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(a) Prior to the first required condition assessment of a parking structure required by Article 323 of Chapter 3 of Title 28 of the Administrative Code and 1 RCNY § 103-13, the owner of the building in which a parking structure is located and whose condition assessment report is due as set forth in item (B) or (C) of subparagraph (v) of paragraph (4) of subdivision (c) of 1 RCNY § 103-13, must have a one-time initial observation of the parking structure performed by or under the direct supervision of a qualified parking structure inspector (“QPSI”), as defined in 1 RCNY § 101-07. The results of such initial observation must be filed with the Department by August 1, 2024 on a form provided by the Department.
Exception: Owners whose report is due as set forth in item (B) as previously referenced in this paragraph and who file an acceptable report by August 1, 2024 need not have this initial observation performed.
(b) The QPSI must apply a professional standard of care to assess the parking structure’s condition and the individual building systems that comprise the parking structure including, but not limited to, the building’s structural components, waterproofing systems, fire proofing and fire stopping systems, and wearing surfaces. The QPSI’s observation must be based on the considerations of the type of construction of the parking structure, age of the material components, the parking structure’s specific exposure to environmental conditions and the presence of specific details and appurtenances. The QPSI’s observation must also take into account the structure’s history of maintenance and repairs.
(c) The methods used to evaluate the parking structure in question must permit a complete examination of the parking structure.
(d) The QPSI must identify the most deleterious locations and perform examinations at those locations. If the QPSI finds any deficiencies, he/she must ascertain the cause of these and any other possible building defects detected and immediately notify the Department and the owner of the building in which the parking structure is located of any unsafe conditions.
(e) The results of this initial observation must be filed with the Department in a form and manner acceptable to the commissioner.
(Added City Record 10/24/2023, eff. 11/23/2023)
(a) Definitions. Terms defined in Article 321 of Title 28 of the Administrative Code of the City of New York have the same meanings in this section. For the purposes of this section, the following terms have the following meanings:
Energy service. Energy service is the delivery of energy from the energy supply or energy distribution system to or throughout a building, including any equipment used for such delivery. Two or more buildings may share energy service. Two or more buildings share energy service if such buildings share a meter or other point of connection to the energy supply or energy distribution system.
Qualified retro-commissioning (RCx) agent. A qualified RCx agent is a retro-commissioning agent who is not on the staff of the building being inspected and who holds one of the following credentials in good standing:
(1) Certified Commissioning Professional certified by the Building Commissioning Association;
(2) Certified Building Commissioning Professional certified by the Association of Energy Engineers (AEE);
(3) Existing Building Commissioning Professional as certified by the AEE;
(4) Commissioning Process Management Professional certified by American Society of Heating, Refrigerating and Air-Conditioning Engineers (ASHRAE);
(5) Accredited Commissioning Process Authority Professional approved by the University of Wisconsin;
(6) Certified Commissioning Authority certified by the Associated Air Balance Council Commissioning Group;
(7) Building Commissioning Professional certified by ASHRAE;
(8) Commissioning Process Professional certified by National Environmental Balancing Bureau (NEBB);
(9) Technical Retro-Commissioning Certified Professional certified by NEBB;
(10) Building Systems Commissioning Professional certified by NEBB; or
(11) Registered Design Professional.
(b) Required report for certain buildings. No later than May 1, 2025, the owner of a covered building must submit a report, in a form and manner determined by the Department, in accordance with § 28-321.3 of the Administrative Code, demonstrating compliance with either paragraph (1) or paragraph (2) of this subdivision. Where an owner has multiple covered buildings on a lot, such owner may choose to provide a separate report for each such covered building on the lot, or a single report pursuant to either § 28-321.3.1 or § 28-321.3.2 of the Administrative Code for all such covered buildings on the lot. Where buildings share an energy system, such buildings must be reported in a single report pursuant to the same section of the Administrative Code. Two or more covered buildings located on adjacent but separate tax lots may be included in a single report pursuant to the same section of the Administrative Code, provided all such covered buildings share energy service.
(1) Energy compliant buildings report. To demonstrate compliance with this subdivision the owner of a covered building may submit a building emissions report, certified by a registered design professional, in accordance with § 28-321.3.1 of the Administrative Code, this paragraph, and 1 RCNY § 103-14, that for calendar year 2024 such covered building was in compliance with the applicable building emissions limit established pursuant to § 28-320.3.2 of the Administrative Code. The report must include:
(i) Building address(es);
(ii) Building owner and contact information;
(iii) Name of the registered design professional certifying the report; and
(iv) Energy use and emissions information for such covered building calculated as if such building were a covered building as defined in Article 320 of Title 28 of the Administrative Code and 1 RCNY § 103-14.
(2) Prescriptive energy conservation measures (PECMs) report. To demonstrate compliance with this subdivision the owner of a covered building may submit a report, certified by a qualified RCx agent, in accordance with this section and § 28-321.3.2 of the Administrative Code, demonstrating that each applicable PECM identified in § 28-321.2.2 of the Administrative Code was fully implemented at the covered building prior to January 1, 2025. The RCx agent must maintain all documentation and information used in preparing such report, including records of inspections conducted, for a minimum of 6 years. Such documentation and information must be submitted to the Department upon request. The report required by this paragraph must include:
(i) Building address(es);
(ii) Building owner and contact information;
(iii) Name, affiliation, contact information, experience, and relevant certifications for the qualified RCx agent and supervised staff performing the PECM inspections;
(iv) Name, affiliation, and contact information for the facility manager for the building;
(v) For each building, an inventory of all HVAC equipment, domestic hot water equipment, electrical equipment, lighting, and conveyance equipment serving the building, including the date of installation of such equipment. Where applicable, the report must indicate where equipment serves multiple buildings; and
(vi) For each PECM, documentation as required in subdivision (c) of this section.
(c) Inspection and documentation for prescriptive energy conservation measures. PECMs must be inspected and documented by the RCx agent in accordance with this subdivision. Documentation of such inspection required by this subdivision must be included with the PECM report required by subdivision (b) of this section.
(1) Temperature set points.
(i) Inspection: The RCx agent must examine the temperature set points for heat and hot water systems in the building. All systems serving multifamily dwelling units must be set to the requirements of the Housing Maintenance Code.
(ii) Documentation: An attestation by the RCx agent certifying completion of such PECM.
(2) Repair heating system leaks.
(i) Inspection: The RCx agent must conduct a visual inspection of all heating equipment for water, steam, oil, refrigerant, and air leaks in systems. Leaks identified must be repaired by January 1, 2025. Exception: Inspection of forced-air and electric-resistance heating systems is not required.
(ii) Documentation: An attestation by the RCx agent certifying completion of such PECM.
(3) Heating system function.
(i) Inspection: The RCx agent must confirm that each heating system in the covered building is functioning in good working order.
(ii) Documentation: An attestation to the Department certifying completion of such PECM.
(4) Temperature controls or enclosures for radiators.
(i) Inspection: The RCx agent must confirm that each dwelling unit has at least one thermostat to control the heating system or that each radiator is installed with an individual temperature control or an insulated radiator enclosure with temperature controls, where applicable. Proper inspection for a thermostatic radiator valve (TRV) or a radiator enclosure survey must include radiators in the covered building that have over- or underheating issues, as reported by testing, facility manager or occupant. Such inspections must be conducted as follows:
(A) Two-pipe steam systems. For two-pipe steam distribution systems, the RCx agent must confirm that either a TRV or an insulated radiator enclosure with temperature controls has been installed at each radiator and is in good working order.
(B) Hydronic systems. For hydronic distribution systems, the RCx agent must confirm that temperature controls are functioning on radiators where present. If controls are found to not be functioning properly, such controls must be repaired or replaced.
(C) Electric-resistance systems. For buildings served by electric resistance radiators, the RCx agent must confirm that each dwelling unit has at least one thermostat to control the radiators in the unit.
(ii) Documentation: For each covered building in a report, the RCx agent must provide one of the following completed on or after November 15, 2019:
(A) Proof of a completed utility TRV or orifice plate incentive program; or
(B) The results of a TRV/radiator enclosure or other temperature control survey by a qualified RCx agent as described herein.
(5) Piping insulation.
(i) Inspection: The RCx agent must verify that all exposed and readily accessible piping that is part of the heating and service hot water system supply is insulated to the extent possible in accordance with section C403.11.3 of the New York City Energy Conservation Code. Where existing insulation is degraded, such insulation must be replaced.
(ii) Documentation: An attestation to the Department certifying completion of such PECM.
(6) Steam and hot water tank insulation.
(i) Inspection: The RCx agent must inspect hot water tanks to confirm that they are insulated. Exception: Vacuum units are not required to be inspected.
(ii) Documentation: An attestation to the Department certifying completion of such PECM.
(7) Indoor/outdoor temperature sensors.
(i) Inspection: The RCx agent must inspect and confirm the presence of indoor/outdoor temperature systems in accordance with section C403.4.1.5 of the New York City Energy Conservation Code. Where such sensors or controls are not present, they must be installed. For steam distribution systems, this requirement may be satisfied by the use of wireless temperature sensors that provide feedback to the boiler or heating system control, provided that such sensors have been installed in a minimum of 25% of dwelling units and are in good working order.
(ii) Documentation:
(A) A screenshot or other output from a digital control system showing that sensors are connected and in good working order and showing sufficient information to identify the covered building; or,
(B) Proof of completion of a utility program to install such indoor/outdoor temperature sensors and/or controls; or,
(C) The location of such temperature sensors and controls, attestation that they were in good working order at the time of inspection, and the date of completion of the inspection.
(8) Functioning steam traps.
(i) Inspection: The RCx agent must inspect radiators to confirm that each has a steam trap or orifice plate in good working order no earlier than January 1, 2022, and no later than December 31, 2024. Proper inspection of steam traps must include the RCx agent surveying the supply equipment and distribution lines for each heating system serving a covered building and confirming the presence of properly functioning steam traps, in accordance with the following requirements for each distribution system type:
(A) Two-pipe steam systems. For two-pipe steam distribution systems, all steam traps must be inspected, or tested to identify areas where the system is not functioning properly. The Department shall provide guidance with respect to such testing. All steam traps found to be functioning improperly must be replaced, repaired, or rebuilt. Steam traps are not required on radiators where functioning TRVs are installed with orifice plates and both are found to be in good working order.
(B) High-pressure steam systems. For high-pressure steam distribution systems, all high-pressure steam traps operating above 15 PSI of pressure must be tested using ultrasonic leak detection to verify proper operations. All steam traps found to be functioning improperly must be replaced, repaired, or rebuilt.
(ii) Documentation: For each covered building in a report, the RCx agent must provide one of the following:
(A) Proof of a completed utility orifice plate and/or steam trap incentive program; or
(B) Results of a steam trap survey by a qualified RCx agent as described herein.
(9) Steam system venting.
(i) Inspection: For one-pipe steam systems and for atmospheric (non-vacuum) two-pipe steam systems, the RCx agent must confirm that master venting is installed at the ends of mains, at large horizontal pipe runs, at the tops of all risers, and at vertical pipes branching off a main where appropriate. Testing, pursuant to guidance issued by the Department, may be employed to identify loops that are not functioning properly.
(ii) Documentation:
(A) Proof of a completed utility program that included installation, repair, or replacement of master venting; or
(B) Schematic diagrams of the steam loops in the covered building identifying the installed vents with a schedule indicating the date of testing of each loop found to be in compliance with this subparagraph or the inspection date of each vent indicating whether the vent was in good working order, repaired, replaced, or rebuilt.
(10) Upgrade lighting.
(i) Inspection: Lighting and lighting controls installed after July 1, 2010 must be compliant with the New York City Energy Conservation Code in effect at the time of installation. Lighting and lighting controls installed prior to July 1, 2010 must be compliant with the New York City Energy Conservation Code in effect on July 1, 2010 or must be replaced. Compliance must be confirmed through examination of installation records or visual inspection.
(ii) Documentation: Documentation of this requirement must be submitted to the Department in accordance with Article 310 of Chapter 3 of Title 28 of the Administrative Code and the Department’s rules.
(11) Building envelope.
(i) Inspection: The RCx agent must perform a visual inspection of the envelope to confirm that required air barriers at fenestration, doors, and other penetrations are in good working order. Where major sources of leakage are identified, these seals must be repaired or replaced.
(ii) Documentation: An attestation to the Department certifying completion of such PECM.
(12) Exhaust fan timers.
(i) Inspection: The RCx agent must inspect exhaust fans intended for intermittent operation to confirm that timers or other controls automatically turn the fan off are installed and are in good working order. The RCx agent must confirm that fans intended for continuous use are in good working order.
(ii) Documentation: An attestation to the Department certifying completion of such PECM.
(13) Radiant barriers.
(i) Inspection: The RCx agent must inspect radiators to confirm that foil-faced radiant barriers or radiator reflectors are installed where applicable prescriptive measures include the installation or replacement of TRVs or installation of thermostatic radiator covers.
(ii) Documentation: An attestation to the Department certifying completion of such PECM.
(d) Penalty for failure to file a report. An owner of a covered building shall be liable for a civil penalty for failing to file a report in accordance with § 28-321.3 of the Administrative Code and subdivision (b) of this section within 60 days of the reporting deadline or by any extension deadline granted by the Department.
(1) Penalty amount. An owner who fails to file such report shall be liable for a civil penalty of $10,000 per covered building.
(2) Extension of time to file. An owner who is unable to file such report by the reporting deadline may apply for an extension in accordance with this paragraph. Such extension application must be filed with accompanying documentation no sooner than 30 days before and no later than 60 days after the reporting deadline. For purposes of this provision, an owner may receive an extension where:
(i) The registered design professional or qualified RCx agent, as applicable, hired for purposes of completing such report could not finish completing such report by the reporting deadline. For purposes of this paragraph, acceptable documentation in support of such extension request includes a contract executed no later than February 1, 2025 and an affidavit signed by the owner and the registered design professional or qualified RCx agent stating that such professional or agent was unable to complete such report on time and that such report will be completed and filed within 120 days of the reporting deadline; or
(ii) Such owner has challenged a determination by the Department of Finance regarding whether the square footage of the building qualifies such building as a covered building, or a determination by the Department regarding whether the building qualifies as a covered building under Article 320 or Article 321, provided that such owner must file the report within 120 days of the first determination by either Department that such building qualifies as a covered building under this rule following such a dispute. For purposes of this paragraph, acceptable documentation in support of such extension request is an attestation signed by the owner indicating why the building does not qualify as a covered building and all correspondence between the applicable agency and the building owner related to such dispute.
(e) Penalty for failure to demonstrate energy conservation measures as required in § 28-321.2 of the Administrative Code. An owner of a covered building shall be liable for a civil penalty of $10,000 per covered building for failing to demonstrate either:
(1) Pursuant to § 28-321.2.1 of the Administrative Code, for calendar year 2024, the annual building emissions of such covered building did not exceed what the applicable annual building emissions limit would be in 2030 pursuant to Article 320 of Chapter 3 of Title 28 of the Administrative Code and rules promulgated thereunder if such building were a covered building as defined in such Article 320; or
(2) Pursuant to § 28-321.2.2 of the Administrative Code, the prescriptive energy conservation measures, as applicable, were fully implemented by December 31, 2024.
(f) Mitigated penalties. An owner not in compliance with this section may be eligible for a mitigated penalty as specified in 1 RCNY § 102-01 and this subdivision.
(1) Unexpected or unforeseeable event. An owner may demonstrate that an unexpected or unforeseeable event or condition outside of their control precluded compliance where a building was damaged as a result of a disaster, including but not limited to a hurricane, severe flooding, or fire. Such owner must provide photographs demonstrating the nature and extent of any such damage, and a description of how such damage precluded compliance. Demonstration of such an unexpected or unforeseeable event or condition may result in zero penalty.
(2) Eligible energy conservation alteration projects. An owner may demonstrate no later than May 1, 2025, in accordance with guidance issued by the Department, that such building received a commitment from a state or local agency or instrumentality no earlier than November 15, 2019 to receive governmental assistance to engage in an eligible energy conservation alteration project with a state or local agency or instrumentality that achieves compliance with the annual building emissions limit described in § 28-321.2.1 of the Administrative Code or the energy conservation measures identified in § 28-321.2.2 of such Code. Such owner must provide a letter from such agency or instrumentality detailing such project and demonstrating that the building will meet the applicable compliance requirements. Demonstration of such eligible energy conservation alteration project may result in zero penalty.
(g) Mediated resolution.
(1) The Department may offer a mediated resolution to an owner not in compliance with § 28-321.2.1 or § 28-321.2.2 of the Administrative Code of the City of New York, provided that the Department shall offer such resolution only where, by May 1, 2025:
(i) Such owner submits an attestation in a form and manner determined by the Department that such owner is not in compliance with § 28-321.2.1 or § 28-321.2.2 of the Administrative Code; and
(ii) Such owner submits benchmarking information for the previous calendar year to the benchmarking tool in accordance with Article 309 of Chapter 3 of Title 28 of the Administrative Code and rules promulgated thereunder as applicable, or the data required by § 28-309.4 of the Administrative Code for the prior calendar year; and
(iii) Such resolution would facilitate the building owner achieving compliance with Article 321 of Chapter 3 of Title 28 of the Administrative Code.
(2) A mediated resolution is an agreement between the owner and the Department not to bring an enforcement proceeding and may provide for terms and conditions determined by the Department, including but not limited to requiring the owner to submit a plan for compliance with § 28-321.2 of the Administrative Code. The Department shall provide guidance with respect to such plans, including examples of appropriate compliance plans.
(3) Such mediated resolution shall provide that an enforcement proceeding will be commenced and civil penalties may be imposed for the violation of Article 321 of Title 28 of the Administrative Code of the City of New York where the owner fails to comply with the terms of such agreement, pursuant to subdivision d and subdivision e of this section.
(Added City Record 12/21/2023, eff. 1/20/2024)
(a) Definitions. Terms defined in Article 310 and 311 of Title 28 of the Administrative Code have the same meanings in this section.
(b) Report for required upgrades of lighting systems. No later than May 1, 2025, the owner of a covered building must submit a report, in a form and manner determined by the Department, in accordance with § 28-310.3 of the Administrative Code. Such report must include an attestation by a registered design professional, a licensed master electrician, or a licensed special electrician certifying that the lighting system of the entire building has been inspected and upgrades have been implemented, pursuant to lighting power allowances and controls requirements for each of the spaces, in compliance with the New York City Energy Conservation Code that was in effect at the time of such implementation, provided that the lighting system must comply with a version of the New York City Energy Conservation Code in effect on or after July 1, 2010.
(c) Penalty for failure to file a lighting upgrade report. An owner of a covered building shall be liable for a civil penalty in the amount of $1,500 for failing to file a report in accordance with § 28-310.3 of the Administrative Code and subdivision (b) of this section. Such penalty will be assessed annually until the compliance report is filed.
(d) Report for required installation of electrical sub-meters in tenant spaces. No later than May 1, 2025, the owner of a covered building must submit a report, in a form and manner determined by the Department, in accordance with § 28-311.5 of the Administrative Code. Such report must include:
(1) A list of all covered tenant spaces in such covered building; and
(2) An attestation by a registered design professional, a licensed master electrician, or a licensed special electrician certifying that sub-meters have been installed for all covered tenant spaces in accordance with Article 311 of Title 28 of the Administrative Code; and
(3) A sample monthly statement in accordance with § 28-311.4 of the Administrative Code.
(e) Penalty for failure to demonstrate installation of electrical sub-meters in tenant spaces.
(1) An owner of a covered building shall be liable for a civil penalty in the amount of $1,500 for failing to file a report in accordance with § 28-311.5 of the Administrative Code and subdivision (d) of this section. Such penalty will be assessed annually until the compliance report is filed.
(2) Failing to install a sub-meter in a covered tenant space in accordance with § 28-311.3 of the Administrative Code and subdivision (d) of this section shall be classified as a lesser violation. An owner of a covered building shall be liable for a civil penalty for such violation. Such penalty will be in the amount of $500 for each covered tenant space where a sub-meter has not been installed as required and will be assessed annually until all required sub-meters are installed.
(f) Procedures for penalties imposed under this section.
(1) Where a civil penalty is imposed for failure to file a report required by subdivision (b) or (d) of this section, the owner may request review of such determination by the department. A request for such review shall be submitted in writing within 30 days in a form and manner determined by the Department. The Department shall review such request and provide a response within 60 days.
(2) A civil penalty imposed for failing to install a sub-meter pursuant to paragraph (2) of subdivision (e) of this section will be processed in accordance with 1 RCNY § 102-01.
(Added City Record 12/21/2023, eff. 1/20/2024)
Subchapter D: Licensing and Registration of Businesses, Trades and Occupations Engaged in Building Work
(a) Applicability. This subchapter shall apply to all licenses issued by the Department, except where otherwise specified.
(b) Definitions.
(1) For purposes of this subchapter, the terms "City," "Commissioner" and "Department" shall have the same meanings as set forth in § 28-101.5 of the Administrative Code.
(2) For purposes of this subchapter, the term "license" shall include any license as defined in § 28-401.3 of the Administrative Code, except that the term shall include "certificate of competence" whenever such a certificate is required by Chapter 4 of Title 28 of the Administrative Code, and any Master Electrician's License and Special Electrician's License as defined in § 27-3004 of the Administrative Code.
(c) Examinations.
(1) Applicability. This subdivision shall apply to Department-sponsored examinations administered for the following licenses:
(i) Electrician (Master/Special)
(ii) High Pressure Boiler Operating Engineer
(iii) Master Fire Suppression Piping Contractor (Classes A, B and C)
(iv) Master Plumber
(v) Oil Burning Equipment Installer
(vi) Elevator Agency Director
(vii) Elevator Agency Inspector
(viii) Rigger (Master/Special/Tower Crane)
(ix) Sign Hanger (Master/Special)
(x) Site Safety Manager
(2) Examination procedures.
(i) The examination shall consist of a written test, practical test, or a combination of such tests. The practical test may include oral, reading, and/or practical components. Admission to a test does not imply that the applicant possesses the minimum qualifications required. License applicants may not release or otherwise make public the questions and answers for such tests.
(ii) Applicants must apply for any test by submitting an application on a form prescribed by the Department to the Department's Licensing & Exams Unit or its designee. The application must be accompanied by the examination fee and any other required documents as set forth in the Department's rules. Applicants reapplying to take any test, including after a failure, must do so in accordance with the requirements in this paragraph.
(iii) Where either a written or practical test, but not both, is required, applicants have six (6) months from submission of the application to take the test.
(iv) Where both written and practical tests are required, applicants have six (6) months from submission of the application to take the written test, two (2) months from notification of passing the written test to submit an application for the practical test, and six (6) months from submission of that application to take the practical test.
(v) If an applicant fails the practical test, the applicant has up to twenty-four (24) months from the date of notification of passing the written test to pass the practical test.
(vi) Failed written test.
(A) Applicants who fail the written test must wait at least fourteen (14) days before reapplying to take the test.
(B) Each time an applicant wishes to take the written test, including after a failure, the applicant must reapply to the Department and pay the required fee as set forth in the Department's rules.
(C) Applicants may take the written test no more than three (3) times within a six (6) month period.
(D) Applicants who fail the written test three (3) times within six (6) months must wait six (6) months from the date of the third failed written test before reapplying to take the written test.
(vii) Failed practical test.
(A) Applicants who fail the practical test must wait at least ninety (90) days before reapplying to take the test.
(B) Each time an applicant wishes to take the practical test, including after a failure, the applicant must reapply to the Department and pay the required fee as set forth in the Department's rules.
(C) Applicants may take the practical test no more than two (2) times within a twelve (12) month period.
(D) Applicants who fail the practical test two (2) times within twelve (12) months must wait six (6) months from the date of the second failed practical test before reapplying to take the practical test.
(viii) An applicant who has been notified of failure to pass the written or practical test may appeal such failure only if the applicant has failed by not more than five (5) points. Such appeal must be in writing with an original signature and addressed as the Commissioner may require. The appeal must state the title of the license examination, the applicant's name, return address and social security number, the date of the test and a detailed statement of the grounds for appeal. The appeal must be received not later than thirty (30) days from the date of notification of failure to pass the test.
(ix) Impersonating and cheating.
(A) A person who impersonates another person, allows himself or herself to be impersonated, or otherwise cheats in a license examination shall be disqualified from receiving a license issued by the Department.
(B) A person disqualified for impersonating or otherwise cheating may submit a written request to the Commissioner to appeal the disqualification. The written request must set forth reasons to substantiate the request and must be received not later than thirty (30) days from the date of notification of disqualification.
(x) An applicant who passes a required examination must commence the license application process by submitting an application as defined in subdivision (e) with the department within one year of passing the examination for licensure. Where both written and practical tests are required, the license application process must be commenced within one year of passing the practical test.
(3) License examinations administered by other agencies. License examinations administered by other agencies for licenses regulated by the Department shall continue to be subject to such other agency's rules and regulations regarding examinations and investigations until the responsibility for administering particular licensing examinations is transferred to the Department, at which point the provisions of this rule shall apply.
(d) Education, training and experience. An applicant must possess the minimum education, training and/or experience required by the Administrative Code at the time of filing the application. For purposes of this subdivision, the term "experience" refers to that experience gained in the relevant trade as the result of fulltime compensated employment, unless otherwise determined by the Commissioner.
(e) Documentation of education, training and experience submitted with the application. For the purposes of qualification for licensure, "application" refers to the documents submitted to start the background investigation. An applicant must verify the claimed experience by submitting documentation with the application, unless the applicant is required to pass an examination in which case the documentation must be submitted upon passage of such examination. Such documentation must include but not be limited to:
(1) Notarized affidavits or a notarized form prescribed by the Department from all past or current employers under whom experience is claimed. Affidavits or forms from New York City licensees shall be sealed where applicable. Affidavits or forms must include the following information:
(i) Applicant's job title (helper, journeyman, etc.);
(ii) A detailed description of applicant's duties;
(iii) When applicant worked with the licensee (employment dates shall be in mm/dd/yyyy format);
(iv) Whether employment was on a full or part-time basis, detailing the average weekly hours; and
(v) Where license supervision is required, a statement by the licensee that he or she directly supervised applicant's work.
(2) Social Security History of Earnings for the years applicant is claiming as experience reflecting wages appropriate for the trade.
(3) Where the code requires supervision in the installation of plumbing systems, the planning or design of plumbing systems, or the performance of fire suppression piping work, including the planning or design of fire suppression piping systems, evidence that the supervising licensees performed such work as demonstrated by permits, completed contracts or such other documentation as the Department may require.
(4) Where the applicant is self-employed, the applicant shall verify that he or she performed qualifying work by submitting documentation, including but not limited to personal and business tax returns, route sheets or work logs from the supervising licensee, contracts with customers, and statements from customers detailing the work the applicant performed and when that work was performed.
(5) Where the applicant did not receive monetary compensation from his or her employer as evidenced by payroll records, such as social security payments, income tax withholding or the disbursement of other funds as required by law for the benefit of such employee, the Department may consider such experience if the applicant can provide evidence of an employer-employee relationship. The applicant must provide a detailed explanation of the nature of the employer-employee relationship, which may include, but is not limited to, written agreements between the applicant and the employer, the employer's workers compensation records, time-keeping records, work logs, or other contemporaneous documentation as the Department may require.
(f) Fitness.
(1) An applicant for a license issued by the Department, other than a Master, Special or Tower Crane Rigger or Hoisting Machine Operator, must provide evidence of fitness to perform the work authorized by the license.
(2) An applicant for license renewal, other than a license for Master, Special or Tower Crane Rigger or Hoisting Machine Operator, must provide evidence of fitness to perform the work authorized to be performed by a holder of the license held or once held by the applicant. A renewal applicant must satisfy these requirements at every subsequent renewal.
(3) Such evidence of fitness must be on a form prescribed by the Commissioner and must establish that the applicant has passed a physical examination.
(4) The Department may also require that an applicant take a substance abuse test and provide evidence of a negative result for such test. Such evidence must include the name, address and telephone number of the laboratory that performed the test and consent to the release by such laboratory of the test results to the Department upon request of the Department.
(g) Investigation of applicant.
(1) The Department or its designee shall conduct an investigation of each applicant to determine the applicant's fitness and qualification for the license. The burden of proving that an applicant meets the required qualifications is on the applicant. An applicant's failure to meet the requirements specified by the Administrative Code or by the Department's rules, and/or an applicant's refusal to cooperate with an investigation, will result in denial of the license or certificate of competence.
(2) Applicants who refuse to provide all requested documents within six (6) months of the date of request shall be denied a license or certificate of competence.
(h) Issuance of license after approval.
(1) An applicant who passes an examination required pursuant to this rule, is found to have met the qualifications of § 28-401.6 of the Administrative Code, and has been investigated by the Department or its designee, shall receive a notice of approval from the Department.
(2) The applicant must furnish to the Department all requested forms, documents, and fees within one (1) year of the date of the Department's notice of approval. Failure to do so within the time specified will result in the denial of license issuance and will require a re-examination and reapplication.
(3) Upon issuance of a license, all applicants must provide proof in a form prescribed by the Department, that the business the applicant affixes to such license, is authorized to operate in the State of New York by the New York State Department of State.
(i) Reconsideration. An applicant who has been notified of failure to meet the fitness and qualification requirements and who has additional relevant information or documentation for the Department's review may request reconsideration. Such request for reconsideration must be in writing with a signature and addressed as the Commissioner may require. The request for reconsideration must state the title of the license, the applicant's name and return address, the date of the Department's denial and a detailed statement of the grounds for reconsideration with any supporting documentation. The Department must receive the request for reconsideration not later than sixty (60) days from the date of notification of the denial of the license.
(j) Denial of issuance. Failure to pay any outstanding fines, penalties or fees related to the individual's professional dealings with the City, within a specified time period, may result in the denial of the issuance of any license or registration.
(k) Change of address.
(1) Applicants must promptly notify the Department in writing of any address change that occurs after filing the license application.
(2) Failure to furnish such notification may result in denial of the license and the loss of the opportunity to complete subsequent portions of the license examination, including any tests or investigation.
(3) All applicants must have an agent for the acceptance of service of process or maintain a New York City address. A Post Office Box is not acceptable for such purposes. The name and address of the agent and any changes to such name or address must be filed with the Department. Failure to do so constitutes a waiver of challenge to service of process.
(l) Place of business.
(1) Where a licensee has a place of business in New York City, that location must comply with all applicable provisions of the Zoning Resolution.
(2) Pursuant to § 28-401.18 of Chapter 4 of Title 28 of the Administrative Code, a place of business in New York City is not required for holders of the following licenses:
(i) Concrete Safety Manager.
(ii) Construction Superintendent.
(iii) Filing Representative.
(iv) General Contractor.
(v) High-Pressure Boiler Operating Engineer.
(vi) Hoisting Machine Operator.
(vii) Lift Director.
(viii) Safety Registrant.
(ix) Site Safety Coordinator.
(x) Site Safety Manager.
(xi) Welder.
(3) A Licensed Master Plumber or Licensed Master Fire Suppression Piping Contractor must have a place of business within New York City and must display prominently to the public in the window of the place of business designated in his or her application or on a sign securely attached to the premises, the licensee’s full name with the words “Licensed Master Plumber” or “Licensed Master Fire Suppression Piping Contractor” and the Department-issued license number immediately thereunder. If the business is conducted under a trade name, or by a co-partnership or corporation, such trade name or co-partnership or corporation name must be placed immediately above the full name or names of the licensee(s) conducting the business as provided by §§ 28-408.6.2 and 28-410.7.2 of the Administrative Code.
(Amended City Record 2/14/2017, eff. 3/16/2017; amended City Record 3/4/2022, eff. 4/3/2022; amended City Record 4/29/2024, eff. 5/29/2024)
(a) The following categories of licensee are subject to the requirements set forth in this section:
(1) Elevator Agency Director.
(2) General Contractor.
(3) Master Electrician.
(4) Master Fire Suppression Piping Contractor.
(5) Master Plumber.
(6) Oil Burner Equipment Installer.
(7) Rigger (Master/Special/Tower Crane).
(8) Safety Registrants.
(9) Sign Hanger (Master/Special).
(10) Special Electrician (employer's coverage).
(b) Commercial general liability insurance.
(1) Each applicant for and holder of a license shall, at its expense, procure and maintain commercial general liability (CGL) insurance covering the types and scope of work performed under the license, which satisfies the requirements of this subdivision. All CGL insurance policies shall:
(i) Be issued by a company or companies that may lawfully issue the required policy and has an A.M. Best rating of at least A-VII or a Standard and Poor's rating of at least A;
(ii) Provide coverage at least as broad as set forth in the most recent edition of Insurance Services Office (ISO) Form CG 0001; and
(iii) Provide coverage of at least $1,000,000 (one million dollars) combined single limit per occurrence.
(2) Each applicant for and holder of a license shall provide proof of CGL insurance by submission of a certificate of insurance in a form satisfactory to the Department that:
(i) satisfies the requirements of subdivision (e) of this section;
(ii) identifies the insurance company that issued such insurance policy, the policy number, limit(s) of insurance, and expiration date; and
(iii) is accompanied by a sworn statement in a form prescribed by the Department from a licensed insurance broker certifying that the insurance certificate may be relied upon as accurate in all respects and that the insurance certificate thereon is in force.
(3) Any holder of a license who, during the term of the license, is issued any permit of the types set forth in Administrative Code § 28-105.2 shall cause the City, together with its officials and employees, to be named as an additional insured on the insurance required under this subdivision with regard to all work to be performed pursuant to all such permits. The City's coverage shall be at least as broad as set forth in the most recent edition of ISO Form CG 2012 or CG 2026.
(c) Workers' compensation insurance. Each applicant for and holder of a license shall, at its own expense, procure and maintain workers' compensation insurance, or a waiver of such insurance from the New York State Workers' Compensation Board, and shall submit proof thereof in a form acceptable to the Department and in compliance with subdivision (e) of this section. ACORD forms are not acceptable proof of workers' compensation coverage.
(d) Disability insurance. Each applicant for and holder of a license shall, at its own expense, procure and maintain disability insurance, or a waiver of such insurance from the New York State Workers' Compensation Board, and shall submit proof thereof in a form acceptable to the Department and in compliance with subdivision (e) of this section.
(e) Proof of insurance. Proof of insurance shall not contain any handwritten corrections and shall contain the following information:
(1) The applicant's or licensee's license, registration or tracking number(s);
(2) With regard to all workers' compensation or disability certificates, the applicant's or licensee's federal Employer Identification Number or social security number, and policy expiration date(s);
(3) The policy holder's business address (not a post office box) exactly as it appears on the Department's Buildings Information System ("BIS"); and
(4) New York City Department of Buildings, Attn: Licensing Unit, 280 Broadway, 6th Floor, New York, NY 10007 specified as a certificate holder.
(f) If, at any time after a license has been issued, any policy of insurance required by this section expires, is cancelled or otherwise terminates, the licensee shall notify the Department and procure, at its own expense, a renewal or replacement policy that fully complies with the requirements of this section and, prior to the date of such termination, submit proof thereof in conformity with the requirements of this section.
(g) Any applicant for or holder of a license shall provide a copy of any insurance policy secured in compliance with this section within thirty (30) days of a request for such policy by the Department or the New York City Law Department.
(h) A failure by the City or the Department to enforce any of the foregoing requirements shall not constitute a waiver of such requirement or any other requirement.
(Amended City Record 3/4/2022, eff. 4/3/2022; amended City Record 4/29/2024, eff. 5/29/2024)
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