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(a) As early as possible before an alteration, renovation, modification, demolition, or plumbing work takes place, or changes in such work occur, the building owner shall be responsible for having an asbestos survey performed by a DEP-certified asbestos investigator to determine the absence or presence of asbestos-containing material which may be disturbed during the course of the work. The owner of the building or authorized agent shall comply with the notification requirements of 15 RCNY § 1-25 regarding asbestos-containing material.
(b) Asbestos Exemption. Where the work to be performed requires a permit to be issued by the DOB, an asbestos exemption may be claimed by checking the appropriate boxes on the DOB permit application forms PW1 or LAA1, where the applicant for construction document approval certifies that:
(1) the permit sought does not involve the performance of any physical work, such as permits for zoning lot subdivisions, zoning lot reapportionment, or changes in the certificate of occupancy; or
(2) no existing building materials, as the term "building materials" is defined in these rules, are to be disturbed by the proposed work; or
(3) the activities being performed include work on one of the following: Awnings Cranes not anchored to building or structure Emergency power not involving hard wiring, e.g. battery packs Exterior concrete work (e.g. sidewalks, curb cuts, traffic islands) except if waterproofing compound is present Exterior scaffolding not anchored to building or structure Exterior trenching and drainage Ground-mounted flagpoles New storefronts in existing masonry openings (no disturbance of existing building) Radio antennas (free-standing towers) Relocating free-standing parking lot sheds Replacing rooftop air conditioning (no modification of ductwork or disturbance of building) Roadway asphalt Sealing unsafe or abandoned buildings with cinderblock and mortar Sidewalk sheds, bridges, fences, elevators, hoists and cafe signs (no penetration of building materials) Street furniture, e.g. candy or newsstands, bus shelters, kiosks Installation of new outdoor swimming pool Free-standing tents Erection of temporary structures (e.g. trailers) with electric/water lines only
(c) Asbestos Assessment Report (ACP-5 Form). If, after a survey performed by a DEP-certified asbestos investigator, it is determined that the building (or portion thereof) affected by the work is free of asbestos-containing material, the ACM present will not be disturbed by the work, or the amount of ACM to be abated constitutes a minor project, said asbestos investigator must complete, sign, and affix his or her seal to the asbestos assessment report (ACP-5 Form) which shall be submitted with a fee of $47.00 to DEP in accordance with 15 RCNY § 1-22(b)(1).
(d) Asbestos Project Completion Form. Where the work to be performed constitutes an asbestos project, an asbestos project notification (ACP-7 Form) shall be submitted to DEP in accordance with the provisions of 15 RCNY § 1-25. Upon completion of the asbestos project and submission of all required documentation to DEP, DEP shall issue an asbestos project completion form to the building owner or its authorized representative.
(Amended City Record 12/7/2018, eff. 1/6/2019)
(a) This section shall apply to the following categories:
(1) Removal, encapsulation, enclosure or replacement of asbestos-containing materials (including insulation); and
(2) Work in or into plenum spaces of existing buildings (e.g. electrical, ventilation, cable, sheet metal work, etc.); and
(3) Removal of asbestos-covered structures and equipment such as boilers, pipes, etc.; and
(4) Other miscellaneous activities not previously exempted.
(b) [Reserved.]
(c) Asbestos Projects. If the cumulative total of all surfaces affected by the work is an asbestos project, the department's asbestos project notification (ACP-7 Form) completed by the building owner or authorized agent, and listing each work area within the building separately, shall be submitted directly to the department one week in advance of the start of the work along with a filing fee in the following amounts:
(1) For work which will disturb more than 25 linear feet but less than 100 linear feet, or more than 10 square feet but less than 50 square feet, of asbestos-containing material, the fee shall be $200.
(2) For work which will disturb at least 100 linear feet and less than 260 linear feet, or at least 50 square feet and less than 160 square feet, of asbestos-containing material, the fee shall be $400.
(3) For work which will disturb at least 260 linear feet and less than 1,000 linear feet, or at least 160 square feet and less than 1,000 square feet, of asbestos-containing material, the fee shall be $800.
(4) For work which will disturb 1,000 linear feet or more, or 1,000 square feet or more, of asbestos-containing materials, the fee shall be $1,200.
(d) Modification of or deviation from the information provided in any notification submitted to the DEP under this section must immediately be reported to DEP using the ARTS E-File system if the change refers to the identity of the building owner or ACM removal contractor or the air monitoring firm; or the amount of ACM to be removed; or the dates of the project; or the specific project location. A notification may be modified no more than twice, but a modification related to the extension or reinstatement of an asbestos abatement permit shall not count towards this total. A modification is valid only if it is received by the DEP prior to the previously filed date of completion, except for start date changes which must be received by the original start date. If the modification is received after that date, a new notification submitted directly to the department will be required. Additional work, identified after the completion of the work indicated on the asbestos project notification and successful clearance air monitoring, shall require a new notification. A notification to DEP shall be valid for one year from the date of original filing.
(Amended City Record 12/7/2018, eff. 1/6/2019)
(a) Permit required. An asbestos abatement permit authorizing the performance of construction work shall be required for asbestos projects involving one or more of the following activities:
(1) Obstruction of an exit door leading to an exit stair or the exterior of the building;
(2) Obstruction of an exterior fire escape or access to that fire escape;
(3) Obstruction of a fire-rated corridor leading to an exit door;
(4) Removal of handrails in an exit stair or ramp within the work area;
(5) Removal or dismantling of any fire alarm system component including any fire alarm-initiating device (e.g., smoke detectors, manual pull station) within the work area;
(6) Removal or dismantling of any exit sign, including directional signs, or any component of the exit lighting system, including photoluminescent exit path markings within the work area;
(7) Removal or dismantling of any part of a sprinkler system including piping or sprinkler heads within the work area;
(8) Removal or dismantling of any part of a standpipe system including fire pumps or valves within the work area;
(9) Any abatement activity to be performed within a building concurrently with the full demolition of such building or concurrently with the removal of one or more stories of such building.
(10) Removal of any non-load bearing/non-fire-resistance rated wall (greater than 45 square feet or 50 per cent of a given wall) within the work area;
(11) Any plumbing work other than the repair or replacement of plumbing fixtures within the work area;
(12) Removal of any fire-resistance rated portions of a wall, ceiling, floor, door, corridor, partition, or structural element enclosure including spray-on fire-resistance rated materials within the work area;
(13) Removal of any fire damper, smoke damper, fire stopping material, fire blocking, or draft stopping within fire-resistance rated assemblies or within concealed spaces;
(14) Obstruction of an interior stairway leading to an exit or exit passageway of a building;
(15) Any abatement activity to be performed within a work area located in a confined space.
(b) Work Place Safety Plan.
(1) Plan required. For projects requiring an asbestos abatement permit due to one or more of the activities listed in (a)(1) - (15), the building owner or its authorized representative must submit, together with the asbestos project notification, a work place safety plan (WPSP) and any other applicable construction documents, which must be prepared by a registered design professional, and a permit fee as specified in subsection (g). If the WPSP is being submitted, pursuant to subsection (a)(9), it must also set forth the sequencing of the proposed work. The WPSP may not be approved unless it provides for a buffer of four floors or an adequate buffer as determined by the commissioner between the abatement and the demolition or floor removal work.
(2) Work Place Safety Plan requirements. The WPSP must include, but not be limited to, the following items, depending on the size and scope of the asbestos project:
(i) Floor plans showing the locations of all asbestos project work areas and decontamination enclosure systems required under subdivision (a) of this section.
(ii) Floor plans indicating the locations of any components of the fire alarm system which have been deactivated, and setting forth mitigation measures to be implemented for the duration of the project.
(iii) Floor plans indicating the locations of obstructed or removed exit signage and lighting and setting forth mitigation measures to be implemented for the duration of the project.
(iv) Floor plans indicating the locations of any obstructed means of egress or required exit and setting forth mitigation measures to be implemented for the duration of the project.
(v) Floor plans or riser diagrams indicating the locations of any disengaged or removed components of the fire protection system and setting forth mitigation measures to be undertaken for the duration of the project.
(vi) A written description of all measures taken to mitigate compromised fire protection systems or means of egress, including but not limited to surveillance by a fire watch and an action plan setting forth procedures to be taken for the safety of building occupants in the event of an emergency.
(vii) If the asbestos project is being performed in a building where any dwelling unit is to be occupied for the duration of the permit, the WPSP shall include a tenant protection plan as required by Chapter 1 of Title 28 of the Administrative Code. If the asbestos project is being performed in a building where both asbestos abatement workers and non-asbestos abatement workers are working at any time during the permitted project, the WPSP must include an Occupant Protection Plan as specified in Chapter 1 of Title 28 of the Administrative Code.
(3) Approval. The documents submitted pursuant to subsection (b) will be reviewed by DEP's asbestos technical review unit (A-TRU) and by any other relevant city agencies. Upon approval by A-TRU, DEP will issue an asbestos abatement permit to the building owner or its authorized representative, who must post a copy of the permit at the work place.
(4) Failure to comply with the approved WPSP is a violation of these rules.
(c) Inspections required.
(1) All inspections required, pursuant to Title 28 of the Administrative Code, including but not limited to special inspections required by Chapter 17 of the Building Code, must be performed by a registered design professional who is independent of the abatement contractor and hired by the building owner or that owner's authorized representative.
(2) A final inspection shall be performed by a registered design professional after all work authorized by the asbestos abatement permit is completed. The person performing the inspection shall note all failures to comply with the provisions of the Building Code or approved asbestos abatement permit and shall promptly notify the owner in writing. All defects noted in such inspection shall be corrected. The final inspection report shall either:
(i) confirm:
(A) that the construction work is complete, including the reinstallation or reactivation of any building fire safety or life safety component; and
(B) that any defects previously noted have been corrected; and
(C) that all required inspections were performed; and
(D) that the work is in substantial compliance with the approved asbestos abatement permit construction documents, the Building Code, and other applicable laws and rules; or
(ii) confirm:
(A) that the construction work does not return the building (or portion thereof) affected by the abatement project to a condition compliant with the Building Code and other applicable laws and rules, but that the registered design professional has reviewed an application for asbestos abatement permit construction documents approval that has been approved by the department of buildings, and the subsequent scope of work as approved will, upon completion, render all areas affected by the asbestos project in full compliance with the Building Code and all applicable laws and rules; and
(B) that any defects previously noted that are not addressed by the subsequent scope of work as approved by the department of buildings, have been corrected; and
(C) that all required inspections that are not addressed by the subsequent scope of work as approved by the department of buildings were performed; and
(D) that all completed work pursuant to an asbestos abatement permit is in substantial compliance with the approved asbestos abatement permit construction documents.
(3) Final inspection reports shall be filed with the DEP on A-TR1 form. Records of final inspections made by registered design professionals must be maintained by such persons for a period of six years after final inspection, or for such other period as the commissioner shall require, and shall be made available within 72 hours. These records may be maintained in an electronic recordkeeping system instead of in paper form. Records must be stored in a manner that minimizes the possibility of water damage. The registered design professional must immediately notify DEP if any records are lost, damaged or destroyed.
(d) Duration of Permit. An asbestos abatement permit shall expire upon the earlier of one year from the date of issuance or when terminated pursuant to one of the following:
(1) The holder of an asbestos abatement permit submits a final inspection report pursuant to (c)(2)(i).
(2) The holder of an asbestos abatement permit submits a final inspection report pursuant to (c)(2)(ii) and obtains a Department of Buildings permit for work which, when completed, will render all areas affected by the project fully compliant with the Building Code and all other applicable rules and laws.
(3) The expiration date of the asbestos project notification ACP-7 form.
(e) Failure to terminate asbestos abatement permit within year.
(1) Failure to terminate an asbestos abatement permit pursuant to subsection (d) within a year from the date of issuance of said permit shall be a violation subject to fine. Each 60-day period during which such violation continues to occur constitutes a separate offense that may be subject to a separate fine.
(2) If the holder of an asbestos abatement permit fails to terminate an asbestos abatement permit within a year from the date of issuance, the holder shall maintain the work area in a safe manner including but not limited to any mitigation measures set forth in the WPSP and shall not perform work.
(f) Insurance. Entities other than NYSDOL-licensed asbestos contractors performing work pursuant to an asbestos abatement permit which does not involve the disturbance of asbestos-containing materials shall maintain insurance of the same type and amount as would be required if the entity were working pursuant to a permit issued by the Department of Buildings.
(g) Permit fee. The WPSP, asbestos abatement permit construction documents, as applicable, shall be accompanied by a filing fee, as follows:
Project Size | Fee |
Small projects up to 99 linear feet or 49 square feet of ACM | $100 |
100 to 259 linear feet or 50 to 159 square feet of ACM | $300 |
Large projects up to 1,000 square/linear feet of ACM | $500 |
1,000 to 4,999 square/linear feet of ACM | $700 |
5,000 to 9,999 square/linear feet of ACM | $1,100 |
10,000 or more square/linear feet of ACM | $1,300 |
(h) Work covered by the asbestos abatement permit shall not commence until said permit is issued with a specified start date and posted with the approved WPSP by the applicant at the work place.
(i) If additional ACM is added to a project that has an approved WPSP, a registered design professional must submit a letter and a revised WPSP through the ARTS-E-file system affirming that the professional has visited the work place and that the additional asbestos abatement is consistent with the approved WPSP and that proposed changes will not impact egress or fire protection requirements. If additional ACM from a different floor with A-TRU triggers is added to a notification that has an approved WPSP or if the abatement phasing sequence is modified, the applicant must submit a new notification through the ARTS E-File system along with a WPSP for review.
(Amended City Record 12/7/2018, eff. 1/6/2019; amended City Record 4/28/2022, eff. 5/28/2022; amended City Record 1/15/2025, eff. 2/14/2025)
(a) An emergency asbestos project involves the removal, enclosure, encapsulation or cleanup of asbestos-containing material that was not planned but is undertaken when sudden unexpected event(s) result in a situation in which any delay in abatement would pose an immediate danger to public safety and health.
(b) When such an emergency asbestos project occurs, applicants with an ARTS E-File account must submit an emergency notification, including a detailed scope of work, on the asbestos contractor’s letterhead, and a cover letter from the building owner or authorized agent including the items listed in (1) to (7) through the ARTS E-File system. If the applicant does not have a valid ARTS E-File account or is unable to access the ARTS E-File system, the applicant must immediately call 311 and provide:
(1) Name, affiliation and telephone number of caller;
(2) Nature of the emergency;
(3) Scope of asbestos work to be performed and the quantity and location of ACM to be abated;
(4) Exact location of the project including street address and borough;
(5) Name, address, and telephone number of the asbestos abatement contractor and the air monitoring company;
(6) Starting and projected completion dates; and
(7) Such other factors as the department may determine are relevant for that project.
(c) When such an emergency asbestos project occurs, an asbestos project notification (ACP-7 Form) shall be submitted through the ARTS E-File system in accordance with the provisions of 15 RCNY § 1-25 as soon as possible, but not later than 48 hours after the project begins. In such cases, the ACP-7 Form shall be accompanied by a cover letter from the building owner or their authorized agent including the following information:
(1) the nature of the emergency;
(2) a description of the scope of work. With respect to projects commenced under this section, the department, based on inspection by the department and other relevant agencies, may exempt the emergency project from the requirements of 15 RCNY § 1-26.
(Amended City Record 12/7/2018, eff. 1/6/2019; amended City Record 4/28/2022, eff. 5/28/2022; amended City Record 1/15/2025, eff. 2/14/2025)
(b) For each building survey conducted prior to preparation of either the asbestos project notification (ACP-7) or asbestos assessment report (ACP-5), the investigator must compile a record. Each of the requirements listed below must be satisfied independently. A requirement to maintain a particular record may not be satisfied by inclusion of the information required to be set forth in that record in another record (e.g., information that is required to be set forth in the blueprint, diagram, or drawing must be in that record and the requirement to provide certain information in the blueprint, diagram, or drawing cannot be satisfied by its inclusion of the specified information in a survey report). The record must include at a minimum:
(1) A survey report that includes, at a minimum, the building or structure address and the name , address, and contact information of the building or structure owner ;a description of the scope of work, the location (floor, section, room) of areas where bulk samples were collected or material was assumed to contain asbestos; the material type, name dimensions and condition of all suspect ACM, and the number of samples taken of each material; and the name, address and contact information of any non-certified individual who participated in the survey, along with a description of the activities engaged in by said person; and
(2) A blueprint, diagram, or drawing of each building or portion thereof inspected by the investigator that identifies clearly each exact location and type of material where bulk samples were collected or assumed to be ACM. The blueprint, diagram or drawing must include the approximate linear or square footage of all areas affected by the proposed work where material was sampled and/or assumed to be ACM and the date of collection; and
(3) The printed name and signature of any and all persons who collect bulk samples for the purpose of determining the presence of ACM, a copy of the current New York State asbestos inspector certificate of each such person, the name of the firm performing the survey and a copy of its current NYSDOL asbestos handling license, the name and address of the laboratory analyzing the samples, the date of analysis, the results of the analysis, the method of analysis and the name and signature of the person performing the analysis; and
(4) A chain of custody for all bulk samples collected as part of the survey. The chain of custody must be prepared in accordance with EPA recording requirements (QA Handbook Volume II Section 8.00).
A record that lacks any of the foregoing components will be deemed defective.
(c) Reserved.
(d) The investigator must maintain these records for thirty (30) years. These records may be maintained in an electronic recordkeeping system instead of in paper form. Upon the death of the investigator, records may be destroyed and notification must be sent to the Asbestos Control Program.
(e) The investigator shall make these records available during normal business hours, pursuant to an appointment without cost or restriction for inspection by a representative of the Department.
(f) Records must be stored in a manner that minimizes the possibility of damage from water. The investigator must immediately report if any records are damaged, lost or destroyed.
(g) The investigator must respond to the Department's request for inspection within fourteen (14) business days and provide a date, time and location for an inspection which is within 21 days of the date of the request. Failure of the investigator to either respond to the Department's request for an appointment or provide a date, time, and address for an inspection will result in suspension of the Certified Asbestos Investigator's (CAI) certificate until such appointment is completed and these records are made available for inspection.
(Amended City Record 12/7/2018, eff. 1/6/2019; amended City Record 4/28/2022, eff. 5/28/2022; amended City Record 1/15/2025, eff. 2/14/2025)
(a) A project record shall be maintained for all small and large asbestos projects. During the project, the project record shall be kept on site at all times and may be maintained by the building owner or his authorized representative, which may be the asbestos abatement contractor or the air monitoring company. Upon completion of the project, the project record shall be maintained by the building owner. The project record shall be produced upon verbal or written request by any DEP inspector. Upon transfer of ownership of the building, all project records for past asbestos projects shall be turned over to the new owner. The project record shall consist of:
(1) Copies of licenses of all contractors involved in the project.
(2) Copies of DEP and NYSDOL supervisor and handler certificates for all workers engaged in the project;
(3) Copies of all project notifications and reports filed with DEP and NYSDOL for the project, with any amendments or variances;
(4) Copies of all asbestos abatement permits, including associated approved plans and work place safety plan;
(5) A copy of the project air sampling log, chain of custody forms, and all air sampling results;
(6) A copy of the abatement contractor's log;
(7) All data related to bulk sampling including the results of any asbestos surveys performed by an asbestos investigator;
(8) Copies of all waste manifests;
(9) A copy of all project monitor's reports.
(b) In addition to the project record required in subsection (a), the asbestos abatement contractor shall maintain, for at least thirty (30) years after the end of the project, a project summary for each asbestos project in which they engage. These records may be maintained in an electronic recordkeeping system instead of in paper form. That project record must consist of the following:
(1) Name, address, and DEP certificate number of all individuals who worked on the project;
(2) Location and general description of the project;
(3) Amount of ACM abated;
(4) Start and completion dates;
(5) Name, address, and NYSDOL asbestos handling license number of the air monitoring company;
(6) Name, address, and ELAP registration number of the laboratory used for air sample analysis;
(7) Name and address of the site used for disposal of the ACM waste generated by the project;
(8) Name and address of the asbestos hauler;
(9) Copy of the abatement contractor's log and the project air sampling log;
(10) Copy of the project monitor's report.
(c) The building owner, contractor or air monitor, as applicable, must make the project record or project summary required by this section available for inspection by DEP within 72 hours of request, except that during the project the project record must be made available upon request.
(d) In addition to the project record required in subdivision (a), the air monitoring company must maintain, for at least thirty (30) years after the end of the project, a project summary for each asbestos project in which the company engages. These records may be maintained in an electronic recordkeeping system instead of in paper form. The project summary must consist of the following:
(1) The DEP certificate number of all air monitoring technicians who worked on the project;
(2) The location and general description of the project;
(3) The start and completion dates for the project;
(4) The name, address, and ELAP registration number of the laboratory used for air sample analysis; and
(5) A copy of the air sampling log, chains of custody, laboratory reports, and sample location sketches.
(e) All records required to be kept by this section must be stored in a manner that minimizes the possibility of water damage. The party responsible for maintaining the records must immediately notify DEP if any records are lost, damaged, or destroyed.
(Amended City Record 12/7/2018, eff. 1/6/2019; amended City Record 8/21/2019, eff. 9/20/2019; amended City Record 4/28/2022, eff. 5/28/2022; amended City Record 1/15/2025, eff. 2/14/2025)
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