untimely filing and shall be liable for a civil penalty of not less than fifty dollars ($50.00) per month, per boiler, commencing on the thirty-first (31) day after the date of removal or disconnection and ending on the date of submission of the notice. The total penalty shall not exceed five hundred dollars ($500.00) per boiler.
(2) Failure to file. An owner who fails to file such notice by thirty (30) days after the end of the inspection cycle, shall be liable for a civil penalty of one thousand dollars ($1,000) per boiler.
(3) Challenge of civil penalty. An owner may challenge the imposition of any civil penalty authorized to be imposed pursuant to this subdivision by providing proof of a timely filing to the department. Challenges shall be made in writing within thirty (30) days from the date of service of the violation by the department and sent to the office/unit of the department that issued the violation. The decision to dismiss or uphold the penalty shall be at the sole discretion of the department. An example of such proof shall include, but is not limited to, the following: a stamped and dated copy of the submission for removal or disconnection of the boiler filed with the department, which may be supported by a copy of the front and back of a canceled check(s) to the department for the filing fee or proof of electronic payment of such fee.
(Amended City Record 11/30/2015, eff. 12/30/2015; amended City Record 12/16/2021, eff. 1/15/2022; amended City Record 10/21/2022, eff. 11/20/2022; amended City Record 9/26/2024, eff. 10/26/2024)
(a) Purpose. This section establishes the procedures for benchmarking certain buildings.
(b) References. Article 309 of Chapter 3 of Title 28 of the New York City Administrative Code ("Article 309").
(c) Requirement. Owners of covered buildings, as defined in Article 309, must benchmark their whole buildings using the online Portfolio Manager tool of the United States Environmental Protection Agency ("EPA").
(d) Definitions. Terms defined in Article 309 of Title 28 have the same meanings in this section. For the purposes of this section, the following additional terms are defined as follows:
ACTUAL ENERGY DATA: Actual energy data is data taken directly from 1) utility meters or billing information, or data for the entire building provided by the utility; and/or 2) sub-meters for entire buildings that share heating, cooling and/or service (domestic) hot water systems with other buildings; and/or 3) extrapolated energy data calculated in accordance with clause (A) of subparagraph (ii) of paragraph (2) of subdivision (g) of this section.
AGGREGATED ENERGY DATA: Aggregated energy data means total energy data for a specified period as provided by the utility company for the building for a given energy type.
ENERGY TYPE: Energy type is electricity, natural gas, steam, and/or fuel oil. Energy type for a building may take the form of chilled or hot water when heating, cooling and/or service (domestic) hot water systems are shared by multiple buildings.
GROSS FLOOR AREA: Gross floor area is the total number of square feet measured between the exterior surfaces of the enclosing fixed walls. It includes vent shafts, elevator shafts, flues, pipe shafts, vertical ducts, stairwells, light wells, basement space, mechanical/electrical rooms, and interior parking. It excludes unroofed courtyards and unroofed light wells. For atria, gross floor area only includes the area of atrium floors. For tenant spaces, interior demising walls should be measured to the centerline of the wall.
GROSS SQUARE FEET (GROSS SQUARE FOOTAGE): Gross square feet or gross square footage means a building's total square footage as provided in Department of Finance records.
NEW YORK CITY BENCHMARKING COMPLIANCE REPORT ("COMPLIANCE REPORT"): The New York City Benchmarking Compliance Report is an electronic report generated from the benchmarking data in Portfolio Manager.
PORTFOLIO MANAGER: Portfolio Manager is the benchmarking tool as defined in § 28-309.2 of the Administrative Code.
(e) Requirement to calculate gross floor area. The owner must calculate the gross floor area and enter it into Portfolio Manager. All space areas entered into Portfolio Manager for a building must add up to the building's gross floor area. Gross floor areas as calculated by the owner under this provision are not related to the Department of Finance records that determine whether a building or buildings qualify as covered buildings under § 28-309 of the Administrative Code.
(f) Period of benchmarking. The owner must enter energy consumption data into Portfolio Manager for the period covering January 1 through December 31 of the year being benchmarked for each energy type.
(g) Energy data entry into Portfolio Manager. In accordance with § 28-309.4 of the Administrative Code, the owner of a covered building must enter energy data for each applicable energy type into Portfolio Manager.
Exception for energy data entry. Covered buildings that exceed 25,000 gross square feet but do not exceed 50,000 gross square feet, shall not be required to directly enter energy data into Portfolio Manager and, per § 28-309.4 of the Administrative Code, may rely on their utility company to directly upload their building's energy data into Portfolio Manager, based on the owner's request, and in accordance with § 28-309.5 of the Administrative Code. The failure of the owner to either request upload of the energy data by their utility, per § 28-309.5 of the Administrative Code, or upload the data themselves, may result in a violation per § 28-309.4.3 of the Administrative Code.
(i) Common area energy: For each energy type, the owner must enter actual energy data for common areas, and all common or central systems, including but not limited to heating, cooling, lighting and/or service (domestic) water heating as applicable.
(ii) Tenant energy data – residential: Where energy use data is unavailable for some or all dwelling units in a building, the owner must use one of the following methods to determine energy use for dwelling units. For the purpose of this subparagraph, "apartment" means "dwelling unit."
Actual-energy data – Extrapolation method | When an owner obtains representative billing or meter data as described below for a given energy type from tenants, the owner may extrapolate such information for the building and enter it into Portfolio Manager as actual energy data. Extrapolation may be used only as follows: A. The owner must obtain all meter data for such energy type for a minimum of ten percent (10%) of apartments in each apartment line in the building. Apartments are considered in the same line if they have similar shape and square footage and are stacked one above another. B. For a given energy type, extrapolation must be performed each month as follows: Total energy use = [(E 1 /N 1 ) * T 1 ] + [(E 2 /N 2 ) * T 2 ] + [(E 3 /N 3 ) * T 3 ]...[(E n /N n ) * T n ], where: E is the total energy collected by the owner for the month for 10% or more of the apartments in the specified apartment line for a given energy type; N is the number of apartments in the specified apartment line for which the energy was collected; T is the total number of apartments in the specified apartment line; 1 refers to apartment line 1; 2 refers to apartment line 2; n refers to the total number of apartment lines in the building, or the final apartment line under consideration in the building. |
(iii) Tenant energy data – non-residential: The owner must use one of the following methods to determine non-residential tenant energy use, as applicable, and must enter the energy data into Portfolio Manager.
Actual energy data | The building owner must request information from his or her non-residential tenants on the non-residential tenant information collection form. This form is available at the Mayor's Office of Sustainability website: www.nyc.gov/ggbp. If the building owner has access to aggregated energy data, the owner does not need to collect energy meter information on this form; all other information requested on the form must be completed, including, but not limited to, the service address and other information affecting energy use in the building. If the building owner does not have access to aggregated energy data, the owner must use the non-residential tenant information collection form to collect separately metered energy information from the non-residential tenants. In either case, the building owner must enter this information in Portfolio Manager as actual energy data. |
(iv) Non-residential vacant space: The owner must account for non-residential vacant space in Portfolio Manager as directed by the EPA.
(h) Water data entry into Portfolio Manager. Buildings provided with automatic meter-reading equipment by the Department of Environmental Protection ("DEP") for the entire calendar year will be benchmarked by DEP in accordance with § 28-309.5.2 of the Administrative Code. Building owners are not required to enter such data.
(i) Special conditions. The following special conditions must be addressed in the following ways:
(1) Space use attributes for multi-family housing spaces. Building owners must enter all optional space use attributes for multi-family housing spaces as such attributes are defined in Portfolio Manager. Optional space use attributes for multi-family housing spaces include, but are not limited to: number of occupied and unoccupied apartment units in building, number of bedrooms in building, and maximum number of floors.
(2) Multiple buildings on a tax lot. Multiple buildings on a tax lot must be benchmarked as a covered building, as defined in § 28-309.2 of the Administrative Code, and that covered building must provide an aggregate number to represent the energy and water usage of all buildings comprising that covered building.
(3) Buildings on multiple tax lots that share systems. Buildings on multiple lots that share systems must be benchmarked as follows:
(i) Buildings that are separately metered or are sub-metered for a given energy type must be benchmarked individually for that energy type.
(ii) For buildings that are neither separately metered nor sub-metered for a given energy type, the owner(s) must provide an aggregate number to represent the energy and water usage of all buildings that share systems.
(4) New buildings. Owners of new buildings must begin benchmarking such buildings in the first full calendar year following the year the building receives its first Temporary Certificate of Occupancy. Energy use for unused spaces or incomplete tenant areas must be estimated in accordance with subparagraph (iv) of paragraph (2) of subdivision (g) of this section.
(5) Buildings with change in ownership. When a building changes ownership, the new owner must benchmark such building for the first full calendar year following transfer of ownership and must submit the Compliance Report by May 1 of the following year and by the same date every year thereafter.
(6) Demolished buildings. Buildings for which a full demolition permit has been issued are not required to benchmark for the prior calendar year, provided that demolition work has commenced, some energy-related systems have been compromised and legal occupancy is no longer possible prior to May 1 of the year the benchmarking report is due.
(7) Exemptions. The owner shall not be required to include the following in a building's benchmarking:
(i) Broadcast antennas, when metered or sub-metered separately from the building;
(ii) Cellular towers, when metered or sub-metered separately from the building;
(iii) Illuminated signs required by Section 81-732 of the New York City Zoning Resolution, when metered or sub-metered separately from the building;
(iv) Natural gas, when separately metered for kitchens in apartments.
(j) Submission to the City of New York. By May 1 following each benchmarked year, the owner must submit the Compliance Report to the Department of Finance. Submission must be made through a web-link provided by the Mayor's Office of Long-Term Planning and Sustainability at their website: www.nyc.gov/ggbp.
(k) Required records. Owners of covered buildings as defined in § 28-309.2 of the Administrative Code must maintain the following records as proof of benchmarking of energy and water use as required in Article 309:
(1) The confirmation email from EPA for proof of submission date;
(2) Proof of request to non-residential tenants for information related to the non-residential tenant's separately metered energy use;
(3) Back-up information regarding energy use inputs, including, but not limited to, utility bills, fuel oil bills, calculations, and correspondence; and
(4) A copy of water and energy input data entered into Portfolio Manager. Such records must be retained for three (3) years from the required submission date of May 1 and must be made available to the Department and/or the Mayor's Office of Long Term Planning and Sustainability upon request.
(l) Violations and penalties.
(1) Failure to benchmark energy and water use for the prior calendar year by May 1 may result in a penalty of $500. Continued failure to benchmark may result in additional violations on a quarterly basis and an additional penalty of $500 per violation.
(2) Failure to annually post the energy efficiency grade and the energy efficiency score for the building within thirty (30) days after October 1, the date upon which the energy efficiency grade will be available, in accordance with the requirement of § 28-309.12.3 of the Administrative Code, may result in a penalty of $1,250.
(m) Challenge to violations.
(1) An owner may challenge a violation for failure to benchmark issued pursuant to paragraph (1) of subdivision (l) of this section. Proof in support of any such challenge may include, but need not be limited to:
(i) Proof from the Department of Finance that the building in question is not a covered building as defined in § 28-309.2 of the Administrative Code;
(ii) Proof of timely benchmarking as indicated by a confirmation email from the EPA that includes a date-stamped copy of data released to the city;
(iii) Proof of change in ownership during the year in question;
(iv) Proof of each factor listed in the "Exception" provision of § 28-309.4.3 of the Administrative Code, including proof of a request for benchmarking assistance, as defined in § 28-309.11 of the Administrative Code. Such proof shall consist of a completed copy of the submitted Department form for requesting benchmarking assistance; or
(v) Proof of owner's request to their utility company, no later than fourteen days prior to the benchmarking due date, to directly upload information necessary to benchmark energy use for such building, as described in § 28-309.4 of the Administrative Code.
(2) An owner may challenge a violation for failure to post issued pursuant to paragraph (2) of subdivision (l) of this section. Proof in support of such challenge may include, but not be limited to, photographic proof of timely posting of the energy efficiency grade and the energy efficiency score, as directed in § 28-309.12.3 of the Administrative Code.
(3) Such challenge must be made in writing to the Department within thirty (30) days from the postmark date of the violation served by the Department.
(Amended City Record 5/7/2018, eff. 6/6/2018; amended City Record 1/21/2020, eff. 2/20/2020)
(a) Definitions. As used in this section, the following terms have the following meanings:
ACCEPTABLE ENERGY EFFICIENCY REPORT (EER). An acceptable EER is a technical energy audit and retro-commissioning report filed by an energy auditor and retro-commissioning agent that meets the requirements of the Administrative Code and this section, as determined by the department.
COMMON AREA. Common area is an area that is not considered a tenant area. Common area typically includes but is not limited to non-occupiable spaces such as egress corridors, egress stairwells, elevators, lobbies, public restrooms, janitorial closets, shared amenities, storage, mechanical or electrical rooms containing equipment that is owned, maintained and operated by the building owner.
MAJOR EQUIPMENT, SUB-EQUIPMENT AND COMPONENTS. Major equipment is a base building system listed in Table 1:
Table 1 – Major Equipment
Group R occupancies | All occupancies other than Group R |
Group R occupancies | All occupancies other than Group R | |
Boilers | All boilers with rated input capacity greater than or equal to 300,000 Btu/h | |
Chillers | All chillers | All chillers |
Cooling towers and dry coolers | All cooling towers and dry coolers | All cooling towers and dry coolers |
Air handling units (AHU), fan coil units (FCU), heat recovery units (HRU), heating and ventilation units (H&V), packaged and split air conditioning units | Capacity greater than or equal to 2,500 CFMs | Capacity greater than or equal to 5,000 CFMs |
HVAC motors, fans and pumps | Greater than or equal to 2.5HP | Greater than or equal to 5 HP |
Heat exchangers | Serving 10,000 square feet or more | |
Domestic hot water heaters (Storage and instantaneous) | All water heaters with rated input capacity greater than 155,000 Btu/h | |
Domestic water pumps | Greater than or equal to 10 HP | |
Sub-equipment and components of the associated major equipment are listed in Table 2:
Table 2 – Sub-Equipment and Components of the Major Equipment
Sub-equipment and components |
Sub-equipment and components | ||
Existing cabinets/casing | Valves | Grilles |
Terminal and induction units | Actuators | Filters |
Access doors | Dampers | Air outlets |
Control panels | Chilled or hot water coils | Fans and motors |
Controls and sensors | Steam or DX coils | VFDs |
Interlocks | Belts | Ductwork |
Electrical/mechanical switches | VAV and fan powered boxes | Piping |
Operating and modulating pressure controls | Steam traps | |
NON-COMMON OWNER AREA. A non-common owner area is an occupiable space, as defined in Section 202 of the Building Code, that: (1) is not a non-common tenant area; and (2) is maintained by and accessible to the building owner.
NON-COMMON TENANT AREA. A non-common tenant area is an area of a dwelling unit or other space leased or intended to be leased.
(b) References.
Energy audit: Article 308 of Chapter 3 of Title 28 of the Administrative Code (Article 308); American Society of Heating, Refrigerating and Air-conditioning Engineers Inc. ("ASHRAE") Standard for Commercial Building Energy Audits – ASHRAE 211-2018 (American National Standards Institute (ANSI) approved/Air Conditioning Contractors of America (ACCA) co-sponsored).
Retro-commissioning: Article 308; National Environmental Balancing Bureau (NEBB) Standard S120-2016 – Technical Retro-Commissioning of Existing Buildings (ANSI approved).
(c) Energy auditor and retro-commissioning agent qualifications.
(1) The energy auditor performing or supervising the audit may not be on the staff of the building being audited. The energy auditor must be a registered design professional, and the energy auditor or an individual under the direct supervision of the energy auditor must be one of the following:
(i) a Certified Energy Manager or Certified Energy Auditor, certified by the Association of Energy Engineers (AEE);
(ii) a High-Performance Building Design Professional certified by ASHRAE;
(iii) a Building Energy Assessment Professional certified by ASHRAE; or
(iv) for audits of multifamily residential buildings only, a Multifamily Building Analyst, certified by the Building Performance Institute.
(2) The retro-commissioning agent performing or supervising the retro-commissioning may not be on the staff of the building being retro-commissioned. The retro-commissioning agent must be a registered design professional, a certified Refrigerating System Operating Engineer, or a licensed High Pressure Boiler Operating Engineer. In addition, the retro-commissioning agent or an individual under the direct supervision of the retro-commissioning agent must be one of the following:
(i) a Certified Commissioning Professional certified by the Building Commissioning Association;
(ii) a Certified Building Commissioning Professional certified by the AEE;
(iii) an Existing Building Commissioning Professional as certified by the AEE;
(iv) a Commissioning Process Management Professional certified by ASHRAE;
(v) an Accredited Commissioning Process Authority Professional approved by the University of Wisconsin;
(vi) a Certified Commissioning Authority certified by the Associated Air Balance Council Commissioning Group;
(vii) a Building Commissioning Professional certified by ASHRAE;
(viii) a Commissioning Process Professional certified by NEBB;
(ix) a Technical Retro-Commissioning Professional certified by NEBB; or
(x) a Building Systems Commissioning Professional certified by NEBB.
(3) Registrations. An energy auditor or a retro-commissioning agent who is currently registered with the department and is not a registered design professional may continue to submit the EER as an approved agent until the expiration of the registration or December 31, 2021, whichever occurs first. No registration shall be renewed once expired. The provisions of §§ 28-401.6, 28-401.8 and 28-401.19 of the Administrative Code apply to such registered energy auditors and retro-commissioning agents.
(d) Energy audit procedures. An energy audit must be performed on the base building systems of a covered building prior to filing an EER. The scope of such energy audit must be at a minimum equivalent to the procedures, requirements, and reporting described for a Level 2 energy audit in accordance with ANSI/ASHRAE/ACCA Standard 211-2018 – Standard for Commercial Building Energy Audits, published by ASHRAE.
(e) Contents of the energy audit report. An audit report must be prepared for the owner that is at a minimum equivalent to the report prescribed by ANSI/ASHRAE/ACCA Standard 211-2018, or any subsequent, edition – Standard for Commercial Building Energy Audits, published by ASHRAE, and must include the information required by § 28-308.2 of the Administrative Code. The table of contents of the audit report must include all of the sections provided in the Level 2 energy audit report outline in Informative Annex D of standard 211-2018, or subsequent edition. Such report must be retained by the owner in accordance with subdivision (j) of this section. The energy auditor must certify that the audit satisfies the requirements of § 28-308.2 of the Administrative Code and this section. The energy audit report and certification form must be uploaded through the web-based Energy Audit template tool.
(f) Retro-commissioning procedures. The base building system components subject to retro-commissioning as per § of the Administrative Code must be assessed in accordance with NEBB Standard S120-2016,or any subsequent, edition – Technical Retro-Commissioning of Existing Buildings and § of the Administrative Code, as applicable to the requirements of this section, including the technical retro-commissioning process, the testing protocols, master list of findings and repairs and deficiencies corrected, deliverables and documentation. Deficiencies found in the assessment must be corrected, prior to submission of the EER, as required by this subdivision.
The Current Facility Requirements (CFR) will be the following for all space uses served by a base building system, unless the agent provides acceptable rationale demonstrating otherwise. Acceptable rationale must be documented and can include needs of a space use as defined by owner interviews, tenant leasing requirements, and tenant controlled set points and setbacks. The CFR must be justified by references including ASHRAE fundamentals, heating, ventilation, and air conditioning (HVAC) systems and equipment, and applications handbooks, ANSI references, Illuminating Engineering Society (IES) lighting handbook, New York City Housing Maintenance Code (HMC), New York City Building Code (BC), approved design drawings and/or manufacturer's guidelines. Acceptable rationale does not include needs as a result of deficient equipment or historic operations.
• Winter indoor space temperatures should be between 68 and 76 degrees F and summer indoor space temperatures should be between 72 and 80 degrees F during occupied periods of time for non-common tenant areas (without individual HVAC controls) and non-common owner areas of the facility.
• Operating steam system pressure (cut-out setting) should not be greater than four psig for low pressure steam heated buildings. For any building requiring higher operating steam pressure, substantial documentation, including design/as-built documents indicating design operating steam pressure shall be submitted to, and accepted by the department.
• Domestic hot water is stored and delivered per the HMC for Group R occupancies and per the New York City Plumbing Code requirements for all other occupancies.
• Minimum outside air requirements are met in areas with mechanical supply ventilation per the design and/or New York City Mechanical Code effective at the time of installation of the major equipment.
• Lighting levels (foot candles) are in accordance with the BC and HMC for all egress lighting, including common laundry rooms, and in accordance with the IES lighting handbook for all other space use types in the common areas and non-common owner areas.
• Daily, weekly, and seasonal operating hours, including occupied and non-occupied hours, of the building and base building systems.
• A description of the current space use of base building areas.
• A description of any changes in space use that impact the energy consumption of the heating, cooling, ventilation, or domestic hot water systems.
Retro-commissioning agent must consider the following to develop, document, and define the CFR:
• Age of facility.
• Interviews with owners, facility manager, and occupants.
• Available design or as-built drawings.
• Lease terms with regard to energy usage.
(1) HVAC and service water equipment.
(i) Pre-testing verification. An inspection, documented through pre-test verification forms, of all major equipment and its sub-equipment and components located in all common areas, at least 20% of such equipment located in non-common owner areas and at least 10% of such equipment located in accessible non-common tenant areas must be conducted to check for cleanliness and proper operation. Such inspection ensures that the system is able to be tested. Where major equipment, sub-equipment, and components are found to require cleaning, repair or correction for proper operation, correct all deficiencies prior conducting functional performance testing and document the post-correction condition in the retro-commissioning report under issues log.
(ii) Functional performance testing. Performance verification through functional performance testing for all major equipment and its sub-equipment and components located in the common areas, at least 20% of such equipment located in the non-common owner areas and at least 10% of such equipment located in the non-common tenant areas must be performed during normal operating conditions. Functional performance testing includes but is not limited to all controls, actuation, automation and sequencing functions impacting energy consumption of the major equipment such as control sequence of operation, economizer function, staging and load distribution, automatic reset function and integrated system level testing. The functional performance test process and results must be reported on forms acceptable to the department. Proper function must be determined from field observation and may include interviews with facility staff, trend analysis, or dedicated data loggers. Where equipment requires correction, the condition must be corrected and the post-correction condition must be documented in the retro-commissioning report. Completed functional performance test forms must be included in the retro-commissioning report.
(iii) Temperature and pressure setpoints and setbacks. All major equipment and its sub-equipment and components located in all common areas, at least 20% of such equipment located in the non-common owner areas and at least 10% of such equipment located in the non-common tenant areas must be tested to verify that such system set points are appropriate to the CFR and setbacks operate during unoccupied periods as stated by the CFR. Where set points and setbacks require correction, the condition must be corrected and the post-correction condition must be documented in the retro-commissioning report.
(iv) Sensors. Sensors include the following in Table 3 below, if present and serving major equipment(s).
Table 3 – Critical and Monitoring Sensors Associated with Major Equipment
AHU/FCU/H&V/packaged and split AC units | Boiler | Cooling tower | Chiller |
OA temp | OA temp | OA temp (Dry bulb and wet bulb) | OA temp |
Supply and return air temp | Return temp | Inlet water temp | Evap. water temp in |
Mixed air temp | Supply temp | Outlet water temp | Evap. water temp out |
Supply and return air flow rate | System pressures (Steam Boilers) | Flow rate | Cond water temp in |
Static pressure | Indoor zone temp | Humidity | Cond water temp out |
Zone temp | - | Supply and return temp | Zone temp and system pressures |
(A) All critical sensors that are part of a control sequence and have direct control of major equipment located in the common area must be tested for proper calibration. Acceptable and allowable tolerances for proper calibration must be supported by a reference acceptable to industry or manufacturer's guidelines. Where sensors require correction, the condition must be corrected and the post-correction condition must be documented in the retro-commissioning report.
(B) For monitoring sensors that are not part of a control sequence, a sample set constituting at least 10% of all monitoring sensors within the common area must be tested for proper calibration. Acceptable and allowable tolerances for proper calibration must be supported by a reference acceptable to industry or manufacturer's guidelines. If more than 80% of the sample set is found to be satisfactory, then no further sampling is required for the purposes of the retro-commissioning report. If less than 80% of the sample set is found to be satisfactory, then all monitoring sensors must be tested for proper calibration. Where sensors require correction, the condition must be corrected and the post-correction condition must be documented in the retro-commissioning report.
(v) Simultaneous heating and cooling. All major equipment air handling units located in the common areas and at least 20% of the major equipment air handling units in the non-common owner areas must be tested to verify that simultaneous heating and cooling is not occurring, unless intended. Where unintended simultaneous cooling and heating is occurring, the condition must be corrected and post-correction condition must be documented in the retro-commissioning report.
(vi) Boilers tuned for optimal efficiency. A combustion efficiency test must be conducted for each low pressure major equipment boiler (includes H-stamped domestic hot water heater). Each boiler must be tuned and cleaned to perform as per manufacturer's guidelines for combustion efficiency (%), oxygen (%), carbon dioxide (%), ambient air temperature (degrees F), stack temperature (flue gas temp minus combustion air temp, degrees F), carbon monoxide (ppm), and smoke number, as applicable. If manufacturer's guidelines are not available, cleaning/tuning and combustion efficiency testing must be conducted to meet the requirements in Table 4 below at high and low fire rates for all fuel types. Results (Actual print-outs directly obtained from the calibrated combustion analyzer) of the combustion efficiency test must be included in the retro-commissioning report.
Table 4 – Acceptable Range for Combustion Efficiency Test Results
High fire | Low fire | ||||
Residential/Commercial gas fired | Commercial oil fired | Commercial gas fired | Commercial oil fired | ||
Atmospheric and fan assist boilers | Power burners | Power burners | Power burners | Power burners | |
Oxygen (%) | 6% to 9% | 3% to 6% | 3% to 6% | 5% to 8% | 6% to 10% |
Stack temperature (deg. F) | 325 to 450 | 350 to 550 | 350 to 500 | 300 to 380 | 300 to 400 |
Carbon monoxide (ppm) air free | <50 ppm | <100 ppm | <100 ppm | <100 ppm | <100 ppm |
Smoke number | - | - | Zero or per manufacturer requirements | - | Zero or per manufacturer requirements |
(vii) Manual override remediation. In all cases where the major equipment has the capability of being operated automatically, the retro-commissioning agent must confirm that major equipment is not being manually operated. Where a manual override condition exists, it must be noted as a deficiency to be corrected, and the post-correction condition must be documented in the retro-commissioning report.
(viii) Leaks. Major equipment and its sub-equipment and components in all common areas, at least 20% of such equipment located in non-common owner areas and at least 10% of such equipment located in the accessible non-common tenant areas must be visually checked for water, steam, oil, or air leaks. These checks do not include duct tightness testing. All leaks identified must be repaired, and the post-correction condition must be documented in the retro-commissioning report.
(2) HVAC and service water distribution.
(i) Pipe insulation. All exposed (uninsulated and/or with deteriorated insulation) pipes three inches or greater in diameter, pipe fittings, and associated valves located in the common areas, at least 20% of such equipment located in non-common owner areas and at least 10% of such equipment located in the non-common tenant areas, containing steam or fluid outside the operating temperature range of 60 degrees F and 105 degrees F must be thermally insulated in accordance with the New York City Energy Conservation Code in effect at the time of installation, and the post-correction condition must be documented in the retro-commissioning report.
Exception: Existing insulation with asbestos containing materials is not required to be removed or replaced for the purposes of the retro-commissioning report. The condition must be noted on the retro-commissioning report and correction of such condition is not required.
(ii) High pressure steam traps. All high pressure steam traps operating above 15 PSI of pressure must be tested using ultrasonic leak detection to verify proper operations or replaced. All steam traps found to be functioning improperly must be replaced, repaired or rebuilt, and the condition must be noted on the retro-commissioning report.
(iii) One-pipe steam distribution.
(A) All one-pipe steam distribution systems serving the major equipment must have steam traveling from the steam header to the end of each main loop vent(s) at an average of less than five minutes. Retro-commissioning agents must conduct the steam and travel time test using temperature data loggers (temperature sensors/thermocouples) that provide an output of timestamps and surface temperature readings. At the beginning of each test, the temperature at the end of each main loop vent must be 140 degrees F or less. At the end of the test, the end of each main loop vent must be 195 degrees F or more.
(B) The average time at which the steam header reaches at least 195 degrees F and the end of each main loop vent(s) reaching at least 195 degrees F must be less than five minutes. A temperature (degrees F) vs. time (minutes) curve to be plotted in 10-second intervals and all data points logged used to plot this curve must be provided in a tabular format in the report. Data points must include time from the start of the boiler/burner until the steam reaches the header and then to the end of all main loops.
(C) The retro-commissioning agent must provide a schematic plan of the steam piping distribution in the common area. This schematic plan should indicate the location of the boiler(s), supply lines, header and each main line vent.
(iv) Two-pipe steam distribution.
(A) The main supply and main return piping surface temperatures for all two-pipe steam distribution systems serving major equipment must have a differential of 30 degrees F or more. The retro-commissioning agent must conduct the differential temperature test utilizing temperature data loggers (temperature sensors or thermocouples) that provide an output listing timestamps and surface temperature readings. The retro-commissioning agent must provide Pressure vs. Time and Temperature vs. Time plots, as recorded in intervals of 5 minutes. The temperature readings must be recorded using data loggers insulated and located on the main supply/header and main return piping, and on the inlet of a condensate/vacuum tank. This test cannot be performed on systems with master traps or double steam traps; it also cannot be performed on systems with heat exchangers and heat recovery that are used to cool the condensate down. The data loggers must provide readings during two consecutive cycles of the boiler where each cycle (boiler run time) takes at least 30 minutes at the design operating pressure.
(B) In the event that a two-pipe steam distribution system has a differential between the main supply and main return piping surface temperatures of not more than 30 degrees F for any duration of the test specified above, all steam traps in the common areas, at least 20% of steam traps in the non-common owner areas and at least 10% of steam traps in the non-common tenant area, served by the major equipment, must be tested to verify for proper function. If less than 80% of the sample set, for each sample size, is found to be functioning properly, then all respective areas served by the two pipe steam distribution system must be tested to verify the steam traps are functioning properly. All steam traps found to be functioning improperly must be replaced, repaired, rebuilt, or removed and the post-correction condition must be documented in the retro-commissioning report. Steam trap testing must utilize ultrasonic leak detection technology and/or a thermal imaging camera, as necessary to determine the trap condition. A comprehensive steam trap schedule including number, type, location, size (orifice) of traps and test results must be included in the retro-commissioning report. If the work required is so extensive that it would require more time than available to meet the compliance deadline, the condition may be corrected within two years of submitting the retro-commissioning report to the department and must be noted in the report. Documented verification must be submitted on a form provided by the department showing that the differential between the main supply and main return piping surface temperatures is more than 30 degrees F for any duration of the test specified in the differential temperature test described in subparagraph (A), above, after replacement, repair or rebuilding of deficient steam traps.
Exception: If all steam traps in the common areas, at least 20% of steam traps in the non-common owner areas and at least 10% of the steam traps in the non-common tenant areas have been replaced and/or tested and verified as functioning properly, within five years from the date the EER was submitted, and supporting documentation acceptable to the department is provided, then testing of steam traps is not required. Acceptable supporting documentation includes, but is not limited to, copies of paid invoices for the completed work, steam trap test reports and post-correction findings.
(v) Air-side distribution. All dampers, fans, actuators and controls associated with air-side distribution serving major equipment must be functionally tested for proper operation as per CFR. Where deficiency is identified, the condition must be corrected and the post-correction condition must be documented in the retro-commissioning report. Completed functional performance test forms must be included in the retro-commissioning report.
(vi) Water-side distribution. All valves on coils, automatic isolation valves at pumps, actuators and controls associated with water-side distribution serving major equipment must be functionally tested for proper operation as per CFR. Where deficiency is identified, the condition must be corrected and the post-correction condition must be documented in the retro-commissioning report. Completed functional performance test forms must be included in the retro-commissioning report.
(vii) Domestic hot water system temperature settings. All storage and delivery hot water temperatures of major equipment hot water heaters must be checked to verify that the water temperature settings are appropriate for the CFR. Where the temperature settings are found to require correction, the condition must be corrected and the post-correction condition must be documented in the retro-commissioning report.
(viii) Mechanical ventilation rates. A sample set constituting at least 10% of all mechanical outdoor air intakes, but in no event fewer than three outdoor air intakes, must be measured to verify that the flow rates are appropriate for the CFR. If more than 80% of the sample set is found to be appropriate, then no further sampling is required for the purposes of the retro-commissioning report. If less than 80% of the sample set is found to be appropriate, then all mechanical outdoor air intakes serving base building systems must be measured. Where flow rates require correction, the condition must be corrected and the post-correction condition must be documented in the retro-commissioning report.
(3) Lighting system.
(i) Light levels. Lighting levels (foot candles) in all common areas and lighting levels in at least 20% of the non-common owner areas must comply with the CFR. The sample set should include at least 10% of each area of different use. Where the light levels are found to require correction, the condition must be corrected and the post-correction condition must be documented in the retro-commissioning report.
(ii) Sensors and controls. All interior lighting systems in the common areas, at least 20% of the interior lighting systems in the non-common owner areas, and all exterior lighting systems must be checked to verify that the lighting sensors and associated automatic lighting controls are functioning properly. Where lighting sensors and controls are found to require correction, the condition must be corrected and the post-correction condition must be documented in the retro-commissioning report.
(4) Envelope.
(i) Sealants and weather-stripping. An inspection must be conducted in all common areas, at least 20% of non-common owner areas and at least 10% of non-common tenant areas to confirm that accessible sealants and weather stripping are installed around doors, windows, conduits, piping, joints, and other areas of potential major air infiltration and in good condition. Where any sealant or weather stripping is found to require correction, the condition must be corrected and the post-correction condition must be documented in the retro-commissioning report.
Exception: Sealants and weather stripping with asbestos containing materials shall not be required to be removed or replaced for the purposes of retro-commissioning. The condition must be noted on the retro-commissioning report and correction of such condition is not required.
(ii) Windows and doors. An inspection must be conducted in common areas to confirm that all windows and doors are in good condition. Where any door or window is not in good condition, the condition must be corrected and the post-correction condition must be documented in the retro-commissioning report.
(5) Training and documentation. On-site documentation in accordance with § (3) of the Administrative Code must be verified and noted on the retro-commissioning report. Training of critical operations and maintenance staff on the energy conservation techniques and preventative maintenance schedules, based on manufacturer's guidelines or recognized industry standards, for all major equipment and subsystems must be documented in the retro-commissioning report.
(g) Contents of the retro-commissioning report. In accordance with § 28-308.3.1 of the Administrative Code, the retro-commissioning agent must prepare and certify a retro-commissioning report that satisfies the requirements of § of the Administrative Code and this rule. In establishing the table of contents, the retro-commissioning agent shall refer to "K. Informative Appendix – Retro-Commissioning Report" of the NEBB Standard S120-2016, or any subsequent, edition – Technical Retro-Commissioning of Existing Buildings as guidelines until a final retro-commissioning report outline is prescribed by the department. Such report must include the model number, serial number, last calibration date and manufacturer recommended calibration frequency for each reference instrument used for functional performance testing. The report must also include photos of deficiencies, adjustments and repairs. All photos must include a timestamp visible on the front of the photo within the report. Calibration certificates and additional photos must be provided, if requested by the department. The retro-commissioning report must be uploaded through the web-based Energy Audit template tool when submitting to the department. Such report must be retained by the owner in accordance with subdivision (j) of this section.
(h) Contents of the EER. An EER in accordance with § 28-308.5 of the Administrative Code must be submitted to the department in accordance with § 28-308.4 of the Administrative Code on forms prescribed by the department. The EER must include the Deep Energy Retrofit Plan Analysis tool when submitted to the department. The results of this tool must also be presented to the owner prior submitting to the department.
(i) Multiple buildings.
(1) Multiple buildings on a lot. Two or more buildings on a lot that constitute a covered building in accordance with § 28-308.1 of the Administrative Code are subject to an energy audit and retro-commissioning of base building systems as follows:
(i) Multiple buildings on a covered lot that are equipped with base building systems that are wholly separate from each other are subject to the requirements for an EER for each individual building.
(ii) Multiple buildings on a covered lot that share base building systems are subject to the requirements for an EER for each grouping of buildings that share base building systems.
(2) Multiple buildings on multiple tax lots that share systems. Two or more buildings on more than one tax lot that share base building systems are subject to the requirements for an EER for each grouping of buildings that share base building systems.
(3) Buildings on different blocks with shared base building systems. Two or more buildings on separate blocks that constitute a covered building in accordance with § 28-308.1 of the Administrative Code are subject to the requirements for an EER for each grouping of buildings that share base building systems. The due date for the EER will be in the calendar year with a final digit that is the same as the last digit of the block number that is highest or with respect to a city building as defined in § 28-308.1 of the Administrative Code in accordance with the schedule of the Department of Citywide Administrative Services. The owner must notify the department by December 31 of the year in which the earliest covered building is due to comply, out of all covered buildings on different blocks with shared base building system(s), through the form prescribed by the department.
(4) Multiple covered buildings under cooperative corporations. A cooperative corporation that owns multiple covered buildings located on different tax block numbers that is required to file an EER for more than one covered building in different calendar years, may consolidate all such EERs into one report, disaggregated by covered building, due no later than the year in which the last EER would be due, which shall be accepted by the department in satisfaction of the requirements of this section for each covered building included in such consolidated report. The owner must notify the department by December 31 of the year in which the earliest covered building is due to comply through the form prescribed by the department.
(j) Record retention. Owners of covered buildings as defined in § 28-308.1 of the Administrative Code must maintain the Energy Audit Report required by § 28-308.2.1 of the Administrative Code and the Retro-commissioning Report required by § 28-308.3.1 of the Administrative Code as proof of energy audits and retro-commissioning as required in Article 308. Such records must be retained for eleven years from the required submission date and must be made available to the department upon request.
(k) Fees. Owners of covered buildings must pay a filing fee as provided in 1 RCNY § 101-03.
(l) Extension of time to file report.
(1) An owner may apply for an extension of time to file an EER if, despite good faith efforts, the owner is unable to complete the required energy audit and retro-commissioning prior to the due date of the report, for reasons other than financial hardship of the building. The application must be on a form provided by the department and must be filed by December 31 of the year in which the report is due.
(2) An owner may apply for annual extensions of time to file an EER based on the financial hardship of the building. The application must be on a form provided by the department and must be filed by October 1 of the year in which the report is due and by December 31 of every subsequent year for which an extension is requested.
(m) EER under comprehensive review. A violation will be issued if an EER submission that is chosen for comprehensive review fails to resolve all issued objections after three revisions, or two years from the date of issuance of the first Notice of Objections, whichever occurs first. Such EER submission shall be subject to a penalty for failure to submit an acceptable EER in accordance with subdivision (n) of this section.
(n) Violation and penalty. Failure to submit an acceptable EER is a Major (Class 2) violation which may result in a penalty of $3,000 in the first year and $5,000 for each additional year until the EER is submitted to the department. The department will not accept any outstanding EER submission if outstanding penalties are not paid in full.
(o) Challenge to violations.
(1) An owner may challenge a violation issued, pursuant to this section by providing:
(i) proof from the Department of Finance that the building in question is not a "covered building" as defined in § 28-308.1 of the Administrative Code; or
(ii) proof of early compliance with the filing requirements, pursuant to § 28-308.7 of the Administrative Code; or
(iii) proof that the building is a new building (NB) with a first temporary certificate of occupancy less than ten years old at the time the building was due to comply; or
(iv) proof that the application to defer filing an EER was approved; or
(v) proof that the owner was granted an extension of time to file the report.
(2) Such challenge must be made in writing on a form provided by the department within thirty days from the postmark date of the violation served by the department.
(Amended City Record 10/13/2017, eff. 11/12/2017; amended City Record 7/5/2019, eff. 8/4/2019 & 1/1/2020)
(a) Definitions.
(1) Acceptable report. A report of condition assessment filed by a qualified retaining wall inspector that meets the requirements of the Administrative Code and this rule as determined by the Department.
(2) Amended report. A report of condition assessment filed by a qualified retaining wall inspector who certifies that the unsafe conditions reported in the initial report have been repaired and that the retaining wall is no longer unsafe.
(3) Close-up inspection. A physical examination performed on a retaining wall for the purpose of performing a condition assessment.
(4) Condition assessment. An examination conducted to review a retaining wall and all parts of it to determine whether the retaining wall and its parts are either safe, unsafe, or safe with a repair and maintenance program and whether, in the judgment of a qualified retaining wall inspector, it requires remedial work.
(5) Filed (in reference to a report). A report is deemed filed with the Department when it has been received by the Department.
(6) Filing window. The one-year period during which an acceptable report for a particular retaining wall may be filed with the Department without penalty.
(7) Fronting. The length of a retaining wall running parallel or near parallel to a public right-of-way.
(8) Height (of retaining wall). The vertical distance, measured from the ground surface above the toe of the wall to the top of the wall, wall stem, or wall step for tiered walls, including any parapets or fencing intended for retaining material.
(9) Maintenance. The cyclical or recurring upkeep of a retaining wall including, but not limited to, vegetation removal, weep holes, cleaning wall drains, removing debris from culverts, replacing dislodged chinking, painting soldier piles, cleaning and sealing concrete and wood facings.
(10) Public right-of-way. A public highway, railroad, street, avenue, alley, public driveway, sidewalk, roadway or any other public place or public way.
(11) Qualified Retaining Wall Inspector ("QRWI"). A qualified retaining wall inspector as defined in 1 RCNY § 101-07.
(12) Repair. The non-routine fixing and restoring of wall elements to their intended function, including, but not limited to, resetting dislodged stonework, repointing stone masonry, re-grading or reseeding adjacent slopes, patching concrete spalls, mending damaged wire baskets, and repair or replacement of the drainage system.
(13) Report of condition assessment ("Report"). A written report filed with the Department by a qualified retaining wall inspector clearly documenting the conditions noted during the assessment; areas that need repair, maintenance, or engineering monitoring; a final wall rating; and any other requirements mandated by this rule.
(14) Report filing cycle. The five-year time interval established by the Commissioner for the filing of each successive report for each successive condition assessment of every retaining wall subject to the requirements of Article 305 of Title 28 of the Administrative Code.
(15) Retaining Wall. A wall that resists lateral or other forces caused by soil, rock, water or other materials, thereby preventing lateral displacement and the movement of the mass by sliding to a lower elevation. Such term does not include basement walls and vault walls that are part of a building, and underground structures, including but not limited to utility vault structures, tunnels, transit stations and swimming pools.
(16) Safe. A final wall rating in which a retaining wall is determined to be fully functional with no action required at the time of assessment.
(17) Safe with minor repairs or maintenance. A final wall rating in which a retaining wall is found at the time of assessment to be safe, but requires minor repair or routine maintenance within the next five years to correct minor deficiencies in order to minimize or delay further wall deterioration and remain safe.
(18) Safe with repairs and/or engineering monitoring. A final wall rating in which a retaining wall is found at the time of assessment to be safe but requires repair within the next five years to correct minor to severe deficiencies in order to minimize or delay further wall deterioration and remain safe. In addition to repair, the qualified retaining wall inspector deems it necessary to regularly monitor and/or investigate further the retaining wall to determine the nature or cause of observed distresses and what action may be required.
(19) Subsequent report. A technical examination report that is filed by a qualified retaining wall inspector after an acceptable report in order to change the status of a retaining wall for that reporting cycle to reflect changed conditions, except where an amended report should be filed.
(20) Unsafe. A condition of a retaining wall and any appurtenances found at the time of assessment that is a hazard to persons or property and requires immediate abatement and/or public protection.
(b) Responsibilities of qualified retaining wall inspectors.
(1) A QRWI must conduct condition assessments and file reports in accordance with this section and § 28-305.4 of the Administrative Code.
(2) A QRWI must maintain records of inspections and tests for at least six years and must make such records available to the Department upon request.
(3) A QRWI must maintain insurance coverage as set forth in paragraph (7) of subdivision (b) of 1 RCNY § 101-07. Copies of such insurance policies must be made available to the Department upon request.
(c) Condition assessments.
(1) In accordance with Article 305 of Title 28 of the Administrative Code, a condition assessment of all parts of retaining walls with any portion of the wall having a height of ten feet or more at any location and fronting a public right-of-way must be conducted by a qualified retaining wall inspector once every five (5) years. The results of the condition assessment must be submitted to the Department in the form of a report of condition assessment.
(2) Before performing a condition assessment of a retaining wall, the qualified retaining wall inspector retained by or on behalf of the owner must review the most recent report and any available previous reports. The Department will maintain a file of such reports submitted in conformance with Article 305 of Title 28 of the Administrative Code, and provide copies upon payment of fees set forth in the rules of the Department.
(3) The qualified retaining wall inspector must design and implement an assessment program that is specific to the retaining wall to be assessed, including, but not limited to, observations, data collection and method of evaluation. The assessment program and methods to be employed must be based on the consideration of the wall construction type, wall function, year built, location and failure consequence. Consideration must be given to the retaining wall's history of maintenance and repairs as described in previous reports and submittals to the Department, if applicable. The assessment program must be provided to the Department for approval no fewer than 90 days prior to implementation. The Department reserves the right to object to the proposed program.
(4) The methods used to assess the retaining wall in question must permit a complete condition assessment of the wall, including, but not limited to, selective probes, cores and measurements of wall dimensions, including, but not limited to, thickness.
(5) The qualified retaining wall inspector must utilize a professional standard of care to assess the condition of the retaining wall and surrounding elements that impact the wall's stability. The following elements must be assessed as applicable:
(i) Primary wall elements, including, but not limited to, piles and shafts, lagging, anchor heads, wire or geo-synthetic facing elements, bins or cribs, concrete, shotcrete, mortar, manufactured block or brick, placed stone and wall foundation material.
(ii) Secondary wall elements and appurtenances, including, but not limited to, wall drains and water management systems, architectural facing, traffic barrier, fencing, roads, sidewalks, shoulders, upslope, downslope, lateral slope, vegetation, culverts, curbs, berms and ditches.
(6) The qualified retaining wall inspector must amend the scope of the condition assessment and add additional testing and investigation as required to characterize wall distresses, overall performance or if distresses warrant additional investigations.
(7) During the course of the condition assessment, photographs must be taken and sketches made to document the exact location of all distresses that require repair, maintenance, or monitoring, or that cause a retaining wall to have a final wall rating of unsafe.
(8) Upon the discovery of an unsafe condition, the qualified retaining wall inspector must notify the Department by calling 311 and then calling the Department directly with the 311 complaint number within 24 hours of discovering the unsafe condition.
(9) The condition assessment must include close-up inspections of the retaining wall. It is not acceptable to base a condition assessment on a drive-by inspection or a prior report without a close-up inspection of the retaining wall.
(d) Report requirements.
(1) The qualified retaining wall inspector must file with the Department and submit a copy to the owner of the retaining wall a written report of condition assessment. The report must clearly document all conditions noted during the assessment and state that the assessment was performed and completed in accordance with the Administrative Code and this rule. An acceptable report may be prepared and filed for multiple owners where a retaining wall which is required to comply with Article 305 of Title 28 of the Administrative Code and this rule spans numerous blocks and lots.
(2) Technical information in the report must adhere to and follow the sequence and the labeling of the report requirements as listed in paragraph (3) of this subdivision, and must be provided on such forms and in such format as the Department requires. Additional information may be provided. All items in subparagraphs (i) - (xiv) of paragraph (3) must be listed in the report. If a requirement is not applicable, this must be indicated on the report under the relevant number.
(3) The report must include an executive overview that consists of a summary of findings and recommendations, a concise statement of the scope of the assessment and findings, the conclusions and recommendations and a final wall rating that categorizes the retaining wall as "safe," "safe with minor repairs or maintenance", "safe with repairs and/or engineering monitoring" or "unsafe." The report must also include, but not be limited to:
(i) The address, any a.k.a. addresses, the Block and Lot number, the Building Identification Number ("BIN") for the block and lot on which the retaining wall is located, the location from the nearest cross street, and a copy of the Property Profile Overview from the Buildings Information System ("BIS") found on the Department's website;
(ii) The name, mailing address and telephone number of the owner of the retaining wall, or, if the owner is not an individual, the name, mailing address, telephone number, and position/title of a principal of the owner;
(iii) A detailed description of any maintenance, repairs, or the results of engineering monitoring performed to the retaining wall since the previous report;
(iv) A detailed description of the scope and procedures used in making the condition assessment that should include:
(A) The dates of start and completion of the condition assessment;
(B) The extent and location of all physical examinations performed;
(C) A location or plot plan of a discernible scale and with a north arrow that shows the entire earth-retaining length of the wall, all structures located on the block or lot and within the zone of influence of the wall, including the number of stories and the type of occupancy, and any and all public rights-of-way adjacent to the retaining wall; and
(D) locations and dates of close-up inspections and tests performed;
(v) At least one cross-section of the retaining wall with details adequate to indicate the following:
(A) Retaining wall construction type;
(B) Architectural finishes or surface treatment;
(C) Maximum exposed wall height;
(D) Height of earth on each side of the retaining wall;
(E) Average vertical distance from the public right-of-way to cut wall toe or ground-line at the top of the fill wall;
(F) Horizontal distance to wall face from the edge of the public right-of-way;
(G) Wall face angle (batter) measured from the vertical;
(H) Maximum earth retaining length of the wall;
(I) Surcharges applied to the wall; and
(J) Additional cross-sections when the wall geometry and/or plumbness changes;
(vi) A description of each significant distress observed with supporting photographic documentation. Distresses must be mapped using gridlines enabling all distresses to be positively located;
(vii) An analysis of the cause of each significant distress reported;
(viii) A final wall rating that categorizes the retaining wall as "safe," "safe with minor repairs or maintenance," "safe with repairs and/or engineering monitoring" or "unsafe." A detailed description of the overall rating and factors attributing to the rating assigned must accompany the final wall rating.
(ix) Where a retaining wall is categorized with a final wall rating of safe with repairs and engineering monitoring:
(A) A plan detailing the proposed monitoring program;
(B) The name of the engineer performing the monitoring; and
(C) A stability analysis of the retaining wall that reports a "factor of safety" which shows that the wall is stable under current and expected loading conditions.
(x) A comparison of currently observed conditions with conditions observed during the previous report filing cycle examinations, including the status of the repairs or maintenance performed with respect to the prior conditions. The following must be included and discussed:
(A) Work permit numbers relating to repairs performed;
(B) Job numbers, status and sign-off dates for any retaining wall related jobs, where applicable; and
(C) Violation numbers of any open Environmental Control Board ("ECB") violations associated with the retaining wall and the status of the repairs of the conditions cited in the ECB violations.
(xi) Detailed recommendations for repairs or maintenance for retaining walls with final wall ratings of "safe with minor repairs or maintenance" or "safe with repairs and/or engineering monitoring," including:
(A) The recommended time frame for such repairs or maintenance to be performed, which must indicate the date by which the work will be performed (MM/YYYY) to prevent the conditions from becoming unsafe and not the date on which work is planned or scheduled;
(B) Time frames of less than one (1) year, "ASAP," or "immediately," will not be accepted.
(xii) A list and description of the work permits required to accomplish the necessary work. If no work permits will be required, the reason must be indicated;
(xiii) Color photographs of the retaining wall and at least one view of the entire street front elevation for all reports regardless of the retaining wall's final wall rating. Photographs must be at least 3" x 5" (76mm x 127mm) in size, unless otherwise requested by the Department. The photographs must be dated and both the original photographs and all required copies shall be in color. The page/sheet size for attachments must not exceed 11" x 17" (280mm x 430mm).
(xiv) The seal and signature of the qualified retaining wall inspector under whose direct supervision the condition assessment was performed.
(4) All reports and supporting documents must be submitted to the Department in an electronic format.
(e) Report filing requirements.
(1) The requirements of this rule apply to owners of retaining walls with a height of ten feet or more and fronting a public right-of-way.
(2) Owners of retaining walls who are required to file a report must do so once during each five-year report filing cycle established by the Department, depending on the borough, as described in subsection (5) below. The next complete report filing cycle runs from January 1, 2014 to December 31, 2018.
(3) An acceptable report must be filed within the applicable one-year filing window to avoid a late filing penalty.
(4) The report must be submitted to the Department along with a filing fee as specified in the rules of the Department.
(5) Beginning January 1, 2014 an acceptable report for each retaining wall to which this rule applies is due in accordance with the following filing windows:
(i) For retaining walls located within the Borough of the Bronx, an acceptable report must be filed within the filing window starting January 1, 2014 and ending December 31, 2014.
(ii) For retaining walls located within the Borough of the Manhattan, an acceptable report must be filed within the filing window starting January 1, 2015 and ending December 31, 2015.
(iii) For retaining walls located within the Borough of Staten Island, an acceptable report must be filed within the filing window starting January 1, 2016 and ending December 31, 2016.
(iv) For retaining walls located within the Borough of Queens, an acceptable report must be filed within the filing window starting January 1, 2017 and ending December 31, 2017.
(v) For retaining walls located within the Borough of Brooklyn, an acceptable report must be filed within the filing window starting January 1, 2018 and ending December 31, 2018.
(6) A report must be filed within sixty (60) days of the date on which the qualified retaining wall inspector completed the condition assessment, but not more than one (1) year after completion of the close-up inspection. If the report is not acceptable and is rejected by the Department, a revised report must be filed within forty-five (45) days of the date of the Department's rejection. Failure to submit a revised report addressing the Department's objections within one (1) year of the initial filing requires a new conditional assessment, including a new close-up assessment.
(7) A subsequent report may be filed within a five-year report filing cycle to change a retaining wall's status for that cycle.
(f) Unsafe conditions.
(1) If any retaining wall is found in an unsafe condition, the qualified retaining wall inspector or the person in charge of the retaining wall must notify the Department by calling 311 and then calling the Department directly with the 311 complaint number within 24 hours of discovering the unsafe condition.
(2) Upon discovery of an unsafe condition, the owner of the retaining wall, his or her agent, or the person in charge of the retaining wall must immediately commence such repairs or reinforcements and any other appropriate measures required to secure the safety of the public and to make the retaining wall safe.
(3) Within two weeks after repairs to correct the unsafe condition have been completed, the qualified retaining wall inspector must inspect the premises. The qualified retaining wall inspector must obtain permit sign-offs as appropriate and must promptly file with the Department a detailed amended report stating the revised report status of the retaining wall, along with a filing fee as specified in the rules of the Department. Protective measures must remain in place until an amended report is accepted; however, the qualified retaining wall inspector may request permission for the removal of the protective measures upon submission of a signed and sealed statement certifying that an assessment was conducted, the conditions were corrected, and the protective measures are no longer required. Permission may be granted at the Commissioner's sole discretion.
(4) The Commissioner may grant an extension of time of up to ninety (90) days to complete the repairs required to remove an unsafe condition upon receipt and review of an initial extension application submitted by the qualified retaining wall inspector on behalf of the owner, together with:
(i) A copy of the original report for that report filing cycle and all required documentation submitted with such report;
(ii) Notice that the retaining wall and surrounding area have been secured for public safety by means of a shed, bracing, or other appropriate measures as may be required;
(iii) A copy of the contract indicating scope of work to remedy unsafe conditions;
(iv) The qualified retaining wall inspector's estimate of length of time required for repairs; (v) A statement of all applicable permit requirements;
(vi) A notarized affidavit by the owner of the retaining wall that work will be completed within the time of the qualified retaining wall inspector's stated estimate; and
(vii) a fee as specified in the rules of the Department. Financial considerations will not be accepted as a reason for granting an extension.
(5) A further extension will be considered only upon receipt and review of a further extension application, together with notice of:
(i) An unforeseen delay (e.g., weather, labor strike) affecting the substantially completed work; or
(ii) Unforeseen circumstances; or
(iii) The nature of the hazard that requires more than ninety (90) days to remedy (e.g., new retaining wall to be built). Financial considerations will not be accepted as a reason for granting an extension.
(6) Notwithstanding any extensions granted to commence the repair of an unsafe condition, all work to repair an unsafe condition must be completed within 365 days of filing a report of an unsafe condition with the Department.
(g) Conditions classified as safe with repair and/or engineering monitoring.
(1) The owner of the retaining wall is responsible for ensuring that the conditions described in the report of condition assessment as safe with repair and/or engineering monitoring are repaired, the wall is restored to a safe condition, and all actions recommended by the qualified retaining wall inspector are completed within the time frame recommended by the qualified retaining wall inspector, and are not left to deteriorate into unsafe conditions before the next condition assessment. It is the owner's responsibility to notify the Department of any deviation from the timeframe to make corrections as specified in qualified retaining wall inspector's report. Such notification must be accompanied by supporting documents from the qualified retaining wall inspector justifying the request for a new time frame. The Department may approve or disapprove such request.
(2) A report may not be filed describing the same condition and pertaining to the same location on the retaining wall as safe with repair and/or engineering monitoring for two consecutive report filing cycles.
(3) The qualified retaining wall inspector must certify the correction of each condition reported as requiring repair in the previous report filing cycle, or report conditions that were reported as safe with repair and/or engineering monitoring in the previous report filing cycle as unsafe if not corrected at the time of the current assessment.
(h) Civil Penalties.
(1) Failure to file. An owner who fails to file the required acceptable condition assessment report will be liable for a civil penalty of one thousand dollars ($1,000) per year immediately after the end of the applicable filing window.
(2) Late filing. In addition to the penalty for failure to file, an owner who submits a late filing will be liable for a civil penalty of two hundred fifty dollars ($250.00) per month, commencing on the day following the filing deadline of the assigned filing window period and ending on the filing date of an acceptable initial report.
(3) In addition to the penalties provided in this section, an owner who fails to correct an unsafe condition will be liable for a civil penalty of one thousand dollars ($1,000) per month, pro-rated daily, until the unsafe condition is corrected, unless the commissioner grants an extension of time to complete repairs pursuant to this section. This penalty will be imposed until the Department receives an acceptable amended report indicating the unsafe conditions were corrected, or until an extension of time is granted.
(i) Challenge of civil penalty.
(1) An owner may challenge the imposition of any civil penalty authorized to be imposed pursuant to this subdivision by providing proof of compliance. Examples of such proof must include, but are not limited to, a copy of an acceptable initial report, a copy of the acceptable amended report, copies of approved extension of time requests while work was/is in progress, or written proof from a qualified retaining wall inspector that the unsafe conditions observed at the retaining wall were corrected and the violation was dismissed.
(2) Challenges must be made in writing within thirty (30) days from the date of service of the violation by the Department and must be sent to the office/unit of the Department that issued the violation. The decision to dismiss or uphold the penalty is at the sole discretion of the Department.
(j) Penalty waivers; eligibility and evidentiary requirements. Owners may request a waiver of penalties assessed for violation of Article 305 of Title 28 of the Administrative Code, or rules enforced by the Department. Requests must be made in writing and must meet eligibility and evidentiary requirements as follows:
(1) Owner status.
(i) A new owner requesting a waiver due to change in ownership must submit proof of a recorded deed showing evidence of transfer of ownership to the current owner after penalties were incurred, as well as any other documentation requested by the Department. The new owner may only request a waiver in one of the following circumstances: (A) The new owner has obtained full tax exemption status from the New York City Department of Finance; or
(B) The new owner took title of the property as part of an economic development program sponsored by a government agency.
(ii) A new owner of a government-owned property requesting a waiver due to change in ownership must submit official documentation from the government entity affirming that the premises was entirely owned by the government entity during the period for which a waiver is requested.
(iii) An owner may be granted a waiver of penalties upon submission of a copy of a bankruptcy petition, together with proof that either the Department or the New York City Law Department was served with a "Notice of Bar Date."
(2) Retaining wall status. An owner requesting a waiver because the wall was removed must submit city or Departmental records showing evidence of the removal of the retaining wall prior to the filing deadline.
(k) Alternate report filing requirements for owners of more than 200 retaining walls in multiple boroughs. Notwithstanding any other provisions of this section, the inspection and reporting requirements set forth above for retaining walls shall not apply to owners of 200 or more retaining walls in multiple boroughs with a height of ten feet or more and fronting on a public right-of-way who on the effective date of this rule (i) employ full-time professional engineers and (ii) have an established inspection procedure for such retaining walls acceptable to the Department. Such inspection procedure must comply with Article 305 of Title 28 of the Administrative Code. Such owners must file inspection reports for all such retaining walls in a form acceptable to the Department.
(Amended City Record 4/23/2021, eff. 5/23/2021)
(a) Inspection requirements.
(1) In accordance with Article 318 of Title 28 of the Administrative Code, building gas piping systems, except for gas piping systems in buildings classified in occupancy group R-3 in Section 310.1.3 of the Building Code, must be periodically inspected as set forth in this section.
(2) This requirement for periodic inspections does not apply to buildings that contain no gas piping system, provided that the owner of such a building submits to the Department, in a form and manner determined by the commissioner, along with a filing fee as specified in the rules of the Department, a certification from a registered design professional or a licensed master plumber or an individual under the direct and continuing supervision of a licensed master plumber, stating that the building contains no gas piping system. The due date for submitting such a certification pursuant to this paragraph shall be as follows:
(i) June 30, 2021, as extended by local law 12 for the year 2021, no later than December 31 in calendar year 2024, and every fourth calendar year thereafter, for buildings in community districts 1, 3, and 10 in all boroughs.
(ii) June 30, 2022 as extended by local law 137 for the year 2021, and no later than December 31 in calendar year 2025, and every fourth calendar year thereafter, for buildings in community districts 2, 5, 7, 13, and 18 in all boroughs.
(iii) December 31, 2022, and no later than December 31 within every fourth calendar year thereafter, for buildings in community districts 4, 6, 8, 9, and 16 in all boroughs.
(iv) December 31, 2023, and no later than December 31 within every fourth calendar year thereafter, for buildings in community districts 11, 12, 14, 15, and 17 in all boroughs.
(3) A building that contains gas piping but is not currently supplied with gas, that does not contain any appliance connected to any gas piping, and that complies with § 28-318.3.5 of the Administrative Code is not required to undergo a gas piping inspection otherwise required under this section. The due date for submitting the statements required by Section 28-318.3.5 is the same as the due dates set forth in paragraph 2 of this subdivision. Such statements need only be submitted once, provided that there continues to be no gas service. Where the owner seeks to resume gas service, the owner must comply with the provisions of Section 28-318.3.6.
(4) Inspections of building gas piping systems required under this section must be conducted at least once every four years and in accordance with the following periodic inspection schedule:
(i) Between January 1, 2020 and June 30, 2021 (inclusive), as extended by local law 12 for the year 2021, no later than December 31 in calendar year 2024, and every fourth calendar year thereafter, building gas piping systems shall be inspected in community districts 1, 3, and 10 in all boroughs.
(ii) Between January 1, 2021 and June 30, 2022, and in calendar year 2025, and every fourth calendar year thereafter, building gas piping systems shall be inspected in community districts 2, 5, 7, 13, and 18 in all boroughs.
(iii) In calendar year 2022, and within every fourth calendar year thereafter, building gas piping systems shall be inspected in community districts 4, 6, 8, 9, and 16 in all boroughs.
(iv) In calendar year 2023, and within every fourth calendar year thereafter, building gas piping systems shall be inspected in community districts 11, 12, 14, 15, and 17 and in any community district not specified in this paragraph (3) in all boroughs.
(5) The initial inspection for a new building with a gas piping system shall be performed during the tenth year after the Department has issued a certificate of occupancy for such building. Following such initial inspection, a new building's subsequent periodic inspection must be conducted in accordance with the periodic inspection schedule set forth in paragraph (3) of this subdivision. For the purposes of this section, the term "new building" means a building, or any portion thereof, for which the Department has issued a temporary, interim or final certificate of occupancy on or after December 6, 2016.
(b) Inspection Entity Qualifications.
(1) Inspections of gas piping systems required pursuant to Article 318 of Title 28 of the Administrative Code and this section must be conducted by a qualified gas piping system inspector on behalf of the building owner.
(2) Persons qualified to perform such gas piping system inspections shall be either:
(i) Licensed master plumbers; or
(ii) Individuals, working under the direct and continuing supervision of a licensed master plumber, with at least five (5) years of full-time experience working under the direct and continuing supervision of a licensed master plumber and who has successfully completed a training program acceptable to the Department. Such training program must be no less than seven (7) classroom hours and must include the following course content:
(A) Regulations on piping safety;
(B) Properties of natural gas;
(C) Combustible gas indicators and leak detection;
(D) Atmospheric corrosion inspection;
(E) Interior piping leak survey;
(F) Hands-on gas indicator instruction;
(G) Jurisdictional / non-jurisdictional piping connections;
(H) Purging gas piping into/out of service;
(I) Recognizing illegal connections and substandard conditions;
(J) Reporting and documenting inspections; and
(K) Atmospheric corrosion and leak survey inspection procedure.
(c) Inspection scope. Inspections of a building's gas piping system pursuant to this section must be completed in accordance with requirements in § 28-318.3.2 of the Administrative Code and any other requirements prescribed by the Department.
(d) Report and certification requirements.
(1) The inspection entity that performs an inspection of a building's gas piping system pursuant to this section must submit, in a form and manner determined by the commissioner, an inspection report and a certification of inspection to the building owner no later than thirty (30) days following the date of such inspection.
(i) The certification of inspection must be completed by the licensed master plumber who performed or exercised direct and continuing supervision over such inspection, must state that an inspection pursuant to Article 318 of Title 28 of the Administrative Code has been completed for the building, must indicate the date such inspection was performed, and must indicate whether any conditions requiring correction were identified in the inspection report.
(ii) The inspection report must be certified by the licensed master plumber who performed or exercised direct and continuing supervision over the inspection and, if applicable, by any individual who performed the inspection under such supervision. Such inspection report shall include, for each gas piping system inspected, the following information:
(A) A list of conditions requiring correction, including instances where one or more parts of such system is worn to an extent that the safe and reliable operation of the system may be affected;
(B) Gas leaks;
(C) Observed non-code compliant installations or illegal connections;
(D) Observed conditions described in § 28-318.3.4 of the Administrative Code; and,
(E) Any additional information required by the Department.
(2) No later than sixty (60) days following a building's inspection date, the building owner must submit to the Department, in a form and manner determined by the commissioner, a certification of inspection as described in paragraph (1) of this subdivision, along with a filing fee as specified in the rules of the Department. Such certification must indicate the date the inspection was performed and whether there are conditions requiring correction. Certifications of inspections submitted more than sixty (60) days after a building's inspection date will not satisfy the requirement of this paragraph. Failure to file a certification of inspection within sixty (60) days of the building's inspection date will require a new inspection.
(3) No later than one hundred twenty (120) days following the building's inspection date, the building owner must submit to the Department, in a form and manner determined by the commissioner, along with a filing fee as specified in the rules of the Department, a certification from a licensed master plumber stating that all conditions identified in the inspection report described in paragraph (1) of this subdivision have been corrected. Such certification may indicate that correction of one (1) or more conditions will take additional time. If such certification of inspection pursuant to paragraph (2) of this subdivision indicates that no conditions requiring correction were identified in the inspection report, then no certification pursuant to this paragraph shall be required. Notwithstanding the foregoing provisions of this paragraph, for building gas piping systems in community districts 1, 3 and 10 in each borough that are inspected between September 1, 2020 and December 31, 2020 (inclusive), such building owners may submit such certification and fee to the department on or before June 30, 2021. Notwithstanding the foregoing provisions of this paragraph, for building gas piping systems in community districts 2, 5, 7,13, and 18 in each borough that are inspected between January 1, 2021 and December 31, 2021 (inclusive), and that contain one or more conditions requiring correction, such building owners may submit such certification and fee to the Department on or before June 30, 2022.
(4) If additional time to correct the condition(s) was indicated in the certification submitted pursuant to paragraph (3) of this subdivision, the building owner must submit to the Department, no later than one hundred eighty (180) days following the building's inspection date, in a form and manner determined by the commissioner, a certification from a licensed master plumber that all conditions identified in the building's inspection report have been corrected, along with a filing fee as specified in the rules of the Department. Notwithstanding the foregoing provisions of this paragraph, for building gas piping systems in community districts 1, 3 and 10 in each borough that are inspected between September 1, 2020 and December 31, 2020 (inclusive), such building owners may submit such certification and fee to the Department on or before June 30, 2021. Notwithstanding the foregoing provisions of this paragraph, for building gas piping systems in community districts 2, 5, 7, 13, and 18 in each borough that are inspected between January 1, 2021 and December 31, 2021 (inclusive), and that contain one or more conditions requiring correction, such building owners may submit such certification and fee to the Department on or before June 30, 2022.
(5) The building owner and inspection entity must keep on file, for ten (10) years following the date of inspection, all reports and certifications required by § 28-318.3.3 of the Administrative Code and make them available to the Department upon request.
(6) Owners who are unable to obtain an inspection of a building's gas piping systems pursuant to this section by the date set forth in paragraph (4) of subdivision (a) of this section may receive a 180-day extension of the due date for such inspection and the filing of any certification required to be filed after such inspection, upon notification to the Department in a form and manner determined by the commissioner.
(e) Unsafe or hazardous conditions. If an inspection reveals any conditions set forth in § 28-318.3.4 of the Administrative Code, the inspection entity performing such inspection must immediately notify the building owner, the utility providing gas service to such building, and the Department. The building owner must take immediate action to correct such conditions in compliance with the New York City Construction Codes.
(f) Civil penalties for failure to file certification. A building owner who fails to submit a certification required to be submitted pursuant to this section on or before the filing due date specified in paragraph (4) of subdivision (a) of this section will be liable for a civil penalty of:
(1) One thousand five hundred dollars ($1,500.00) for a 3-family building; or
(2) five thousand dollars ($5,000.00) for all other buildings.
(g) Challenge of a civil penalty. A building owner may challenge the imposition of any civil penalty authorized to be imposed pursuant to this section by submitting satisfactory proof of a timely and acceptable filing to the Department. Challenges must be made in writing, in a form and manner determined by the Department, within thirty (30) days from the date of violation.
(Added City Record 9/23/2019, eff. 10/23/2019; amended City Record 7/12/2021, eff. 8/11/2021; amended City Record 9/22/2022, eff. 10/22/2022; amended City Record 11/18/2024, eff. 12/18/2024)
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