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When do you need a Certificate of Compliance - Equipment Use Permit?

Certificate of Compliance for Service Equipment: Update In accordance with §28-116.4.1 specified service equipment shall not be operated until the Department issues a Certificate of Compliance (formerly called the Equipment Use Permit). The Certificate of Compliance may only be issued after the submission of a satisfactory report of inspection and testing of such equipment. Required inspections were performed by Department inspectors or registered design professionals for the following types of service equipment: 

Air conditioning systems* 

Ventilating systems  Refrigeration system* 

Heating system (not including boilers). *

Including cooling towers

27-184 (26-116.5) EXEMPTIONS FROM PERMIT REQUIREMENT. An equipment work permit shall not be required in any of the following cases: (a) Air-Conditioning and Ventilating Systems – Where the system is a voluntary system serving only one floor of a building and:

  1. Does not use lot line windows for the intake or exhaust of air or the mounting of equipment.

  2. Is not installed in any public hallway, passageway, or stairway.

  3. Does not in any way reduce the ventilation of any room or space below that required by code provisions.

  4. Does not penetrate any fire division, roof, floor, or wall (except that a packaged air-conditioning unit not exceeding 3 tons rated capacity may be used in windows or in sleeves under windows, provided that health, fire and/or structural safety is not thereby impaired).

Therefore, only a packaged unit (under 3 tons) that fits in a window or wall sleeve, is exempt from the EUP requirement. Any split system, even if it is under 3 tons, will almost always need an EUP as refrigerant piping will likely penetrate a fire division, wall or roof.

When an Equipment Use Permit is required, it will need to be confirmed that the nameplate information, of the equipment installed on site, matches what is shown on the DOB approved plans. If it doesn’t, a Post Approval Amendment will need to be filed to show the as-built equipment information and demonstrate the required energy code compliance. Upon verification of the equipment information on the DOB approved plans and completion of the necessary special and progress inspections, the Equipment Use Permit and application is signed by the design applicant and the inspector. A copy of the EUP must be posted on the equipment prior to operation. Failure to have the EUP cards on site will result in the issuance of violations and fines by the Department of Buildings or the FDNY.

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