Did you receive a violation from the FDNY for Failed to submit / provide Certificate of Compliance in accordance with section 28-116-4.1 of the NYC Department of Buildings Code and 105.3.9 of the NYC Fire Code for Air Conditioning units?
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You will receive an FDNY summons if HVAC equipment is observed without an equipment-use permit (EUP Card).
TLDR; Only packaged HVAC units which are 3-Tons (36,000 BTU) or less and fit in a window or in a wall sleeve are exempt from the EUP Equipment Use Permit / Certificate of Compliance Requirement.
Section 28-116.4.1
§28-116.4.1 Issuance of certificate of compliance. The following types of service equipment shall not be operated until the department issues a certificate of compliance after submission of a satisfactory report of inspection and testing of such equipment in accordance with this code and all required submittal documents: 1. Air-conditioning and ventilation systems 2. Elevators, escalators, moving walkways and dumbwaiters 3. Fuel burning and fuel-oil storage equipment 4. Refrigeration systems 5. Heating systems 6. Boilers. Exception: A certificate of compliance shall not be required in connection with work specifically exempted from permit requirements in accordance with this code or department rules.
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:
Does not use lot line windows for the intake or exhaust of air or the mounting of equipment.
Is not installed in any public hallway, passageway, or stairway.
Does not in any way reduce the ventilation of any room or space below that required by code provisions.
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).
Only packaged units which are 3-Tons (36,000 BTU) or less which fits in a window or in a wall sleeve are exempt.
Example: a 2-Ton (24,000 BTU) split system with a condensing unit on the roof and indoor air-handling unit penetrates a fire division, roof, or wall with refrigeration piping would require an Equipment-Use Permit.
1. Air conditioning and ventilating systems. Air conditioning and ventilating system installed as a voluntary system, serving only one floor of a building, and that:
(1) does not use lot line openings for the intake or exhaust of air or the mounting of equipment; and
(2) is not installed in any public hallway, passageway, or stairway; and
(3) does not in any way reduce the ventilation of any room or space below that required by code provisions; and
(4) does not penetrate any fire division, roof, floor, or wall.
Does not require a permit
2. Packaged air-conditioning unit. Packaged air-conditioning unit not exceeding 3 tons rated capacity, installed in an existing building, including installations in existing windows or in existing sleeves under windows, and that is not part of an alteration that otherwise requires a permit.
Does not require a permit
EUP Requirements:
Applicant is to be a Professional Engineer (P.E.) or Registered Architect.
• Provide the manufacturer’s name for each item
• Indicate the floor where the equipment will be installed
• Indicate the total number of items with identical specifications
• Provide the approval number (s) assigned by the Department of Buildings Material and Equipment Acceptance Division, the Board of Standards and Appeal and the serial number of the equipment.
• Provide the capacity of the equipment in BTU’s per hour
Applicant shall sign the Statements and Signatures. Owner shall sign the Statements and Signatures authorizing the applicant to perform the work.
Equipment Use Permit Cards are issued by the NYC Department of Buildings, and the Fire Department (FDNY) is notified of all equipment that receives an EUP Card.
Equipment Use Permit Cards must match information shown on DOB-approved plans. If it doesn’t, a Post Approval Amendment (PAA) 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.