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

   (a)   Scope. This section sets forth procedures for the certification of correction and adjudication of violations issued by the Department and returnable to the New York City Office of Administrative Trials and Hearings (OATH).

   (b)   Definitions. The following terms shall, for the purposes of this section and as used elsewhere in the rules, have the meanings shown herein:

      FDNY summons. A form, formerly known as a notice of violation, that is used for purposes of enforcing the Fire Code, the rules, or other law, rule or regulation enforced by the Department, that serves to notify the respondent named therein of a violation of such laws, rules or regulations, orders correction of same, commences a proceeding at OATH, and sets forth information relating to such violation and proceeding.

      OATH. The New York City Office of Administrative Trials and Hearings, acting pursuant to Section 1049-a of the Charter.

   (c)   Certification of Correction of Violations. 

      (1)   All FDNY summonses, except those that charge failure to certify correction, false certification or violation of a Commissioner's order (other than the order to certify correction), shall include an order requiring the respondent to correct the conditions constituting the violations, and to file a certification with the Department that the conditions have been corrected.

      (2)   The required certification shall be made on the certificate of correction form accompanying the FDNY summons issued by the Department representative. The certificate of correction shall be completed and signed by the respondent in accordance with the instructions set forth thereon, and shall be notarized by a notary public or commissioner of deeds. The respondent shall submit with the certificate of correction all documentation necessary and appropriate to demonstrate correction of the violations.

      (3)   The signed and notarized certificate of correction shall be directed to:

         Administrative Enforcement Unit
         Bureau of Legal Affairs
         New York City Fire Department
         9 MetroTech Center
         Brooklyn, NY 11201-3857

      (4)   The certificate of correction must be received by the Administrative Enforcement Unit of the Bureau of Legal Affairs no later than the close of business on the 35th calendar day from the date of offense set forth on the FDNY summons. Both the date of offense and the date for certification of correction are indicated on the face of the violation.

      (5)   The filing of a certificate of correction in accordance with this section constitutes an admission to the offense charged and results in a finding of liability, but respondents cited for one (1) or more first offenses who, for each such condition, timely correct and file a certificate of correction that is accepted by the Department, are not required to appear for a hearing at OATH and avoid the imposition of a penalty on such violation.

      (6)   When more than one (1) violation of a law, rule or regulation is cited on the same FDNY summons, the respondent may certify correction as to one (1) or more of such violations. However, respondent must appear for a hearing at OATH, as set forth on the FDNY summons, if certification of correction is not filed with and accepted by the Department for all of the violations cited on the FDNY summons.

      (7)   The Department will review all certificates of correction and determine whether to accept them as satisfactory certification of correction. The Department will notify each respondent as to whether the certificate has been accepted, and, if it has not been accepted, advise the respondent of the deficiencies in the certification and the actions and/or proof required to correct the violations.

   (d)   Acceptance of Compliance Stipulations in Adjudications. 

      (1)   If the respondent admits to the violation but requires additional time to comply beyond the date indicated on the FDNY summons, the respondent may request a stipulation for compliance purposes.

      (2)   The Department may agree to offer a stipulation to extend the time for correction, upon such terms and conditions as the Department determines to be reasonable. Such offer, and the finalization of any such stipulation, shall be consistent with 48 RCNY Chapter 3.

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

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

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

   (b)   Violation Categories. The following violation categories are established for the aforementioned enforcement purposes:

Violation Category 1: Portable Fire Extinguishers and Fire Hoses 

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

Violation Category 2: Combustible Waste Containers 

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

Violation Category 3: Permits 

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

Violation Category 4: Unlawful Quantity or Location of Regulated Material 

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

Violation Category 5: Recordkeeping 

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

Violation Category 6: Signs, Postings, Notices and Instructions 

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

Violation Category 7: Labels and Markings 

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

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

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

Violation Category 9: Rooftop Access and Means of Egress 

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

Violation Category 10: Overcrowding 

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

Violation Category 11: General Maintenance 

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

Violation Category 12: Fire Protection Systems 

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

Violation Category 13: Flame-Resistant Materials 

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

Violation Category 14: Fire-Rated Doors and Windows 

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

Violation Category 15: Fire-Rated Construction 

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

Violation Category 16: Ventilation 

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

Violation Category 17: Certificates of Fitness and Certificates of Qualification 

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

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

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

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

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

Violation Category 20: Inspection and Testing 

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

Violation Category 21: Portable Containers 

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

Violation Category 22: Stationary Tanks 

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

Violation Category 23: Storage Facilities 

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

Violation Category 24: Storage of Hazardous Materials and Commodities 

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

Violation Category 25: Electrical Hazards 

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

Violation Category 26: Heating and Refrigerating Equipment and Systems 

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

Violation Category 27: Electrical Lighting Hazards 

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

Violation Category 28: Open Fires, Open Flames and Sparks 

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

Violation Category 29: Designated Handling and Use Rooms or Areas 

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

Violation Category 30: Emergency Planning and Preparedness 

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

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

§ 109-03 Penalty Schedule for FDNY Summonses.

   (a)   Scope. This section establishes a penalty schedule for violations of the laws, rules and regulations enforced by the Department, cited by Department personnel in FDNY Summonses returnable to OATH for adjudication. This penalty schedule is not applicable to violations returnable to, or adjudicated by, any other forum.

   (b)   Penalty Schedule. The penalty schedule, annexed hereto as Appendix A, sets forth six (6) types of penalties, three for first violations and three for second and subsequent violations.

      (1)   First violation penalty. This penalty will be applied to the first violation committed by the respondent, provided that the respondent appears at OATH in response to the violation. Violations for which the respondent timely certifies correction (in the manner and by the date specified on the FDNY Summons, in accordance with Administrative Code § 15-230 and 3 RCNY § 109-01) and the Department accepts proof of correction, do not require an appearance by either party and are not subject to civil penalty.

      (2)   First violation mitigated penalty. This reduced penalty will be applied to a first violation, provided that the respondent appears at OATH in response to the violation and establishes that the violating condition has been corrected on or before the hearing date set forth on the FDNY Summons.

      (3)   First violation maximum penalty. This is the maximum penalty provided by law for a first violation. It will be imposed when the respondent defaults on the violation or otherwise fails to appear or respond to a violation.

      (4)   Second/subsequent violation penalty. This penalty will be applied to the second and each subsequent violation committed by the same respondent, for the same provision of law, rule, regulation or Violation Category within 18 months of the first violation, as set forth in Administrative Code § 15-229(a), provided that the respondent appears at OATH in response to the violation. All second and subsequent violations require an appearance and are subject to penalty. Special provisions apply to FDNY Summons for unnecessary and unwarranted alarms, as set forth in 3 RCNY § 907-01.

      (5)   Second/subsequent violation mitigated penalty. This reduced penalty will be applied to a second and each subsequent violation, provided that the respondent appears at OATH in response to the violation and establishes that the violating condition has been corrected prior to the hearing.

      (6)   Second/subsequent violation maximum penalty. This is the maximum penalty provided by law for a second and each subsequent violation. It will be imposed when the respondent defaults on the violation or otherwise fails to appear or respond to a second or subsequent violation.

      (7)   Penalties for Administrative Code violations. The penalty schedule also sets forth penalties for violations of Administrative Code §§ 15-220.1 and 15-231 and FC 1404.1. There is no mitigated penalty for such violations.

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

Category (3 RCNY § 109-02)	Description of Violation	OATH Violation Code	First Violation Penalty ($)	First Violation Mitigated Penalty ($)	First Violation Maximum Penalty ($)	Second/ Subsequent Violation Penalty ($)	Second/ Subsequent Violation Mitigated Penalty ($)	Second/ Subsequent Violation Maximum Penalty ($)
VC 1	Portable Fire Extinguishers and Fire Hoses	BF01	600	300	1,000	1,500	750	5,000
VC 2	Combustible Waste Containers	BF02	500	250	1,000	1,500	750	5,000
VC 3	Permits	BF03	700	350	1,000	1,750	875	5,000
VC 4	Unlawful Quantity or Location of Regulated Material	BF04	600	300	1,000	1,500	750	5,000
VC 5	Recordkeeping	BF05	700	350	1,000	1,750	900	5,000
VC 6	Signs, Postings, Notices and Instructions	BF06	600	300	1,000	1,500	750	5,000
VC 7	Labels and Markings	BF07	600	300	1,000	1,500	750	5,000
VC 8	Storage, Accumulation and Removal of Combustible Material and Waste	BF08	700	350	1,000	1,750	900	5,000
VC 9	Rooftop Access and Means of Egress	BF09	950	475	1,000	2,375	1,185	5,000
VC 10	Overcrowding	BF10	950	475	1,000	2,375	1,185	5,000
VC 11	General Maintenance	BF11	750	375	1,000	1,875	935	5,000
VC 12	Fire Protection Systems	BF12	950	475	1,000	2,375	1,200	5,000
VC-12	Fire Protection Systems – Failure to Prevent Unnecessary/Unwarranted Alarms	BF-35	750	375	1,000	1,875	935	5,000
VC 13	Flame-Resistant Material s	BF13	900	450	1,000	2,250	1,125	5,000
VC 14	Fire-Rated Doors and Windows	BF14	900	450	1,000	2,250	1,125	5,000
VC 15	Fire-Rated Construction	BF15	900	450	1,000	2,250	1,125	5,000
VC 16	Ventilation	BF16	900	450	1,000	2,250	1,125	5,000
VC 17	Certificates of Fitness and Certificates of Qualification	BF17	750	375	1,000	1,875	935	5,000
VC 18	Certificates of Approval, Certificates of License and Company Certificates	BF18	750	375	1,000	1,875	935	5,000
VC 19	Affidavits, Design and Installation Documents and Other Documentation	BF19	575	300	1,000	1,500	750	5,000
VC 20	Inspection and Testing	BF20	600	300	1,000	1,500	750	5,000
VC 21	Portable Containers	BF21	600	300	1,000	1,500	750	5,000
VC 22	Stationary Tanks	BF22	750	375	1,000	1,875	935	5,000
VC 23	Storage Facilities	BF23	500	250	1,000	1,500	750	5,000
VC 24	Storage of Hazardous Materials and Commodities	BF24	500	250	1,000	1,500	750	5,000
VC 25	Electrical Hazards	BF25	900	450	1,000	2,250	1,125	5,000
VC 26	Heating and Refrigerating Equipment and Systems	BF26	750	375	1,000	1,875	935	5,000
VC 27	Electrical Lighting Hazards	BF27	750	375	1,000	1,875	935	5,000
VC 28	Open Fires, Open Flames and Sparks	BF28	900	450	1,000	2,250	1,125	5,000
VC 29	Designated Handling and Use Rooms or Areas	BF29	600	300	1,000	1,500	750	5,000
VC 30	Emergency Planning and Preparedness	BF30	950	475	1,000	2,250	1,200	5,000
Admin. Code § 15-220.1	False Certification	BF32	2,500	None	5,000	4,500	None	5,000
Admin. Code § 15-231	Failure to Comply with Commissioner's Order to Correct and Certify	BF31	1,250	None	5,000	3,500	None	5,000
FC 1404.1	Smoking on Construction Site	BF33	1,000	None	1,000	2,400	None	2,400

 

(Added City Record 8/30/2017, eff. 10/1/2017; amended City Record 9/20/2023, eff. 10/20/2023)

§ 110 Reserved.

§ 111 Reserved.

§ 112-01 Certificates of Approval.

   (a)   Scope. This section sets forth standards, requirements and procedures for the issuance of certificates of approval for articles, equipment and devices required by the Fire Code to be of a type for which such certificate has been issued.

   (b)   General Provisions.

      (1)   Certificate of approval required. A certificate of approval is required for the articles, equipment and devices set forth in FC 112.1, ventilated metal lockers used for the storage of liquefied petroleum gases, and such other articles, equipment and devices that are required to be of a type for which a certificate of approval must be issued.

      (2)   Revocation of New York City Board of Standards and Appeal Approvals. Articles, equipment and devices regulated by the Fire Code as to which there was a New York City Board of Standards and Appeals approval in effect on July 1, 2008, may continue to be installed and used, provided that such article, equipment or device is installed and used in compliance with the Fire Code and the rules, except as follows:

         (A)   Flameproofing chemicals. Approvals for all flameproofing chemicals given by the New York City Board of Standards and Appeals were revoked on January 1, 2001.

         (B)   Fire escape window gates. Approvals of all bars, grilles, grates or similar devices designed to be placed over openings onto fire escapes that were given by the New York City Board of Standards and Appeals are revoked as of the effective date of this section, except that pre-existing installations may continue to be used in compliance with the requirements of 3 RCNY § 102-01 and the operational and maintenance requirements of 3 RCNY § 1025-01.

   (c)   General Application Requirements. Applicants for a certificate of approval shall submit all information and documentation necessary or appropriate to establish their eligibility for issuance of such certificate in accordance with FC 112 and this section.

      (1)   Application forms and information. Information relating to certificates of approval and application procedures, including application forms, may be obtained from the Department's web site, www.nyc.gov/fdny, and from the Technology Management Unit of the Bureau of Fire Prevention, Fire Department Headquarters, 9 MetroTech Center, 1st Floor, Brooklyn, NY 11201-3857.

      (2)   Submission. Applications for certificates of approval shall be made by a principal or officer of the manufacturer of the article, equipment or device for which such certificate is sought, or other person or company authorized to represent the manufacturer. Original and renewal applications may be filed with the Department in person or by mail, together with the non-refundable application fee.

      (3)   Abandoned applications. An application for a certificate of approval shall be deemed to have been abandoned six (6) months after the date of filing, unless such application has been diligently prosecuted or a certificate of approval has been issued. The Department may, in its discretion, grant one (1) or more extensions of time for additional periods not exceeding 90 days each, if there is good cause.

      (4)   Original applications. Applications for certificates of approval shall include the following information and documentation, and such other information and documentation as the Department may require:

         (A)   the corporate and trade names of the manufacturer of the article, equipment and device, its principal address and any New York City address, and contact information;

         (B)   the name and contact information of the manufacturer's authorized representative, if any;

         (C)   a detailed description of the design and the intended installation and/or use of the article, equipment or device; and

         (D)   the report of a nationally recognized testing laboratory or other approved organization approving the listing of the article, equipment or device, if such listing is required.

      (5)   Examination, demonstration and testing. The Department will notify the applicant if examination, demonstration or further testing of the article, equipment or device will be required.

      (6)   Renewal applications. An application for renewal of a certificate of approval shall disclose any changes in the design or intended installation and/or use of the article, equipment or device, and the following information and documentation:

         (A)   Evidence demonstrating that the article, equipment or device complies with the requirements of all applicable Fire Code and rule provisions enacted or adopted after the date of approval of the original application or prior renewal.

         (B)   Where required as a condition of approval, evidence that the article, equipment or device has a current listing.

      (7)   Conditions of approval. An original or renewal application will not be granted and a certificate of approval will not be issued unless the applicant acknowledges and accepts the conditions of approval. Such acknowledgement and acceptance shall be in the form of an affidavit or other form prescribed by the Department.

      (8)   Appeals. Any applicant aggrieved by a determination rendered upon an application for a certificate of approval may appeal such determination in accordance with the provisions of 3 RCNY § 104-01.

   (d)   Special Application Requirements. In addition to the general application requirements set forth in 3 RCNY § 112-01(c), applications for the following certificates of approval shall include the following information and documentation:

      (1)   Flame-retardant chemicals and treatments. Applications for a certificate of approval for flame-retardant chemicals and treatments shall include the following information and documentation:

         (A)   a copy of the Material Safety Data Sheet for the flame-retardant chemical;

         (B)   a report approving the listing of the flame-resistance chemicals and treatments that certifies that such chemicals and treatments have passed either Test 1 or Test 2 of NFPA 701. Such report shall indicate the flame-retardant chemicals tested, the manner in which they were applied, the materials to which they were applied, and such other information or documentation as the Department may require to demonstrate the flame-resistance imparted by such chemicals and treatments; and

         (C)   an affidavit, executed by a principal or officer of the applicant, setting forth the following information:

            (1)   the chemical's trade name;

            (2)   the types of material that may be satisfactorily treated with the chemical;

            (3)   the required or recommended manner in which such chemical shall be applied;

            (4)   the period of time that the flame-resistant chemical will impart flame resistance to the material; and

            (5)   a certification as to the effect, if any, that normal handling of the decoration (including washing, dry cleaning, ironing and sewing), will have on the effectiveness of the flame-resistant material.

      (2)   Fire escapes and emergency escape and rescue openings window gates. Applications for a certificate of approval for a window gate for a fire escape or emergency escape and rescue opening, or similar device, shall demonstrate to the satisfaction of the Department that such device complies the requirements of 3 RCNY § 1025-01.

   (e)   Revocation. A certificate of approval shall be automatically revoked upon the happening of any of the following events:

      (1)   the article, equipment or device cannot be installed or used in compliance with the Fire Code or the rules;

      (2)   change of ownership or corporate name;

      (3)   change in manufacturing process;

      (4)   change of product name;

      (5)   change of product model number;

      (6)   change in design;

      (7)   change in testing laboratory listing (including amendment or approval conditions, or revocation); or

      (8)   noncompliance with any of the original conditions of acceptance as specified in the certificate of approval.

(Amended City Record 9/20/2023, eff. 10/20/2023)

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

   (a)   Scope. This section sets forth general standards, requirements and procedures for issuance of certificates of fitness and certificates of qualification.

   (b)   General Provisions.

      (1)   Minimum qualifications and general requirements. Applicants for certificates of fitness and certificates of qualification shall meet the minimum qualifications and comply with the general requirements set forth in FC 113 and this section. Holders of certificates of fitness and certificates of qualification shall maintain all qualifications and comply with all requirements throughout the term of the certificate.

         (A)   Applicants for certificates of fitness for FLS director shall additionally comply with the requirements set forth in 3 RCNY § 113-02.

         (B)   Applicants for certificates of fitness to inspect and clean commercial cooking exhaust systems shall additionally comply with the requirements set forth in 3 RCNY § 113-08.

         (C)   Applicants for certificates of fitness for construction site fire safety manager shall additionally comply with the requirements set forth in 3 RCNY § 113-11.

      (2)   Change of address or work location. All applicants and certificate holders are required to promptly notify the Department of any change in the applicant's or certificate holder's residence address, any change in work location when such location is required for and/or indicated on such certificate, and such other information as the Department may require.

   (c)   General Application Requirements. Applicants for a certificate of fitness or certificate of qualification shall submit all information and documentation necessary or appropriate to establish their eligibility for issuance of such a certificate in accordance with FC 113, the rules and the applicable notice of examination.

      (1)   Application forms and information. Information relating to certificate requirements and application and examination procedures, including application forms, notices of examination, examination study materials, and a list of accredited training courses for certificates for which completion of a Department-accredited training course is a qualification, may be obtained from the Department's web site, www.nyc.gov/fdny, and from the Licensing Unit of the Bureau of Fire Prevention, Fire Department Headquarters, 9 MetroTech Center, 1st Floor, Brooklyn, NY 11201-3857.

      (2)   Submission. Original applications for certificates shall be filed in person with the Licensing Unit of the Bureau of Fire Prevention. Renewal certificate applications may be filed in person or by mail, except as may be otherwise specified by the Department.

      (3)   Incomplete applications. The Department reserves the right not to accept for filing any application that is incomplete or otherwise deficient, including any application that is submitted without the required supporting documentation or application fee. The Department will provide the applicant notice of any application that is not accepted, and, except for applications determined to be fraudulent, shall afford the applicant a reasonable time to correct or supplement such application. Original applications not corrected or supplemented within 30 days of the applicant's being notified will be deemed abandoned.

      (4)   Examinations. Except as otherwise provided in this section, applicants for an original certificate must obtain a passing score on the applicable examination administered by the Department.

      (5)   Identification. Applicants for an original certificate shall provide two (2) pieces of picture identification satisfactory to the Department, such as a driver's license, passport or employee identification card. The Department reserves the right to require additional identification.

      (6)   Photographs. All applicants for an original certificate will be photographed by the Department for identification purposes. The Department may require a certificate holder filing for renewal of his or her certificate to report to the Department to be photographed. Failure to comply with such a notice constitutes grounds for non-renewal of the certificate. In lieu of, or in addition to, such photographs, the Department may require submission of two (2) passport-size photographs in connection with an original or renewal certificate application.

      (7)   Fees. Application fees relating to certificates of fitness and certificates of qualification, including any written examination and practical examination, shall be as set forth in FC Appendix A or the rules. Except as otherwise authorized by the Department, fees shall be paid in cash, check or money order payable to the "New York City Fire Department."

         (A)   Written examination fees shall be paid at the time of submission of the application. Such fees are non-refundable.

         (B)   Applicants for a practical examination will be notified of the date by which the applicable examination fee must be paid. Such examination fees are non-refundable, except when applicants give proper and timely notice of cancellation in accordance with the procedures set forth in the Department's notice of examination or other applicable notice.

      (8)   Applicants delinquent on child support payments. In accordance with the United States Social Security Act, 42 U.S.C. § 666(a)(13), and New York State General Obligations Law § 3-503, applications for original or renewal certificates will be reviewed for compliance with child support obligations and will be denied when required by such laws when the applicant has been identified by the Office of Child Support Enforcement of the New York City Human Resources Administration (or any successor agency) as delinquent on child support payments. Applicants for certificates will be required to disclose their social security numbers on their applications for purposes of such review.

   (d)   Examinations.

      (1)   All written examinations, and the practical (computer simulator) examination for certificates of qualification, will be administered by the Licensing Unit of the Bureau of Fire Prevention at Fire Department Headquarters, except as may be otherwise specified by the Department in the notice of examination or other appropriate notice. Practical (on-site) examinations for fire safety director and fire safety/EAP director will be administered by such personnel and at such locations as may be specified by the Department in the notice of examination or other appropriate notice.

      (2)   All examinations will be conducted in the English language.

      (3)   The subject matter of an examination, and, for any numerically-graded certificate examination, the passing grade, shall be as set forth on the Department's notice of examination. The passing grade shall be set at 70% unless otherwise specified in such notice of examination.

      (4)   An applicant will be provided written notice of his or her examination grade.

      (5)   An applicant who fails to obtain a passing grade on a written, practical, or practical (on-site) examination may re-take the examination, subject to the availability of Department resources and appointments. The required fee must be paid by the applicant each time he or she is administered an examination. An applicant for a certificate of fitness that requires successful completion of a Department-accredited training course may be given two (2) opportunities to pass each written and practical examination for the certificate. An applicant who fails to obtain a passing grade after the second examination will be required to re-take and successfully complete the training course in its entirety and re-apply for the certificate of fitness.

      (6)   In lieu of a written examination for a certificate of fitness, the Department, in its discretion, may accept educational credentials or professional licenses or certifications that demonstrate the applicant's knowledge of, or proficiency in, the subject matter for which the certificate is required.

      (7)   In addition to any required written examination, applicants for certificates of fitness relating to the storage, handling or use of explosives in connection with blasting operations may be required to pass an oral examination administered by the Explosives Unit of the Bureau of Fire Prevention as set forth in the applicable notice of examination.

   (e)   Certificates of Fitness Application Requirements.

      (1)   In addition to general application requirements set forth in 3 RCNY § 113-01(c), applicants for a certificate of fitness shall submit the following proof of qualifications and fitness and such other information and documentation as the Department may require. The Department will not accept such proof if its validity cannot be satisfactorily verified.

         (A)   A driver's license, passport, birth certificate or other proof satisfactory to the Department that the applicant meets the minimum age requirements set forth in FC 113.4.

         (B)   Except as otherwise provided in this section, a letter of recommendation satisfactory to the Department, from the applicant's employer, previous employer, prospective employer, trade school or trade union. Such letter shall be on the letterhead of such employer, trade school or trade union; be signed by the employer, or an officer of the trade school or trade union (and indicate such officer's title); and contain the following information:

            (1)   the full name of the applicant and any other name under which the applicant may be known;

            (2)   the length of time the applicant has been known to the employer, trade school or trade union, the nature of the applicant's employment or training, and the length of time such employment or training was pursued and whether it was satisfactorily completed;

            (3)   the address of the building wherein the applicant will be employed, if applicable;

            (4)   information attesting to the good character, habits and relevant or required work experience or training of the applicant; and

            (5)   information indicating that the applicant's physical condition will permit the applicant to perform the duties associated with the certificate for which application is being made.

         (C)   Applicants for certificates of fitness who are self-employed shall submit, in lieu of letter of recommendation from a previous or prospective employer, a notarized written statement containing the information required by 3 RCNY § 113-01(e)(1)(B).

      (2)   Special application requirements.

         (A)   Applicants for certificates of fitness for blasting operations and special effects shall submit proof of not less than two years' satisfactory experience in handling the type of explosives or special effects for which a certificate of fitness is sought. Such proof shall include notarized letters from two (2) holders of a certificate of fitness for blasting operations, or from two (2) holders of a certificate of fitness for special effects, respectively, attesting to the applicant's character, habits and relevant work experience.

         (B)   Applicants for a certificate of fitness for fireworks display shall have attended a class conducted by a company holding a fireworks contractor certificate and shall submit notarized letters from two (2) holders of a certificate of fitness for fireworks displays attesting to the applicant's character, habits and relevant work experience.

         (C)   Applicants for a certificate of fitness for supervision of a standpipe system and/or sprinkler system shall obtain from their employer and submit as part of their application a sketch or plan of the standpipe and/or sprinkler systems that the applicant would be responsible for supervising.

   (f)   Certificate of Qualification Application Requirements.

      (1)   Original applications. In addition to general application requirements set forth in 3 RCNY § 113-01(c), applicants for an original certificate of qualification shall submit the following proof of qualifications and fitness and such other information and documentation as the Department may require:

         (A)   A driver's license, passport, birth certificate or other proof satisfactory to the Department that the applicant satisfies the minimum age requirements set forth in FC 113.4;

         (B)   A high school diploma, or its educational equivalent, approved by a state's Department of Education, or an approved accrediting organization;

         (C)   A Universal Technician Certification issued by the United States Environmental Protection Agency pursuant to Subpart F of Part 82 of Title 40 of the Code of Federal Regulations; and

         (D)   Proof of the following experience and/or qualifications in refrigerating systems or related technology:

            (1)   at least one (1) year of practical experience in the preceding three (3) years working in a building or plant with refrigerating or air conditioning equipment that, at a minimum, has an individual system containing over 50 pounds of refrigerant, or a prime mover or compressor of more than 50 horsepower, or an aggregate of individual systems of more than 15 horsepower each with a total of more than 100 horsepower; or

            (2)   at least one (1) year of practical experience in the preceding three (3) years engaged in the servicing and repair of refrigerating or air conditioning equipment rated at five (5) horsepower or more, or containing 20 pounds or more of refrigerant; or

            (3)   a combination of practical experience as set forth in 3 RCNY § 113-01(f)(1)(D)(1) and (2) that is satisfactory to the Department; or

            (4)   a current high pressure boiler operating engineer license issued by the Department of Buildings; or

            (5)   a current marine engineer certificate issued by the United States Coast Guard; or

            (6)   a current Professional Engineer's license issued in the United States; or

            (7)   have satisfactorily completed a training course accredited by the Department in refrigerating systems and related technology, of at least 200 hours duration, at least 25 hours of which shall have involved practical skills exercises/hands-on demonstrations.

      (2)   Renewal applications. On or after January 1, 2016, the holder of a certificate of qualification who has not successfully completed a course that addressed issues of building operation, maintenance and recordkeeping, as set forth in 3 RCNY § 113-07(c)(2)(V), shall, at the time of the next renewal of such certificate, present evidence of the successful completion of such a course. Such course shall be conducted by an institution or program accredited by the Department pursuant to 3 RCNY § 113-04 and 3 RCNY § 113-12. Applicants that can demonstrate that they have successfully completed a continuing education course in building operations, maintenance and recordkeeping in connection with the renewal of their certificate of fitness for fire safety director, as set forth in 3 RCNY § 113-02(c)(7), shall be deemed to have satisfied this requirement.

      (3)   Registration of work locations.

         (A)   Certificate of qualification applicants or holders must register each work location at which they will be performing the duties of a refrigerating system operating engineer.

         (B)   A certificate of qualification does not authorize the holder to perform such duties at any location other than work locations registered with the Department. A certificate of qualification holder shall not perform any duties requiring such certificate until such time a work location has been registered in accordance with this section. A certificate of qualification that does not have a work location registered with the Department shall be deemed "Not in Use" (inactive) and not valid to perform the duties of a refrigerating system operating engineer.

         (C)   To register a work location, a certificate of qualification applicant or holder shall submit a letter from the employer for whom he or she will be performing the duties of a certificate of qualification holder. Such letter shall be on business letterhead, and signed by an appropriate officer of the employer, and provide the following information and documentation:

            (1)   full name of the applicant;

            (2)   premises address, building designation and location of system to be supervised by the certificate holder (for example: 500 East 150th Street, B building, basement, east wing, Room B101);

            (3)   name of the manufacturer of the refrigerating system;

            (4)   type and number of pounds of refrigerant in the system;

            (5)   horsepower rating of the refrigerating system;

            (6)   date of installation of the refrigerating system; and

            (7)   a copy of the Department permit for such refrigerating system.

         (D)   Certificate of qualification applicants or holders seeking to register more than one (1) work location shall present a letter from the employer for each work location. In addition to the information and documentation set forth above, such letter shall indicate the days and specific hours worked, and specify whether or not the certificate holder would be providing personal or general supervision of the equipment in accordance with the requirements of FC 606.1.1. A certificate of qualification shall not be registered for more than one (1) work location for the same day and time if personal supervision is required at more than one (1) such location.

         (E)   Certificate of qualification holders seeking to change a registered work location shall register such work location in accordance with the procedures set forth in this section.

   (g)   Misconduct. In addition to any other penalties provided by law, misconduct on the part of an applicant or holder of a certificate of fitness or certificate of qualification shall be grounds for denial, non-renewal, suspension or revocation of a certificate, and denial of an application for a certificate or the opportunity to take a certificate examination. Such misconduct includes, but is not limited to:

      (1)   the failure of a certificate holder to properly discharge his or her duties;

      (2)   any false and fraudulent conduct in connection with an application for a certificate or the duties of a certificate holder, including:

         (A)   any false or fraudulent statement or submission;

         (B)   any unauthorized alteration or use of a certificate or possession of any fraudulent certificate;

         (C)   cheating on an examination; and

         (D)   impersonating another or allowing oneself to be impersonated;

      (3)   the failure to promptly notify the Department of any change in the applicant's or certificate holder's residence address, work location, or any other notifications required pursuant to 3 RCNY § 113-01(b)(2).

      (4)   any other unlawful or unsafe conduct that bears on the integrity or reliability of an applicant or certificate holder; and

      (5)   compromising the integrity or confidentiality of a Department examination.

(Amended City Record 10/28/2016, eff. 12/1/2016)