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(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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