(a) Scope. This section sets forth standards, requirements and procedures for issuance of company certificates, including blasting contractor, central station, commercial cooking exhaust system servicing, fireworks contractor, fumigation and insecticidal fogging operation, portable fire extinguisher sales, portable fire extinguisher servicing, pyrotechnic supplier, smoke detector maintenance company certificates, ARC system testing, and fire alarm system installation, inspection, testing and servicing.
(b) General Provisions.
(1) Minimum qualifications and general requirements. Applicants for company certificates shall meet the minimum qualifications and comply with the general requirements set forth in FC 115 and this section. Companies to which a company certificate has been issued, their principals and officers, shall maintain all qualifications and comply with all requirements throughout the term of the certificate.
(2) Inspection of facilities.
(A) All facilities maintained by company certificate applicants and holders are subject to Department inspection. Such inspection may be conducted for any purpose related to the enforcement of the requirements of this section, including but not limited to verifying that the company possesses such facilities and specialized equipment as may be required to perform the duties of business or activity requiring the company certificate.
(B) Facility inspections conducted in connection with original or renewal applications for a company certificate shall be conducted at the expense of the applicant, based on the fees set forth in FC Appendix A, plus reasonable travel expenses for facilities located outside of New York City.
(3) Agent for receipt of process. All applicants and certificate holders shall designate an agent located in New York City who is authorized to receive process on behalf of the company. The agent's designation shall provide that the service of process upon him or her shall confer personal jurisdiction over the company in any judicial or administrative proceeding or action. This provision shall not be construed to limit the parties upon whom, or manner by which, service may be effected in accordance with applicable law.
(4) Change of contact information. All applicants and certificate holders are required to promptly notify the Department of any change in the applicant's or certificate holder's address, telephone number and other contact information, and such other information as the Department may require.
(c) General Qualifications. The Department will grant an original or renewal application for a company certificate where the applicant possesses and satisfactorily demonstrates to the Department that the company, its principals and officers, possess the following qualifications:
(1) sufficient knowledge and experience in the business or activity requiring the company certificate to competently and safely engage in such business or activity, including one (1) or more principals or officers holding a certificate of fitness for such business or activity, where such certificate of fitness is required by the Fire Code or rules;
(2) the integrity and fitness to be responsible for performing duties affecting public safety;
(3) qualified staff and sufficient equipment and facilities to competently and safely perform the business or activity requiring the company certificate, including, where the company certificate is for the servicing of equipment, the manufacturer's servicing manuals; and
(4) maintenance of the liability insurance policy required by the Fire Code or rules.
(d) Special Qualifications. In addition to general qualifications set forth in 3 RCNY § 115-01(c), applicants for the following company certificates shall possess and satisfactorily demonstrate to the Department that the company, its principals and officers, possess the following qualifications:
(1) Blasting contractor certificates.
(A) The company shall possess all licenses and other approvals required by the Bureau of Alcohol, Tobacco, Firearms and Explosives of the United States Department of Justice.
(B) One (1) or more principals or officers of the company shall hold a certificate of fitness for blasting operations, or a certificate of fitness for blasting assistant, except, where the company only conducts blasting operations involving five (5) pounds or less of explosives, one (1) or more principals or officers may, in lieu of holding such certificate, have a minimum of two (2) years' experience in construction activities involving blasting operations.
(2) Central station certificate of operation.
(A) The central station company shall have been listed or otherwise shall have been approved by a nationally-recognized testing laboratory as a central station, or equivalent.
(3) Fireworks contractor certificates.
(A) One (1) or more principals or officers of the company shall hold a certificate of fitness for fireworks displays.
(B) One (1) or more principals or officers of the company shall have a minimum of two (2) years' experience in conducting legal fireworks displays.
(4) Fumigation and thermal insecticidal fogging operations company certificates.
(A) One (1) or more principals or officers of the company shall have a minimum of two (2) years' experience in fumigation and thermal insecticidal fogging operations.
(5) Portable fire extinguisher sales company certificates.
(A) One (1) or more principals or officers of the company shall hold a certificate of fitness for portable fire extinguisher sales.
(6) Portable fire extinguisher servicing company certificates.
(A) One (1) or more principals or officers of the company shall have a minimum of two (2) years' experience in portable fire extinguisher servicing and hold a certificate of fitness for portable fire extinguisher servicing.
(B) The company shall possess the tools, materials, equipment, facilities and servicing manuals specified in Chapter 7 of NFPA 10 to service portable fire extinguishers.
(7) Smoke detector maintenance company certificates.
(A) The company is listed as a fire alarm service organization by a national testing laboratory, or is an authorized smoke detector service company for a smoke detector manufacturer.
(B) One (1) or more principals or officers of the company holds a license to engage in the business of installing, servicing and maintaining fire alarm systems, issued by the New York Secretary of State pursuant to Article 6-D of the New York State General Business Law, or is a master electrician licensed by the Department of Buildings and registered with the New York Secretary of State in accordance with such Article 6-D.
(C) One (1) or more principals or officers of the company has received Level II certification in fire alarm systems from the National Institute for Certification in Engineering Technologies (NICET).
(8) ARC system testing company certificates.
(A) One (1) or more principals or officers of the company shall hold a General Radiotelephone Operator License issued by the FCC pursuant to 47 C.F.R. Part 90.
(9) Commercial cooking exhaust system servicing company certificates.
(A) One (1) or more principals or officers shall have a minimum of five (5) years' experience in the cleaning of commercial cooking exhaust systems.
(B) One (1) or more principals or officers shall hold a certificate of fitness for commercial cooking exhaust system servicing technician.
(C) The company shall have in its employ at least two (2) persons to conduct commercial cooking exhaust system cleaning and servicing. Each such person shall hold the certificate of fitness for commercial cooking exhaust system servicing technician required to conduct such cleaning and servicing. The principal(s) holding such certificate of fitness may be counted toward such minimum staffing requirement only if the principal(s) will be personally conducting such cleaning and servicing.
(D) The company shall possess all tools, materials and equipment required to safely clean and service commercial cooking exhaust systems, including ladders, lighting equipment, scraping and washing equipment, cleaning materials, and vehicle(s) marked with the company name and company certificate number.
(10) fire alarm system installation, inspection, testing and servicing.
(A) One (1) or more principals of the company shall be a fire alarm system installer registered with or licensed by the State of New York, who is certified by the National Institute for Certification in Engineering Technologies (NICET) to at least Level II in fire alarm systems; or
(B) One (1) or more principals of the company shall be a fire alarm system installer registered with or licensed by the State of New York, who holds a certificate of fitness as a fire alarm system installation, inspection, testing and servicing principal; or
(C) One (1) or more principals of the company shall be a master electrician or special electrician licensed by the Department of Buildings.
(e) General Application Requirements. Applicants for a company certificate shall submit all information and documentation necessary or appropriate to establish their eligibility for issuance of such certificate in accordance with FC 115, this section and the rules.
(1) Application forms and information. Information relating to company certificate requirements and application procedures, including application forms, may be obtained from the Department's web site, www.nyc.gov/fdny, and from the Licensing Unit of the Bureau of Fire Prevention, Fire Department Headquarters, 9 MetroTech Center, 1st Floor, Brooklyn, NY 11201-3857.
(2) Submission of applications. Original applications for company certificates shall be filed in person with the Licensing Unit of the Bureau of Fire Prevention. Renewal certificate applications may be filed in person or by mail, except as may be otherwise specified by the Department.
(3) Incomplete applications. The Department reserves the right not to accept for filing any application that is incomplete or otherwise deficient, including any application that is submitted without the required supporting documentation or application fee. The Department will provide the applicant notice of any application that is not accepted, and, except for applications determined to be fraudulent, shall afford the applicant a reasonable time to correct or supplement such application. Original applications not corrected or supplemented within 30 days of being notified will be deemed abandoned.
(4) Identification. Applicants for an original company certificate shall provide two (2) pieces of picture identification satisfactory to the Department, such as a driver's license, passport or employee identification card. The Department reserves the right to require additional identification.
(5) Photographs. All applicants for an original company certificate will be photographed by the Department for identification purposes. The Department may require a company certificate holder filing for renewal of their certificate to report to the Department to be photographed. Failure to comply with such a notice constitutes grounds for non-renewal of the certificate. In lieu of, or in addition to, such photographs, the Department may require submission of two passport-size photographs in connection with an original or renewal company certificate application.
(6) Fees. Application fees relating to company certificates shall be as set forth in FC Appendix A and the rules. Except as otherwise authorized by the Department, fees shall be paid in cash, check or money order payable to the "New York City Fire Department."
(7) Applicants delinquent on child support payments. In accordance with the United States Social Security Act, 42 U.S.C. § 666(a)(13), and New York State General Obligations Law § 3-503, applications for original or renewal company certificates will be reviewed for compliance of its principals and officers with child support obligations and will be denied when required by such laws when one (1) or more of such principals or officers has been identified by the Office of Child Support Enforcement of the New York City Human Resources Administration (or any successor agency) as delinquent on child support payments. The principals and officers of applicants for company certificates will be required to disclose their social security numbers for purposes of such review.
(8) Original applications. Applications for a company certificate shall include the following information and documentation, and such other information and documentation as the Department may require:
(A) A list of all principals and officers of the company, and their prior experience in the business or activity requiring the company certificate, including the names and addresses of all companies with which such principals and officers have been employed or otherwise affiliated in the five-year period prior to the date of filing;
(B) A list of all federal, state, or local licenses or certificates issued to such company, its principals or officers, in the five-year period prior to the date of filing, that authorize such company or its principals or officers to engage in the business or activity requiring the company certificate, or similar business or activity. A copy of each such license and certificate shall be included with the application;
(C) A list of its offices, facilities and any specialized equipment required to engage in the business or activity requiring the company certificate;
(D) A roster of the certificate of fitness holders who will be working under the company certificate, including their names and certificate of fitness numbers;
(E) A copy of any and all violations, judgments, convictions and penalties issued to or entered against the company, its principals and officers, in the five-year period prior the date of filing relating to the business or activity requiring the company certificate, or similar business or activity, or relating to the offering or receiving of a bribe or unlawful gratuity. A copy of the charges, pleadings, adjudications and certificates of disposition from any such civil or criminal proceeding shall be included with the application;
(F) A list of any permits issued to the company, its principals or officers, including the Department account numbers; and
(G) The name, address and contact information for the agent for receipt of process required by 3 RCNY § 115-01(b)(3).
(9) Renewal applications. Renewal applications shall disclose any changes in the company's principals and officers, offices and facilities, roster of certificate of fitness holders, and permits; disclose any violations, judgments, criminal convictions and penalties since the last date of filing; and include a copy of all current licenses and certificates.
(f) Special Application Requirements. In addition to the general application requirements set forth in 3 RCNY § 115-01(e), applications for the following company certificates shall include the following information and documentation:
(1) Central station certificates of operation. Applicants for such a company certificate shall include a copy of the listing or approval required by 3 RCNY § 115-01(d)(2);
(2) Fireworks contractor certificates. Application for such a company certificate shall include a list of the fireworks displays conducted by the company, its principals or officers, in the three-year period prior to the date of filing, setting forth the date and location of such fireworks displays, and the number and types of fireworks discharged, including proof satisfactory to the Department that the company, its principals or officers, have safely conducted fireworks displays in urban or other confined settings comparable to those found in New York City;
(3) Portable fire extinguisher servicing company certificates. Application for such a company certificate shall include a list of any other portable fire extinguisher servicing company certificate holders that will be performing services on behalf of the applicant in connection with the servicing of portable fire extinguishers, including a copy of the written agreement between such companies.
(g) General Insurance Requirements.
(1) Except as may be otherwise required by the Fire Code or the rules, applicants for, and holders of, a company certificate shall maintain a liability insurance policy in an amount not less than five hundred thousand dollars ($500,000), issued by an approved insurance company that is licensed to do business in New York State and has an A.M. Best rating of A- or better.
(2) Such liability policy shall provide insurance coverage in the event of any death, injury, damage or other loss to persons or property arising from the conduct of the business or activity requiring the company certificate. Such coverage shall be at least as broad as that set forth in the edition of ISO Form CG 0001 most recently published as of the time coverage is obtained, and shall include completed operations.
(3) The Department may relieve the holder of a company certificate of the obligation to maintain the liability insurance policy required by this section if the certificate holder makes a written request to the Department to place its company certificate in "Not in Use" (inactive) status, and the Department grants such request. The holder of the company certificate shall not engage in any business or activity requiring the company certificate while its certificate is in such "Not in Use" status, and shall not resume any such business or activity unless and until a written request has been made to the Department to restore such company certificate to active status, together with proof of compliance with the liability insurance policy required by the Fire Code, the rules or this section, and the certificate is restored by the Department to active status.
(4) ARC system testing company certificates. Application for such a company certificate shall include:
(A) a list of the ARC systems, or other in-building radio communication systems, installed and/or tested by the company, its principals or officers, in the three-year period prior to the date of filing, including the addresses of the buildings in which such systems were installed and/or tested and the dates of such installation and/or testing;
(B) documentation of any enforcement action taken by FCC or other governmental authority with respect to an FCC General Radiotelephone Operator License or other radio communication-related license or permit held or formerly held by any principal or officer of the company in the five-year period prior to filing;
(C) a request, in a form approved by the Department, for Department approval to purchase two (2) or more portable radios of the type utilized by Department personnel, and for Department programming of such portable radios to operate on radio frequencies licensed by the FCC to the City of New York, solely for purposes of the company certificate holder's testing of ARC systems; and
(D) A written agreement, executed by a principal or officer of the company, in the form specified by the Department, that sets forth terms and conditions for use, by the company and its personnel, of portable radios that operate on Department frequencies, including compliance with FCC regulations and other applicable, laws, rules and regulations, and the authority of the Department to direct the company and its personnel to immediately discontinue operating on the frequencies and to submit the company's portable radios to the Department for removal of Department programming.
(h) Special Insurance Requirements. In addition to the general insurance requirements set forth in 3 RCNY § 115-01(g), applicants for, and holders of, the following company certificates shall comply with the following insurance requirements:
(1) Blasting contractor certificates. Applicants for, and holders of, blasting contractor certificates shall maintain a liability insurance policy in an amount not less than five million dollars ($5,000,000). Such insurance policy shall name the City of New York and the New York City Fire Department as additional insured parties, provide that the limit of coverage applicable to the named insured is equally applicable to the additional insured parties, and shall provide for notice to the Department at least thirty (30) days prior to any cancellation or termination of such policy. Such insurance policy shall provide coverage at least as broad as set forth in the most recent edition of ISO Forms CG 2012 or CG 2026.
(2) Fireworks contractor certificates. Applicants for, and holders of, fireworks contractor certificates shall maintain a liability insurance policy in an amount not less than two million dollars ($2,000,000). Such insurance policy shall name the City of New York and the New York City Fire Department as additional insured parties, provide that the limit of coverage applicable to the named insured is equally applicable to the additional insured parties, and shall provide for notice to the Department at least thirty (30) days prior to any cancellation or termination of such policy. Such insurance policy shall provide coverage at least as broad as set forth in the most recent edition of ISO Forms CG 2012 or CG 2026.
(i) Misconduct. In addition to any other penalties provided by law, misconduct on the part of a company that is applying for, or holds, a company certificate, and/or its principals or officers, shall be grounds for denial, non-renewal, suspension or revocation of a company certificate, and/or any other Department certificates held by the principals or officers of the company. Such misconduct includes, but is not limited to:
(1) the failure of a holder of a company certificate, its principals or officers, to properly discharge the duties of such certificate, including failing to properly supervise the work being conducted such certificate;
(2) any false and fraudulent conduct in connection with an application for a company certificate or the duties of a company certificate holder, including:
(A) any false or fraudulent statement or submission; and
(B) any unauthorized alteration or use of a company certificate or possession of any fraudulent company certificate;
(3) any other unlawful or unsafe conduct that bears on the integrity or reliability of an applicant or company certificate holder, its principals or officers;
(4) the failure to maintain the liability insurance policy required by the Fire Code or the rules;
(5) the failure to obtain or maintain any license or other approval required by a federal, state or City agency to engage in the business or activity requiring the company certificate;
(7) misrepresenting the company, its principals, officers or employees, to be Department officials, employees or agents, including representing that the company, its principals, officers or employees, possess the authority to enforce the Fire Code or the rules, or wearing the uniform or insignia of the Department or similar attire or insignia that may mislead the public; or
(8) with respect to portable fire extinguisher sales company certificates required for persons engaged in the business of selling portable fire extinguishers door-to-door, to sell, offer for sale or otherwise provide to the owner of buildings or businesses, for use on their premises, any portable fire extinguisher for a particular occupancy or use, when such portable fire extinguisher is no longer approved for such occupancy or use and/or would not be in compliance with the portable fire extinguisher requirements for such occupancy or use set forth in the Fire Code or the rules.
(Amended City Record 12/1/2015, eff. 1/1/2016; amended City Record 4/18/2018, eff. 5/18/2018; amended City Record 10/16/2020, eff. 12/1/2020)