Certificates of Compliance
Various types of equipment and machinery are used in buildings to provide safe and comfortable conditions for residents and occupants. New York City regulates the installation and operation of certain service equipment through the Department of Buildings (DOB). Equipment generally may not be operated until DOB has issued a Certificate of Compliance (CoC) (FKA “Equipment Use Permit/EUP”) following the required inspection, testing, and submission of the required documentation.
What Equipment Requires a Certificate of Compliance?
NYC Administrative Code §28-116.4.1 identifies the following categories of service equipment that may not be operated until DOB issues a Certificate of Compliance:
Air-conditioning, ventilation, and exhaust systems
Elevators, escalators, moving walkways, and dumbwaiters
Fuel-burning and fuel-oil storage equipment
Refrigeration systems
Heating systems
Boilers
A Certificate of Compliance is not required for work that is specifically exempt from permit requirements under the Construction Codes or DOB rules.
Air-Conditioning and Ventilating System Exemptions
The current exemptions are listed in 1 RCNY §101-14, Table 2, Section II — Service Equipment. The principal exemptions applicable to air-conditioning and ventilation are:
1. Voluntary air-conditioning and ventilating systems
A voluntary air-conditioning or ventilating system may be installed without a permit when the following conditions are satisfied:
- It serves only one floor of a building
It does not use lot-line openings for intake or exhaust of air or for mounting equipment
It is not installed in a public hallway, passageway, or stairway
It does not reduce the ventilation of another room or space
It does not penetrate a fire division, roof, floor, or wall
If the proposed system does not satisfy all these conditions, the exemption does not apply.
2. Packaged air-conditioning units
The DOB states that a common packaged air-conditioning unit not exceeding 3 tons rated capacity may be exempt when it is:
Installed in an existing building and in an existing window or sleeve under a window
Not part of an alteration that otherwise requires a permit.
Split Systems
A typical split-system installation generally does not qualify for the exemption due to the fact that any penetration of a wall, floor, roof, or fire division prevents the system from satisfying the requirements.
Therefore, the applicable permitting and Certificate of Compliance should be determined based on the complete installation, including its location, capacity, penetrations, ventilation, and whether the work is part of another alteration requiring a permit.
Simply stated, any package system under 3 tons and which fits in a window or in a wall sleeve is exempt. A split system which is on a roof, or penetrates any fire division, roof, or wall requires a CoC.
Application and Inspection Process
For work requiring a CoC, the equipment is incorporated into the applicable DOB filing and the required PW4 — Application for Certificate of Compliance for Equipment is submitted. The required inspections and tests must be completed in accordance with Construction Code provisions and DOB rules.
A plan examiner reviews the CoC Application and compares the data to the approved plans. If the data is consistent, it is approved for issuance of a permit. The application is then given to a clerk for review and issuance.
The Certificate of Compliance is issued only after the required inspection/testing reports and other required submittal documents have been satisfactorily submitted. The equipment should not be operated before the required Certificate of Compliance has been issued.
Once obtained, the Certificate of Compliance should be maintained and posted in accordance with DOB requirements.
Obtainment or exemption from a CoC does not eliminate other requirements applicable to the installation. The DOB notes that work exempt from a DOB permit must still comply with other applicable laws and rules, including requirements enforced by other City agencies.