Title 15: Department of Environmental Protection

Chapter 1: Asbestos Control Program

Subchapter A: Purpose, Scope, Application, Definitions and Variances

§ 1-00 Purpose.

The purpose of these rules is to protect public health and the environment by minimizing the emission of asbestos fibers into the air of the City when buildings or structures with asbestos-containing material are renovated, altered, repaired, or demolished by ensuring that asbestos-containing material is handled appropriately and by individuals qualified to do so.

§ 1-01 Scope and Application.

(a) The following asbestos control program rules, 15 RCNY §§ 1-01 et seq., shall apply to all asbestos abatement activities occurring within the City of New York.
  1. Every owner of a building where asbestos abatement activity occurs shall be responsible for the performance of the asbestos abatement activities by his/her agent, contractor, employee, or other representative.
  2. Every contractor and worker engaged in asbestos abatement activities shall comply with the provisions of this chapter except as otherwise specified.
  3. Every investigator engaged to identify the presence and evaluate the condition of asbestos in a building or structure shall comply with the provisions of this chapter except as otherwise specified.
  4. No person shall knowingly make a false statement or submit a false document to the Department as to any matter concerning an asbestos project or any document required to be filed under these rules.
  5. The department may inspect at a reasonable time and in a reasonable manner anything which affects or may affect the emission or release of asbestos fibers or the disturbance of asbestos-containing material, including but not limited to the premises where an asbestos project is being conducted, or the premises for which a notification has been filed under 15 RCNY § 1-21 - 15 RCNY § 1-26 of these Rules, or the premises where an application has been filed with the Department of Buildings for a plan or permit approval.
  6. No person shall interfere with or obstruct any employee of the Department in the performance of their official duties, including but not limited to the performance of inspections.
  7. No person who holds a certificate issued pursuant to these rules shall engage in unprofessional conduct. Unprofessional conduct shall include but is not limited to:

   (1) Failure to comply with provisions of Federal, State or local laws, rules, or regulations.

   (2) Conduct in asbestos inspections, assessment, abatement activities, air sampling, etc. which evidences moral unfitness.

   (3) Making or filing a false report, or failing to file a report required by these rules or impeding or obstructing such filing, or inducing another person to do so.

  1. The size (amount of material to be disturbed or, in the case of cleanups, the dimensions of the area to be cleaned) and scope of the overall project shall control the notification to be filed and work procedures to be followed. The requirements set forth in these rules may not be avoided or lessened through the performance of work in increments or piecemeal fashion.
  1. (1)  Any person, including but not limited to contractors, building owners, and air monitoring companies, who is in violation of or fails to comply with any provision of these rules or the terms and conditions of any variance issued pursuant to these rules shall be subject to the issuance of notice(s) of violation and other civil and criminal enforcement actions pursuant to Title 24, Chapter 1, Subchapter 9 of the Administrative Code of the City of New York.

   (2) The maximum civil penalty for any violation of a lettered subsection of these rules, pursuant to a notice of violation returnable before the Environmental Control Boardof the Office of Administrative Trials and Hearings, shall be $10,000, except that a violation of 15 RCNY § 1-26 shall carry a maximum penalty of $15,000.

   (3) DEP may block an asbestos investigator from filing an Asbestos Assessment Report (Form ACP5) or deny any application for an asbestos abatement permit pursuant to 15 RCNY § 1-26, or a variance application pursuant to 15 RCNY § 1-03, where any party to the asbestos project, including but not limited to the abatement contractor, building owner, or air monitoring company, has docketed, unpaid civil penalties imposed by the Environmental Control Board of the Office of Administrative Trials and Hearings for violations of these rules, sections 24-136 and 24-138 of the Administrative Code, or NYSDOLICR 56.

§ 1-02 Definitions.

Abatement. “Abatement” shall mean any and all procedures physically taken to control fiber release from asbestos-containing materials. This includes removal, encapsulation, enclosure, cleanup and repair.

Abatement activities. “Abatement activities” shall mean all activities from the initiation of work area preparation through successful clearance air monitoring performed at the conclusion of an asbestos project or minor project.

Adequately wet. “Adequately wet” shall mean the complete penetration of a material with amended water to prevent the release of particulates. If visible emissions are observed coming from asbestos-containing material, then the material has not been adequately wetted. However, the absence of visible emissions is not evidence of being adequately wet. ACM must be fully penetrated with the wetting agent in order to be considered adequately wet. If the ACM being abated is resistant to amended water penetration, wetting agent shall be applied to the material prior to and during removal as necessary to minimize fiber release.

Aggressive sampling. “Aggressive sampling” shall mean a method of sampling in which the individual collecting the air sample creates activity by the use of mechanical equipment during the sampling period to stir up settled dust and simulate activity in that area of the building.

AHERA. “AHERA” shall mean the Asbestos Hazard Emergency Response Act of 1986.

AIHA. “AIHA” shall mean the American Industrial Hygiene Association.

Airlock. “Airlock” shall mean a system for permitting entrance and exit while restricting air movement between a contaminated area and an uncontaminated area. It consists of two curtained doorways separated by a distance of at least three feet such that one passes through one doorway into the airlock, allowing the doorway sheeting to overlap and close off the opening before proceeding through the second doorway, thereby preventing flow-through contamination.

Air sampling. “Air sampling” shall mean the process of measuring the fiber content of a known volume of air collected during a specific period of time. The procedure utilized for asbestos follows the NIOSH Standard Analytical Method 7400 or the provisional transmission electron microscopy methods developed by the USEPA and/or National Institute of Science and Technology which are utilized for lower detectability and specific fiber identification.

Ambient air monitoring. “Ambient air monitoring” shall mean measurement or determination of airborne asbestos fiber concentrations outside but in the general vicinity of the worksite.

Amended water. “Amended water” shall mean water to which a surfactant has been added.

Amendment. “Amendment” shall mean a form submitted to modify the asbestos project notification (Form ACP7) by changing information that was provided when the ACP7 was originally filed.

ANSI. “ANSI” shall mean the American National Standards Institute.

Area air sampling. “Area air sampling” shall mean any form of air sampling or monitoring where the sampling device is placed at some stationary location.

Asbestos. “Asbestos” shall mean any hydrated mineral silicate separable into commercially usable fibers, including but not limited to chrysotile (serpentine), amosite (cumingtonite-grunerite), crocidolite (riebeckite), tremolite, anthrophyllite and actinolite.

Asbestos-containing material. “Asbestos-containing material” (ACM) shall mean asbestos or any material containing more than one percent asbestos.

Asbestos-containing waste material. “Asbestos-containing waste material” shall mean asbestos-containing material or asbestos-contaminated objects requiring disposal.

Asbestos-contaminated objects. “Asbestos-contaminated objects” shall mean any objects which have been contaminated by asbestos or asbestos-containing material.

Asbestos assessment report. “Asbestos assessment report” shall mean the “Form ACP-5” form, as approved by DEP, by which a DEP-certified asbestos investigator certifies that a building or structure (or portion thereof) is free of ACM or the amount of ACM to be abated constitutes a minor project.

Asbestos handler. “Asbestos handler” shall mean an individual certified by the Department who disturbs, removes, encapsulates, repairs, or encloses asbestos material.

Asbestos handler supervisor. “Asbestos handler supervisor” shall mean an individual certified by the Department who supervises the handlers during an asbestos project and ensures that proper asbestos abatement procedures as well as individual safety procedures are being adhered to.

Asbestos project notification. “Asbestos project notification” shall mean the “Form ACP-7” asbestos project notification form as approved by DEP.

Asbestos investigator. “Asbestos investigator” shall mean an individual certified by the Commissioner as having satisfactorily demonstrated his or her ability to identify the presence and evaluate the condition of asbestos in a building or structure.

Asbestos project. “Asbestos project” shall mean any form of work performed in a building or structure or in connection with the replacement or repair of equipment, pipes, or electrical equipment not located in a building or structure which will disturb (e.g., remove, enclose, encapsulate) more than 25 linear feet or more than 10 square feet of asbestos-containing material.

ASTM. “ASTM” shall mean the American Society For Testing and Materials.

Authorized visitor. “Authorized visitor” shall mean the building owner and his/her representative, and any representative of a regulatory or other agency having jurisdiction over the project.

Bound Notebook. “Bound notebook” shall mean a notebook manufactured so that the pages cannot be removed without being torn out. A loose-leaf binder is not a bound notebook.

Building owner. “Building owner” shall mean the person in whom legal title to the premises is vested unless the premises are held in land trust, in which instance building owner means the person in whom beneficial title is vested.

Building materials. “Building materials” shall mean any and all materials listed as Presumed Asbestos Containing Materials (PACM) and Suspect Miscellaneous ACM in NYSDOL ICR 56, including but not limited to interior and exterior finishes, equipment, plaster, roofing, flooring, caulking, sealants, tiles, insulation, and mortar and refractory bricks used in the construction of boilers.

Certified industrial hygienist. “Certified industrial hygienist” (CIH) shall mean an individual who is currently certified by the American Board of Industrial Hygiene.

Certified safety professional (CSP). “Certified safety professional” (CSP) shall mean an individual having a bachelor’s degree from an accredited college or university and a minimum of four years experience as a safety professional and who has successfully completed both levels of the examination administered by the Board of Certified Safety Professionals and who is currently certified by that Board.

Chain of custody. “Chain of custody” shall mean the form or set of forms that document the collection and transfer of a sample, which must reflect the time and date of all transfers of that sample and identify each person that handles that sample by such person’s printed full name and signature.

Clean room. “Clean room” shall mean an uncontaminated area or room which is part of the worker decontamination enclosure system with provisions for storage of workers’ street clothes and protective equipment.

Clearance air monitoring. “Clearance air monitoring” shall mean the employment of aggressive sampling techniques with a volume of air collected to determine the airborne concentration of residual fibers, and shall be performed as the final abatement activity.

Commissioner. “Commissioner” shall mean the Commissioner of the New York City Department of Environmental Protection.

Containerize. “Containerize” shall mean the placing of asbestos-containing material in an acceptable container for disposal, as specified by these rules.

Contractor. “Contractor” shall mean a public authority or any other governmental agency or instrumentality thereof, self-employed person, company, unincorporated association, firm, partnership or corporation and any owner or operator thereof, which engages in an asbestos project or employs persons engaged in an asbestos project.

Curtained doorway. “Curtained doorway” shall mean a device which consists of at least three overlapping sheets of fire retardant plastic over an existing or temporarily framed doorway. One sheet shall be secured at the top and left side, the second sheet at the top and right side, and the third sheet at the top and left side. All sheets shall have weights attached to the bottom to ensure that the sheets hang straight and maintain a seal over the doorway when not in use.

Decontamination enclosure system. “Decontamination enclosure system” shall mean a series of connected rooms, separated from the work area and from each other by air locks, for the decontamination of workers, materials, waste containers, and equipment.

Demolition. “Demolition” shall mean the dismantling or razing of a building, including all operations incidental thereto (except for asbestos abatement activities), for which a demolition permit from the New York City Department of Buildings is required.

Department or DEP. “Department” or “DEP” shall mean the New York City Department of Environmental Protection.

Disturb. “Disturb” shall mean any action taken which may alter, change, or stir, such as but not limited to the removal, encapsulation, enclosure or repair of asbestos-containing material.

DOB. “DOB” shall mean the New York City Department of Buildings.

ELAP. “ELAP” shall mean the Environmental Laboratory Approval Program administered by the New York State Department of Health.

Electronic Recordkeeping System. “Electronic recordkeeping system” shall mean an electronic system in which records are collected, organized, and categorized to facilitate their preservation and use, by utilizing a format and a reliable media that enables future retrieval of these records.

Encapsulant (sealant) or encapsulating agent. “Encapsulant (sealant) or encapsulating agent” shall mean liquid material which can be applied to asbestos-containing material which temporarily controls the possible release of asbestos fibers from the material or surface either by creating a membrane over the surface (bridging encapsulant) or by penetrating into the material and binding its components together (penetrating encapsulant). A thin coat of lockdown encapsulant shall be applied to all surfaces in the work area which were not the subject of removal or abatement, including the cleaned layer of the surface barriers, but excepting sprinklers, standpipes, and other active elements of the fire suppression system.

Encapsulation. “Encapsulation” shall mean the coating or spraying of asbestos-containing material with an encapsulant. A thin coat of lockdown encapsulant shall be applied to all surfaces in the work area which were not the subject of removal or abatement, including the cleaned layer of the surface barriers, but excepting sprinklers, standpipes, and other active elements of the fire suppression system.

Enclosure. “Enclosure” shall mean the construction of airtight walls and ceilings between the ACM and the facility environment, or around surfaces coated with ACM, or any other appropriate procedure as determined by the Department which prevents the release of asbestos fibers.

EPA. “EPA” or “USEPA” shall mean the United States Environmental Protection Agency.

Equipment room. “Equipment room” shall mean a contaminated area or room which is part of the worker decontamination enclosure system with provisions for the storage of contaminated clothing and equipment.

Exit. “Exit” shall mean that portion of a means of egress system which is separated from other interior spaces of a building or structure by fire-resistance-rated construction to provide a protected path of egress travel between the exit access and the exit discharge.

Exit Passageway. “Exit passageway” shall mean a horizontal extension of a vertical exit, or a passage leading from a yard or court to an open exterior space.

FDNY. “FDNY” shall mean the Fire Department of the City of New York.

Fiber. “Fiber” shall mean an acicular single crystal or a similarity elongated polycrystalline aggregate which displays some resemblance to organic fibers by having such properties as flexibility, high aspect ratio, silky luster, axial lineation, and others, and which has attained its shape primarily through growth rather than cleavage.

Fixed object. “Fixed object” shall mean a unit of equipment, furniture, or other item in the work area which cannot be removed from the work area. Fixed objects shall include equipment, furniture, or other items that are attached, in whole or in part, to a floor, ceiling, wall, or other building structure or system or to another fixed object and cannot be reasonably removed from the work area. Fixed objects shall also include pipes and other equipment inside the work area which are not the subject of the asbestos project. Active fire suppression system components shall not be considered fixed objects.

Glovebag technique. “Glovebag technique” shall mean a method for removing asbestos-containing material from heating, ventilation and air conditioning (HVAC) ducts, short piping runs, valves, joints, elbows, and other nonplanar surfaces. The glovebag assembly is a manufactured device consisting of a large bag (constructed of at least 6-mil transparent plastic), two inward-projecting long sleeve gloves, one inward-projecting waterwand sleeve, an internal tool pouch, and an attached, labeled receptacle for asbestos waste. The glovebag is constructed and installed in such a manner that it surrounds the object or area to be decontaminated and contains all asbestos fibers released during the removal process.

HEPA filter. “HEPA filter” shall mean a high efficiency particulate air filter capable of trapping and retaining 99.97 percent of particles (asbestos fibers) greater than 0.3 micrometers mass median aerodynamic equivalent diameter.

HEPA vacuum equipment. “HEPA vacuum equipment” shall mean vacuuming equipment with a HEPA filter.

Holding area. “Holding area” shall mean a chamber in the equipment decon- tamination enclosure located between the washroom and an uncontaminated area.

Homogeneous work area. “Homogeneous work area” shall mean a portion of the work area which contains one type of asbestos-containing material and/or where one type of abatement is used.

Industrial hygiene. “Industrial hygiene” shall mean that science and art devoted to the recognition, evaluation and control of those environmental factors or stresses, arising in or from the work place, which may cause sickness, impaired health and well being, or significant discomfort and inefficiency among workers or among the citizens of the community.

Industrial hygienist. “Industrial hygienist” shall mean an individual having a college or university degree or degrees in engineering, chemistry, physics, or medicine or related biological sciences who, by virtue of special studies and training, has acquired competence in industrial hygiene.

Isolation barrier. “Isolation barrier” shall mean the construction of partitions, the placement of solid materials, and the plasticizing of apertures to seal off the work place from surrounding areas and to contain asbestos fibers in the work area.

Large asbestos project. “Large asbestos project” shall mean an asbestos project involving the disturbance (e.g., removal, enclosure, encapsulation) of 260 linear feet or more of asbestos-containing material or 160 square feet or more of asbestos-containing material.

Log. “Log” shall mean an official record, maintained by the abatement contractor, of all activities that occurred during the project. At a minimum, the log shall identify the building owner, agent, contractor, and workers, and other pertinent information including daily activities, cleanings and waste transfers, names and certificate numbers of asbestos handler supervisors and asbestos handlers; results of inspections of decontamination systems, barriers, and negative pressure ventilation equipment; summary of corrective actions and repairs; work stoppages with reason for stoppage; manometer readings at least twice per work shift; daily checks of emergency and fire exits and any unusual events.

Means of egress. “Means of egress” shall mean a continuous and unobstructed path of vertical and horizontal egress travel from any occupied portion of a building or structure to a public way. A means of egress consists of three separate and distinct parts: the exit access, the exit and the exit discharge.

Minor project. “Minor project” shall mean a project involving the disturbance (e.g. removal, enclosure, encapsulation, repair) of 25 linear feet or less of asbestos containing material or 10 square feet or less of asbestos containing material.

Movable object. “Movable object” shall mean a unit of equipment or furniture in the work area which can be removed from the work area.

Negative air pressure equipment. “Negative air pressure equipment” shall mean a portable local exhaust system equipped with HEPA filtration. The system shall be capable of creating a negative pressure differential between the outside and inside of the work area.

NFPA. “NFPA” shall mean the National Fire Protection Association.

NIOSH. “NIOSH” shall mean the National Institute for Occupational Safety and Health.

NYSDOL. “NYSDOL” shall mean the New York State Department of Labor.

NYSDOL ICR 56. “NYSDOL ICR 56” shall mean Part 56 of the Official Compilation of Codes, Rules and Regulations of the State of New York or 12 NYCRR Part 56.

NYSDOH. “NYSDOH” shall mean the New York State Department of Health.

Obstruction. “Obstruction” shall mean the blocking of a means of egress with any temporary structure or barrier. A corridor shall not be considered obstructed when there is a clear path measuring at least three (3) feet wide permitting access to all required vertical exits and/or exit doors. Abatement worker egress from the work area through Polyethylene sheeting covering an egress used only by abatement workers, shall not be considered an obstruction when it is prominently marked with exit signage or paint and cutting tools (knife, razor) are attached to the work area side of the sheeting for use in the event that the sheeting must be cut to permit egress.

Occupied Area. “Occupied area” shall mean an area of the worksite where abatement is not taking place and where personnel or occupants normally function or where workers are not required to use personal protective equipment.

OSHA. “OSHA” shall mean the United States Occupational Safety and Health Administration.

Outside air. “Outside air” shall mean the air outside the work place.

Person. “Person” means any individual, partnership, company, corporation, association, firm, organization, governmental agency, administration or department, or any other group of individuals, or any officer or employee thereof.

Personal air monitoring. “Personal air monitoring” shall mean a method used to determine employees’ exposure to airborne fibers. The sample is collected outside the respirator in the worker’s breathing zone.

Personal protective equipment. “Personal protective equipment” (PPE) shall mean appropriate protective clothing, gloves, eye protection, footwear, head gear.

Phase contrast microscopy. “Phase contrast microscopy” (PCM) shall mean the measurement protocol for the assessment of the fiber content of air. .

Physician. “Physician” shall mean an individual licensed or otherwise authorized under Article 131 § 65.22 of the New York State Education Law.

Plasticize. “Plasticize” shall mean to cover floors and walls with fire retardant plastic sheeting as herein specified or by using spray plastics as acceptable to the Department.

Polarized light microscopy. “Polarized light microscopy” (PLM) shall mean the measurement protocol for the assessment of the asbestos content of bulk materials.

Pre-demolition Abatement Activities. “Pre-demolition abatement activities” shall mean any and all asbestos abatement activities required to be performed and completed prior to the partial or total structural demolition of a building or structure, including successful clearance air monitoring.

Presumed Asbestos Containing Material (PACM). “Presumed Asbestos Containing Material” shall mean all Thermal System Insulation and Surfacing Material as described in 15 RCNY § 1-38. PACM is considered to be ACM unless proven otherwise by appropriate bulk sampling and laboratory analyses.

Project designer. “Project designer” shall mean a person who holds a valid Project Designer Certificate issued by the New York State Department of Labor.

Project monitor. “Project monitor” shall mean a person who holds a valid Project Monitor Certificate issued by the New York State Department of Labor.

Qualitative fit test. “Qualitative fit test” shall mean the individual test subject’s responding (either voluntarily or involuntarily) to a chemical challenge outside the respirator face piece. Acceptable methods include irritant smoke test, odorous vapor test, and taste test.

Quantitative fit test. “Quantitative fit test” shall mean exposing the respirator wearer to a test atmosphere containing an easily detectable, nontoxic aerosol, vapor or gas as the test agent. Instrumentation, which samples the test atmosphere and the air inside the face piece of the respirator, is used to measure quantitatively the leakage into the respirator. There are a number of test atmospheres, test agents, and exercises to perform during the tests.

Registered design professional. “Registered design professional” shall mean a person licensed and registered to practice the professions of architecture or engineering under the Education Law of the State of New York.

Removal. “Removal” shall mean the stripping of any asbestos-containing materials from surfaces or components of a facility or taking out structural components in accordance with 40 C.F.R. 61 Subparts A and M.

Renovation. “Renovation” shall mean an addition or alteration or change or modification of a building or the service equipment thereof, that is not classified as an ordinary repair as defined in § 27-125 of the Administrative Code of the City of New York.

Repair. “Repair” shall mean corrective action using specified work practices e.g. glovebag, plastic tent procedures, etc. to minimize the likelihood of fiber release from minimally damaged areas of ACM.

Replacement material. “Replacement material” shall mean any material used to replace ACM that contains less than .01 percent asbestos.

Shift. “Shift” shall mean a worker’s, or simultaneous group of workers’, complete daily term of work.

Shower room. “Shower room” shall mean a room between the clean room and the equipment room in the worker decontamination enclosure with hot and cold running water controllable at the tap and arranged for complete showering during decontamination.

Small asbestos project. “Small asbestos project” shall mean an asbestos project involving the disturbance (e.g., removal, enclosure, encapsulation) of more than 25 and less than 260 linear feet of asbestos-containing material or more than 10 and less than 160 square feet of asbestos-containing material.

Staging area. “Staging area” shall mean the work area near the waste transfer airlock where containerized asbestos waste has been placed prior to removal from the work area.

Start date. “Start date” shall mean the date when a worker decontamination enclosure system is installed and functional.

Strip. “Strip” shall mean to remove asbestos materials from any part of the facility.

Structural member. “Structural member” shall mean any load-supporting member of a facility, such as beams and load-supporting walls, or any nonload-supporting member, such as ceiling and nonload-supporting walls.

Substrate. “Substrate” shall mean non-asbestos containing material which is beneath and supports asbestos-containing material.

Surface barriers. “Surface barriers” shall mean the plasticizing of walls, floors, and fixed objects within the work area to prevent contamination from subsequent work.

Surfactant. “Surfactant” shall mean a chemical wetting agent added to water to improve penetration.

Suspect Miscellaneous ACM. “Suspect Miscellaneous ACM” shall mean any building material that is not PACM, such as floor tiles, ceiling tiles, mastics/adhesives, sealants, roofing materials, cementitous materials, etc. All Suspect Miscellaneous ACM must be assumed to be ACM, unless proven otherwise by appropriate bulk sampling and laboratory analyses.

Transmission electron microscopy (TEM). “Transmission electron microscopy (TEM)” shall mean the measurement protocol for the assessment of the asbestos fiber content of air. (Interim Transmission Electron Microscopy Analytical Methods - 40 C.F.R. Part 763, Subpart E, Appendix A)

Variance. “Variance” shall mean relief from specific sections of the rule for a specific project.

Visible emissions. “Visible emissions” shall mean any emissions containing particulate material that are visually detectable without the aid of instruments.

Washroom. “Washroom” shall mean a room between the work area and the holding area in the equipment decontamination enclosure system where equipment and waste containers are wet cleaned and/or HEPA vacuumed prior to disposal.

Waste decontamination enclosure system. “Waste decontamination enclosure system” shall mean the decontamination enclosure system designated for the controlled transfer of materials and equipment, consisting of a washroom and a holding area.

Wet cleaning. “Wet cleaning” shall mean the removal of asbestos fibers from building surfaces and objects by using cloths, mops, or other cleaning tools which have been dampened with water.

Wet methods. “Wet methods” shall mean the use of amended water or removal encapsulants to minimize the generation of fibers during ACM disturbance.

Work area. “Work area” shall mean designated rooms, spaces, or areas of the building or structure where asbestos abatement activities take place. For glovebag procedures, the work area shall also include the areas contiguous to where the glovebag procedure takes place. For the purpose of the survey of a building for asbestos, the work area is the premises, or those portions of the premises where the renovation or alteration work is to occur, as reflected in the Form ACP 5.

Work place. “Work place” shall mean the work area and the decontamination enclosure system(s).

Work place safety plan. “Work place safety plan” shall mean documents prepared by a registered design professional and submitted for review by DEP in order to obtain an asbestos abatement permit. Such plan shall include, but not be limited to, plans, sections, and details of the work area clearly showing the extent, sequence, and means and methods by which the work is to be performed.

Work site. “Work site” shall mean premises where asbestos abatement activity is taking place, and may be composed of one or more work areas.

Worker. “Worker” shall mean asbestos handler and/or asbestos handler supervisor.

Worker decontamination enclosure system. “Worker decontamination enclosure system” shall mean that portion of a decontamination enclosure system designed for controlled passage of workers, and other individuals and authorized visitors, consisting of a clean room, a shower room, and an equipment room separated from each other and from the work area by airlocks and curtained doorways.

§ 1-03 Variances.

(a) Application for any variance must be made directly to the Department at least two weeks prior to the commencement of work. Work involving a variance may not commence prior to the receipt of the Department’s approval of the application. The applicant must pull an approved variance by entering a start date in the Department’s database, and must print out and post a copy of the variance at the work place.
  1. The Department’s “Asbestos Variance Application” (ACP-9) form shall be prepared by a project designer and submitted by the building owner or authorized agent, and shall include the following information:

   (1) Identification of those portions of the rules for which a variance is requested, providing each numbered section and subsection;

   (2) Explanations as to why the procedures required by the rules cannot be used;

   (3) A written proposal setting forth the alternative procedures the applicant will employ to satisfy each requirement as modified; and

   (4) A copy of any asbestos project notification previously filed. If the applicant has not previously filed an asbestos project notification, such notification shall be filed with the application together with the applicable fee specified in 15 RCNY § 1-25(c).

   (5) A sketch or drawing illustrating the proposed modification.

  1. For each variance application where the combined amount (total of both square and linear feet on the ACP-7) of ACM is less than 5,000 feet, payment of the variance processing fee shall accompany the application and shall conform with the payment schedule as follows:

   (1) Request to modify no more than one lettered subsection in any section category listed in subsection (e) below: $400 fee.

   (2) For each additional subsection in any category listed in subsection (e): $200 fee.

   (3) The maximum fee: $1,200.

  1. For each variance application where the combined amount (total of both square and linear feet on the ACP-7) of ACM is greater than or equal to 5,000 feet, payment of the variance processing fee shall accompany the application and shall conform with the payment schedule as follows:

   (1) Request to modify no more than one lettered subsection in any section category listed in subsection (e): $600.

   (2) For each additional subsection in any category listed in subsection (e): $300.

   (3) The maximum fee: $1,800.

  1. Section categories shall be as follows:

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Air Monitoring 31-45 56-4, 6
Materials and Equipment 61 56-7
Work Place Preparation 81-84 56-7
Work Place Procedures 91-94 56-7
Abatement Procedures 101-110 56-8
Clean-up Procedures 111-112 56-9
Pre-Demolition Abatement Activity Procedures 120-129

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  1. Any variance from the prohibition on concurrent abatement and full demolition or story removal set forth in 15 RCNY § 1-126 shall only be approved after notification and consultation with FDNY and DOB.
  2. Any violation of the terms of any variance issued under this section shall be considered a violation of the lettered subdivision modified by the variance.
  3. An approved variance, except for a variance from subdivision b of 15 RCNY § 1-22, is valid for a period of six months from the start date. An application to renew an existing variance must be submitted to DEP two weeks prior to the expiration date of the variance.
  4. If the asbestos abatement contractor was the applicant for a variance, or if the building owner changes asbestos abatement contractors during the project, the variance application, and any written approval of the variance, are automatically canceled.

Subchapter B: Certification Provisions

§ 1-11 Asbestos Handler Certificate.

(a)  No individual shall engage in an asbestos project or in asbestos abatement activities on a minor project, for compensation, unless that individual is certified as an asbestos handler by the department and has an "Asbestos Handler Certificate" issued by the department.
  1. The department shall issue an asbestos handler certificate in the form of a photo identification card which shall be valid for two years from the date of issuance to applicants who meet the following conditions:

   (1) Applicant shall be at least eighteen (18) years of age at the date of application; and

   (2) Applicant shall submit a completed application provided by the department accompanied by a fee of one hundred dollars ($100); and

   (3) Applicant shall submit documentation of successful completion within the prior 12 months of a NYSDOH-approved Asbestos Handler training course; and

   (4) Applicant shall achieve a passing grade on a departmental examination.

  1. An applicant denied a certificate on any grounds other than failure to complete a certificate application or failure to meet the minimum requirements set forth in these rules may request a hearing before the commissioner or his/her designee to contest said denial by submitting a written request for such hearing within ten days of receipt of denial.

§ 1-12 Renewal of Asbestos Handler Certificate.

(a)  The handler shall apply for renewal of the certificate at least 60 days prior to the date of its expiration.
  1. Application for renewal shall be made on a form approved by the department and shall be accompanied by a fee of one hundred dollars ($100) and proof of successful completion within the prior 12 months of a NYSDOH-approved Asbestos Handler Refresher training course; and
  2. An applicant denied a certificate on any grounds other than failure to complete a certificate application or failure to meet the minimum requirements set forth in these rules may request a hearing before the commissioner or his/her designee to contest said denial by submitting a written request for such hearing within ten days of receipt of denial.
  3. If an asbestos handler certificate is lost or stolen, the certificate holder must immediately notify the department. An application for a replacement must be made in writing and must include a notarized statement that the certificate was lost or stolen, a statement that the applicant understands that submittal of a false statement will subject him or her to penalties and other remedies under the law, and a fee of $50. A replacement certificate may only be obtained twice in any two-year validity period.

§ 1-13 Restricted Asbestos Handler Certificate.

(a)  This section shall apply to individuals involved in the construction of the containment barriers of a work area (e.g., carpenters), or who otherwise enter the contained work area for a limited period of time to perform certain specialized tasks in preparation for, or ancillary to, the actual abatement (e.g., electricians); and for whom asbestos handler certification would otherwise be required. This section shall not apply to individuals performing abatement handling of ACM.
  1. The department shall issue a restricted asbestos handler certificate, in the form of a photo identification card which shall be valid for two years from the date of issuance to applicants who comply with the requirements of 15 RCNY § 1-11(b)(1) - (4), except that the fee shall be $50.
  2. An individual certified as a restricted asbestos handler by the department shall perform only those particular job functions specified by the department in the application for certification.

§ 1-14 Asbestos Handler Supervisor Certificate.

(a)  No individual shall supervise asbestos handlers engaged in an asbestos project, for compensation, unless that individual is certified as an asbestos handler supervisor by the department.
  1. The department shall issue an asbestos handler supervisor certificate in the form of a photo identification card, which shall be valid for two years from the date of issuance, to applicants who meet the following conditions:

   (1) Applicant shall be at least twenty-one (21) years of age at the time of application; and

   (2) Applicant shall submit a completed application provided by the department accompanied by a fee of one hundred dollars ($100); and

   (3) Applicant shall submit documentation of successful completion within the prior 12 months of a NYSDOH-approved Asbestos Supervisor training course.

   (4) Applicant shall submit additional credentials as follows:

      (i) A registered design professional, certified industrial hygienist, or certified safety professional shall submit a copy of the licensing credentials or certification, and documentation of one month post-graduate experience in asbestos abatement activities.

      (ii) A graduate from an accredited college or university possessing a bachelor’s or advanced degree in engineering, architecture, environmental health science, industrial hygiene, occupational health and safety or a related science shall submit a copy of the degree, and documentation of three months post graduate experience in asbestos abatement activities.

      (iii) A graduate from an accredited college of university possessing an associate’s degree in applied science and technology, environmental health science, public health, industrial health or a related science shall submit a copy of the degree, and documentation of six months post- graduate experience in asbestos abatement activities.

      (iv) All other applicants must submit documentation of one year of experience in asbestos abatement activities. All such experience must be on small or large asbestos projects, and at least half the experience must be on large projects, except employees of electric utilities, whose full year of experience may be on minor or small projects. The applicant’s experience in asbestos abatement activities shall be listed chronologically and shall include each contractor’s name, address and phone number; the number of hours worked per week on asbestos abatement activities; the applicant’s job title and a brief description of duties; and the size of each project; and

   (5) Applicant shall achieve a passing grade on a departmental examination, which shall be given in English.

  1. The department may consider applicants who submit additional credentials which are not identical to the categories specified in subdivision (b)(4) above, but who present an equivalent combination of familiarity with abatement activities and demonstrated competence.
  2. An applicant denied a certificate on any grounds other than failure to complete a certificate application or failure to meet the minimum requirements set forth in these rules may request a hearing before the commissioner or his/her designee to contest said denial by submitting a written request for such hearing within ten days of receipt of denial.

§ 1-15 Renewal of Asbestos Handler Supervisor Certificate.

(a) The supervisor shall apply for renewal of the certificate at least 60 days prior to the date of its expiration.
  1. The supervisor shall submit the following items for renewal:

   (1) A completed application provided by the department accompanied by a fee of $100; and

   (2) Documentation of successful completion within the prior 12 months of a NYSDOH-approved Asbestos Handler Supervisor Refresher training course.

  1. An applicant denied a certificate on any grounds other than failure to complete a certificate application or failure to meet the minimum requirements set forth in these rules may request a hearing before the commissioner or his/her designee to contest said denial by submitting a written request for such hearing within ten days of receipt of denial.
  2. If an asbestos handler supervisor certificate is lost or stolen, the certificate holder must immediately notify the department. An application for a replacement must be made in writing and must include a notarized statement that the certificate was lost or stolen, a statement that the applicant understands that submittal of a false statement will subject him or her to penalties and other remedies under the law, and a fee of $50. A replacement certificate may only be obtained twice in any two-year validity period.

§ 1-16 Asbestos Investigator Certificate.

(a) (1) No individual shall engage in a building survey for asbestos unless that individual is certified as an asbestos investigator by the department.

   (2) An individual not certified by the department may assist in an asbestos survey being conducted by a NYC certified asbestos investigator only if such individual works in the presence of the investigator and under his/her direct and continuing supervision. Non-certified individuals may not collect bulk samples as described in paragraph 3 of this subdivision.

  1. The department shall qualify applicants to be asbestos investigators. The applicant must both submit documentation of successful completion of a 8 hour minimum introductory blueprint-reading course or any applicable building design and construction training or certification as established by the department and posted on the DEP website and satisfy one of the following five sets of conditions:

   (1) A registered design professional, a certified industrial hygienist or a certified safety professional shall submit a copy of licensing or certification and documentation of six months post-graduate experience in building survey for asbestos.

   (2) A graduate from an accredited college or university possessing a doctorate or master’s degree in architecture, engineering, occupational health and safety, industrial hygiene or related science must submit a copy of the degree and documentation of six months post-graduate experience in building survey for asbestos indicating specific addresses at which the graduate performed such building surveys.

   (3) A graduate from an accredited college or university possessing a bachelor’s degree in architecture, engineering, occupational health and safety, industrial hygiene or a related science must submit a copy of the degree and documentation of one year post-graduate experience in building survey for asbestos indicating specific addresses at which the graduate performed such building surveys.

   (4) A graduate from an accredited college or university possessing an associate’s degree in architecture, engineering, environmental health, public health, industrial health, or a related science must submit a copy of the degree and documentation of two years post-graduate experience in conducting building surveys for asbestos, indicating specific addresses at which the graduate performed such building surveys and an additional two years of experience in any other type of building surveys of a technical nature including structural, mechanical, or electrical, is required.

   (5) An individual with extensive experience in asbestos investigation on a professional level must submit documentation demonstrating three years of experience conducting building surveys for asbestos indicating specific addresses at which the individual performed such building surveys and an additional three years of other experience in any other type of building surveys of a technical nature including structural, mechanical, or electrical is required. Additionally, such an individual must possess a four-year high school diploma or its educational equivalent, approved by a State’s Department of Education.

  1. The department shall issue an asbestos investigator certificate in the form of a photo identification card which shall be valid for two years from the date of issuance to qualified applicants who submit the following:

   (1) A completed application provided by the Department accompanied by a fee of two hundred fifty dollars ($250); and

   (2) Documentation of successful completion within the prior 12 months of a New York State Restricted Asbestos Handler-III Inspector Training course, and a passing grade on the required investigator training course; and

   (3) Documentation of a medical examination performed by a physician within the prior 12 months, which shall include at a minimum a pulmonary function test, evaluation of a recent chest x-ray and a physician’s recommendation as to whether the applicant is able to wear a respirator in the performance of his/her job; and

   (4)  Documentation of a qualitative or quantitative fit test performed within the prior three months, which shall include brand name and type of respirator, date and location of test, and the signature of the industrial hygienist administering the test.

      (i) Qualitative fit test may be used only for fit testing of half-mask negative pressure respirators.

      (ii) Quantitative fit test shall be performed on all full-face negative pressure respirators.

  1. Applicant shall be allowed three attempts to achieve a passing grade on a departmental examination. If an applicant receives a failing grade after the third attempt, the applicant shall retake a New York State Inspector Training course as set forth in paragraph 2 of subdivision (c) of this section before being allowed to retake the departmental examination.
  2. Under special circumstances the department may consider applicants who submit additional credentials which are not identical to the categories specified in subdivision (b)(1) through (5) above.
  3. An applicant denied a certificate on any grounds other than failure to complete a certificate application or failure to meet the minimum requirements set forth in these rules may request a hearing before the commissioner or his/her designee to contest said denial by submitting a written request for such hearing within ten days of receipt of denial.
  4. A person who possesses an asbestos investigator certificate shall be responsible for the proper execution of his or her duties. Unprofessional conduct is prohibited. Unprofessional conduct shall include but is not limited to:

   (1) Failing to comply with the provisions of Federal, State, or local laws, rules or regulations.

   (2) Making or filing a false report, or failing to file a report required by Federal, State, or local laws, rules, or regulations.

   (3) Delegating professional responsibilities to a person who is not qualified to perform them.

  1. Investigator’s seal requirement.

   (1) No NYC-certified asbestos investigator shall submit any plan or report to any client or any city, state, or federal agency that does not have the investigator’s seal and signature affixed to it. Photocopies of the seal and signature are not acceptable.

   (2) Seals used by certified asbestos investigators shall be circular in shape, approximately one and three quarter inches in diameter, with three concentric circles. The inner circle shall contain an accurate representation of the great seal of the City of New York. The legend at the top of the outer band shall read “CITY OF NEW YORK” and at the bottom “CERTIFIED ASBESTOS INVESTIGATOR”. In the inner circle above the great seal of the City of New York shall be shown the name of the certified asbestos investigator.

   (3) Any plan or report submitted without the investigator’s seal and signature shall be considered invalid.

   (4) [Repealed.]

  1. Employees of the department’s Asbestos Control Program (ACP) are prohibited from applying for an asbestos investigator certificate. Any ACP employee who holds an asbestos investigator certificate is prohibited from applying for renewal of the certificate.
  1. The department may deny any application submitted under this section where it is determined that the applicant has failed to meet the standards established by these rules, including:

   (1) Failure to demonstrate the ability to comply fully with applicable requirements, standards, and procedures set forth in these rules;

   (2) Submission of false information on an application;

   (3) Failure to submit all required information and documentation with the application;

   (4) Where the department has determined that the applicant’s past history of violation of federal or state asbestos regulations, or of any laws, rules, or regulations relating to occupational or public safety or health, indicates a direct relationship between that history and the license or that issuance of the license would pose unreasonable risks to property or safety;

   (5) Loss of a relevant professional accreditation or license; or

   (6) Any other cause which the commissioner determines to be of such serious and compelling nature as to warrant denial of the application.

  1. A certified asbestos investigator who is issued a notice of violation under this section alleging that the investigator engaged in unprofessional conduct that demonstrates a willful disregard for public health, safety or welfare shall be subject to immediate suspension, provided that the Commissioner serves the investigator with a notice of charges and an opportunity to be heard within 15 calendar days, pursuant to Administrative Code § 24-136(e)(4).
  2. When the commissioner has reasonable cause to believe that an asbestos investigator’s surveys have been performed improperly or fraudulently such that work performed, pursuant to such a survey poses or may pose a threat to human safety, he or she may invalidate any or all ACP-5s filed by that asbestos investigator, and may order the building owner to stop all work, have a new survey performed by a different asbestos investigator, and have a new ACP-5 submitted to the department. The commissioner in his or her discretion may waive the filing fee for such ACP 5.
  3. Applicants to become a certified asbestos investigator shall disclose prior convictions as part of their application to the extent permitted under Section 23-A of the correction law, Section 296(16) of the executive law and Section 8-107 of the administrative code, and once certified, must notify DEP in writing of any criminal conviction, to the extent permitted by such laws, within ten days of occurrence.

§ 1-17 Renewal of Asbestos Investigator Certificate.

(a) The investigator shall apply for renewal of the certificate at least 60 days prior to the date of its expiration.
  1. The investigator shall submit the following items for renewal:

   (1) A completed application provided by the Department accompanied by a fee of $250 payable to the Department; and

   (2) Documentation of successful completion within the prior 12 months of a NYSDOH-approved Asbestos Inspector Refresher course; and

   (3) Documentation of a medical examination performed by a physician within the prior 12 months, which shall include at a minimum a pulmonary function test, evaluation of a recent chest x-ray and a physician’s recommendation as to whether the applicant is able to wear a respirator in the performance of his/her job; and

   (4) Documentation of a qualitative or quantitative fit test performed within the prior three months, which shall include brand name and type of respirator, date and location of test, and the signature of the industrial hygienist administering the test.

      (i) Qualitative fit test may be used only for fit testing of half-mask negative pressure respirators.

      (ii) Quantitative fit test shall be performed on all full-face negative pressure res- pirators.

  1. An applicant denied a certificate on any grounds other than failure to complete a certificate application or failure to meet the minimum requirements set forth in these rules may request a hearing before the commissioner or his/her designee to contest said denial by submitting a written request for such hearing within ten days of receipt of denial.
  2. If an asbestos investigator certificate is lost or stolen, the certificate holder must immediately notify the department. An application for a replacement must be made in writing and must include a notarized statement that the certificate was lost or stolen, a statement that the applicant understands that submittal of a false statement will subject him or her to penalties and other remedies under the law, and a fee of $50. A replacement certificate may only be obtained twice in any two-year validity period.

§ 1-18 Renewal of Restricted Asbestos Handler Certificate.

(a) The restricted asbestos handler must apply for renewal of the certificate at least 60 days prior to the date of its expiration.
  1. Application for renewal must be made on a form approved by the department and must be accompanied by a fee of fifty dollars ($50).
  2. An applicant denied a certificate on any grounds other than failure to complete a certificate application or failure to meet the minimum requirements set forth in these rules may request a hearing before the commissioner or the commissioner’s designee to contest that denial by submitting a written request for such hearing within ten days of receipt of the denial.
  3. If a restricted asbestos handler certificate is lost or stolen, the certificate holder must immediately notify the department. An application for a replacement must be made in writing and must include a notarized statement that the certificate was lost or stolen, a statement that the applicant understands that submittal of a false statement will subject him or her to penalties and other remedies under the law, and a fee of $50. A replacement certificate can only be obtained twice in any two-year validity period.

Subchapter C: Notifications, Permitting and Recordkeeping

§ 1-21 Size and Scope of Asbestos Project.

(a) For the purpose of determining whether there has been compliance with any reporting or filing requirement established in 15 RCNY §§ 1-22 through 1-27, the size and scope of the overall project shall control, with particular reference to the total amount of asbestos-containing material which will be disturbed. Such requirements may not lawfully be avoided or lessened through the performance of work in incremental or piecemeal fashion.
  1. When alternative calculations (i.e., linear feet and square feet) of the size and scope of an asbestos project result in that project coming within the definition of more than one sub- classification of asbestos project, the calculation with the higher absolute number shall determine the sub-classification of asbestos project procedures to be followed.
  2. For the purpose of 15 RCNY §§ 1-21 through 1-27, the term “work” shall be understood as in the common construction usage, i.e. not specifically related to asbestos abatement activities.

§ 1-22 Projects Requiring Certification to the Department of Buildings.

(a) This section shall apply to applications for the following projects requiring permits to be issued by the Department of Buildings:

   (1) Full demolitions.

   (2) Alterations, renovations, or modifications.

   (3) Plumbing work, except for the direct replacement of plumbing fixtures.

  1. In accordance with Section 28-106.1 of the Administrative Code, the building owner or such owner’s authorized agent must submit one of the following certifications to the Department of Buildings except as set forth below:

   (1) Asbestos Assessment Report. If the building (or portions thereof) affected by the work are free of asbestos-containing material, ACM will not be disturbed by the work, or the amount of ACM to be abated constitutes a minor project, an asbestos assessment report (Form ACP-5) completed, signed, and sealed by a DEP-certified asbestos investigator, along with a fee of $47.00 must be submitted to DEP prior to construction document approval and to any amendment of the construction document approval which increases the scope of the project to include any surveyed area not previously covered.

   (2) Asbestos Project Completion Form. If an asbestos project has been performed and satisfactorily completed in accordance with these rules, a copy of the asbestos project completion form (Form ACP21) issued to the building owner or its authorized representative by DEP must be submitted to DOB prior to the issuance of a DOB permit and to any amendment of the underlying construction document approval which increases the scope of the project to include any work area not previously covered.

   (3) Asbestos Project Conditional Completion Form. If an asbestos project has been performed but would be subject to the procedures of 15 RCNY § 1-26(c)(2)(ii), a copy of the asbestos project conditional completion form (Form ACP20) issued to the building owner or its authorized representative by DEP must be submitted to DOB prior to the issuance of a DOB permit and to any amendment of the underlying construction document approval which increases the scope of the project to include any work area not previously covered.

§ 1-23 Alterations/Renovations/Modifications.

(a) As early as possible before an alteration, renovation, modification, demolition, or plumbing work takes place, or changes in such work occur, the building owner shall be responsible for having an asbestos survey performed by a DEP-certified asbestos investigator to determine the absence or presence of asbestos-containing material which may be disturbed during the course of the work. The owner of the building or authorized agent shall comply with the notification requirements of 15 RCNY § 1-25 regarding asbestos-containing material.
  1. Asbestos Exemption. Where the work to be performed requires a permit to be issued by the DOB, an asbestos exemption may be claimed by checking the appropriate boxes on the DOB permit application forms PW1 or LAA1, where the applicant for construction document approval certifies that:

   (1) the permit sought does not involve the performance of any physical work, such as permits for zoning lot subdivisions, zoning lot reapportionment, or changes in the certificate of occupancy; or

   (2) no existing building materials, as the term “building materials” is defined in these rules, are to be disturbed by the proposed work; or

   (3) the activities being performed include work on one of the following: Awnings Cranes not anchored to building or structure Emergency power not involving hard wiring, e.g. battery packs Exterior concrete work (e.g. sidewalks, curb cuts, traffic islands) except if waterproofing compound is present Exterior scaffolding not anchored to building or structure Exterior trenching and drainage Ground-mounted flagpoles New storefronts in existing masonry openings (no disturbance of existing building) Radio antennas (free-standing towers) Relocating free-standing parking lot sheds Replacing rooftop air conditioning (no modification of ductwork or disturbance of building) Roadway asphalt Sealing unsafe or abandoned buildings with cinderblock and mortar Sidewalk sheds, bridges, fences, elevators, hoists and café signs (no penetration of building materials) Street furniture, e.g. candy or newsstands, bus shelters, kiosks Installation of new outdoor swimming pool Free-standing tents Erection of temporary structures (e.g. trailers) with electric/water lines only

  1. Asbestos Assessment Report (ACP-5 Form). If, after a survey performed by a DEP-certified asbestos investigator, it is determined that the building (or portion thereof) affected by the work is free of asbestos-containing material, the ACM present will not be disturbed by the work, or the amount of ACM to be abated constitutes a minor project, said asbestos investigator must complete, sign, and affix his or her seal to the asbestos assessment report (ACP-5 Form) which shall be submitted with a fee of $47.00 to DEP in accordance with 15 RCNY § 1-22(b)(1).
  2. Asbestos Project Completion Form. Where the work to be performed constitutes an asbestos project, an asbestos project notification (ACP-7 Form) shall be submitted to DEP in accordance with the provisions of 15 RCNY § 1-25. Upon completion of the asbestos project and submission of all required documentation to DEP, DEP shall issue an asbestos project completion form to the building owner or its authorized representative.

§ 1-24 [Reserved]

(a)  This section shall apply to the following categories:

   (1) Removal, encapsulation, enclosure or replacement of asbestos-containing materials (including insulation); and

   (2) Work in or into plenum spaces of existing buildings (e.g. electrical, ventilation, cable, sheet metal work, etc.); and

   (3) Removal of asbestos-covered structures and equipment such as boilers, pipes, etc.; and

   (4) Other miscellaneous activities not previously exempted.

  1. Reserved.
  2. Asbestos Projects. If the cumulative total of all surfaces affected by the work is an asbestos project, the department’s asbestos project notification (ACP-7 Form) completed by the building owner or authorized agent, and listing each work area within the building separately, shall be submitted directly to the department one week in advance of the start of the work along with a filing fee in the following amounts:

   (1) For work which will disturb more than 25 linear feet but less than 100 linear feet, or more than 10 square feet but less than 50 square feet, of asbestos-containing material, the fee shall be $200.

   (2) For work which will disturb at least 100 linear feet and less than 260 linear feet, or at least 50 square feet and less than 160 square feet, of asbestos-containing material, the fee shall be $400.

   (3) For work which will disturb at least 260 linear feet and less than 1,000 linear feet, or at least 160 square feet and less than 1,000 square feet, of asbestos-containing material, the fee shall be $800.

   (4) For work which will disturb 1,000 linear feet or more, or 1,000 square feet or more, of asbestos-containing materials, the fee shall be $1,200.

  1. Modification of or deviation from the information provided in any notification submitted to the DEP under this section must immediately be reported to DEP using the ARTS E-File system if the change refers to the identity of the building owner or ACM removal contractor or the air monitoring firm; or the amount of ACM to be removed; or the dates of the project; or the specific project location. A notification may be modified no more than twice, but a modification related to the extension or reinstatement of an asbestos abatement permit shall not count towards this total. A modification is valid only if it is received by the DEP prior to the previously filed date of completion, except for start date changes which must be received by the original start date. If the modification is received after that date, a new notification submitted directly to the department will be required. Additional work, identified after the completion of the work indicated on the asbestos project notification and successful clearance air monitoring, shall require a new notification. A notification to DEP shall be valid for one year from the date of original filing.

§ 1-26 Asbestos Abatement Permits.

(a) Permit required. An asbestos abatement permit authorizing the performance of construction work shall be required for asbestos projects involving one or more of the following activities:

   (1) Obstruction of an exit door leading to an exit stair or the exterior of the building;

   (2) Obstruction of an exterior fire escape or access to that fire escape;

   (3) Obstruction of a fire-rated corridor leading to an exit door;

   (4) Removal of handrails in an exit stair or ramp within the work area;

   (5) Removal or dismantling of any fire alarm system component including any fire alarm-initiating device (e.g., smoke detectors, manual pull station) within the work area; (6)  Removal or dismantling of any exit sign, including directional signs, or any component of the exit lighting system, including photoluminescent exit path markings within the work area;

   (7) Removal or dismantling of any part of a sprinkler system including piping or sprinkler heads within the work area;

   (8) Removal or dismantling of any part of a standpipe system including fire pumps or valves within the work area;

   (9) Any abatement activity to be performed within a building concurrently with the full demolition of such building or concurrently with the removal of one or more stories of such building.

   (10) Removal of any non-load bearing/non-fire-resistance rated wall (greater than 45 square feet or 50 per cent of a given wall) within the work area;

   (11) Any plumbing work other than the repair or replacement of plumbing fixtures within the work area;

   (12) Removal of any fire-resistance rated portions of a wall, ceiling, floor, door, corridor, partition, or structural element enclosure including spray-on fire-resistance rated materials within the work area;

   (13) Removal of any fire damper, smoke damper, fire stopping material, fire blocking, or draft stopping within fire-resistance rated assemblies or within concealed spaces;

   (14) Obstruction of an interior stairway leading to an exit or exit passageway of a building.

  1. Work Place Safety Plan.

   (1) Plan required. For projects requiring an asbestos abatement permit due to one or more of the activities listed in (a)(1) - (14), the building owner or its authorized representative must submit, together with the asbestos project notification, a work place safety plan (WPSP) and any other applicable construction documents, which must be prepared by a registered design professional, and a permit fee as specified in subsection (g). If the WPSP is being submitted, pursuant to subsection (a)(9), it must also set forth the sequencing of the proposed work. The WPSP may not be approved unless it provides for a buffer of four floors or an adequate buffer as determined by the commissioner between the abatement and the demolition or floor removal work.

   (2) Work Place Safety Plan requirements. The WPSP must include, but not be limited to, the following items, depending on the size and scope of the asbestos project:

      (i) Floor plans showing the locations of all asbestos project work areas and decontamination enclosure systems in the building.

      (ii) Floor plans indicating the locations of any components of the fire alarm system which have been deactivated, and setting forth mitigation measures to be implemented for the duration of the project.

      (iii) Floor plans indicating the locations of obstructed or removed exit signage and lighting and setting forth mitigation measures to be implemented for the duration of the project.

      (iv) Floor plans indicating the locations of any obstructed means of egress or required exit and setting forth mitigation measures to be implemented for the duration of the project.

      (v) Floor plans or riser diagrams indicating the locations of any disengaged or removed components of the fire protection system and setting forth mitigation measures to be undertaken for the duration of the project.

      (vi) A written description of all measures taken to mitigate compromised fire protection systems or means of egress, including but not limited to surveillance by a fire watch and an action plan setting forth procedures to be taken for the safety of building occupants in the event of an emergency.

      (vii) If the asbestos project is being performed in a building where any dwelling unit is to be occupied for the duration of the permit, the WPSP shall include a tenant protection plan as required by Chapter 1 of Title 28 of the Administrative Code.

      (viii) A list of all non asbestos contractors who will perform work on the project.

   (3) Approval. The documents submitted, pursuant to subsection (b) will be reviewed by DEP’s asbestos technical review unit (A-TRU) and by any other relevant city agencies. Upon approval by A-TRU, DEP will issue an asbestos abatement permit to the building owner or its authorized representative, who must retrieve the approved stamped copy of the WPSP from DEP and post that copy at the work place.

   (4) Failure to comply with the approved WPSP is a violation of these rules.

  1. Inspections required.

   (1) All inspections required, pursuant to Title 28 of the Administrative Code, including but not limited to special inspections required by Chapter 17 of the Building Code, must be performed by a registered design professional who is independent of the abatement contractor and hired by the building owner or that owner’s authorized representative.

   (2) A final inspection shall be performed by a registered design professional after all work authorized by the asbestos abatement permit is completed. The person performing the inspection shall note all failures to comply with the provisions of the Building Code or approved asbestos abatement permit and shall promptly notify the owner in writing. All defects noted in such inspection shall be corrected. The final inspection report shall either:

      (i) confirm:

         (A) that the construction work is complete, including the reinstallation or reactivation of any building fire safety or life safety component; and

         (B) that any defects previously noted have been corrected; and

         (C) that all required inspections were performed; and

         (D) that the work is in substantial compliance with the approved asbestos abatement permit construction documents, the Building Code, and other applicable laws and rules; or

      (ii) confirm:

         (A) that the construction work does not return the building (or portion thereof) affected by the abatement project to a condition compliant with the building code and other applicable laws and rules, but that the registered design professional has reviewed an application for asbestos abatement permit construction documents approval that has been approved by the department of buildings, and the subsequent scope of work as approved will, upon completion, render all areas affected by the asbestos project in full compliance with the building code and all applicable laws and rules; and

         (B) that any defects previously noted that are not addressed by the subsequent scope of work as approved by the department of buildings, have been corrected; and

         (C) that all required inspections that are not addressed by the subsequent scope of work as approved by the department of buildings were performed; and

         (D) that all completed work pursuant to an asbestos abatement permit is in substantial compliance with the approved asbestos abatement permit construction documents.

   (3) Final inspection reports shall be filed with the DEP on A-TR1 form. Records of final inspections made by registered design professionals shall be maintained by such persons for a period of six years after final inspection, or for such other period as the commissioner shall require, and shall be made available within 72 hours. These records may be maintained in an electronic recordkeeping system instead of in paper form.

  1. Duration of Permit. An asbestos abatement permit shall expire upon the earlier of one year from the date of issuance or when terminated pursuant to either of the following:

   (1) The holder of an asbestos abatement permit submits a final inspection report pursuant to (c)(2)(i).

   (2) The holder of an asbestos abatement permit submits a final inspection report pursuant to (c)(2)(ii) and obtains a Department of Buildings permit for work which, when completed, will render all areas affected by the project fully compliant with the building code and all other applicable rules and laws.

  1. Failure to terminate asbestos abatement permit within year.

   (1) Failure to terminate an asbestos abatement permit pursuant to subsection (d) within a year from the date of issuance of said permit shall be a violation subject to fine unless the applicant obtains a renewal pursuant to paragraph (2) of this subdivision. Each 60-day period during which such violation continues to occur constitutes a separate offense that may be subject to a separate fine.

   (2) The holder of an asbestos abatement permit may extend the term of such permit for additional six month periods upon the submission, within 30 days before the expiration of said permit, of an amendment on a form prescribed by DEP and the payment of a fee in the same amount as the fee paid for the original permit.

   (3) If the holder of an asbestos abatement permit fails to terminate an asbestos abatement permit within a year from the date of issuance, the holder shall maintain the work area in a safe manner including but not limited to any mitigation measures set forth in the WPSP and shall not perform work unless the holder reinstates the permit upon submission of an amendment on the forms prescribed by the Department and the payment of a new fee in the same amount as the fee paid for the original permit. Such reinstatement shall be valid for a period of six months from issuance. If the asbestos abatement permit is not terminated during a six-month reinstatement period, the holder of a reinstated asbestos abatement permit must submit a subsequent amendment and fee to reinstate the permit for another six-month period.

  1. Insurance. Entities other than NYSDOL-licensed asbestos contractors performing work pursuant to an asbestos abatement permit which does not involve the disturbance of asbestos-containing materials shall maintain insurance of the same type and amount as would be required if the entity were working pursuant to a permit issued by the Department of Buildings.
  2. Permit fee. The WPSP, asbestos abatement permit construction documents, as applicable, shall be accompanied by a filing fee, as follows:
Project Size Fee
Small projects up to 99 linear feet or 49 square feet of ACM $100
100 to 259 linear feet or 50 to 159 square feet of ACM $300
Large projects up to 1,000 square/linear feet of ACM $500
1,000 to 4,999 square/linear feet of ACM $700
5,000 to 9,999 square/linear feet of ACM $1,100
10,000 or more square/linear feet of ACM $1,300

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  1. Work covered by the asbestos abatement permit shall not commence until said permit is issued with a specified start date and posted with the approved WPSP by the applicant at the work place.
  2. If additional ACM is added to a project that has an approved WPSP, a registered design professional must submit a letter to the Asbestos Technical Review Unit affirming that the professional has visited the work place and that the additional asbestos abatement is consistent with the approved WPSP and that proposed changes will not impact egress or fire protection requirements.

§ 1-27 Emergency Asbestos Project Notification.

(a) An emergency asbestos project involves the removal, enclosure, encapsulation or cleanup of asbestos-containing material that was not planned but is undertaken when sudden unexpected event(s) result in a situation in which any delay in abatement would pose an immediate danger to public safety and health.
  1. When such an emergency asbestos project occurs, immediate telephone notification shall be provided to DEP’s asbestos control program. Telephone notification shall include:

   (1) Name, affiliation and telephone number of caller;

   (2) Nature of the emergency;

   (3) Type of asbestos work to be performed and the quantity of ACM to be abated;

   (4) Exact location of the project including street address and borough;

   (5) Name, address, and telephone number of the asbestos abatement contractor and the air monitoring company; and

   (6) Starting and projected completion dates.

   (7) Such other factors as the department may determine are relevant for that project.

  1. An asbestos project notification (ACP-7 Form) shall be submitted to DEP in accordance with the provisions of 15 RCNY § 1-25 as soon as possible, but not later than 48 hours after the project begins. In such cases, the ACP-7 Form shall be accompanied by a cover letter including the following information:

   (1) that the project is an emergency asbestos project;

   (2) the nature of the emergency;

   (3) the DEP emergency control number issued at the time of the telephone notification; and

   (4) a description of the scope of work. With respect to projects commenced under this section, the department, based on inspection by the department and other relevant agencies, may exempt the emergency project from the requirements of 15 RCNY § 1-26. Any such exemption will be confirmed in writing by the department.

§ 1-28 Record Keeping Requirements for Investigators.

(a) The asbestos investigator must maintain a permanent record as required under this section for every building survey for asbestos that is conducted, pursuant to or submitted in accordance with 15 RCNY §§ 1-22 through 1-27 and 1-38.
  1. For each building survey conducted prior to preparation of either the asbestos project notification (ACP-7) or asbestos assessment report (ACP-5), the investigator must compile a record which must include at a minimum:

   (1) A survey report that reflects the condition of the surveyed area at the date and time of the investigator’s inspection. The report is to include, at a minimum, the building or structure address and the name and address of the building or structure owner, as well as the locations, quantities, and condition of all building materials in the affected portion(s) of the building or structure and

   (2) A blueprint, diagram, drawing, or written description of each building or portion thereof inspected by the investigator that identifies clearly each location and approximate linear or square footage of all areas affected by the proposed work where material was sampled and/or assumed to be ACM, the exact locations where bulk samples were collected, and the date of collection, and

   (3) The printed name and signature of any and all persons who collect bulk samples for the purpose of determining the presence of ACM, a copy of the current New York State asbestos inspector certificate of each such person, the name of the firm performing the survey and a copy of its current NYSDOL asbestos handling license, the name and address of the laboratory analyzing the samples, the date of analysis, the results of the analysis, the method of analysis and the name and signature of the person performing the analysis; and

   (4) A detailed written description of any proposed demolition, renovation, alteration or modification work to be performed, including the techniques to be used and a description of affected facility components; and

   (5) A chain of custody for all bulk samples collected as part of the survey.

  1. The investigator shall indicate in each record all instances in which work was performed by a non-certified individual pursuant to 15 RCNY § 1-16(a)(2), and shall include such individual’s name, address, telephone number, and a specific description of all activities performed by such individual.
  2. The investigator must maintain these records for thirty (30) years. These records may be maintained in an electronic recordkeeping system instead of in paper form. Upon the death of the investigator, records may be destroyed and notification must be sent to the Asbestos Control Program.
  3. The investigator shall make these records available during normal business hours, pursuant to an appointment without cost or restriction for inspection by a representative of the Department.
  4. Records must be stored in a manner that minimizes the possibility of damage from water. The investigator must immediately report if any records are damaged, lost or destroyed.

§ 1-29 Maintenance of Project Record and Project Summary.

(a) A project record shall be maintained for all small and large asbestos projects. During the project, the project record shall be kept on site at all times and may be maintained by the building owner or his authorized representative, which may be the asbestos abatement contractor or the air monitoring company. Upon completion of the project, the project record shall be maintained by the building owner. The project record shall be produced upon verbal or written request by any DEP inspector. Upon transfer of ownership of the building, all project records for past asbestos projects shall be turned over to the new owner. The project record shall consist of:

   (1) Copies of licenses of all contractors involved in the project.

   (2) Copies of DEP and NYSDOL supervisor and handler certificates for all workers engaged in the project;

   (3) Copies of all project notifications and reports filed with DEP and NYSDOL for the project, with any amendments or variances;

   (4) Copies of all asbestos abatement permits, including associated approved plans and work place safety plan;

   (5) A copy of the air sampling log and all air sampling results;

   (6) A copy of the abatement contractor’s and air monitor’s daily log books;

   (7) All data related to bulk sampling including the results of any asbestos surveys performed by an asbestos investigator;

   (8) Copies of all waste manifests;

   (9) A copy of all project monitor’s reports.

  1. In addition to the project record required in subsection (a), the asbestos abatement contractor shall maintain, for at least thirty (30) years after the end of the project, a project summary for each asbestos project in which they engage. These records may be maintained in an electronic recordkeeping system instead of in paper form. That project record must consist of the following:

   (1) Name, address, and DEP certificate number of all individuals who worked on the project;

   (2) Location and general description of the project;

   (3) Amount of ACM abated;

   (4) Start and completion dates;

   (5) Name, address, and NYSDOL asbestos handling license number of the air monitoring company;

   (6) Name, address, and ELAP registration number of the laboratory used for air sample analysis;

   (7) Name and address of the site used for disposal of the ACM waste generated by the project;

   (8) Name and address of the asbestos hauler;

   (9) Copy of the project log.

  1. The building owner, contractor or air monitor, as applicable, must make the project record or project summary required by this section available for inspection by DEP within 72 hours of request, except that during the project the project record must be made available upon request.
  2. In addition to the project record required in subdivision (a), the air monitoring company must maintain, for at least thirty (30) years after the end of the project, a project summary for each asbestos project in which the company engages. These records may be maintained in an electronic recordkeeping system instead of in paper form. The project summary must consist of the following:

   (1) The DEP certificate number of all air monitoring technicians who worked on the project;

   (2) The location and general description of the project;

   (3) The start and completion dates for the project;

   (4) The name, address, and ELAP registration number of the laboratory used for air sample analysis; and

   (5) A copy of the project air sampling log.

Subchapter D: Air and Bulk Sampling, Monitoring and Analysis

§ 1-31 Performance of Air and Bulk Sampling, Monitoring and Analysis.

Air sampling, monitoring, and analysis on asbestos projects, and bulk sampling and analysis to determine asbestos content, shall be performed in accordance with the provisions of the following 15 RCNY §§ 1-31 through 1-45 inclusive.

§ 1-36 Persons Qualified to Perform Sampling and Analysis.

(a)  Sampling and analysis shall be performed by:

   (1) A third party who is contracted by the building owner, holds a current NYSDOL asbestos handling license, and is completely independent of all parties involved in the asbestos project. The third party who conducts air sampling on an asbestos project shall not be a subcontractor of the abatement contractor, and shall not have any business, personal, or other relationship with the abatement contractor. The building owner shall select and hire the air monitoring firm without recommendation or reference from the abatement contractor. It shall be a violation of this subsection, chargeable against the abatement contractor, the air monitoring firm, and the building owner, for an air monitoring firm to conduct air monitoring on an asbestos project where there is a business or personal relationship between the abatement contractor and the air monitoring firm. It shall be considered prima facie evidence of a business or personal relationship between an abatement contractor and an air monitoring firm when the same firm performs air monitoring on all or virtually all of a given abatement contractor’s projects. The person who conducts sampling shall be currently certified as a New York State Asbestos Project Air Sampling Technician when performing air sampling. Failure to have a valid certification based either on office records or upon request shall be a violation chargeable against the individual conducting the sampling; or

   (2) Sampling and analysis staff which may not be independent of the building owner but are independent of the abatement contractor involved in the asbestos project, but only if such staff:

      (i) performs in conjunction with a third party quality assurance program in which 10 percent of the samples, except for bulk samples initially found to contain ACM, from each project are randomly selected and will be analyzed by both entities; and

      (ii) in the case of air sampling, possesses valid New York State Asbestos Project Air Sampling Technician Certification.

   (3) Sampling and analysis staff of a public service corporation with respect to asbestos projects that involve electric, steam or gas generation, distribution or transmission facilities provided that the requirements of subparagraphs (i) and (ii) of paragraph 2 of this section are complied with.

   (4) Only persons certified by the Department as asbestos investigators or by New York State Department of Labor as Asbestos Inspectors may select and collect bulk samples for analysis.

  1. One air sampling technician must be present per three work areas in one work site to observe and maintain air sampling equipment for the duration of the air sample collection, except that if there are multiple work areas on the same floor, only one air sampling technician is required for that floor.
  2. Bulk sample analysis (PLM or gravimetric reduction and TEM analysis) shall be performed by laboratories with the appropriate accreditation in the ELAP.
  3. Air Sample Analysis (PCM) shall be performed by laboratories with the following qualifications:

   (1) Successful completion by the laboratory’s active analysts of the NIOSH 582 training course which outlines the NIOSH 7400 method; and

   (2) Analysts with skills in the appropriate methodology and proficiency in the NIOSH PAT Program for PCM analysis; and

   (3) Accreditation in ELAP.

  1. Air Sample Analysis (TEM) shall be performed by analysts who possess skills in TEM analysis, are accredited in ELAP, and participate in an in-house quality assurance program using the National Institute of Standards and Technology (NIST SRM 1876 b) or traceable standard.

§ 1-37 Sampling Equipment Requirements.

(a) Bulk sampling requirements.

   (1) Bulk samples shall be taken by whatever method minimizes the potential for fiber release.

   (2) Any material which remains exposed as a result of the sampling procedure shall be sealed.

  1. Area air sampling equipment for Phase Contrast Microscopy (PCM) shall be utilized in accordance with the equipment and sampling procedures specified within the NIOSH 7400 Method modified for area sampling.
  2. Area air sampling equipment for Transmission Electron Microscopy (TEM) shall be utilized in accordance with the sampling procedures specified within 40 C.F.R. Part 763, Subpart E, Appendix A – Section II Mandatory Transmission Electron Microscopy Method, Subsection B - Sampling.
  3. Air sampling pumps must have a constant controlled flow and must have the flow rate capacity to perform sampling as specified in these rules. A properly calibrated rotometer must be used to check the flow rate. A rotometer, along with its current calibration sheet, must be available at the work place for the duration of air sample collection. Primary and secondary calibration devices must be calibrated as per NYSDOH ELAP requirements.
  4. Sampling pumps, cassettes, and tubing shall be checked before, during and after use. The sampling assembly shall be checked for leaks and occlusions.
  5. A project air sampling log must be created and maintained in a bound notebook by the air monitoring company. The project air sampling log must be available at the work site. A copy of the log must be submitted to the department within 72 hours of request. The log must contain the following information for all area air samples collected on the asbestos project:

   (1) Name of the firm and the certified air sampling technician performing the project air sampling, per work shift or day for all area air samples collected.

   (2) Dates of project air sample collection, per work shift or day of area air samples, with appropriate reference to the work area to which the air samples apply.

   (3) Sample location sketch, showing the sample ID numbers, identifying all project air sample locations, per work shift or day of area air samples. The sketch must be made within one hour of the beginning of sample collection.

   (4) Flow rate primary or secondary calibration device identification number, method of flow rate primary or secondary device calibration and date of last calibration, per work shift or day of area air samples.

   (5) Flow rate of sampling pumps with pre and post calibration listed for each area air sample collected.

§ 1-38 Asbestos Assessment Report – Asbestos Survey and Sampling Requirements.

(a) The asbestos survey shall at a minimum identify and assess the exact locations and quantities of ACM, PACM, and suspect miscellaneous ACM. The asbestos investigator is responsible for the identification and assessment of all types of ACM, PACM and suspect miscellaneous ACM within each area, as indicated by the proposed scope of work or job description(s) indicated in the DOB permit applications or plans.
  1. The asbestos investigator shall assume that some or all of the areas investigated contain ACM, and for each area that is not assumed to contain ACM, must collect bulk samples and submit for analysis in accordance with 15 RCNY §§ 1-36(c), 1-37(a) and 1-44(c) and EPA publications 560/5-85-024 and 560/5-85-030A, and 40 C.F.R. Part 763.80, 763.85, and 763.86.

   (1) PACM Sampling Requirements.

      (a) Surfacing Material. Surfacing material includes but is not limited to fireproofing, acoustical plaster, finish plasters and skim coats of joints. Surfacing materials must be sampled as follows:

         i. At least 3 samples from each homogeneous area that is 1,000 square feet (sf) or less.

         ii. At least 5 samples from each homogeneous area that is greater than 1,000 sf but that is 5,000 sf or less.

         iii. At least 7 samples from each homogeneous area that is greater than 5,000 sf.

      (b) Thermal System Insulation (TSI). TSI includes, but is not limited to, equipment insulation, boiler, breeching, boiler rope, duct, or tank insulation, cement or mortar used for boilers and refractory brick, piping and fitting insulation including but not limited to wrapped paper, aircell, millboard, rope, cork, preformed plaster, job molded plaster and coverings over fibrous glass insulation. TSI must be sampled as follows:

         i. At least 3 samples from each homogeneous area of TSI.

         ii. At least one sample from each homogeneous area of patched TSI if the patched section is less than 6 linear feet or 6 square feet.

         iii. In a manner sufficient to determine if the material is ACM, for packed fittings such as elbows, valves, tees, etc.

         iv. Samples are not required where the asbestos investigator has determined that the TSI is fiberglass, foam glass, rubber, or other non-asbestos containing building material.

      (c) Suspect Miscellaneous Materials. Other suspect miscellaneous materials including, but not limited to, insulation board, vapor barriers, coatings, non-metallic or non-wood roof decking, felts, cementitious board (transite), pipe (transite), flashing, shingles, galbestos, dust and debris, floor tiles, cove base, floor leveler compound, ceiling tile, vermiculite insulation, gaskets, seals, sealants (including for condensate control), vibration isolators, laboratory tables and hoods, chalkboards, pipe penetration packing and other fire-stopping materials, millboard, electrical wire insulation, fire curtains, fire blankets, fire doors, brakes and clutches, mastics, adhesives, glues, caulks, sheet flooring (linoleum), wallpaper, drywall, plasterboard, spackling/ joint compound, textured paint, grout, glazing compound, and terrazzo. Suspect miscellaneous materials must be sampled as follows: At least 2 samples shall be taken, or samples shall be taken in a manner sufficient to determine if the material is ACM.

§ 1-41 Air Sampling Schedule.

(a) At a minimum, air sampling shall be conducted in accordance with the following schedule:

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Equal to or Greater than 10,000 ft.2or 10,000 linear ft. of ACM per work area PCM PCM TEM  
Less than 10,000 ft.2or 10,000 linear ft. of ACM PCM PCM PCM  
Large Asbestos Projects        
Full Containment 10 5 10
Glovebag inside Tent 5a 5a 5a
Exterior Foam and Vertical Surfaces 5c 5d
Interior Foam 10 5c 10d
Small Asbestos Projects        
Full Containment 6 3 6
Glovebag inside Tent 3b 3b 3b
Tent 3b 3b 3b
Exterior Foam and Vertical Surfaces 3c 3d
Interior Foam 6 3c 6d
Minor Projects        
Glovebag inside Tent 1d
Tent 1d
Exterior Foam and Vertical Surfaces 1d
Interior Foam 1d

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a if more than three (3) tents then two (2) samples required per enclosure.

b if more than three (3) tents then one (1) sample required per enclosure.

c samples shall be taken within the work area(s).

d area sampling is required only if:

–   visible emissions are detected during the project

–   during-abatement area sampling results exceeded 0.01 f/cc or the pre-abatement area sampling result(s) for interior projects where applicable.

–   work area to be reoccupied is an interior space at a school, healthcare, or daycare facility.

Note: TEM is acceptable wherever PCM is required.

  1. Pre-Abatement. Prior to commencement of abatement activities, the number of samples specified below shall be taken during normal occupancy activities and circumstances at the work site. Samples shall be taken at the following locations:

   (1) For large full-containment and interior foam method asbestos projects, a minimum of five samples inside and five samples outside the proposed work area.

   (2) For small full-containment and interior foam method asbestos projects, a minimum of three samples inside and three outside the proposed work area.

   (3) For large and small asbestos projects employing the glovebag procedure within a tent, a minimum of five and three samples, respectively, or two samples per enclosure if more than three enclosures.

   (4) For small asbestos projects solely employing tent procedure, a minimum of three samples inside each proposed work area, or two samples per enclosure if more than three enclosures.

   (5) For all exterior projects (foam or vertical surface), no pre-abatement sampling is required.

  1. During abatement. Frequency and duration of the air sampling during abatement shall be representative of the actual conditions during the abatement. Area sampling shall be conducted daily and continuously during a work shift. If more than one daily work shift is required to accomplish the work, area sampling shall be performed on each work shift. Area sampling is not required on days when there are no abatement activities. For project air samples collected during the abatement, the period of time permitted between completion of air sample collection and receipt of results on the job site shall not exceed 48 hours. The following minimum schedule of samples shall be required during the work shift.

   (1) For large asbestos projects employing full containment, area air sampling shall be performed at the following locations:

      (i) Two area samples outside the asbestos project work area in uncontaminated areas of the building, remote from the decontamination facilities.

         (A) Primary location selection shall be within 10 feet of isolation barriers.

         (B) Where negative ventilation exhaust ducting runs through uncontaminated building areas, one area sample will be required in these areas to monitor any potential fiber release.

         (C) Where exhaust tubes have been grouped together in banks of up to five (5) tubes, with each tube exhausting separately and the bank of tubes terminating together at the same controlled area, one area air sample shall be taken.

      (ii) One area sample within five feet of the uncontaminated entrance to each worker decontamination and waste decontamination enclosure system, or parallel worker and waste decontamination system, if applicable; and

      (iii) One area sample within 5 feet of the unobstructed exhaust from a negative pressure ventilation system exhausting indoors but not within a duct.

      (iv) One area sample outside, but within 25 feet of, the building or structure, if the entire building or structure is the work area.

   (2) For large asbestos projects involving interior foam method, area air sampling shall be performed at the following sampling locations:

      (i) One area sample taken outside the work area within 10 feet of isolation barriers.

      (ii) One area sample taken within five feet of the uncontaminated entrance to each worker decontamination and waste decontamination enclosure system, or parallel worker and waste decontamination system, if applicable.

      (iii) One area sample within 5 feet of the unobstructed exhaust from a negative pressure ventilation system exhausting indoors but not within a duct, if applicable.

      (iv) Three area samples inside the work area.

      (v) One area sample where the negative ventilation exhaust ducting runs through uncontaminated building areas, if applicable.

   (3) For large asbestos projects involving exterior foam method or removal of ACM from vertical surfaces, a minimum of five continuous area samples shall be taken concurrently with the abatement for each work area using the following minimum requirements:

      (i) Four area samples inside the work area and remote from the decontamination systems.

      (ii) One area sample within five feet of the uncontaminated entrance to each worker and waste decontamination enclosure system, or parallel worker and waste decontamination system, if applicable.

      (iii) One area sample outside the work area within 25 feet of the building or structure, if the entire building or structure is the work area.

      (iv) One area sample inside the building or structure at the egress point to the work area, if applicable.

   (4) For large asbestos projects employing the glovebag procedure within a tent, a minimum of five continuous air samples shall be taken concurrently with the abatement for each work area, unless there are more than three enclosures, in which case two area samples per enclosure are required.

      (i) Four area samples taken outside the work area within ten feet of tent enclosure(s).

      (ii) One area sample taken within five feet of the uncontaminated entrance to each worker and waste decontamination enclosure system, or parallel worker and waste decontamination system, if applicable.

      (iii) One area sample within five feet of the unobstructed exhaust from a negative pressure ventilation system exhausting indoors, but not within a duct, if applicable.

      (iv) One area sample where negative ventilation exhaust ducting runs through uncontaminated building areas, if applicable.

   (5) For small asbestos projects employing full containment, a minimum of three continuous area samples shall be taken concurrently with the abatement for each work area at the following locations:

      (i) Two area samples taken outside the work area within ten feet of the isolation barriers.

      (ii) One area sample within five feet of the uncontaminated entrance to each worker or waste decontamination enclosure system, or parallel worker and waste decontamination system, if applicable.

      (iii) One area sample within five feet of the unobstructed exhaust from a negative pressure ventilation system exhausting indoors, but not within a duct, if applicable.

      (iv) One area sample where negative ventilation exhaust ducting runs through an uncontaminated building area, if applicable.

   (6) For small asbestos projects involving the use of foam method on the exterior of a building or the removal of ACM from exterior surfaces, a minimum of three continuous area samples shall be taken concurrently with the abatement for each work area at the following locations:

      (i) Two area samples inside the work area and remote from the decontamination systems.

      (ii) One area sample within five feet of the uncontaminated entrance to each worker and waste decontamination enclosure system, or parallel worker and waste decontamination system, if applicable.

      (iii) One area sample inside the building or structure at the egress point to the work area, if applicable.

   (7) For small asbestos projects using the tent procedure (with or without the use of glovebags), a minimum of three area samples shall be taken concurrently with the abatement for each work area unless there are more than two enclosures, in which case one sample per enclosure is required.

      (i) Two area samples taken outside of the work area within ten feet of the tent.

      (ii) One area sample within five feet of the uncontaminated entrance to each worker and waste decontamination system, or parallel worker and waste decontamination system, if applicable.

      (iii) One area sample within five feet of the unobstructed exhaust from a negative pressure ventilation system exhausting indoors, but not within a duct, if applicable.

      (iv) One area sample where negative ventilation exhaust ducting runs through uncontaminated building areas, if applicable.

   (8) For small asbestos projects employing interior foam procedures, a minimum of three continuous area samples shall be taken concurrently with the abatement for each work area at the following locations:

      (i) One area sample taken inside the work area.

      (ii) One area sample taken within five feet of the uncontaminated entrance to each worker and waste decontamination enclosure system, or parallel worker and waste decontamination system, if applicable.

      (iii) One area sample taken outside the work area within ten feet of the isolation barriers.

      (iv) One area sample where negative ventilation exhaust ducting runs through uncontaminated building areas, if applicable.

  1. Post-abatement. Post-abatement clearance air monitoring shall include at a minimum the number of area samples specified below, to be taken for each homogeneous work area.

   (1) For small asbestos projects:

      (i) involving full containment or interior foam method (if required by 15 RCNY § 1-41(a)), three area samples inside and three outside the work area;

      (ii) involving tent procedure (with or without the use of glovebags), three area samples inside each work area or one area sample inside each tent if there are more than three tents;

      (iii) involving exterior foam method or removal from vertical surfaces, three area samples inside the restricted area beneath and/or immediately adjacent to the work area, only if visible emissions were detected during the project, or abatement area samples exceeded 0.01 f/cc.

   (2) For large asbestos projects:

      (i) a minimum of five area samples inside and five outside the work area, for projects involving full containment or interior foam method (if required by 15 RCNY § 1-41(a)). In addition to the five sample minimum, one representative area sample must be collected both inside and outside the work area for every 5,000 square feet above 25,000 square feet of floor space when ACM has been abated.

      (ii) a minimum of five area samples inside each tent enclosure where glovebag procedures are being used, or two area samples inside each tent where glovebag procedures are being used if there are more than three tents;

      (iii) involving exterior foam method or removal from vertical surfaces, five area samples inside the restricted area beneath and/or immediately adjacent to the work area, only if visible emissions were detected during the project, or abatement area samples exceeded 0.01 f/cc.

   (3) When TEM analysis is employed a minimum of 5 samples from outside the work area shall also be collected.

   (4) For minor projects post-abatement clearance air monitoring is not required, unless visible emissions were detected outside the work area and/or levels exceeded 0.01 f/cc during abatement, or the project was conducted inside a school, daycare, or healthcare institution. In such cases, one area sample shall be taken.

§ 1-42 Monitoring Requirements.

Monitoring requirements and procedures for other than post-abatement clearance air monitoring are as follows:

  1. The sampling zone for air samples shall be representative of the building occupants’ breathing zone. However, at no time shall the sampling cassette be placed less than 4 feet from the ground. Air samplers shall be placed so that they are not influenced by unusual air circulation patterns or by the configuration of the space or by each other. Air sampling cassettes shall be mounted upon commercially-available aluminum tripods and shall not be placed within two feet of walls or obstructions such as the corners of rooms or furniture.
  2. If possible, ambient samplers should be placed about 6 feet above the ground surface in reasonable proximity to the building and away from obstructions and drafts that may unduly affect airflow. For outdoor samples, if access to electricity and concerns about security dictate a rooftop site, locations near vents and other structures on the roof which would unduly affect airflow shall be avoided.
  3. Samples shall have a chain of custody record. The project air sampling log required pursuant to 15 RCNY § 1-37(f) does not satisfy the chain of custody requirement.
  4. In accordance with the above criteria, area samples (see 15 RCNY § 1-41) shall conform to the following schedule:
Area Samples for Analysis by Minimum Volume Flow Rate
PCM 25 mm 560 5 to 15 liters/min.
TEM 25 mm 560 1 to 10 liters/min.
TEM 37 mm 1,250 1 to 10 liters/min.

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  1. For small projects including tent procedures, sampling shall start with the installation of the containment and shall run concurrently with the procedure.

§ 1-43 Post-Abatement Clearance Air Monitoring.

Post-abatement clearance air monitoring requirements are as follows:

  1. (1)  Sampling shall not begin until a visual inspection, conducted by a project monitor who is independent of the abatement contractor and by the asbestos handler supervisor, confirms that all containerized waste has been removed from work and holding areas and there is no visible ACM debris or residue on or about all abated surfaces; and

   (2) Sampling shall not begin until at least 1 hour after the area is dry from the third cleaning (see 15 RCNY § 1-112(e)) and no visible pools of water or condensation remain. For pre-demolition asbestos abatement activity, sampling shall begin 2 hours after the area is dry and no visible pools of water or condensation remain.

  1. Samplers shall be placed at random around the work area. If the work area contains the number of rooms equivalent to the number of required samples based on floor area, a sampler shall be placed in each room. When the number of rooms is greater than the required number of samples a representative sample of rooms shall be selected.
  2. The representative samplers placed outside the work area but within the building shall be located to avoid any air that might escape through the isolation barriers and shall be approximately 50 feet from the entrance to the work area, and 25 feet from the isolation barriers.
  3. The following aggressive sampling procedures shall be used within the work area during all clearance air monitoring:

   (1) Before starting the sampling pumps, use forced air equipment (such as a 1 horsepower leaf blower) to direct exhaust air against all walls, ceilings, floors, ledges and other surfaces in the work area.

      (i) For asbestos projects: this pre-sampling procedure shall take at least 5 minutes per 1,000 sq. ft. of floor area; then install one 20-inch fan per 10,000 cubic feet of room space. Then immediately place the fan on slow speed and point it toward the ceiling.

      (ii) For pre-demolition asbestos abatement activity, this pre-sampling procedure shall take at least three minutes, after which the 20-inch fan shall be left running unattended in the work area throughout sampling. This procedure shall be acceptable when the floor area of the work area is less than 500 square feet. At or above 500 square feet of floor area within the work area, the aggressive sampling procedures specified in this subdivision (d) for asbestos projects shall be conducted.

   (2) Start the sampling pumps and sample for the required time or volume.

   (3) Turn off the pump and then the fan(s) when sampling is completed.

  1. For post-abatement monitoring, area samples shall conform to the following schedule:
Area Samples for Analysis by Minimum Volume Flow Rate
PCM 1,800 Liters 5 to 15 liters/min.
TEM 1,250 Liters 1 to 10 liters/min.

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  1. Each homogeneous work area which does not meet the clearance criteria shall be thoroughly recleaned using wet methods, with the negative pressure ventilation system in operation. New samples shall be collected in the work area as described above. The process shall be repeated until the work site passes the test.
  2. For an asbestos project with more than one homogenous work area, the release criterion shall be applied independently to each work area.

§ 1-44 Analysis and Reporting Results.

Laboratory analyses and reporting shall be considered evidence of compliance with this chapter only if they conform to the following requirements:

  1. PCM area air samples shall be analyzed and reported in accordance with the NIOSH 7400 method using “A” Counting Rules.
  2. TEM area air samples must be analyzed and reported in accordance with the mandatory or non-mandatory Electron Microscopy Methods set forth at 40 C.F.R. Part 763, Subpart E.
  3. Bulk samples must be analyzed and reported in accordance with the Method for the Determination of Asbestos in Bulk Building Materials found in 40 C.F.R. Part 763, Subpart E, or other methods approved by the National Institute of Standards and Technology, the National Institute of Occupational Safety and Health, the United States Environmental Protection Agency, or New York State Department of Health.
  4. Bulk and air sampling results/reports shall be submitted directly to the Department upon request within 72 hours.

§ 1-45 Action Criteria.

(a) When visible emissions occur outside the work area, or any area air sample has indicated a determinant level of fiber concentrations greater than the larger of baseline levels or 0.01 f/cc, work shall stop for inspection.

   (1) For large or small asbestos projects, the integrity of barriers, if disturbed, shall be restored. Clean-up of surfaces outside of the work area using HEPA vacuums or wet cleaning techniques shall be done prior to resuming abatement activities.

   (2) For tent procedures, HVAC systems to or in the work area shall be shut down and the work area shall be wet cleaned or HEPA vacuumed until the area air samples indicate the fiber concentration is below the determinant level. If fiber concentrations remain above the determinant level for longer than 24 hours, isolation barriers and engineering controls shall be installed and maintained.

  1. Clearance and/or reoccupancy criteria. (1) The clearance criteria shall be applied to each homogeneous work area independently.

   (2) For PCM analysis involved in alteration or renovation projects, the clearance air monitoring shall be considered satisfactory when every sample is less than or equal to 0.01 f/cc or less than the ambient concentration, whichever is larger.

   (3) For TEM analysis, the clearance monitoring will be considered satisfactory if conducted in accordance with 40 C.F.R. Part 763, Subpart E, Appendix A Section IV – Mandatory Interpretation of Transmission Electron Microscopy Results to Determine Completion of Response Actions.

   (4) Clearance air monitoring results shall be submitted directly to the Department within 24 hours of request.

Subchapter E: Personnel Protection and Equipment Specifications

§ 1-51 Personnel Protection and Hygiene Requirements.

(a)  Prior to project initiation, all workers engaged in abatement activities on an asbestos project or minor project must be certified by DEP.
  1. At least one asbestos handler supervisor shall be present at the work site while abatement activities are being conducted on an asbestos project or minor project, except that during minor projects the supervisor does not have to be physically present at all times but must be readily available.
  2. Personal protective equipment must be worn by all individuals inside the work place during abatement activities, except that gloves need not be worn during those work place preparation activities which do not involve the disturbance of ACM. Personal protective equipment must meet the following specifications:

   (1) Disposable clothing including head, hand, foot and full body protection shall be provided by the contractor in sufficient quantities and adequate sizes for all workers and authorized visitors.

   (2) Hard hats, protective eyewear, gloves, rubber boots and/or other footwear must be provided by the contractor as required for workers and authorized visitors. Safety shoes and hard hats must be in accordance with the most recent ANSI standards.

   (3) Contaminated clothing shall be sealed in impermeable bags and the bags shall be appropriately labeled.

  1. Personal air monitoring shall be performed in accordance with current OSHA regulations. Such records shall be made available within 72 hours to authorized Department representatives upon request.
  2. Personal Hygiene at the work site shall meet the following requirements:

   (1) There shall be no smoking on any floor of the building where abatement activities are taking place.

   (2) Jewelry, watches, and cellular telephones shall not be worn, carried, or kept in contaminated areas.

   (3) The contractor shall provide clean change areas for the workers. Change areas shall be equipped with separate storage facilities for protective clothing and street clothing.

   (4) If lunch areas are provided, they shall be located outside the work place in an area in which the airborne concentrations are below 0.01 f/cc.

   (5) There shall be no eating, drinking, application of cosmetics, or chewing of gum or tobacco inside the work place. There shall be no food or beverages present in the work place.

   (6) There shall be no lighters or matches in the work place.

  1. The contractor must have available the following information at the work place:

   (1) A copy of the U.S. Environmental Protection Agency Regulations for Asbestos, 40 C.F.R. 61 Subparts A and M and a copy of OSHA Asbestos Regulations, 29 C.F.R. § 1926.1101, and 12 NYCRR Part 56; and

   (2) A list of telephone numbers for local hospital, location of hospital and/or emergency squad, local fire department, the building owner (or representative) and the N.Y.C. Asbestos Control Program, and

   (3) A copy of these Rules, the most recent Asbestos Abatement Notice (Form ACP-13), asbestos abatement (ATRU) permits, any variance application (Form ACP-9) and DEP approval thereof, and

   (4) A copy of all Safety Data Sheets (SDS) for chemicals used during the asbestos project, and

   (5) Original New York City Asbestos handler and supervisor certificates of all workers in the work site, and

   (6) A copy of the current New York State Department of Labor asbestos handling license of the abatement contractor and air monitoring company.

   (7) A copy of any asbestos survey performed in the affected building in accordance with these rules.

  1. The contractor must post signs during all abatement activities. Signs must be posted at all approaches to the work place including internal doorways which provide access to the work place. These signs must include the following information:

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  1. Warning labels must be affixed to all waste containers containing asbestos material and must include the following information:

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§ 1-61 Materials and Equipment.

The materials and equipment used during allabatement activities shall conform with the following:

  1. During abatement activities, replacement materials shall be stored outside the work area in a manner to prevent contamination. Materials required for the asbestos project (i.e. plastic sheeting, replacement filters, duct tape, etc.) shall be stored to prevent damage or contamination.
  2. When asbestos-containing material that has been used for fireproofing or insulation is removed, the replacement material shall comply with all applicable provisions of the New York City Administrative Code and regulations.
  3. For plasticizing, fire-retardant polyethylene sheeting with 6-mil thickness or greater, in sizes to minimize the frequency of joints, shall be employed.
  4. Duct tape and selected adhesive shall be capable of sealing joints of adjacent sheets of polyethylene, facilitating attachment of polyethylene sheets to finished or unfinished surfaces, and of adhering under both dry and wet conditions, including during the use of amended water.
  5. Airtight and watertight containers must be provided to receive and retain any asbestos-containing waste materials. Plastic bags used for waste storage or disposal must be a minimum of 6-mil in thickness. All containers must be labeled in accordance with OSHA Regulation 29 C.F.R. 1926.1101.
  6. Materials used to enclose ACM shall be impact resistant and assembled to be airtight Gypsum panels taped at the seams, tongue and groove boards, and boards with spline joints all qualify.
  7. Power tools used to drill, cut into, or otherwise disturb ACM shall be manufacturer-equipped with HEPA filtered local exhaust ventilation. Abrasive removal methods, including the use of beadblasters, are prohibited.
  8. Ladders or scaffolds of sufficient dimension and quantity shall be available so that all work surfaces can be easily and safely reached by inspectors. Scaffold joints and ends shall be sealed with tape to prevent incursion of asbestos fibers.
  9. Electrical equipment shall be Underwriters Laboratory listed and approved.
  10. Surfactants, strippers, sealers, or any other chemicals used during the asbestos project shall be non-carcinogenic and non-toxic.
  11. Plastic sheeting used in the construction of temporary enclosures shall be fire-retardant in accordance with NFPA 701. Wood or other materials used in the construction of temporary enclosures shall be noncombustible or fire-retardant in accordance with NFPA 255, ASTM D-2898, ASTM E84, and UL 723.
  12. Equipment and materials may be substituted for those specified in this chapter only if determined to be equivalent after review by the Department.

Subchapter F: Asbestos Project Procedures

§ 1-71 Applicability.

In addition to 15 RCNY §§ 1-01 through 1-61, the following 15 RCNY §§ 1-81 through 1-83, 1-91 through 1-94 and 1-111 and 1-112 shall apply to all asbestos projects. 15 RCNY §§ 1-101 through 1-110 shall apply to all asbestos abatement activities.

§ 1-81 General Work Place Preparation Requirements.

The following procedures shall be followed during the conduct of abatement activities on asbestos projects. The procedures set forth in this subdivision shall be performed in the order set forth below:

  1. The building owner or designated representative must provide notification to all occupants of the work place and immediate adjacent areas of the asbestos project. Information provided in the notification must include contractor, project location and size, amount and type of ACM, abatement procedure, dates of expected occurrence and the Call Center “311” for government information and services. Postings of this notification must be in English and Spanish, at eye level, in a conspicuous, well-lit place, at the entrances to the work place and immediate adjacent areas. The notice must have the following heading: NOTICE OF ASBESTOS ABATEMENT, in a minimum of one inch sans serif, gothic or block style lettering, with the balance of the lettering of the notice to be of the same type lettering in a minimum of one quarter inch size. The notices must be posted 7 calendar days prior to the start of the project and must remain posted until clearance air monitoring is satisfactorily concluded. A lessee initiating an asbestos project must give 10 calendar days notice to the owner of the subject building.
  2. A floor plan showing the areas of the building under abatement and the location of all fire exits in said areas shall be prominently posted in the building lobby or comparable location, along with a notice stating the location within the building of the negative air cutoff switch required under 15 RCNY § 1-91(f), if applicable.
  3. The work place shall be vacated by the occupants prior to work place preparation and until successful clearance air monitoring.
  4. Electric power to all work areas shall be shut down and locked out except for electrical equipment that must remain in service. Safe temporary power and lighting shall be provided in accordance with all applicable codes. Existing light sources (e.g. house lights) shall not be utilized. All power to work areas shall be brought in from outside the area through ground-fault circuit interrupter at the source.

   (1) If electrical circuits, machinery, and other electrical systems in or passing though the work area must stay in operation due to health and safety requirements, the following precautions must be taken:

      (i) All unprotected cables, except low-voltage (less than 24 volts) communication and control system cables, panel boxes of cables and joints in live conduit that run through the work area shall be covered with three (3) independent layers of six (6) mil fire retardant polyethylene. Each layer shall be individually duct taped and sealed. All three (3) layers of polyethylene sheeting shall be left in place until satisfactory clearance air sampling results have been obtained.

      (ii) Any energized circuits remaining in the work area shall be posted with a minimum two (2) inch high lettering warning sign which reads: DANGER LIVE ELECTRICAL – KEEP CLEAR. A sign shall be placed on all live covered barriers at a maximum of ten (10) foot intervals. These signs shall be posted in sufficient numbers to warn all persons authorized to enter the work area of the existence of the energized circuits.

  1. The worker decontamination enclosure system shall be installed or constructed prior to plasticizing the work area or before disturbing ACM.
    1. Prior to erection of partitions, ACM that may be disturbed during this activity shall be:

      (i) removed using a tent procedure (including engineering controls); and/or

      (ii) treated via wet methods.

   (2) Removal by the above procedures shall be limited to a maximum of a one foot wide strip running the length and/or height of the partition and is allowed only to facilitate erection of the partitions.

  1. All boilers and other equipment within the work area shall be shut down, locked out, and tagged out and the burner/boiler/equipment accesses and openings shall be sealed in accordance with 15 RCNY § 1-81(n) until abatement activities are complete. If the boiler or other exhausted equipment will be subject to abatement, all breeching, stacks, columns, flues, shafts, and double-walled enclosures serving as exhausts or vents shall be segregated from the affected boiler or equipment and sealed airtight to eliminate potential chimney effects within the work area. Heating, Ventilation and Air Conditioning (HVAC) System Isolation methods are listed below in order of preference; the more complex and potentially problematic methods maybe used when the more preferred procedures are impractical.

   (1) shut down and lock out HVAC systems and install isolation barriers (see 15 RCNY § 1-81(n)) to prevent contamination and fiber dispersal to other areas of the structure, or

   (2) isolate locally and provide temporary HVAC, or

   (3) positive pressurization of the HVAC system. This procedure shall be applied only under the direction and control of a professional engineer, or other knowledgeable licensed professional.

  1. Abatement shall not commence until work place preparation has been completed.
  2. Movable objects within the proposed work areas shall be pre-cleaned (i.e., prior to commencing general abatement) using HEPA filtered vacuum equipment and/or wet cleaning methods and such objects shall be removed from the work area. If carpeting is left in place, it shall be covered with fire retardant 6-mil plastic sheeting, and then 3/8 in. rigid flooring prior to normal plasticizing.
  3. All flammable materials shall be removed from the work area and all sources of ignition (including but not limited to pilot lights) shall be extinguished.
  4. Fixed objects which will remain within the proposed work areas must be pre-cleaned using HEPA filtered vacuum equipment and/or wet cleaning methods as appropriate, and enclosed with two layers of fire retardant 6-mil plastic sheeting sealed to protect from re-contamination. Sprinklers, standpipes, and other fire protection systems must remain in service and must not be plasticized.
  5. Any source of emergency lighting which is temporarily blocked as a result of work place preparation shall be replaced for the duration of the project by battery operated or temporary exit signs, exit lights, or exit path markings.
  6. Prior to plasticizing, the proposed work areas shall be pre-cleaned using HEPA filtered vacuum equipment and/or wet cleaning methods. Methods that raise dust, such as sweeping or vacuuming with equipment not equipped with HEPA filters, are prohibited.
  7. The isolation barriers (i.e., sealing off of all openings, including but not limited to windows, corridors, doorways, barriers, skylights, ducts, grills, diffusers, and any other penetrations of the work place) shall be installed with two layers of fire retardant 6-mil plastic sheeting sealed with tape. All seams of HVAC or other system components that pass through the work place shall also be sealed.
  8. The work area shall be segregated from the remainder of the work site by construction of temporary structural partitions as follows:

   (1) Partitions shall be constructed of conventional 2 x 3 (minimum) wood or metal stud framing, 16”CC maximum, to support barriers in all openings larger than 32ft2, except where any one dimension is 1 foot or less, or where openings are exits covered in subdivision (p) below.

   (2) A solid construction material (e.g. fire rated plywood) of at least 3/8” thickness shall be applied to the work side of the framing. In secure interior areas where partitions are not subject to access from the public, an additional layer of fire retardant 6-mil plastic sheeting may be substituted for the solid construction material.

   (3) The partitions shall be caulked/sealed at the floor, ceiling, walls, joints and fixtures to form an airtight seal.

   (4) Where the opening is an exit covered in subdivision (s) below, or where the partition would block egress, the partition shall consist of two sheets of fire-retardant 6-mil plastic, prominently marked as an exit with signage so as to be visible both in normal light and in the event of a power failure. Cutting tools (e.g., knife, razor) shall be attached to the work area side of the sheeting for use in the event that the barrier must be cut open to allow egress.

   (5) Means of egress shall not be obstructed by hardwall barriers.

  1. In addition to the isolation barriers, floor and wall surfaces shall be sealed with a minimum of two layers of fire retardant 6-mil plastic sheeting, except where the only ACM being abated in the project is vinyl asbestos floor tile or other flooring material, in which case the floor need not be sealed; or the only material being abated in the project is wall plaster or other wall material, in which case the walls need not be sealed. The plastic layers on the floor shall extend 6 inches up the walls. Walls shall be covered with plastic sheeting down to the floor level, thus overlapping the floor material by a minimum of 6 inches. There shall be a distance of at least 6 inches between seams of adjacent layers.
  2. After isolation barriers are in place, ceiling-mounted objects not previously sealed that will interfere with ACM abatement shall be removed and cleaned. Amended water spraying or HEPA filtered vacuum equipment shall be used during fixture removal to reduce fiber dispersal.
  3. Suspended ceiling tiles and T-grid components, contaminated by ACM, shall remain in place until the work area has been fully prepared as outlined in this section and electrical and HVAC systems have been shutdown. Suspended ceiling components shall be removed and disposed of as asbestos-containing waste or, if non-porous, retained for reuse after wet cleaning/HEPA vacuuming. Isolation barriers shall be installed in all openings above the ceiling before disturbance of ACM commences.
  4. Entrances to the work place that will not be used for worker entry or emergency exits shall be locked to prevent unauthorized entry.
  5. Exits from the work area shall be maintained, or alternative exits shall be established, in accordance with section 1027 of the New York City Fire Code. Exits shall be checked at the beginning and end of each work shift against blockage or impediments to exiting.
  6. Signs clearly indicating the direction of exits shall be maintained and prominently displayed within the work area. The signs shall bear a horizontal arrow or arrows indicating the direction to the exit, above which the word “EXIT” shall be printed in minimum 5” letter size.
  7. No smoking signs shall be maintained and prominently displayed within the work place. The signs shall be a minimum of 10 by 14 inches and shall bear the International “No Smoking” symbol, under which the words “NO SMOKING” shall be printed in minimum 2” letter size.
  8. Floor drains shall be sealed individually with two layers of fire retardant 6-mil plastic sheeting and tape, and then covered as all other floor surfaces. Pits, sumps, etc., shall be covered with adequate fire rated plywood sheeting and secured to floor slabs in a manner which prevents a tripping hazard, prior to required plasticizing.
  9. Elevators running through the work area must conform to the following:

   (1) The elevator door in the work area must be enclosed with conventional 2 x 4 stud framing, covered with 3/8” fire rated plywood sheeting and sealed at all edges and seams. The barrier must be covered and lapped for 8 inches with two layers of fire retardant 6-mil plastic sheeting adhered individually with edges taped for air tightness. There shall be no more than a six inch clearance between the elevator door and hard wall barrier.

   (2) Elevators not remaining in service shall have the fuses removed and the power switch locked in the open position.

   (3) Elevators that remain in operation shall conform to the following additional procedures to minimize the piston effect that results:

      (i) Elevator control shall be modified to bypass the work area.

      (ii) A final larger layer of fire retardant 6-mil plastic sheeting is to be taped airtight but with slack forming a larger perimeter diaphragm. Air leakage across the barrier shall be corrected upon discovery, and the elevator shaft shall be checked for airborne asbestos contamination.

      (iii) This system shall be smoke tested daily.

   (4) Elevator shafts shall not be used as waste chutes or to convey any ACM.

   (5) Signage must be posted in the main lobby stating the specific floors where the elevators are out of service due to abatement.

  1. Adequate toilet facilities must be provided in the vicinity of the clean room external to the work place. Where such facilities do not exist, portable service must be provided.
  2. At least one functional fire extinguisher with a minimum rating 2-A:10-B:C shall be required for each work place. In the case of large asbestos projects, at least two such fire extinguishers shall be required.

§ 1-82 Worker Decontamination Enclosure System.

The following procedures shall be followed during the conduct of abatement activities on asbestos projects:

  1. Worker decontamination enclosure systems shall be located outside the work area and attached to all locations where workers will enter or exit the work area. One system at a single location for each contained work area is preferred. These systems may consist of existing rooms outside of the work area, that offer direct access to the work area and general egress from the work place. When this situation does not exist, enclosure systems may be constructed or may consist of prefabricated or trailer units. Adequate heat and light shall be safely provided.
  2. The worker decontamination enclosure system shall consist of a clean room, a shower room, and an equipment room, in series, separated from each other by airlocks and from the work area and non-work place by curtained doors (see Illustration I).
  3. Worker decontamination enclosure systems shall be fully lined utilizing two layers of fire retardant 6-mil opaque plastic sheeting at a minimum, or the equivalent.
  4. When the decontamination enclosure is constructed outdoors or in areas with public access it shall be fully framed and fire retardant plywood sheathed or equivalent to prevent unauthorized entry. When located outdoors, it shall be waterproof and windproof.
  5. Prefabricated or trailer decontamination units:

   (1) shall at a minimum, have functionality and security equivalent to constructed decontamination enclosure facilities, and

   (2) shall be completely decontaminated prior to removal from the work site.

  1. The clean room:

   (1) shall contain secure crew lockers or shelves, and clean sealable plastic bags for storage of street clothes, and

   (2) shall contain shelves or appropriate facilities for storage of respirators, and

   (3) shall contain clean disposable clothing, replacement filters for respirators, towels and other necessary personal protective equipment, and

   (4) shall not be used for storage of tools, equipment or materials, other than personal protective equipment, nor used as office space, and

   (5) shall be equipped with a lockable door to secure the work place during off-shift hours.

  1. The shower room:

   (1) shall contain a minimum of one (1) shower per 6 workers calculated on the basis of the largest shift, and

   (2) shall have shower heads supplied with hot and cold water adjustable at the shower, and

   (3) shall be constructed to ensure against water leakage, and shall contain a rigid catch basin at least six (6) inches deep, and

   (4) shall contain liquid bath soap, shampoo, and clean dry towels in sufficient quantity for each worker for each showering.

  1. Shower water shall be continuously drained, collected and filtered through a system with a least 5.0 micron particle size collection capability. A system containing a series of several filters with progressively smaller pore sizes shall be used to avoid rapid clogging of the filtration system by large particles. Pumps shall be installed, maintained and utilized in accordance with manufacturer’s recommendations.

   (1) Filtered wastewater shall be discharged either to a sewer or drummed and then properly disposed.

   (2) Used filters shall be disposed of as asbestos-containing waste material.

  1. The equipment room:

   (1) shall be used for storage of equipment and tools used on the job that have been cleaned previously in the work area, and

   (2) may contain a limited supply of replacement filters (in sealed containers until used) for HEPA vacuums and pressure ventilation equipment, extra tools, containers of surfactant and other materials and equipment that may be required during the abatement activity, and

   (3) shall contain labeled 6-mil plastic bags for collection of disposable clothing, and

   (4) shall be used to store contaminated footwear (e.g. rubber boots and other reusable footwear) and contaminated clothing for reuse for the duration of the abatement activity or until disposed.

§ 1-83 Waste Decontamination Enclosure System.

The following procedures shall be followed for removal of asbestos-containing waste material and equipment during the conduct of abatement activities on asbestos projects: (a) The waste decontamination enclosure system shall be located outside the work area and attached to all locations through which ACM waste will be removed from the work area. A waste decontamination enclosure system shall consist of two totally enclosed chambers and shall also comply with the following requirements:

   (1) the washroom shall be constructed with a curtained doorway to the work area and an airlock doorway to the holding area (see Illustration II); and be equipped with a catch basin and a drain installed to collect and deliver wastewater to either the shower drain or to a separate holding vessel where it is filtered;

   (2) the holding area shall be constructed with a curtained doorway to the washroom and a lockable door to the outside (see Illustration II); if remote from the washroom, it shall comply with all applicable NYC Department of Sanitation regulations pursuant to Local Laws 70 of 1985 and 21 of 1987.

  1. Where there is only one means of egress from the work area:

   (1) the holding area of the waste decontamination enclosure system may branch off from the equipment/decontamination room (see Illustration III). Thus constructed, the equipment room alternates as a waste washroom. In this case the waste washroom shall be equipped with a catch basin and a drain, installed to collect and deliver waste water to either the shower drain or a separate holding vessel from where it is filtered, or

   (2) where total asbestos-containing material disturbed in the asbestos project is less than 1,000 linear feet or 1,000 square feet, the shower room may be used as a waste washroom and shall be equipped as set forth in 15 RCNY § 1-83(b)(1), and

      (i) the clean room, in the configuration shown in Illustration I, may not be used for waste storage but may be used for waste transfer to carts, which are stored outside the clean room in a designated holding area.

  1. The waste decontamination enclosure system shall be constructed to meet the requirements of 15 RCNY §§ 1-82(a), (c), (d), (e), (g)(3) and (h).

§ 1-84 Small Asbestos Project Worker and Waste Decontamination Enclosure System.

The following alternative to 15 RCNY §§ 1-82 and 1-83 shall be applicable for small projects only:

  1. The worker decontamination enclosure system shall consist of, as a minimum, an equipment room, a shower room, and a clean room separated from each other and from the work area by curtained doorways. Equipment storage, personal gross decontamination and removal of disposable clothing shall occur in the equipment room prior to entering the shower. All other requirements set forth in 15 RCNY § 1-82 and 15 RCNY § 1-92 shall apply.
  2. For small asbestos projects with only one exit from the work area, the shower room may be used as a waste washroom. The clean room shall not be used for waste storage. All other requirements set forth in 15 RCNY §§ 1-83 and 1-93 shall apply.

§ 1-91 Engineering Controls.

The following procedures shall be followed during the conduct of abatement activities on asbestos projects:

  1. All asbestos projects shall utilize negative pressure ventilation equipment.

   (1) On all asbestos projects, a manometer shall be used to document the pressure differential. The manometer shall be installed and made operational once the negative pressure has been established in the work area. Magnahelic manometers shall be calibrated at least every six months, and a copy of the current calibration certification shall be available at the work site.

  1. The negative pressure ventilation equipment shall operate continuously, 24 hours a day, from the establishment of isolation barriers through successful clearance air monitoring. If such equipment shuts off, adjacent areas shall be monitored for asbestos fibers.
  2. A static negative air pressure of 0.02 inches (minimum) water column shall be maintained at all times in the work place during abatement to ensure that contaminated air in the work area does not filter back to uncontaminated areas.
  3. If more than one ventilation unit is installed, units shall be turned on one at a time while checking the integrity of all barriers for secure attachment and the need for additional reinforcement.
  4. A dedicated power supply for the negative pressure ventilating units shall be utilized. The negative air equipment shall be on a ground fault circuit interrupter (GFCI) protected circuit separate from the remainder of the work area temporary power circuits.
  5. If the containment area of an asbestos project covers the entire floor of the affected building, or an area greater than 15,000 square feet on any given floor, the installation of a negative air cut off switch or switches shall be required at a single location outside the work place, such as inside a stairwell one floor below the lowest floor containing a work place, or at a secured location in the ground floor lobby when conditions warrant (such as when the work place is in a basement or below). The required switch or switches must be installed by a licensed electrician, pursuant to a permit issued by the Department of Buildings. If negative pressure ventilation equipment is used on multiple floors the cut off switch must be able to turn off the equipment on all floors.
  6. On loss of negative pressure or electric power to the negative pressure ventilating units, abatement shall stop immediately and shall not resume until power is restored and negative pressure ventilation equipment is operating again. When power failure or loss of negative pressure equipment lasts or is expected to last longer than one-half hour:

   (1) the make-up air inlets shall be sealed airtight, and

   (2) the decontamination systems shall be sealed airtight after the evacuation of workers and/or authorized visitors from the work area, and

   (3) all adjacent areas shall be monitored for asbestos fiber concentration upon discovery of, and subsequently throughout, the power failure.

  1. Negative pressure ventilation equipment shall be installed and operated to provide at least one air change in the work area every 15 minutes. Where there are no floor or wall barriers because floor or wall material is being abated, there shall be at least one air change in the work area every ten minutes.
  2. Openings made in the isolation barrier to accommodate these units shall be made airtight. The units shall remain within the work area unless located securely outside the building.
  3. Negative air pressure equipment shall be in compliance with ANSI Z9.2 (2012), Local Exhaust Ventilation.
  4. Negative air pressure systems shall be operated in accordance with “Specifications and Operating Procedures for the Use of Negative Pressure Systems for Asbestos Abatement, Guidance for Controlling Asbestos-Containing Materials in Buildings”, EPA Report Number 560/5-85-024 (1985).
  5. Negative pressure ventilation equipment shall be exhausted to the outside of the building away from occupied areas.

   (1) All openings (including but not limited to operable windows, doors, vents, air intakes or exhausts of any mechanical devices) less than 15 feet from the exterior exhaust duct termination location shall be plasticized or made airtight, or a second negative pressure ventilation unit with the primary unit’s capacity shall be connected in series prior to exhausting to the outside.

   (2) Negative pressure ventilation equipment shall exhaust away from areas accessible to the public.

   (3) All ducting shall be sealed and braced or supported to maintain airtight joints. Ducts shall be reinforced and shall be installed so as to prevent breakage. Damage to ducts must be repaired immediately.

  1. Where ducting to the outside is not possible, a second negative pressure ventilation unit compatible with the primary unit’s capacity shall be connected in series. The area receiving the exhaust shall have sufficient, non-recycling exhaust capacity to the outside of the structure, and must be a normally non-occupied area.
  2. Careful installation shall be done to ensure that the ducting does not release fibers into uncontaminated building areas.
  3. Routine smoke testing, air monitoring and daily inspections shall be performed by the Asbestos Handler Supervisor to ensure that the ducting does not release fibers into uncontaminated building areas.

§ 1-92 Work Place Entry and Exit Procedures.

The following procedures shall be followed during the conduct of abatement activities on asbestos projects:

  1. Entrance procedures.

   (1) All workers and authorized visitors shall enter the work area through the worker decontamination enclosure system.

   (2) All individuals who enter the work area shall sign the log located in the clean room, upon each entry and exit. The log shall be permanently bound and shall identify fully the facility, owner, agents, contractor(s), the project, each work area and worker respiratory protection employed. The log shall be available for examination during abatement activities by the Department, the owner and the workers. A copy of the log shall be submitted directly to the Department within 72 hours of request.

   (3) All individuals before entering the work area, shall be familiar with all posted regulations, personal protection requirements and emergency procedures. The log headings shall indicate, and the signatures shall be used to acknowledge, that the regulations and procedures have been reviewed and understood by all persons prior to entering the work area. The postings and log headings shall be in English and in the language of the majority of the asbestos handlers.

   (4) All individuals shall proceed first to the clean room, remove all street clothing, store these items in clean sealable plastic bags or a locker and don personal protective equipment. Clean personal protective equipment shall be provided and utilized by each individual for each separate entry into the work area.

  1. Exit procedures.

   (1) Before leaving the work area, each individual shall remove the gross contamination from the outside of the respirators and protective clothing by wet cleaning, and/or HEPA vacuuming.

   (2) In the equipment room, all personal protective equipment except respirators shall be removed. Disposable clothing shall be deposited into labeled containers for disposal. Reusable contaminated clothing, footwear, and/or head gear shall be stored in the equipment room when not in use.

   (3) Still wearing a respirator, each person shall proceed to the shower room, clean the outside of the respirator and the exposed face area under running water prior to removal of the respirator, and then fully and vigorously shower and shampoo to remove residual asbestos contamination. Respirators shall be washed thoroughly with soap and water or a suitable sanitizing agent. Various types of respirators may require slight modification of these procedures.

   (4) After showering and drying, personnel shall proceed to the clean room and don clean disposable clothing if returning to the work area or street clothing if remaining outside the work area.

§ 1-93 Equipment and Waste Container Decontamination and Removal Procedures.

The following procedures shall be followed whenever equipment or containers are removed from the work area during an asbestos project:

  1. When the worker decontamination enclosure system shown in Illustration I alternates as a waste decontamination enclosure system, the clean room shall be considered a holding area during the period of active waste transfer only for the purpose of the loading of carts. Storage of waste and carts in the clean room is prohibited.
  2. Where the waste decontamination enclosure system is part of the worker decontamination enclosure system (see Illustration III), waste removal shall not occur during worker shift changes or when workers are showering or changing. Care shall be taken to prevent short circuiting and cycling of air outward through the shower and clean room.
  3. Where only one means of egress exists and the shower room is used as a waste washroom, workers are to be stationed in each room/area of the decontamination enclosure to transfer/process (see subdivisions (d), (h) and (I) of this section) the containers and equipment to or from adjacent sections. These workers are not to cross into the adjacent areas/rooms until the waste/equipment transfer is finished for that period and the workers have gone through decontaminations required by 15 RCNY § 1-92. The clean room/holding area workers shall have entered from uncontaminated areas with appropriate personal protective equipment; or prior to the start of waste transfer, these workers shall have exited the work area, fully decontaminated, and subsequently donned clean personal protective equipment.
  4. External surfaces of contaminated containers and equipment shall be cleaned by wet cleaning and/or HEPA vacuuming in the work area before transferring such items into the decontamination enclosure system. Contaminated workers shall not enter the washroom during this procedure.
  5. The cleaned containers of ACM and equipment shall be recontainerized (double-bagged) by either placing them in uncontaminated leak-tight plastic bags or sheeting as the item’s physical characteristics demand while in the washroom of the waste decontamination enclosure system. Air volume shall be minimized and the bags of sheeting shall be sealed. Items that may puncture or tear the plastic bags or sheeting shall be placed in a hardwall container and sealed.
  6. The clean recontainerized items shall be moved into the airlock for subsequent transfer to the holding area. The washroom workers shall not enter this airlock or the work area until waste removal is finished for that period.
  7. Recontainerized items and cleaned equipment shall be removed from the airlock to the holding area by workers who have entered from uncontaminated areas with appropriate personal protective equipment.
  8. The recontainerized items of ACM and cleaned, bagged equipment shall be placed in open top, watertight plastic carts. These carts shall be held in the holding area pending removal. The carts shall be HEPA vacuumed or wet-cleaned following the removal of the containers of ACM from them.
  9. The exit from the waste decontamination enclosure system shall be secured to prevent unauthorized entry.
  10. The carts shall be stored in a holding area of the work site.

§ 1-94 Maintenance of Decontamination Enclosure Systems and Barriers.

The following procedures shall be followed during the conduct of abatement activities on asbestos projects:

  1. All plastic barriers inside the work place and partitions constructed to isolate the work area from occupied areas shall be inspected by the asbestos handler supervisor at least twice per shift.
  2. Smoke tubes shall be used to test the integrity of the work area barriers and the decontamination enclosure systems daily at a minimum both before abatement activity begins and at the end of each shift. A visual inspection of the barriers, including the use of differential manometers, shall be considered acceptable as a back-up test.
  3. Damage and defects in the decontamination enclosure system shall be repaired immediately. The decontamination enclosure system shall be maintained in a clean and sanitary condition at all times.
  4. At any time during the abatement activity, if visible emissions are observed, or elevated asbestos fiber counts outside the work area are measured, or if damage occurs to barriers, abatement shall stop. The source of the contamination shall be located, the integrity of the barriers shall be restored, and visible residue shall be cleaned up using appropriate HEPA vacuuming and wet cleaning procedures immediately.
  5. Inspections, observations, and unusual incidents (e.g. barrier damage, contamination beyond the work area, etc.) shall be documented in the log by the asbestos handler supervisor.
  6. The daily inspection to ensure that exits have been checked against exterior blockage or impediments to exiting as per 15 RCNY § 1-81(t) shall be documented in the log book.
  7. If exits are found blocked, abatement activities shall stop until the blockage is cleared.

§ 1-101 Applicability.

The following 15 RCNY §§ 1-102 through 1-110 inclusive shall apply to all abatement activities.

§ 1-102 ACM Disturbance, Handling and Removal Procedures.

The following procedures shall be followed during the conduct of abatement activities:

  1. Abatement of asbestos-containing materials shall be by wet methods. ACM shall not be removed or disturbed without being adequately wet. Dry removal of asbestos-containing material is prohibited, unless EPA approval has been obtained. The EPA-approved alternate removal plan shall be submitted to the Department for approval a minimum of 15 days before work is scheduled to begin or begins. The plan shall explain and justify why ACM must be removed dry and how asbestos fibers will be controlled to prevent their release.
  2. When amended water is used, the ACM must be sprayed with sufficient frequency and quantity for enhanced penetration. Sufficient time must be allowed for penetration to occur prior to removal action or other disturbance taking place. Accumulation of standing or free water is prohibited. Soft loosely bound ACM must be saturated. Material that resists wetting, such as tremolite or amosite, must be thoroughly wetted on all surfaces while work is being conducted.
  3. When used, removal encapsulants that minimize fiber generation and enhance penetration, shall be applied per manufacturer’s specifications and in accordance with federal guidelines.
  4. ACM on detachment from the substrate is to be bagged directly or dropped onto a flexible catch basin and promptly bagged. Detached ACM is not permitted to lie on the floor for any period of time. Excess air in the bag must be minimized and the bag must be sealed. Material that resists wetting must not be dropped. ACM must not be dropped from a height greater than 10 feet. Above 10 feet in height dust-free enclosed inclined chutes may be used. Vertical chutes are prohibited. The angle of the chute must not exceed 60 degrees from horizontal.
  5. Large components removed intact that cannot be containerized shall be maintained wet, wrapped (minimizing excess air) in at least one layer of fire retardant 6-mil polyethylene sheeting, and secured by sealing with tape.
  6. After completion of all stripping work, surfaces from which asbestos-containing materials have been removed shall be cleaned (e.g. wet-brushed and/or wet-cleaned) to remove all visible residue.

§ 1-103 Encapsulation Procedures.

The following procedures shall be followed for the encapsulation of ACM:

  1. All material used for repair or encapsulation of asbestos-containing material shall have a flame spread rating, fireproofing, and smoke characteristics similar to the material being encapsulated. The encapsulate shall not alter the insulating characteristics of the material subject to encapsulation, and shall comply with current fire proofing standards and the encapsulate shall not add excess weight to the material increasing the potential that the material may lose cohesion or adhesion.
  2. Loose or hanging asbestos-containing materials shall be removed in accordance with the requirements of 15 RCNY § 1-102: “Disturbance, Handling, and Removal.”
  3. Only pigmented (non-transparent) encapsulants shown to be ratable as acceptable or marginally acceptable on the basis of Battelle Columbus Laboratory test procedures and rating requirements developed under the 1978 USEPA contract shall be used for encapsulation.
  4. The encapsulant solvent or vehicle must not contain a volatile substance.
  5. Latex Paint with solids content greater than 15 percent may be used as an encapsulant only as follows:

   (1) as a lockdown sealant for coating all non-metallic surfaces, or

   (2) for sealing of cementitious ACM.

  1. Encapsulants shall be field tested prior to use by applying each to a small area to determine suitability of the material to be encapsulated.

   (1) Testing is to occur only after the isolation barriers are in place.

   (2) Testing shall be by the USEPA method specified in the appendix of “Guidelines for the Use of Encapsulants on Asbestos-Containing Materials” or ASTM Standard Test Method E736-80. The encapsulated materials shall achieve a cohesive/adhesive strength of 100 lb/ft perpendicular to the surface.

  1. Application of bridging encapsulants over ACM shall provide the manufacturer’s specified number of inches or minimum dry film thickness.
  2. A different color for each coat of encapsulant (per manufacturer’s specifications) shall be used.
  3. Penetrating encapsulants shall be applied to penetrate existing asbestos-containing materials to the substrate. During treatment with a penetrating encapsulant, selected random core samples of the asbestos-containing materials shall be removed to check the depth of penetration. The resulting space shall be treated as outlined (in subdivision (a)) above and re-encapsulated.
  4. Encapsulants shall be applied using airless spray equipment.

   (1) Spraying shall occur at the lowest pressure range possible to minimize fiber release from encapsulant impact at the surface. It shall be applied with a consistent horizontal or vertical motion.

   (2) Each subsequent coat of encapsulant shall be applied at a right angle to the preceding coat application or per manufacturer’s specifications.

  1. Encapsulated asbestos-containing materials shall be identified (e.g. using labels, signs or color coding) in order to warn building maintenance personnel in the event encapsulated materials must be disturbed.
  2. The following maintenance procedures are required, except when the encapsulated material is on utility lines located in the street:

   (1) A periodic inspection and maintenance program, consisting of an inspection at least annually to check for damage to all encapsulated surfaces. Recoating and repairs are to be performed according to procedures in this section.

   (2) Maintenance of records by the building owner, on the locations and condition of the encapsulated material and on alteration, renovation, modification, or other procedures that resulted in disturbance of the encapsulated material.

   (3) When conditions change and encapsulation is no longer an appropriate method, additional abatement methods should be conducted.

§ 1-104 Enclosure Procedures.

The following procedures shall be followed for the enclosure of ACM:

  1. Loose and hanging asbestos-containing materials that may be disturbed during the installation of hangers or other support/framing materials for the enclosure shall be removed by wet methods in accordance with 15 RCNY § 1-102: “Disturbance, Handling, and Removal”.
  2. After installation of hangers, brackets or other enclosure supports and before installation of enclosure materials, damaged areas of fireproofing/thermal insulation shall be repaired using a replacement material.
  3. Utilities’ service components shall be lowered or removed as necessary and reinstalled in a manner which permits proper utilization and does not disturb the integrity of the enclosures.
  4. Enclosed asbestos-containing materials shall be identified (e.g., using a sign, label, or color coding) in order to warn building maintenance personnel in the event that the enclosure must be disturbed.
  5. The following maintenance procedures are required:

   (1) A periodic inspection and maintenance program, consisting of an inspection at least annually to check for damage to all enclosed surfaces. Re-enclosure and repairs are to be performed according to NYC Work Site Procedure regulations.

   (2) Maintenance of records by the building owner, on the locations and condition of the enclosed material and on alteration, renovation, modification, or other procedures resulting in disturbance of the enclosed material.

   (3) When conditions change and enclosure is no longer an appropriate method of asbestos abatement, additional abatement methods should be conducted.

§ 1-105 Glovebag Procedures.

The following procedures shall be followed during the conduct of abatement activities:

  1. Glovebag procedures must be done using commercially available glovebags of 6-mil clear plastic, appropriately sized for the project. Glovebag procedures may only be used in conjunction with the full containment of the work area (see 15 RCNY § 1-81) or the tent procedure (see 15 RCNY § 1-106). Glovebags may not be shifted and must not be moved from the initial surface to another surface, or reinstalled on the initial surface once removed. Glovebag procedures may only be used on horizontal piping.
  2. The glovebag procedure shall be performed in accordance with the following:

   (1) All necessary tools and materials shall be brought into the work area before the glovebag procedure begins.

   (2) Air monitoring shall be conducted in accordance with 15 RCNY §§ 1-31 through 1-45.

   (3) Glovebag procedures shall be conducted by workers specifically trained in glovebag procedures and equipped with appropriate personal protective equipment.

   (4) The insulation diameter worked shall not exceed one half the bag working length above the attached gloves.

   (5) The ACM within the secured glovebag shall be wetted with amended water prior to stripping.

   (6) The bag shall be attached over duct tape which has been placed securely around the insulation, forming a smooth seal. The bag shall be securely attached to the insulation in a manner to prevent air transfer.

   (7) After placement, each glovebag must pass a smoke test. The glovebag shall be placed under negative pressure utilizing a HEPA vacuum, and a smoke tube shall then be aspirated to direct smoke at all seams and seals from outside the glovebag. Any leaks detected by the smoke test shall be duct taped airtight.

   (8) If the insulation adjacent to the section which will be worked on is damaged, or if the insulation terminates or is jointed or contains an elbow adjacent to the work section, the adjacent insulation shall be wrapped in fire retardant 6-mil polyethylene sheeting and sealed airtight with duct tape.

   (9) After the insulation has been removed, the surface shall be sprayed with amended water and brush-scrubbed to remove all visible ACM. The surface, the interior of the bag, the insulation and the tools shall then be sprayed with amended water. The enclosed volume shall be misted and time allowed for the mist to settle out before breaking the seal to remove the glovebag.

   (10) Any insulation ends created by this procedure shall be:

      (i) sealed with encapsulant prior to bag removal, or

      (ii) thoroughly wetted before bag removal and sealed with wettable cloth end caps and spray glue or any combination of these materials immediately following bag removal.

   (11) The tool pouch shall be separated from the bag prior to disposal by twisting it and the wall to which it is attached several times, and taping the twist to hold it in place, thus sealing the bag and the pouch which are severed at the midpoint of the twist. Alternatively, the tools can be pulled through with one or both glove inserts, thus turning the gloves inside out. The glove(s) is/are then twist sealed forming a new pouch, taped and several mid-seal forming two separate bags.

   (12) A HEPA vacuum shall be used for evacuation of the glovebag in preparation for removal of the bag from the surface for clean-up in the event of a spill, and for post project clean-up.

   (13) With the glovebag collapsed and the ACM in the bottom of the bag, the bag shall be twisted several times and taped to seal that section during bag removal.

   (14) A 6-mil plastic bag shall be slipped around the glovebag while it is still attached to the surface. The bag shall be detached from the surface by removing the tape or cutting the top with blunt scissors.

   (15) The asbestos-containing waste, the clean-up materials, and protective clothing shall be wetted sufficiently, double-bagged minimizing air content, sealed separately, and disposed of in conformance with 15 RCNY §§ 1-93 and 1-102.

  1. [Reserved.]
  2. Glovebag procedures may only be utilized as part of a large or small asbestos project within full containment as set forth in 15 RCNY § 1-81, or inside a tent constructed in accordance with 15 RCNY § 1-106.

§ 1-106 Tent Procedures.

All sections of these rules must be followed in conjunction with this section except 15 RCNY § 1-112(a) - (l). Tent Procedures must be conducted as follows:

  1. Tent procedures must be limited to the removal of less than 260 linear feet and 160 square feet of ACM on any individual floor and must not result in disturbance of ACM during tent erection. Tent procedures may be used as part of a large asbestos project only as provided for in 15 RCNY § 1-81(f) or in conjunction with the glovebag procedure set forth in 15 RCNY § 1-105. Multiple tent enclosures may be used as part of a large asbestos project on an individual floor only in conjunction with the use of the glovebag procedure set forth in 15 RCNY § 1-105. Multiple tent enclosures without the use of the glovebag procedure on a large asbestos project require a variance for the use of modified tent procedures and a remote worker decontamination enclosure.
  2. Tent procedures must be conducted in a constructed or commercially available fire retardant plastic tent, plasticizing and sealing all surfaces and fixed objects not being abated within the tent periphery forming an enclosure. The tent must be of fire retardant 6-mil plastic at a minimum, with seams heat-sealed, or double-folded, stapled and taped airtight and then taped flush with the adjacent tent wall. This is a single use barrier that must not be reused once dismantled or collapsed.
  3. There shall be an airlock at the entrance to the tent, unless there is an attached worker or waste decontamination system.
  4. Asbestos handlers involved in the tent procedure must wear personal protective equipment as specified in 15 RCNY § 1-51(c), plus a second disposable suit. All street clothes must be removed and stored in a clean room within the work site. The personal protective equipment with two disposable suits must be used for installation of the tent and throughout the procedure if a decontamination unit with a shower is not physically connected to the tent. If a decontamination unit (with shower and clean room at a minimum) is physically connected to the tent, only one disposable suit shall be required; in this case, prior to exiting the tent, the worker must HEPA vacuum and wet clean the disposable suit.
  5. The tent shall be attached to the surface to produce an airtight seal except for an appropriate section to allow for make-up air into the tent.
  6. Negative pressure ventilation equipment shall be used to continuously exhaust the enclosed area as specified under 15 RCNY § 1-91, Engineering Controls.
  7. Removal of ACM shall be by wet methods in accordance with 15 RCNY § 1-102.
  8. ACM removed shall be placed in a leak-tight container without dropping it.
  9. Upon completion of abatement, and prior to tent collapse, the enclosed surfaces shall:

   (1) be wet cleaned using rags, mops or sponges; and

   (2) be permitted sufficient time to dry, prior to HEPA vacuuming all substrates; and

   (3) be encapsulated to lockdown residual asbestos.

  1. Upon barrier disturbance, loss of engineering controls, or termination of tent usage, the tent and the enclosed surfaces shall be treated according to subdivision (i) above.
  2. The bagged waste shall be wet cleaned or HEPA vacuumed and then transferred outside the tent, double bagged, and appropriately handled prior to disposal.
  3. The outer disposable suit (if 2 suits are worn) shall be HEPA vacuumed in the tent prior to exiting. The outer disposable suit shall be removed in the airlock and a clean suit shall be worn over the inner suit. The workers shall immediately proceed to a shower at the work site. The inner disposable suit and respirator shall be removed in the shower after appropriate wetting. The disposable clothing shall be disposed of as asbestos-containing waste material. The workers shall then fully and vigorously shower with supplied liquid bath soap, shampoo, and clean dry towels.
  4. The negative pressure ventilation equipment shall be used to filter a minimum of 4 volume changes through the tent after completion of abatement but prior to collapse of the tent/barrier. All required air monitoring must be successfully completed before the tent/barrier is collapsed.
  5. The tent shall be collapsed inward, enclosing the contaminated clothing. This contaminated material shall be disposed of in another plastic bag. The HEPA vacuum shall be decontaminated and sealed.
  6. Glovebag procedures for removal of material within the tent for any sized project shall follow the rules set forth in 15 RCNY § 1-105.

§ 1-107 Foam Procedure for Roof Removal.

(a) These procedures apply only to the removal of asbestos-containing roofing material (ACRM) from exterior roof surfaces. The work area on the roof must be cordoned off with clearly visible barriers such as caution tape, and only authorized persons may have access. All sections of these rules must be followed in conjunction with this section with the exception of 15 RCNY § 1-81(m), 15 RCNY § 1-81(p), 15 RCNY § 1-91, 15 RCNY § 1-102(b), 15 RCNY § 1-112(d), and 15 RCNY § 1-112(g).
  1. The foam or viscous liquid shall be non-toxic, shall not require special respiratory protection for handling, and shall not affect the handling and disposal of the waste.
  2. The foam or viscous liquid shall coat and maintain a stable blanket (minimum 1” thickness) for the duration of the removal process and shall leave an identifiable colored residue when it dissipates.
  3. The foam or viscous liquid shall wet the ACRM. The ACRM shall be kept wet through the bagging process.
  4. Persons entering the work area must wear personal protective equipment as required by 15 RCNY § 1-51 as well as correctly-fitting, good traction rubber boots.
  5. Abatement shall not be carried out during adverse weather conditions (e.g. precipitation, high winds, ambient temperature below 32 degrees Fahrenheit, etc.).
  6. The worker decontamination unit may be attached to each work area at an entry/exit from each work area in accordance with 15 RCNY § 1-82, or may be remote, in which case the work area shall be equipped with an airlock at the entrance. In addition to the shower head(s), the shower room shall be equipped with a flexible hose for waste decontamination for removal of less than 1,000 square feet of ACRM. For 1,000 square feet or more of ACRM removal, a separate waste decontamination facility as per 15 RCNY § 1-83 shall be located at an entry/exit from each work area. Remote holding areas for the asbestos containing waste shall comply with Title 16, Chapter 8, Rules of the City of New York (16 RCNY §§ 8.01 et seq.)
  7. Movable objects shall be removed from the work area, or kept in place and wrapped in one sheet of fire retardant 6 mil plastic sheeting.
  8. Provisions must be made to ensure a safe and adequate air supply to any affected building. All vents, skylights, air intakes, windows and doors opening onto the roof, and all other openings must be sealed with 2 layers of fire retardant 6mil plastic or fitted with HEPA filters when appropriate. Vents, air intakes, etc. can be vertically extended temporarily to a height of ten feet instead of sealing them with 2 layers of plastic or HEPA-filters. Drains may be equipped with 5 micron filtering system in lieu of being sealed.
  9. Fixed objects including perimeter walls, bulkheads, cooling towers, ducts and other rooftop accessories must be covered in one sheet of fire retardant 6 mil plastic up to a height of at least six feet.
  10. Prior to actual removal, the built-up roofing shall be blanketed and wetted with a minimum 1” coating of the acceptable foam or viscous liquid which shall be maintained for the duration of the removal until the material is bagged. The foam or viscous liquid shall be confined to the work area.
  11. Power tools used to drill, cut into, or otherwise disturb the ACRM shall be equipped with HEPA-filtered local exhaust ventilation and operated to prevent potential fiber release.
  12. Clean-up procedures shall include the removal and bagging of ACRM, the removal of all visible accumulations of asbestos containing waste, and the removal of all excess foam or similar viscous liquids. Following the removal of all debris, the work area shall be thoroughly wet cleaned.
  13. The work area shall be allowed to dry completely before the visual inspection is conducted. The project monitor and asbestos handler supervisor shall confirm the absence in the work area of ACM, asbestos-containing waste or debris, and foam or other viscous liquid.
  14. Upon successful visual inspection, all installed plastic sheeting shall be removed.
  15. Air monitoring shall be conducted in accordance with the relevant provisions of subchapter D of these rules.

§ 1-108 Foam/Viscous Liquid Use in Flooring Removal.

(a) These procedures only apply to the removal of surface flooring material including vinyl asbestos floor tiles (VAT), ACM floor coverings (e.g., linoleum) and associated mastics and adhesives, where the only ACM being abated in the work area is flooring material. All sections of these rules must be followed in conjunction with this section with the exception of 15 RCNY § 1-81(m), 15 RCNY § 1-81(p), 15 RCNY § 1-91(c), 15 RCNY § 1-91(h), 15 RCNY § 1-102(b), 15 RCNY § 1-112(d), and 15 RCNY § 1-112(g).
  1. The foam or viscous liquid shall be non-toxic, shall not require special respiratory protection for handling, and shall not affect the handling and disposal of the waste.
  2. The foam or viscous liquid shall coat and maintain a stable blanket (minimum 1” thickness) for the duration of the removal process and shall leave an identifiable colored residue when it dissipates. The acceptable foam or viscous liquid shall be maintained for the duration of the removal until the material is bagged.
  3. The foam or viscous liquid shall coat and wet the ACM. The ACM shall be kept wet through the bagging process.
  4. Persons entering the work area must wear personal protective equipment as required by 15 RCNY § 1-51 as well as correctly-fitting, good-traction rubber boots.
  5. Baseboards and wall surfaces up to a minimum height of four feet above the floor shall be covered with a layer of fire retardant 6-mil plastic sheeting. If hand power tools are used during the abatement, wall surfaces shall be covered with a layer of 6-mil polyethylene sheeting to a minimum height of six feet.
  6. Negative air pressure ventilation shall be provided to allow make-up air into the work area, and the air outlet from the work area shall be at or near the floor level.
  7. Clean-up procedures shall involve removal and bagging of the ACM, of visible accumulations of asbestos containing waste, and of all traces of foam or similar viscous liquid. Following the removal of all debris, the work area shall be thoroughly wet cleaned and HEPA-vacuumed.
  8. The work area shall be allowed to dry completely before the visual inspection is conducted. The project monitor and asbestos handler supervisor shall confirm the absence in the work area of ACM, asbestos-containing waste or debris, and foam or other viscous liquid.
  9. Upon successful visual inspection, plastic sheeting shall be removed from baseboards and wall surfaces. Isolation barriers shall remain in place.
  10. Air monitoring shall be conducted in accordance with the relevant provisions of subchapter D of these rules.

§ 1-109 Abatement from Vertical Exterior Surfaces.

This section shall apply to projects involving the abatement of asbestos-containing materials from the vertical exterior surfaces (and associated horizontal surfaces, e.g. coping stones on top of a parapet wall) of a building or structure, including but not limited to the following materials:

Caulking or glazing compounds

Asphaltic mastic or tar (e.g., flashing on parapet walls)

Cement siding or shingles (including Transite)

Paints

Sealants for coping stone caps or clay roofing tiles

All applicable sections of these rules shall be followed in conjunction with this section except 15 RCNY §§ 1-81(p), 1-91, and 1-112(d), (e), (g), and (h).
  1. The work area shall be prepared as follows:

   (1) The entire surface to be abated and ground-level perimeter shall be considered the work area unless partitions and warning tape are used to define the work area, except that if the horizontal surface below the surface to be abated is not the ground (e.g., surface to be abated is inside parapet wall on roof), the horizontal surface underneath the abatement shall be considered the work area, not the ground.

   (2) A restricted area shall be established using warning tape extending at least 25 feet from the affected areas of the building or to the nearest vertical obstruction or the curb.

   (3) The restricted area may be entered only by certified workers or authorized visitors.

   (4) Before plasticizing, the restricted area shall be inspected for ACM debris and, if necessary, pre-cleaned using HEPA vacuums and wet methods.

   (5) All openings to the building or structure’s interior which are within 25 feet of the affected ACM shall be closed and made airtight.

   (6) Scaffolding erected to access the ACM shall be constructed, maintained, and used in accordance with applicable federal, state, and city laws.

   (7) Elevated platforms being used to access the affected ACM shall be plasticized with two layers of fire-retardant 6-mil plastic, which shall extend up from the platform to at least the height of the mid-rail on three sides, and shall be attached directly to the building just below the surfaces under abatement.

   (8) The ground-level restricted area shall be cleared of all moveable objects and plasticized with two sheets of fire-retardant 6-mil plastic, which shall be extended one foot up the side of the building. The plasticized area shall be twenty-five feet wide or to the curb. This plastic shall be cleaned, replaced, and disposed of as asbestos waste at the end of each shift.

   (9) Sidewalk bridges in the restricted area shall be covered with two layers of fire-retardant 6-mil plastic, placed over and secured to the bridge, spread across the full width, draped over the side to ground level, and extended to a width of at least thirty feet.

  1. A worker/waste decontamination system shall be constructed within the restricted area.
  2. Persons entering the work area must wear personal protective equipment as required by 15 RCNY § 1-51.
  3. Removal Procedure.

   (1) Removal of ACM must be by wet methods in accordance with 15 RCNY § 1-102.

   (2) ACM removed must be placed in a leak-tight container without dropping the ACM into the container.

  1. Cleanup Procedure.

   (1) The stripped substrate must be HEPA vacuumed and wet-wiped.

   (2) A visual clearance inspection must be conducted by the asbestos handler supervisor and project monitor after the work area dries, to ensure the absence of ACM residue or debris in the work area.

   (3) After the inspection is completed, the warning tapes and barriers may be removed.

   (4) The clearance inspection must be documented in the log and the project air sampling log.

  1. Air monitoring must be conducted in accordance with the relevant provisions of subchapter D of these rules.
  2. Abatement must not be performed under this section during bad weather (e.g. precipitation, high winds, temperatures in the immediate outdoor surroundings below 32 degrees Fahrenheit, etc.).
  3. Power tools used to drill, cut into, or otherwise disturb ACM must be equipped with HEPA-filtered local exhaust ventilation and operated to prevent potential fiber release.

§ 1-110 Controlled Demolition with Asbestos in Place.

(a) A building or structure may be demolished with asbestos in place only if the building is in imminent danger of collapse as set forth in section 28-215.1 of Title 28 of the Administrative Code and/or 56 NYCRR 11.5(c).
  1. A copy of the condemnation letter shall be provided to DEP.
  2. The demolition shall be performed in accordance with section 28-215.1 of Title 28 of the Administrative Code and/or 56 NYCRR 11.5 (c).

§ 1-111 Preliminary Clean-up Procedures.

The following clean-up requirements shall be followed during the conduct of abatement activities on asbestos projects:

    1. All waste generated shall be bagged, wrapped or containerized immediately upon removal. The personal and waste decontamination enclosure systems and floor and scaffold surfaces shall be HEPA vacuumed and wet cleaned at the end of each work shift at a minimum.

   (2) Visible accumulations of asbestos-containing waste material shall be containerized utilizing non-metallic dust pans and non-metallic squeegees or HEPA vacuums.

   (3) Metal shovels shall not be used to pick up or move accumulated asbestos-containing waste material or any other debris in the vicinity of isolation or surface barriers.

  1. The waste decontamination enclosure system shall be wet cleaned twice using wet cleaning methods upon completion of waste removal. When the worker decontamination enclosure shower room alternates as a waste container wash room, the shower room shall be washed immediately with cloths or mops saturated with a detergent solution prior to wet cleaning.
  2. The worker decontamination enclosure system shall be wet cleaned/HEPA vacuumed, as appropriate, after each shift change and meal break.
  3. If there is free standing water or if flooding occurs in the work area, work must stop until the water is collected and safely and properly removed.

§ 1-112 Additional Clean-up Procedures (Final).

Additional clean-up procedures shall be performed in the order set forth below prior to commencement of clearance air monitoring.

  1. After removal of visible accumulations of asbestos-containing waste material, all surfaces must be HEPA vacuumed. To pick up excess water and saturated debris, a wet-dry shop HEPA vacuum, dedicated to asbestos abatement, may be used.
  2. All surfaces in the work area shall be wet cleaned (first cleaning).
  3. A thin coat of lockdown encapsulant shall be applied to all surfaces in the work area which were not the subject of removal or abatement, including the cleaned layer of the surface barriers, but excepting sprinklers, standpipes, and other active elements of the fire suppression system.
  4. After the first cleaning, the work area shall be vacated for 12 hours to allow fibers to settle.
  5. The cleaned and encapsulated layer of the surface barriers shall be removed from the walls and floors.
  6. All objects and surfaces in the work area shall be HEPA vacuumed and wet cleaned a second time.
  7. After the second cleaning, the work area shall be vacated for 4 hours before wet cleaning and/or HEPA vacuuming all surfaces in the work area for a third cleaning.
  8. The remaining plastic barriers shall be removed from the walls and floors.
  9. Before starting clearance air monitoring, a thorough visual inspection must be conducted to verify the absence of asbestos-containing waste material (e.g. dust).
  10. All containerized waste shall be removed from the work area through the decontamination enclosures and the holding area.
  11. All tools and equipment shall be removed from the work area and decontaminated in the waste decontamination enclosure system. Cloths, mops, and other cleaning aids shall be disposed of as asbestos-containing waste material.
  12. After successful clearance air monitoring (see 15 RCNY §§ 1-31 et seq.), the isolation barriers shall be removed in conjunction with the use of a HEPA vacuum.
  13. Within 21 days of the completion of all steps set forth above, including successful clearance air monitoring, a project monitor’s report (Form ACP15) must be submitted to DEP. This report must be based on an inspection performed after the completion of all steps listed in this section, and may not be based on the visual inspection performed prior to the commencement of clearance air monitoring. The project monitor who prepares the report must be independent of the abatement contractor. If a project is being performed on multiple floors of a building, a separate project monitor’s report may be submitted as each floor is completed. Compliance with this subdivision is the responsibility of the building owner.

Subchapter G: Pre-demolition Abatement Activity Procedures

§ 1-120 Applicability of Regulations to Pre-Demolition Abatement Activities.

The following regulations shall apply to pre-demolition abatement activities:

15 RCNY §§ 1-01 through 1-61 General Regulations
15 RCNY § 1-81* Work Place Preparation Requirements
15 RCNY § 1-82 Worker Decontamination Enclosure System
15 RCNY § 1-83 Waste Decontamination Enclosure System
15 RCNY § 1-91 through 1-94 Work Place Procedures
15 RCNY § 1-102 ACM Disturbance, Handling and Removal Procedures
15 RCNY § 1-105 Glovebag Procedure
15 RCNY § 1-106 Tent Procedure
15 RCNY § 1-107 Foam Procedure for Roof Removal
15 RCNY § 1-108 Foam/Viscous Liquid Use in Flooring Removal
15 RCNY § 1-109 Abatement from Vertical Exterior Surfaces
15 RCNY § 1-120 through 1-128 Pre-Demolition Abatement Activity Procedures

~

*Subsections (b), (j), (l), (u), (v) and (z) only.

§ 1-125 Work Area Preparation.

The following work area preparation shall be followed during the conduct of pre-demolition abatement activities:

  1. Prior to the start of abatement activities on asbestos projects the building owner or designated representative must post a general notification at all main entrances to the structure. Postings of this notification must be in English and Spanish, at eye level in a conspicuous well-lit place that can be viewed by the public without obstruction. Information provided in the notification must include contractor, project location, that the project is regulated by NYC DEP, and the Call Center “311” for government information and services. The notice must have the following heading: NOTICE OF ASBESTOS ABATEMENT, in a minimum of one inch sans serif, gothic or block style lettering, with the balance of the lettering of the notice to be of the same type lettering in a minimum of one quarter inch size. The notification must be posted throughout all abatement activities.
  2. The building shall be vacated prior to the start of abatement activities.
  3. Electric power to all work areas shall be shut down and locked out. Safe temporary power and lighting shall be provided in accordance with all applicable NYC Code(s) and Regulations. Existing light sources (e.g., house lights) shall not be utilized. All power to a work area shall be brought in from outside the area through ground-fault interrupter at the source.
  4. The worker decontamination enclosure system shall be installed or constructed prior to plasticizing the work area and before disturbing ACM. The waste decontamination enclosure system shall be installed or constructed prior to commencement of abatement. The area in which these systems are located shall require HVAC system isolation and plasticizing of electrical outlets and equipment that are within 6 inches of floor level.
  5. Heating, Ventilation and Air Conditioning (HVAC) System shall be shut down and locked out. Isolation barriers shall be installed to prevent interior duct work contamination.
  6. Abatement shall not commence until work place preparation has been completed.
  7. Methods that raise dust, such as sweeping or vacuuming with equipment not equipped with HEPA filters, are prohibited.
  8. Objects which can be removed from the work area prior to abatement without disturbing ACM shall be pre-cleaned using HEPA-filtered vacuum equipment and/or wet cleaning.
  9. The isolation barriers (i.e. sealing off of all openings, including but not limited to windows, corridors, doorways, barriers, skylights, ducts, grills, diffusers, and any other penetrations of the work areas) shall be installed with 2 layers of fire retardant 6-mil plastic sheeting separately sealed with tape. All seams of HVAC or other system components that pass through the work area shall also be sealed. Chimney effects in stacks, columns, flues, shafts, double- walled enclosures, etc., that impact the work area, shall be eliminated by sealing the accesses with solid material covered with a double layer of 6-mil plastic sealed with tape.
  10. Cinderblock and porous construction materials, painted or unpainted, must be covered with one layer of fire retardant 6-mil plastic sheeting, sealed at edges and seams.
  11. Flooring within the work area shall be water-tight.
  12. Suspended ceiling tiles and T-grid components in proximity to ACM shall remain in place until the work area has been fully prepared as outlined in this section and electrical and HVAC systems have been shut down. Contaminated suspended ceiling components shall be removed prior to abatement and treated with a penetrating encapsulant.
  13. Required means of egress, including emergency and fire exits, must be maintained at all times during abatement activities except as otherwise provided, pursuant to the New York City Building and Fire Codes. Exits must be checked daily to ensure that there is no blockage or impediments to exiting.
  14. Entrances to the work area that will be used for worker entry or emergency exits shall be locked against unauthorized entry.
  15. Elevators running through the work area shall conform to the following:

   (1) The elevator door in the work area shall be enclosed with conventional 2 x 4 stud framing, covered with 3/8” fire rated plywood sheeting and sealed at all edges and seams. The barrier shall be covered and lapped for 8 inches with two layers of fire retardant 6-mil plastic sheeting adhered individually with edges taped for airtightness.

   (2) Elevators not remaining in service shall have the fuses removed and the power switch locked in the open position.

   (3) Elevators that remain in service shall conform to the following additional procedures to minimize the piston effect that results:

      (i) Elevator control shall be modified to bypass the work area.

      (ii) A final larger layer of fire retardant 6-mil plastic sheeting is to be taped airtight but with slack forming a larger perimeter diaphragm. Air leakage across the barrier shall be corrected upon discovery, and the elevator shaft shall be checked for airborne asbestos contamination.

      (iii) This system shall be smoke tested daily.

   (4) Elevator shafts shall not be used as waste chutes for asbestos-containing waste material.

  1. Adequate toilet facilities shall be provided in the vicinity of the clean room external to the work place. Where such facilities do not exist, portable service shall be provided.

§ 1-126 ACM Procedures: Order of Work.

No ACM removal shall be performed in a building concurrently with the full demolition of such building or with the removal of one or more stories of such building, except as otherwise provided in these rules pursuant to 15 RCNY §§ 1-03 and 1-26. This subsection shall not apply to emergency work being performed pursuant to article 215 of chapter 2 of title 28 of the administrative code.

§ 1-127 Clean-up Procedures During Abatement.

The following clean-up procedures shall be followed during conduct of pre-demolition abatement:

    1. All waste generated shall be bagged, wrapped, or containerized immediately upon removal. The personal and waste decontamination enclosure systems shall be HEPA vacuumed and wet cleaned at the end of each work shift at a minimum.

   (2) Visible accumulations of asbestos-containing waste material may be containerized utilizing rubber dust pans and rubber squeegees or HEPA vacuums. Metal shovels may also be used EXCEPT in the vicinity of plastic sheeting which could be perforated by these tools.

  1. The waste decontamination enclosure system shall be wet cleaned twice using wet cleaning methods upon completion of waste removal. When the worker decontamination enclosure shower room alternates as a waste container wash room, the shower room shall be washed immediately with cloths or mops saturated with a detergent solution prior to wet cleaning.
  2. The worker decontamination enclosure system shall be wet cleaned/HEPA vacuumed, as appropriate, after each shift change and meal break.
  3. If there is free standing water or if flooding occurs in the area, work must stop until the water is collected and safely and properly removed.

§ 1-128 Clean-up Procedures: Preparation for Clearance Air Monitoring.

The following final clean-up procedures for pre-demolition abatement shall be performed prior to commencement of clearance air monitoring:

  1. All visible accumulations of asbestos-containing waste material shall be removed and containerized. Metal shovels may be used to pick up or move accumulated waste EXCEPT in the vicinity of plastic sheet isolation and surface barriers which could be perforated by these tools. The areas around the plastic sheet isolation barriers shall be cleaned of visible accumulations utilizing rubber dust pans and rubber squeegees. To pick up excess water and gross wet debris, a wet-dry shop HEPA vacuum dedicated to asbestos abatement may be used.
  2. All containerized waste shall be removed from the work area through the decontamination enclosures and the holding area.
  3. All surfaces in the work area shall be wet cleaned using rags or mops. After allowing sufficient time for drying of the work area, HEPA vacuums shall be used to thoroughly clean all surfaces after gross clean-up.
  4. The plastic sheeting installed, pursuant to 15 RCNY § 1-125(j), must be cleaned as in subdivision (c) above, then sprayed with a lockdown encapsulant and removed when dry.
  5. All surfaces in the work area which were not the subject of removal or abatement shall be sprayed with a lockdown encapsulant, which upon drying will not dissolve upon rewetting. Sufficient time for drying shall be allowed.
  6. All tools and equipment shall be removed from the work area and decontaminated in the equipment decontamination enclosure system.
  7. After successful clearance air monitoring (see 15 RCNY §§ 1-31 et seq.), a HEPA vacuum must be used to clean up any dust or debris when removing the isolation barriers.
  8. Within 21 days of the completion of all steps set forth above, including successful clearance air monitoring, a project monitor’s report (Form ACP15) must be submitted to DEP. This report must be based on an inspection performed after the completion of all steps listed in this section, and shall not be based on the visual inspection performed prior to the commencement of clearance air monitoring. The project monitor who prepares the report must be independent of the abatement contractor. If a project is being performed on multiple floors of a building, a separate project monitor’s report may be filed as each floor is completed. Compliance with this subdivision is the responsibility of the building owner.

ILLUSTRATIONS

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Chapter 2: Engineering Criteria for Fossil Fuel Burning Boilers & Water Heaters

§ 2-01 Introduction and Applicability.

All owners of fossil fuel burning boilers and water heaters that require a registration and have heat input equal to or greater than 2.8 million BTU/hour but less than 4.2 million BTU/hour or require a certificate of operation under the New York City Air Pollution Control Code, as codified in Chapter 1 of Title 15 of the New York City Administrative Code, are subject to these rules.

In order for a registration or work permit to be issued an application must be filed and accompanied by plans and any additional information that may be requested by the department. The application will enable the department to evaluate the design of equipment installation for compliance with the specification requirements described in 15 RCNY § 2-11. Upon issuance of a registration or work permit, the equipment shall be installed and adjusted to meet the performance requirements specified in 15 RCNY § 2-08.

§ 2-02 Definitions.

(1) AP-42. "AP-42" means the United States Environmental Protection Agency publication AP-42, Compilation of Air Pollutant Emission Factors, Volume I: Stationary Point and Area Sources .
  1. ASHRAE. “ASHRAE” means the American Society of Heating, Refrigerating, and Air Conditioning Engineers.
  2. ASTM International. “ASTM International” is formerly known as the American Society for Testing and Materials.
  3. Barometric damper. “Barometric damper” means a device which consists of a damper counter-weighted and set such that boiler room barometric pressure will cause the damper to open or close to check variations in chimney draft and thereby maintain a constant draft directly upstream of the barometric draft regulator location.
  4. Biogas. “Biogas” means a mixture of methane and carbon dioxide produced by the anaerobic digestion of organic matter used as a fuel; includes landfill gas and digester gas.
  5. Boiler. “Boiler” means equipment that is used to heat water or any other transfer medium for the purpose of generating hot water and/or steam. The hot water and/or steam generated by a boiler may be used for heating, processing, or generating power for other purposes, including but not limited to, cooking and sanitation.
  6. British thermal unit. “British thermal unit” (Btu) means the amount of energy needed to heat one pound of water by one degree Fahrenheit.
  7. Burner. “Burner” means a device for the final conveyance of the fuel, or a mixture of fuel and air, to the combustion zone.
  8. Calibration test. “Calibration test” means to calibrate the qualified combustion analyzer in accordance with the manufacturer’s specifications.
  9. Certificate of operation. “Certificate of operation” means a document issued by the department authorizing the operation of a specific piece of equipment or apparatus that may emit an air contaminant.
  10. Chimney. “Chimney” means a primarily vertical structure containing one or more flues, for the purpose of carrying gaseous products of combustion and air from fuel-burning appliances to the outside atmosphere.
  11. Chimney diameter. “Chimney diameter” means for round chimneys, the diameter shall be taken as the actual inside diameter. Where the chimney is provided with a liner, its inside diameter is the chimney diameter. For rectangular chimneys, the equivalent diameter for equal friction and capacity shall be used based on the inside rectangular dimensions.
  12. Chimney height. “Chimney height” is the distance from the centerline of the entrance of the combustion gases into the chimney to the top of the chimney.
  13. Combustion efficiency. “Combustion efficiency” means a measurement of the burner’s ability to burn fuel. It is the heat input minus the stack losses.
  14. Combustion efficiency test. “Combustion efficiency test” means a test of steady state combustion efficiency carried out by a qualified combustion tester using a qualified combustion analyzer.
  15. Condensing Boiler. “Condensing boiler” means a boiler that is designed to operate at stack temperatures where flue gases can condense, thereby recovering its latent heat of vaporization, before leaving the heat exchanger.
  16. Crown sheet. “Crown sheet” means that part of a boiler forming the top of the furnace in a firebox boiler, or the equivalent surface in other types.
  17. CSA Group. “CSA Group” means the Canadian Standards Association.
  18. Custom-design boiler. “Custom-design boiler” means a boiler designed for a specific installation.
  19. Department. “Department” shall mean the New York City Department of Environmental Protection.
  20. Draft. “Draft” shall mean negative static pressure, measured relative to atmospheric pressure.
  21. Dual-fuel. “Dual-fuel” means any equipment that uses both heating oil and gas as a fuel.
  22. Equivalent diameter. The term “equivalent diameter” referred to in the definition of transition section means the equivalent diameter of a square or rectangular section based on equal friction.
  23. ETL. “ETL” is the name of the certification listed mark from Intertek.
  24. Existing equipment. “Existing equipment” refers to any combustion equipment or apparatus legally installed before the promulgation of this chapter.
  25. Flame impingement. “Flame impingement” refers to the condition which exists when the flame resulting from the combustion of the fuel comes into contact with any interior surface of the furnace in such a way as to result in incomplete combustion of the fuel. Such condition may manifest itself in the formation of carbon at the contact location.
  26. Fuel oil grade no. 2. “Fuel oil grade no. 2” means a fuel oil meeting the current definition of fuel oil grade no. 2 as classified by ASTM International Standard D396-12.
  27. Fuel oil grade no 4. “Fuel oil grade no. 4” means a fuel oil meeting the current definition of fuel oil grade No. 4 as classified by ASTM International Standard D396-12.
  28. Fuel oil grade no 6. “Fuel oil grade no. 6” means a fuel oil meeting the current definition of fuel oil grade No. 6 as classified by ASTM International Standard D396-12.
  29. Flue gases. “Flue gases” means the products of combustion passing through the flue connection to the chimney.
  30. Furnace volume. “Furnace volume” is the space encompassed by the chamber floor, the refractory walls, the heat absorbing water walls of the boiler firebox, and the crown sheet, shell or water tubes of the boiler. If a target wall is installed in the furnace, the furnace volume shall be reduced by the volume behind the face of the target wall.
  31. Heat release. “Heat release” is the heat liberated by the combustion of the fuel (Btu/hr) per cubic foot of furnace volume.
  32. In-Kind Replacement. “In-kind replacement” means the replacement of a boiler or burner with equipment of the same make and model number.
  33. Induced draft fan. “Induced draft fan” is an acceptable fan intended for removal of flue gases from the boiler and providing pressure differential for proper combustion.
  34. Louver efficiency. “Louver efficiency” means the percentage of the total open area, not including obstructions such as blades and the frame, divided by the gross area of the louver.
  35. Low-fire setting. “Low-fire setting” is the setting which determines the oil firing rate at which burner ignition occurs where low-high-off, low-high-low-off, or modulating combustion controls are utilized based upon the manufacturer’s recommendations.
  36. Low-high-low-off combustion control. “Low-high-low-off combustion control” is a control capable of initiating the burner such that ignition occurs at the low-fire setting, after which the burner fires at the maximum heat input rating in order to satisfy the demand, and varies the coordinated fuel-air input, between the maximum heat input rating rate and the low-fire as a result of variations in demand.
  37. Low-high-off-combustion control. “Low-high-off combustion control” is a control capable of initiating the burner such that ignition occurs at the low-fire setting, after which the burner fires at the maximum heat input rating until the demand has been satisfied.
  38. Maximum Heat Input Rating. “Maximum heat input rating” means the maximum steady-state fuel firing rate of the burner, measured in Btu per hour of gross heat input, as determined by the manufacturer’s design rating of the burner.
  39. Mechanical ventilation. “Mechanical ventilation” is ventilation which is provided by a fan capable of maintaining the room in which the fuel burning equipment is located at a pressure not less than outside atmospheric pressure while the combustion equipment is in operation.
  40. Natural Gas. “Natural gas” means a mixture of methane and other gases with an odorant as supplied by the local utility serving the premises.
  41. New installation. “New installation” refers to new construction, for which combustion equipment or apparatus is installed.
  42. Non-openable window. “Non-openable window” refers to lot line windows which are not legally required for light and ventilation by the Building Code, Multiple Dwelling Code or other regulatory rule, code or statute.
  43. NOx. “NOx” means the pollutant oxides of nitrogen which is the term used to describe the sum of nitric oxide (NO), nitrogen dioxide (NO
    2 ) and other oxides of nitrogen.
  44. On-off combustion control. “On-off combustion control” is a control capable of starting up or shutting down the burner in response to variations in demand.
  45. Opacity. “Opacity” means the degree to which emissions reduce the transmission of light and obscure the view of an object in the background. Opacity is measured on a percent scale in accordance with U.S. EPA Method 9.
  46. Overall efficiency. “Overall efficiency” means the ratio of the energy output to the energy input or the heat input minus all the losses.
  47. Owner. “Owner” means and includes the owner of the equipment, a lessee of the equipment or his or her agent, a tenant, operator, or any other person who has regular control of equipment or apparatus.
  48. Particulate. Particulate means any air or gas-borne material, except water, that exists as a liquid or solid. The determination of the quantity of particulates present in a stack shall be determined in accordance with U.S. EPA Method 5.
  49. Percent oxygen (%O2). “Percent oxygen (%O
    2 )” is the percentage of the dry flue gases that the oxygen occupies.
  50. Post-purge. “Post-purge” refers to the function of operating the burner fan after flame-out.
  51. Power operated draft regulator. “Power operated draft regulator” is a control which is capable of maintaining a constant pressure in the furnace under all normal operating conditions, and in addition is provided with a low-draft cut-off which will shut the burner off when the draft falls below a pre-selected minimum. The time relay shall delay switch action to prevent shut-down from initial exaggerated fluctuations in pressure.
  52. Pre-purge. “Pre-purge” refers to the function of operating the burner fan before flame ignition.
  53. Pressure differential. “Pressure differential” refers to the absolute value of the difference in pressure between any two points in the system.
  54. Qualified combustion analyzer. “Qualified combustion analyzer” means an instrument that is capable of directly measuring flue gas carbon monoxide, oxygen, and the temperatures of the boiler room, stack gas, calculating combustion efficiency for the specific fuel used, displaying the results, and creating an electronic or printed record of the results. All qualified combustion analyzers shall be calibrated to the manufacturer’s specifications.
  55. Qualified combustion tester. “Qualified combustion tester” means (i) a licensed New York City Class A and B oil burner equipment installer, (ii) a professional engineer or registered architect licensed pursuant to Education Law section 7202 or 7302, (iii) a New York City Licensed Master Plumber, (iv) employees working under the supervision of those licensees listed in paragraphs (i), (ii), or (iii) of this subdivision, or (v) persons who demonstrate to the satisfaction of the Commissioner that their experience (a minimum of two years in related boiler work), qualifications, and references makes them qualified to perform a combustion test.
  56. Radial distance. “Radial distance” means the shortest distance between a receptor location and the centerline of the chimney outlet.
  57. Receptor. “Receptor” is any point at which a person in a nearby building can become exposed to the flue gases emanating from the chimney of the subject installation (e.g., openable window, occupiable terrace). Receptor shall also include air-conditioning and ventilating intakes. (Note: non-openable windows are not considered to be receptor locations.)
  1. Registration. “Registration” means a document issued by the department for the installation and/or operation of a boiler or water heater that has a heat input equal to or greater than 2.8 million BTU/hour but less than 4.2 million BTU/hour.
  2. Smoke reading. “Smoke reading” means the measurement of smoke density as measured in accordance with ASTM International Standard D2156-09.
  3. Stack loss. “Stack loss” means the sensible heat carried away by the dry flue gas and the sensible and latent heat carried away by the water vapor in the flue gas.
  4. Transition section. “Transition section” means a section of duct, breeching or stack used to connect these elements with structures of different cross-sectional dimensions. The required length for such transition section must conform with:

   L = 4(D

1

-D

2

)

   Where,

      D

1

= the diameter (or equivalent diameter) of the larger cross-sectional structures.

      D

2

= the diameter (or equivalent diameter) of the smaller cross-sectional structures.
  1. Venting Calculations: “Venting calculations” means calculations that determine the acceptance of the combustion air supply and boiler flue gas venting. These calculations include:

   (1) Flue venting: draft for atmospheric or non-power vented boilers, equivalent length for direct vent or sealed combustion appliances,

   (2) Combustion air: louvers, dedicated inlet or infiltration.

  1. UL. “UL” means the Underwriters’ Laboratory.
  2. Water Heater. “Water heater” means equipment which is used to heat and store water.
  3. Work Permit. “Work permit” means a permit issued for the installation of a device or apparatus.

§ 2-03 Variances.

(a) An application for any variance from these rules shall be made directly to the Department using an application form prescribed by the department. Work involving a variance may not commence before the receipt of the department's approval of the application, which will be reviewed and processed within four weeks.
  1. The variance application shall be prepared by a professional engineer or registered architect and submitted by the owner or authorized agent, and must submit the application with the following information:

   (1) Identification of those portions of the rules for which a variance is requested, providing each numbered section and subsection;

   (2) Explanations as to why the procedures required by the rules would cause unreasonable hardship;

   (3) A written proposal describing the alternative procedures the applicant will employ to satisfy the requirement as modified.

  1. The department will approve or deny the variance application to be filed on a form prescribed by the department, after considering several factors including whether the applicant has demonstrated undue hardship.

§ 2-04 Application for Work Permit/Certificate of Operation.

(a) Filing of application.

   (1) The application, supplementary data and calculation sheet(s) and plans must be signed and sealed by a professional engineer or registered architect licensed under §§ 7202 or 7302 of the New York State Education Law. The application must include all essential details pertaining to the equipment, and the manner in which new equipment will be installed. The department may accept online applications from licensed individuals who pre-register with the department. All documents must be professionally certified by the same person.

   (2) Only one type and size of equipment may be included on any one application. For example, a boiler and furnace, different sizes of similar equipment, identical boilers with different (although equivalent) burners must be filed separately.

   (3) When filed, the application must include any supplementary data and calculation sheet(s), plans and any additional forms as may be required by the department.

   (4) All filings specifying condensing boilers must be submitted with the installation specific ventilation requirements (louver or mechanical ventilation fan specifics), breeching requirements (dimensions and length specifics), and chimney (stack) requirements (dimensions and height specifics) obtained from the manufacturer. Such calculations and summary sheets must be submitted. The filing engineer must certify that all of the manufacturer’s recommendations and specifications will be followed in the use of materials, design, installation, and operation of the condensing boiler. The fresh-air requirements, draft calculations, chimney, and breeching plan required in this section must not apply to condensing boilers.

  1. Contents of application. The application must include the following:

   (1) The authorization of the equipment owner and his or her name, address and signature. The signature must be that of the proprietor where the business is a sole proprietorship. If the business is a partnership, the signature must be that of a partner. In the case of a corporation, the signature must be that of an officer of the corporation. In all instances, the signatory must indicate his or her title after his or her signature.

   (2) The certification of the engineer or architect and his name, address, signature and seal.

   (3) A licensed oil-burner installer must certify all oil burning installations and dual-fuel installations. A licensed oil-burner installer or a licensed plumber must certify all gas-fired installations.

      (i) If, at the time of filing an application, an installer has not yet been selected, the statement “To be submitted on amendment” must be shown on the application form in place of the certification of the licensed installer. The department will notify the engineer or architect when the application is approved. The work permit will not, however, be issued until the required certification and information is submitted.

   (4) Heat load calculations. Heat load calculations must be submitted for new and replacement boilers only when the boiler maximum heat input rate size changes by more than 20 percent greater than the previously filed application of record. Heat load calculations must consist of a summary sheet documenting the boiler horsepower needed to meet the building load condition, consistent with the ASHRAE procedures, see 2009 ASHRAE Fundamentals, Chapters 17 and 18.

   (5) Detailed data on equipment. Detailed data (as specified here) on the specific type of existing equipment or new equipment which is to be installed. Note that in the case of existing equipment, if a reasonable effort to determine the make and model number proves unsuccessful, an attempt must be made to compare unknown equipment to an equivalent known unit of equipment.

   (6) Venting Calculations. Venting calculations for stack draft adequacy must be required for all new buildings, boilers, and chimneys. Calculations must be submitted on a form prescribed by the department or through summary sheets from computerized or hand venting calculations that conform to procedures in 2009 ASHRAE Fundamentals Chapter 21 and 2012 ASHRAE Systems and Equipment Chapter 35. The calculations must be stamped by a professional engineer. If needed, the department reserves the right to request that detailed venting calculations be submitted if further review is required.

  1. Plans.

   (1) The plans, as specified below, must be filed, with each application and must include the premise address of the installation. The plans must not be smaller than 8 1/2 × 11 inches nor larger than 11 x 17 inches and details must be shown legibly in black ink on a white background. When approved, the plans must be so designated and returned with the approved work permit. In addition to the specifics indicated below, elevation and plan views of various aspects of the installation must be required to schematically show the location of equipment, apparatus, controls, etc. Non-related piping, valves, electric wiring, controls and other construction details must not be included.

   (2) Plot plan. The plot plan must include the following:

      (i) building location.

      (ii) location and names of cross streets and the northerly direction.

      (iii) location of the boiler room and the stack outlet.

      (iv) a statement which certifies: “The chimney extends a minimum distance of 3 ft above all construction located within 10 ft of the centerline of the chimney outlet.”

      (v) for new chimneys, a statement that certifies: “The minimum radial distance from the centerline of the chimney to an acceptable receptor location is ________ ft,” with the distance specified.

      (vi) for existing chimneys, a statement that certifies: “The minimum radial distance from the centerline of the existing chimney to an acceptable receptor location

         (a) located at a height equal to or greater than the chimney outlet is ________ ft and

         (b) located below the chimney outlet is ________ ft,” with the distance specified.

      (vii) the engineer or architect must determine the distances for subdivisions (iv), (v), and (vi), to be shown in the blank spaces, in accordance with 15 RCNY § 2-13.

   (3) Boiler room layout. The boiler room layout must include the following:

      (i) boiler location.

      (ii) burner location.

      (iii) breeching layout schematic, including the length, elbows, cross sectional dimensions; and location of “test holes.” In addition, a plan note must be required which indicates specific compliance with the distance requirements of “test holes” from dampers, etc.

      (iv) location and cross-sectional dimensions of the stack. Only the cross-sectional dimension of the outlet must be required for existing stacks.

      (v) location of fixed ventilation. Ducts and other such pertinent details must be shown and dimensioned. Length, elbows, cross-sectional dimensions and inlet and outlet locations must be included for any new ventilation ducts.

      (vi) location of smoke alarms, draft controls, oil meters, fans, cleanouts, fuel pumps, etc., when applicable. These locations may be shown schematically.

      (vii) locations of all combustion equipment located in the same room or on the same stack and not covered by the subject application, including the manufacturer, model number, and fuel delivery rate when not shown on the application. The fixed ventilation supplied for all combustion equipment must be clearly shown on the plans, even if all such equipment is not covered by the subject application.

      (viii) a plan note must be acceptable in all instances where they serve the same purpose as plan details.

   (4) Boiler plan. The boiler plan must include the following:

      (i) plan and elevation views of the boiler showing overall boiler dimensions.

      (ii) combustion chamber dimensions.

      (iii) furnace volume and heat release calculations. When the manufacturer’s drawings with specifications are being submitted as a boiler plan, all copies must also specifically contain the model number, boiler gross output, actual total furnace volume, heat release, address of premise. Field measurements can be accepted for existing boilers in place of the manufacturer’s drawings. Professional engineer/registered architect seal and signature is required for manufacturer’s drawings and field measurement submittals.

   (5) Certificate of Compliance. All oil-fired boilers and associated burners, boiler/burner assemblies, and control equipment installed under this chapter must comply with the following equipment acceptance requirements. This ensures that such equipment meets the minimum design and performance standards of the department. The list of accepted equipment will be posted on the internet, through a web portal that is linked to nyc.gov or any successor website maintained by, or on behalf, of the city of New York. Equipment may be added to the list of accepted equipment upon application from the manufacturer on a form prescribed by the department, or where the department determines that the equipment has performed in a satisfactory manner.

Equipment Acceptance Requirements

      (a) List of accepted equipment. If the application for the work permit is to install equipment that appears on the list of accepted equipment, no additional certification is required.

      (b) UL/CSA/ETL listed equipment. If the application for the work permit is to install equipment that is listed by UL, CSA Group, or ETL, a certification of compliance from a professional engineer must be submitted on a form prescribed by the department.

      (c) Unlisted and custom equipment. If the application for the work permit is to install custom equipment, or equipment that is not on the department’s list of accepted equipment and is not UL, CSA Group, or ETL-listed, a certification of compliance from a professional engineer must be submitted on a form prescribed by the department.

§ 2-05 Application for Registration.

(a) Filing of application.

   (1) The application must be signed by the owner. The application must include all essential details pertaining to the equipment as set forth on the application form, and the manner in which new equipment will be installed. All documents must be certified by a professional engineer or registered architect.

   (2) Only one type and size of equipment may be included on any one application. For example, applications for a boiler and a furnace, which constitute similar equipment of different sizes, or applications for identical boilers with different (although equivalent) burners must be filed separately.

   (3) When filed, the application must include any supplementary data and calculation sheet(s), plans and any additional forms required by the department by rule.

  1. Contents of application. The application must include the following:

   (1) The authorization of the equipment owner and his or her name, address and signature. The application must be signed by the proprietor where the business is a sole proprietorship. If the business is a partnership, the application must be signed by a partner. In the case of a corporation, the application must be signed by an officer of the corporation. In all instances, the signatory must indicate his or her title after his or her signature.

   (2) A licensed professional engineer or architect must certify the following:

      i. Venting calculations for stack/draft adequacy, which shall meet the same criteria as set forth in 15 RCNY § 2-04(b)(6).

      ii. Certificate of Compliance. All oil-fired boilers and associated burners, boiler/burner assemblies, and control equipment installed under this chapter must comply with the following equipment acceptance requirements so that such equipment meets the minimum design and performance standards of the department.

         Equipment Acceptance Requirements

         (a) List of accepted equipment. If the application for the registration is to install equipment that appears on the list of accepted equipment, no additional certification is required.

         (b) UL/CSA/ETL listed equipment. If the application for the registration is to install equipment that is listed by UL, CSA Group, or ETL, a certification of compliance from a professional engineer must be submitted on a form prescribed by the department and available on the department’s website.

         (c) Unlisted and custom equipment. If the application for the registration is to install custom equipment, or equipment that is not on the department’s list of accepted equipment and is not UL, CSA Group, or ETL-listed, a certification of compliance from a professional engineer must be submitted on a form prescribed by the department and available on the department’s website.

  1. Boiler Room Plan. The plans, as specified below, must be filed with each application and must include the premise address of the installation. The plans must not be smaller than 8 1/2 by 11 inches nor larger than 11 by 17 inches and details must be shown legibly in black ink on a white background.

   (1) The boiler room layout must include the following:

      (i) boiler location.

      (ii) burner location.

      (iii) breeching layout schematic, including the length, elbows, cross sectional dimensions; and location of “test holes.”

      (iv) location and cross-sectional dimensions of the stack. Only the cross-sectional dimension of the outlet is required for existing stacks.

      (v) location of fixed ventilation. Ducts and other such pertinent details must be shown along with their dimensions. Length, elbows, cross-sectional dimensions and inlet and outlet locations must be included for any new ventilation ducts.

      (vi) location of smoke alarms, draft controls, fans, cleanouts, when applicable. These locations may be shown schematically.

      (vii) locations of all combustion equipment located in the same room or on the same stack and not covered by the subject application, including the manufacturer, model number, and fuel delivery rate when not shown on the application. The fixed ventilation supplied for all combustion equipment must be clearly shown on the plans, even if all such equipment is not covered by the subject application.

  1. A licensed oil-burner installer must certify all oil burning installations and dual-fuel installations. A licensed oil-burner installer or a licensed plumber must certify all gas-fired installations.

§ 2-06 Field Verification.

(a) (1) New certificate of operation requests. A request for inspection must be submitted by the installer or owner and must include the installer's certification that the installation has been completed in accordance with the Notice of Application/Plans Approval and is ready for inspection.

   (2) The request for inspection must be submitted using forms prescribed by the department. The request must be submitted within thirty days of the equipment being capable of operation and before the expiration of the work permit.

  1. Certificate of operation renewals. The owner of a device that is required to have a certificate of operation or the owner’s authorized representative must submit a request for inspection using a form prescribed by the department.
  2. Appointments. An appointment, arranged by the department, must be made such that the installer or owner must meet the department’s engineer at the specified time and meeting place. Installations must be complete and ready for testing when the inspecting engineer(s) arrives. The owner or his representative must ensure that the following facilities and/or conditions exist so as to enable the department’s engineer to properly evaluate the installation:

   (1) That entry and suitable access to all parts of the equipment and apparatus is provided.

   (2) That adequate lighting is provided throughout the boiler room.

   (3) That facilities, not necessarily of a permanent nature (for example a sturdy, appropriately sized ladder, or ladders), are provided to enable proper verification and testing of the installation. Wooden ladders are not acceptable.

   (4) That the boiler room has no health and safety hazards. The existence of disintegrating suspected asbestos containing material, water or steam leak from a pressurized boiler, flue gas leak from the breeching, inadequate lighting, or any other hazard will preclude an inspection and performance test and will result in the issuance of a Notice of Installation Disapproval.

   (5) That all equipment can be readily identified with regard to make, model, type, and any other applicable characteristics or designations.

  1. Approvals and Reinspections.

   (i) Upon completion of a satisfactory performance test and approval of inspection, the design firing rate of the burner must not be increased without notification to the department, and modification to the work permit / plan approval.

   (ii) A reinspection will be required for failed performance tests and/or a disapproval of inspection. An additional form prescribed by the department must be submitted in order for the reinspection to occur.

  1. This section applies to registrations that are subject to the requirements of 15 RCNY § 2-01.

§ 2-07 Cancellation of Field Appointments.

(a) A request to cancel an appointment must be submitted in writing at least 2 business days before the inspection date unless due to an emergency.
  1. The request for a new inspection must be made in accordance with 15 RCNY § 2-06.
  2. A second inspection cancellation for the same equipment will result in the issuance of a Notice of Installation Disapproval.

§ 2-08 Performance Testing.

(a) Performance requirements.

   (1) All installations, including pre-existing equipment, must be required to operate such that upon evaluation of performance tests (as outlined in subdivision (e) below) it is determined that they meet the following minimum requirements:

   (2) When the boiler is fired at 80 to 110 percent of the burner’s maximum operational oil/gas delivery rate as specified in the application, provided that this is less than the burner’s maximum design oil/gas delivery rate, oil burning installations must have a combustion efficiency of at least 83 percent and gas burning installations must have a combustion efficiency of at least 80 percent. Dual-fuel installations must meet the requirements for each respective fuel.

      Oil fired installations which cannot achieve a combustion efficiency of at least 83 percent but which can achieve a combustion efficiency of at least 80 percent will have no more than one renewal cycle (three years) in which to perform necessary alterations to bring the equipment into compliance. Gas fired installations which cannot achieve a combustion efficiency of at least 80 percent will have one renewal cycle (three years) in which to perform necessary alterations to bring the equipment into compliance.

   (3) When the boiler is fired at 80 to 110 percent of the burner’s maximum operational oil/gas delivery rate as specified in the application, provided that this is less than the burner’s maximum design oil/gas delivery rate, the maximum acceptable smoke reading must be smoke spot no. 3 in accordance with ASTM International Standard D2156-09.

   (4) When the boiler is fired at 80 to 110 percent of the burner’s maximum operational oil/gas delivery rate as specified in the application, provided that this is less than the burner’s maximum design oil/gas delivery rate), the installation must be capable of providing adequate pressure differential (e.g., draft) at conditions specified in subdivision (e) of this section.

   (5) For installations which have low-high-low-off or modulating combustion controls, adherence to the requirements in paragraphs (a)(1) and (2), listed above, must also be demonstrated when the burner is fired at low-fire. For installations which utilize modulating combustion controls, the department requires and reserves the right to verify that the performance requirements in paragraphs (a)(1) and (2), listed above, are also met at intermediate firing rates.

   (6) For multiple boiler installations the requirements in paragraphs (a)(1), (2), (3) and (4), listed above, must be demonstrated for each boiler when said boilers are operated simultaneously rather than individually when there is sufficient load demand from the premise. However, each boiler in a multiple boiler installation, when fired separately (i.e., all other boilers are shut down), must also meet these requirements and the department reserves the right to verify same.

   (7) In no case must the flame impinge on any interior surface within the furnace.

  1. Preparation for performance tests. In order to facilitate implementation of the performance test by the department’s engineer, provision must be made by the installer, sufficiently in advance of the scheduled inspection, such that:

   (1) Continuous, uninterrupted operation of the boiler at 80 to 110 percent of the burner’s maximum operational oil/gas delivery rate as specified in the application, provided that this is less than the burner’s maximum design oil/gas delivery rate, for a minimum period of twenty minutes is insured. Under no circumstances must the boiler pressure relief valve(s) be tampered with to accomplish this.

   (2) Two 3/8 inch diameter holes are provided in the breeching, approximately 4 inches apart and placed so that the one closest to the boiler is approximately one breeching diameter downstream from the boiler outlet. Since these holes must be used for the measurement of boiler outlet gas temperature, percentage of O
2
and smoke reading, it is important that they be placed in the system such that air infiltration from a barometric damper, smoke alarm port, etc., does not affect the composition of the combustion gases.

   (3) Two 3/8 inch diameter holes are provided in the breeching placed one on each side of any power operated draft regulator damper, approximately one breeching diameter from the centerline of the damper. Note that the location of one or both of these holes may, of necessity, be in the boiler outlet.

   (4) All test holes are a minimum of one breeching diameter from any flow disturbance such as a bend, expansion or contraction.

   (5) Any insulation is neatly removed from approximately a 4” × 4” area surrounding any test hole in the breeching.

   (6) All test holes are kept closed with a sheet metal screw or other acceptable method when not being used for testing purposes. All test holes must be marked in such a way that their location can be readily determined.

  1. Performance test equipment. All test data obtained during the performance test must be recorded on a form provided by the department.
  2. Procedure for performance tests. The following is an outline of the procedure which must be used to obtain data necessary for evaluating the performance of an installation and determining whether it meets the requirements specified in subdivision (a), above.

   (1) Verify that all conditions in the boiler room are characteristic of proper operating conditions (i.e., boiler room door is shut, non-fixed ventilation sources such as windows are shut, etc.).

   (2) The burner must be started up and operated at 80 to 110 percent of the burner maximum operational oil/gas delivery rate as specified in the application, provided that this is less than the burner’s maximum design oil/gas delivery rate, depending on the demand load throughout the sequence of steps specified in paragraph (4) below.

   (3) The probe(s) of the testing equipment must be inserted into the test holes provided at the required locations.

   (4) Commencing after burner startup, boiler outlet gas temperature must be read at one minute intervals until the difference between two successive readings is not greater than 5°F at which time steady state conditions will be assumed and the following data must be obtained and recorded:

      (i) The boiler outlet gas temperature must be determined. In addition, the ambient air boiler room temperature in the vicinity of the burner must be determined.

      (ii) The percent oxygen (O
2 ) in the flue gas must be determined.

      (iii) The pressure differential across the damper of a power operated draft regulator must be determined. This is not applicable to condensing boilers.

         (A) The pressure differential measurements and the gas temperature and outside ambient air temperature measurements must be used to determine whether adequate pressure differential (e.g., draft) can be provided when outside ambient air temperature is 94F.

         (B) When a power operated draft regulator is used, the pressure differential measured across the damper must be equal to or greater than the value obtained when the height of the stack (H) is multiplied by ΔDr/H, i.e.

            ΔP ≥ H × (ΔDr/H)

            where,

               ΔP (inches H
2 O) is the pressure differential measured across the power operated draft regulator damper.
               ΔDr/H (inches H
2 O/ft) is the differential draft per foot obtained from Table I using the outside ambient temperature measured when the performance test was conducted.

               H (feet) is the height of the stack.

         (C) When a barometric or manual damper is used, the theoretical pressure differential caused by the barometric or manual damper must be equal to or greater than the value obtained when the height of the stack is multiplied by ΔDr/H, i.e.

            ΔP ≥ H × (ΔDr/H)

            where ΔP, ΔDr/H, and H are defined in (B).

The static pressure is measured at the boiler outlet. The barometric damper or manual damper is gradually opened until the calculated DP is measured. The barometric damper is then returned to its original setting and the manual damper is then returned to its initial position and fixed. The department will review alternative demonstrations of adequate pressure differential if they comply with 2009 ASHRAE Fundamentals Chapter 21, and are stamped by a professional engineer.

   (5) The smoke reading must be determined and recorded in accordance with ASTM D2156 (2009).

   (6) For boilers which have low-high-low-off or modulating controls, upon completion of the above sequence of steps, the burner firing rate must be changed to low-fire for all boilers with a maximum heat input rating greater than 4.2 million Btu per hour.

   (7) Dual-fuel burners will be tested separately for oil and gas on high fire and on low-fire if the maximum heat input rating is greater than 4.2 million Btu per hour.

   (8) For multiple boiler installations, all boilers must be started up and operated simultaneously at 80 to 110 percent of their respective maximum operational oil/gas delivery rates as specified in the application, provided that this is less than the burner’s maximum design oil/gas delivery rate, and the boiler outlet gas temperature, boiler room ambient air temperature, percentage of O

2 , smoke reading, and pressure differential must be determined for each boiler. The burner firing rates for all boilers must then be changed to their respective low-fire firing rates, and the boiler outlet gas temperature, boiler room ambient air temperature, percentage of O 2

in the flue gas, and smoke reading, must be determined for each boiler at this firing rate.
  1. Evaluation. The boiler outlet gas temperature, boiler room air temperature, percentage of O
    2
    in the flue gas, draft measurement, and smoke reading data must be used to determine whether the installation meets the minimum performance requirements for combustion efficiency, adequate reserve draft and smoke reading.

§ 2-09 Annual Tune-ups and Record Keeping Requirements.

An owner of equipment that is required to have a certificate of operation must perform annual tune-ups and combustion tests. Records of the dates and procedures of each tune-up and results of these tests must be kept by the owner for a minimum of five years and must be submitted within five business days if requested by the department.

  1. Annual equipment tune-ups and combustion efficiency test.

   (1) The owner of the equipment must commission a tune-up for the equipment and test the combustion efficiency. The tune-up and combustion efficiency test must occur at both high-fire and normal operating conditions.

      (i) A qualified combustion tester must perform a combustion efficiency test for each piece of equipment and each oil fired boiler in accordance with 15 RCNY § 2-08(a)(1).

      (ii) The tune-up required to increase boiler efficiency must be conducted in accordance with Subpart JJJJJJ of Part 63 of Title 40 of the Code of Federal Regulations and the guidelines outlined by the department. The results of the tune-up must be recorded on a form provided by the department.

  1. Combustion Analyzer Requirements.

   (1) The combustion efficiency test must be performed using a qualified combustion analyzer that has passed an annual calibration test. The results of the annual calibration test must be kept and be submitted within five business days if requested by the department. If the minimum combustion efficiencies are not achieved, it is the responsibility of the owner to ensure proper maintenance and repairs occur.

   (2) The equipment used must conform with the following requirements:

  Accuracy Resolution
Oxygen (O2)
  • 0.2%
0.1%
Pressure/Draft
  • 2%
0.04”water column
Temperature
  • 0.5%
0.1 °F

~

An optional test using the following standards may be applied as provided in the following chart:

  Accuracy Resolution
Carbon Monoxide (CO)
  • 2 ppm at 0.0 to 39.9 ppm+ 5% at 40.0 to 500 ppm
0.1 ppm
Nitric Oxide (NO)
  • 5 ppm at 0 - 100 ppm+ 5% 101 - 2,000 ppm
1 ppm

~

   (3) The following procedure must be followed in the use of the combustion analyzer:

      (i) Set up the combustion analyzer per manufacturer’s instructions. In uncontaminated air (outdoor) start the analyzer and allow unit to complete the zeroing process. Never allow the analyzer to zero in the breeching.

      (ii) Verify that the combustion analyzer condensate/water trap plug/access is properly sealed, that there is no water in the water trap, and thermocouple tip is not touching the side of probe tube. The test and record measurement criteria must be provided on a form prescribed by the department.

  1. This section applies to registrations that are subject to the requirements of 15 RCNY § 2-01.

§ 2-10 [Reserved]

(a) General considerations.

   (1) All equipment and apparatuses, in addition to complying with the requirements of the department, must also meet the requirements of other agencies, such as the New York City Board of Standards and Appeals, the Fire Department of New York, and the New York City Department of Buildings. Compliance with any requirements of either New York State or federal rules and regulations that may be instituted and not covered here is required. In the absence of any regulatory provisions, consideration must be given to recommendations published in the standards of nationally recognized organizations. These organizations include the American National Standards Institute, the American Society of Heating, Refrigerating and Air Conditioning Engineers, the American Society of Mechanical Engineers, the American Gas Institute, Underwriters’ Laboratories, and the National Fire Protection Association, and the recommendations of equipment or apparatus manufacturers.

   (2) The design engineer must estimate the heat demand before selecting a boiler or boilers. When application is made for an installation for a new structure or for a replacement boiler (when the boiler maximum heat input rating size is increased by more than 20 percent from the previously filed application of record), the analysis and calculations for estimating the heat demand must be submitted in a form acceptable to the department. This must be done in accordance with the procedures prescribed by the 2009 ASHRAE Fundamentals Handbook, or as required for the New York City Energy Conservation Code, as codified in Chapter 10 of Title 28 of the New York City Administrative Code, and as accepted by the department.

   (3) For dual-fuel installations using #6 or #4 fuel oil as a back-up fuel for natural gas, design requirements set forth by the department must be followed. However, these installations must still meet the #2 fuel oil emission standards and must be held to the most recent performance requirements.

  1. Fuel burners.

   (1) An oil burner must be capable of atomizing the oil by properly mixing it with adequate combustion air. A gas-fired burner must be capable of mixing the gas with adequate combustion air.

   (2) A new burner must be listed by UL, CSA Group, ETL, or any other national recognized testing laboratory that uses UL testing conditions and have their Listing Mark label.

   (3) A new burner, except for atmospheric equipment, must have, integral with it, a fan which is capable of supplying all combustion air.

   (4) A burner must be sized such that, when fired with a boiler, the fuel delivery rate is within 80 percent and 110 percent of the maximum heat input rating of the boiler.

  1. Fresh Air Requirements.

   (1) Provision must be made to provide a sufficient amount of air for proper combustion (to the oil-or natural gas-burning equipment room) and, in addition, a sufficient amount of bypass air necessary for the proper operation of a barometric damper when used. In addition, sufficient air must be provided to adequately ventilate the room and maintain the ambient temperature at safe and comfortable limits under normal conditions of use. In all cases a separate ventilation system must be provided independent of any other ventilation system.

      (i) Mechanical ventilation must be designed such that 226 cfm @ 94F is provided for each million Btu per hour for up to 30 percent excess combustion air. Larger fan capacities would be needed for installations operating with greater than 30 percent excess combustion air. In all cases, where the combustion air is not ducted directly from the outside to the burner air intake, the room in which the burning equipment is located must be maintained at a pressure not less than outside atmospheric pressure. Exhaust fans are acceptable for ventilation provided the net ventilation is greater than or equal to the amount required for combustion.

      (ii) When mechanical ventilation is not utilized, the minimum requirement for combustion air entrance must be a louvered opening in a wall to the outside air. The louvered opening must have a net free area of 86 square inches for every one million Btu per hour (based on the maximum heat input rating) and must never be less than the average internal cross-sectional area of the chimney. In addition, the net free area of the louver must be increased in size equivalent to the opening of a barometric damper or dampers, when provided, for bypass air. When necessary, a metal grate over a vault below the sidewalk may be permitted as long as the net free area requirement is met and suitable drainage facilities are provided. The net free area when the actual louver efficiency is unknown must be based on a maximum efficiency of 60 percent for both motorized and fixed metal single vane louvers and 50 percent for fixed metal double vane louvers. Where the efficiency of the louver can be demonstrated by the manufacturer to be greater than the above, the greater value may be used. The area of the louver is to be based on the inside frame dimensions and not the outside or nominal dimensions. The louver must be so constructed or suitably located or protected (i.e., cinder blocks, metal bars) so that it cannot be crushed or deformed since this would diminish the free area. Furthermore, any reduction of free area due to protective devices must be considered. Screening over louvers, if provided, must be not smaller than 1/4 inch mesh and must be readily accessible for cleaning.

      (iii) When ducts are required to provide fresh air, they must meet the same minimum requirement for cross-sectional area as specified in subparagraph (ii) above. Note that a louver is not required where ducts are utilized to provide ventilation, although, consideration should be given to protective devices and any diminution of free area resulting from same. Access ports must be provided for the purpose of cleaning and observing conditions within the duct(s). All access ports must be ample size, but not less than 8 × 8 inches. A tight metal fitting cover must be provided for each port. All ports must be closed when not in use.

         (A) Access ports for cleanout must be located to allow accessibility to all duct sections and must be placed at intervals to allow for safe and reasonable access to all sections of the breeching for the purposes of cleaning. The number of clean-outs must be determined by the configuration of the duct lay-out. Every duct must be provided with at least one access port for cleanout.

         (B) Access ports for observation purposes must be provided within one diameter of all internal dampers.

         (C) One access port may be used to serve both functions if suitably located.

      (iv) Motorized louvers or motorized dampers in ducts must be provided, on installations where the maximum heat input rate of the boiler(s) is 7.0 million Btu per hour or greater which must close off the admission of combustion air during burner-off periods.

   (2) Breeching must be installed so as to vent the combustion gases from the boiler to the chimney.

      (i) Access ports must be provided for the purpose of cleaning and observing conditions within the breeching. All access ports must be of ample size but not less than 8 × 8 inches. A tight fitting metal cover must be provided for each port. All ports must be closed when not in use.

         (A) Access ports for the cleanout of oil burning installations must be located to allow accessibility to all breeching sections and must be placed at intervals to allow for safe and reasonable access to all sections of the breeching for the purposes of cleaning. The number of clean-outs must be determined by the configuration of the breeching lay-out. Every breeching must be provided with at least one access port for cleanout.

         (B) For short breeching runs (less than 15 feet in total), the barometric damper may be used as the clean-out port.

         (C) Access ports for observation purposes must be provided within one diameter of all internal motorized damper locations.

         (D) One access port may be used to serve both functions if suitably located.

      (ii) The following should be considered when designing a new breeching:

         (A) The equivalent inside diameter should normally be no smaller than the outlet of the boiler and should be sized on the basis of maintaining a flue gas velocity not greater than 30 feet per second.

         (B) Breechings should be as short and straight as possible to prevent unnecessary draft losses (which may necessitate larger chimneys, induced draft fans, etc.).

         (C) Breechings should be constructed so that changes in direction, shape and cross-sectional area are accomplished separately. All such changes should be accomplished as gradually as possible to eliminate turbulence with consequent adverse effects on available draft. If the width of breeching is greater than the inside width of the chimney, a contoured transition piece should be installed. The transition section should maintain the area of the breeching while altering its configuration so as not to exceed the chimney width.

         (D) The breeching connection to the chimney should be such that it ends flush with the inside surface of the chimney.

   (3) Chimneys must be designed and installed so as to vent the products of combustion to the atmosphere while at the same time avoiding a potential or actual nuisance. Chimneys must not be fitted with raincaps or covers of any kind.

      (i) New chimneys or reconstructed chimneys must be of tight construction and must be provided with a cleanout chamber at the base. The chamber must have a horizontal cross-sectional area equal to that of the chimney and must be equipped with a tightly fitted metal door of ample size but not less than 8 × 8 inches. The bottom of the breeching must be located at least one chimney diameter above the base of the cleanout chamber. Factory-made chimneys and special gas vents must be installed per the manufacturer’s specifications.

  1. Control devices.

   (1) A boiler must be provided with acceptable control device(s) so as to maintain the desired boiler output under all normal operating conditions to meet the minimum performance requirements described in 15 RCNY § 2-08.

   (2) A burner must be provided with acceptable control device(s) so as to maintain the desired fuel-air ratio under all normal operating conditions to assure complete and smokeless combustion.

   (3) The burner control system must be permanently interlocked, unless the system is continuously staffed and supervised, with all ventilation fans, motorized louvers and dampers to prevent operation of the burner without the proper operation of the fan, louver, or damper. This must be accomplished with an air switch, or other approved means, to assure that the fan is operating or that the louver/damper has opened before the main fuel valve opens. This requirement does not prohibit operating fans and opening louvers or dampers for ventilation purposes during periods when the burner(s) are not in operation, although continuous, uninterrupted operation of the fan, independent of the burner, must not be permitted except for existing central ventilation systems.

   (4) Provision must be made, concerning the burner fan, to cause minimum pre-purge and post-purge periods as recommended by the burner manufacturer to prevent accumulation of unburned oil.

  1. Draft Regulators.

   (1) All installations must be designed such that an adequate draft can be maintained to provide sufficient combustion air and remove the products of combustion under normal conditions of use or when the outside temperature varies between 11°F and 94°F.

   (2) Power operated draft regulators must be of an acceptable type designed to maintain a safe damper opening at all times and arranged to prevent starting of the burner unless the damper is opened to a safe position. The damper must be sized so that it comprises the full cross-sectional area of the breeching with appropriate allowances for clearance. Upon shut-down of the burner the damper must go to a safe closed position. The axis-rod (i.e., control rod) about which the damper rotates must have a square cross section or if round, must be welded to the control arm. An arrow must be provided on the axis-rod to indicate the position of the damper.

   (3) Draft sensing lines must be a minimum of 1 1/4 inch pipe size, installed through the furnace wall, provided with a full size cleanout plug, and must otherwise conform to the equipment manufacturer’s specifications. Details concerning the length and diameter of the draft sensing lines must be shown on the plans or specified in the plan notes.

   (4) Barometric dampers must be of an acceptable type designed so as to provide a constant draft at a point directly upstream of the barometric damper under all normal operating conditions or when the outside temperature varies between 11°F and 94°F. However, in no case under steady state conditions must a pressure exist in the breeching at the barometric damper which is greater than the boiler room pressure. The minimum cross-sectional opening of the barometric damper must be at least as large as the diameter or equivalent diameter of the breeching to which it is connected.

   (5) A draft control must not be required where an acceptable boiler assembly is designed and installed according to the manufacturer’s requirements, and a positive pressure exists at a location in the chimney within three diameters of the chimney outlet.

   (6) A boiler must be provided with acceptable control device(s) so as to maintain adequate draft (positive or negative as required) necessary for proper gas flow both to supply sufficient combustion air and exhaust combustion gases under all normal load and atmospheric conditions.

      (i) A separate draft control must be provided for each boiler and be of the same type and must be installed per the manufacturer’s specifications.

      (ii) Draft control must be accomplished by a power operated draft regulator with low-draft cut-off. A barometric damper may be substituted for a power operated draft regulator if

         (A) an on-off or low-high-off with low-fire start combustion controller is used or

         (B) a forced draft burner is used.

   (7) Oil-fired equipment, including dual-fuel installations, must be provided with a smoke alarm and combustion shutoff. This equipment must conform to the following specifications as well as applicable sections of the Air Pollution Control Code: The requirements of the above paragraph must not apply to a temperature controlled dual-fuel system (as set forth below) when the maximum heat input rate is less than 4.2 million Btu per hour. A temperature controlled dual-fuel system must comprise a fuel burning installation capable of burning natural gas and #2 fuel oil. The system must be designed and must operate such that the fuel burned will normally be gas except that when the outdoor temperature drops below 20°F, the equipment will automatically switch to #2 fuel oil and when the outdoor temperature rises above 25°F, the equipment will automatically return to natural gas operation.

      (i) The smoke alarm must be regulated for both brightness intensity of the light source and sensitivity of the detector. It is recommended that the light source have a relatively uniform intensity over a reasonably long life.

      (ii) The smoke alarm must cause both an audible (loud enough to be heard 20 feet from the source) and readily visible (a flashing red light) signal upon the emission of an air contaminant of an opacity of 20 percent or greater.

      (iii) The smoke alarm must activate an additional signaling device located at the principal work location of the person supervising the equipment. If there is no principal work location, the additional signaling device must be located at an acceptable alternate location outside the boiler room.

      (iv) The smoke alarm must cause the signaling devices to be activated in the event that the light source in a photoelectric type detector fails to operate properly. The signals must continue until the unit is manually reset.

      (v) The smoke alarm must be provided with a suitable metal grid or equivalent, which meets the manufacturer’s recommendations, calibrated so that when placed in the light path of the detector it will cause a response equivalent to an air contaminant as described in subparagraph (ii) above. This calibration must be indicated on the grid holder or frame. This grid must be securely fastened by means of a welded link chain of suitable length to the body of the detector. Provision must be made to temporarily hang the grid in front of the sensing element of the detector to facilitate proper adjustment of the light source and calibration of the instrument.

      (vi) The installation of the smoke alarm must be such that

         (A) it is wired to function at all times and

         (B) it includes means necessary for sealing the breeching to prevent blowout of combustion products when necessary.

      (vii) If two or more units of equipment are connected to a single flue, one air contaminant detector may be used if installed to monitor all of the units. This arrangement, however, will result in the shut-down of all units of equipment upon activation of the combustion shutoff.

      (viii) The combustion shutoff automatically halt the operation of equipment within two minutes of continuous emission of an air contaminant of a density which appears as dark or darker than 20 percent opacity, unless the system is continuously staffed and supervised. The combustion shutoff must be designed such that once it has been activated, the equipment cannot resume normal operation without manual reset.

§ 2-12 [Reserved]

Several factors affect the location of the chimney outlet including the need to avoid a potential or actual nuisance. The following applicable requirements must be met.

  1. For all new installations (new building or new chimney):

   (1) The chimney must extend above all construction such as roof ridge, parapet wall, penthouse, roof tank, elevator enclosure, etc., as follows:

      (i) Chimneys must extend at least 3 feet above said construction located within 10 feet of the chimney outlet.

   (2) The chimney outlet must not be located within the minimum radial distance specified in Table II.

  1. For existing installations:

   (1) The chimney must extend at least as high as all construction such as roof ridge, parapet wall, penthouse, roof tank, elevator enclosure, etc., within 10 feet of the chimney outlet.

   (2) The chimney outlet must not be located within the minimum radial distance specified in Table II. Such requirement must apply to receptors which are at a height equal to or greater than the chimney outlet.

      For receptors located below the chimney outlet, the chimney outlet must not be located within the minimum radial distance specified in Table II.

      In those instances where the above is applicable, the following statement must be provided as a plan note in place of the statement required in 15 RCNY § 2-04(c)(2)(iv) - (vi): “The minimum radial distance from the centerline of the existing chimney to an acceptable receptor location (a) located at a height equal to or greater than the chimney outlet is ________ ft. and (b) located below the chimney outlet is ________ ft.,” with the distance specified.

  1. Whenever a building is erected, enlarged, or increased in height so that any receptor location in such building is within the minimum radial distance, as specified in Table II, of any previously constructed chimneys, the owner of such new or altered building must have the responsibility of altering such chimneys to make them conform with subdivision (a) of this section above. This must not apply to chimneys no longer connected to combustion equipment.
    1. The criteria employed in determining stack heights and chimney outlet to receptor distance in this section must only apply to off-site receptors.

   (2) Receptors, sources and geometry with the following features will be considered on-site and not subject to 15 RCNY § 2-13.

      (i) A single boiler stack servicing a single building structure.

      (ii) Contiguous construction (i.e., attached “row” houses).

      (iii) Separate entrances with separate addresses all serviced by the same boiler room.

   (3) This section will be applied to existing facilities to the maximum extent possible consistent with good engineering practices. Alternative and less costly options to altering the stack should be permitted if it can be shown that this will not cause degradation of boiler performance. Degradation of boiler performance would increase air pollutant emissions or inhibit compliance with boiler upgrading criteria.

   (4) For new and existing chimneys, emission impacts upon sensitive receptors including, but not limited to, windows, doors that open, people, and building fresh air intakes must be minimized by employing good air pollution control engineering practices. Such practices include, without limitation:

      (i) Avoiding locations that may be subject to downwash of the exhaust; and

      (ii) Installing stacks of sufficient height in locations that will prevent and minimize flue gas impacts upon sensitive receptors.

   (5) Since this chapter’s tables were developed using assumed average meteorological conditions in New York City, situations being disputed may be resolved by the submission of individualized computations of pollutant concentration at the receptor using realistic and applicable factors in dispersion models recommended and approved by the New York State Department of Environmental Conservation and the federal Environmental Protection Agency. The modeling must show that National Ambient Air Quality Standards will not be exceeded at any sensitive receptors, including openable windows and fresh air intakes. The tests, modeling, analysis and costs for these study(s) must be the responsibility of the applicant.

§ 2-14 [Reserved]

(a) General Provisions.

   (1) The commissioner will not issue a work permit or a certificate of operation or a registration for a boiler and/or burner that uses #4 oil or #6 oil unless (i) the applicant demonstrates to the satisfaction of the commissioner that the particulate matter and NOx emissions of the #4 oil and/or #6 oil meets the equivalency standards described in this section, or (ii) the applicant enters into a compliance agreement with the commissioner as provided in this section.

   (2) An owner who holds a certificate of operation or a registration for a boiler and/or burner that uses #4 oil may file an amendment to convert the boiler and/or burner to use #2 oil and/or natural gas. An owner who holds a certificate of operation or a registration for a boiler and/or burner that uses #6 oil may file such an amendment to convert the boiler and/or burner to use #2 oil, #4 oil and/or natural gas. An amendment pursuant to this paragraph must not require the replacement of a boiler and/or burner.

   (3) The commissioner will not approve any amendment for a previously issued work permit or certificate of operation or a registration to convert a boiler and/or burner from using #2 oil, #4 oil and/or natural gas to using #6 oil or from using #2 oil and/or natural gas to using #4 oil.

   (4) The equivalency levels of particulate matter and NOx as set forth in this section must be demonstrated through (i) the submission by either a professional engineer or registered architect licensed under Education Law §§ 7202 or 7302 of detailed calculations and supporting documentation to verify the equivalency levels or (ii) the submission by the applicant of an equivalency form published by the department that provides for calculations based on fuel use, energy values and emission factors from AP-42.

   (5) Notwithstanding any other provision in this section, the commissioner will not issue a work permit or a certificate of operation or a registration for a boiler and/or burner that uses #2 oil, #4 oil, #6 oil and/or natural gas unless the particulate matter and NOx emissions of such boiler or burner meets any binding emissions standard established by either state or federal law or regulation.

   (6) Nothing in this section may be interpreted as requiring the New York City Department of Housing Preservation and Development, when conducting an emergency repair in accordance with sections 27-2125 through 27-2129 of the New York City Administrative Code, to convert a boiler and/or burner to use different fuel or to replace a boiler and/or burner with a boiler and/or burner that uses a different fuel.

  1. Existing Boilers (Renewal).

   (1) The commissioner may issue a renewal of a certificate of operation or a registration for a boiler and/or burner that uses #2 oil, #4 oil and/or natural gas in accordance with § 24-122(d) of the New York City Administrative Code.

   (2) The commissioner will not issue a renewal of a certificate of operation or a registration for a boiler and/or burner that uses #6 oil, unless (i) the applicant demonstrates to the satisfaction of the commissioner that the particulate matter and NOx emissions of the #6 oil to be used in such boiler and/or burner will be equivalent to or less than emissions from #4 oil as provided in paragraph 4 of subdivision (a) of this section, or (ii) the applicant enters into a compliance agreement with the commissioner in accordance with subdivision (e) of this section.

   (3) An owner who holds a certificate of operation or a registration for a boiler and/or burner that uses #2 oil, #4 oil, #6 oil and/or natural gas, and who seeks to make an in-kind replacement for use with #2 oil, #4 oil and/or natural gas is not required to file a new application for a work permit and a subsequent certificate of operation or a registration. The owner must provide on a form to be designated by the commissioner the make, model and serial number of the replacement equipment. The previously issued certificate of operation or a registration may be renewed with the previously issued application number assigned by the department upon approval of the amendment by the department.

   (4) An owner who holds a certificate of operation or a registration for a boiler and/or burner and who seeks to replace the boiler and/or burner with equipment that is not of the same make and model number must file a new application for a work permit and a subsequent certificate of operation or a registration as provided in 15 RCNY §§ 2-04 and 2-05. The previously issued certificate of operation or a registration for the previously installed equipment will be cancelled upon receiving the application. The department will not accept an amendment to the previously issued certificate of operation or a registration for such replacement of the equipment.

  1. New Installations (Replacement).

   (1) All applications for a work permit or a registration for a boiler and/or burner must specify that the equipment uses #2 oil and/or natural gas, unless the applicant demonstrates to the satisfaction of the commissioner that the particulate matter and NOx emissions of the #4 oil and/or #6 oil to be used in such boiler and/or burner will be equivalent to or less than the emissions from #2 oil as provided in paragraph 4 of subdivision (a) of this section.

   (2) In cases where a work permit has been issued before the effective date of this rule for a boiler and/or burner that uses #4 oil or #6 oil, but where a certificate of operation or a registration has not yet been issued, the owner of the equipment must file an amendment specifying the use of #2 oil and/or natural gas, unless the owner demonstrates to the satisfaction of the commissioner that the particulate matter and NOx emissions of the #4 oil and/or #6 oil to be used in such boiler or burner will be equivalent to or less than the emissions from #2 oil as provided in paragraph 4 of subdivision (a) of this section.

  1. Sunset Provision. Notwithstanding any other provision in this section, after January 1, 2030, all applications for a certificate of operation or a registration for a boiler and/or burner must specify that the equipment uses #2 oil and/or natural gas, unless (i) the applicant demonstrates to the satisfaction of the commissioner that the particulate matter and NOx emissions of the #4 oil or #6 oil to be used in such boiler and/or burner will be equivalent to or less than emissions from #2 oil as provided in paragraph 4 of subdivision a of this section, or, (ii) the applicant is an owner of fifty or more buildings with boilers or burners that use #4 oil or #6 oil, and enters into a compliance agreement with the commissioner in accordance with subdivision (e) of this section.
  2. Compliance Agreements.

   (1) A compliance agreement entered into under subdivisions b and d of this section must include a schedule agreed to by the commissioner for the conversion and/or replacement of boilers and/or burners, and/or demonstration of the required equivalency, until the owner is in full compliance with the provisions of this section.

   (2) An owner who applies to enter into a compliance agreement must show that conversion and/or replacement of the boilers and/or burners, and/or demonstration of the required equivalency, within the time frames set forth in subdivisions b or d of this section for an owner of fifty or more buildings with boilers and/or burners that use #4 or #6 oil, or subdivision b of this section for an owner of fewer than fifty such buildings, would not be feasible or would constitute an undue hardship.

   (3) For purposes of paragraph 2 of this subdivision, the commissioner will consider several factors in considering whether to enter into the compliance agreement. These factors include financial hardship, whether the owner is an equity owner of the buildings, the presence of underground tanks that must be remediated because of the conversion in subdivision (b) of this section, prior good faith efforts to comply, the scale and timing of commitments to convert to the cleanest fuels, the levels of particulate matter and NOx emitted by the boilers, whether the boilers are located in neighborhoods with high densities of boilers that use #4 oil or #6 oil, and the public health consequences of delayed compliance with this section.

   (4) An application to enter into an agreement to comply with subdivision (d) of this section must be filed by January 1, 2020.

   (5) An application filed according to this subdivision must be sent to:

      Director of the Division of Air and Noise Programs, Enforcement and Policy Bureau of Environmental Compliance       New York City Department of Environmental Protection       59-17 Junction Blvd.       Flushing, NY 11373

   (6) The commissioner will publish in the City Record a written opinion no later than seven days after entering into a compliance agreement, stating the facts and reasons leading to his or her decision, as well as a copy of the compliance agreement.

   (7) By December 31, 2014, and every year thereafter, the commissioner will publish a report summarizing the number of compliance agreements applied for and granted. The report will also summarize the environmental impacts of such compliance agreements and the overall program on tons of particulate matter and NOx in the air.

   (8) Notwithstanding this specific compliance provision, Section 24-110 of the New York City Administrative Code may apply.

Chapter 3: Cessation of Operation and Removal and Sealing of Refuse Burning Equipment

§ 3-01 Cessation of Operation and Removal and Sealing of Refuse Burning Equipment.

(a) Prohibition.

   (1) Purusant to Local Law 39 of 1989, effective June 28, 1993, all owners of refuse burning equipment shall cease the operation of and remove and seal such refuse burning equipment.

   (2) Compliance with prohibition. All such owners shall comply with the prohibition set forth in subdivision (a)(1) by either removal of all auxiliary burners and sealing of all doors to refuse burning equipment, or by conversion of the charging chute for such refuse burning equipment to a refuse chute in accordance with all applicable Department of Buildings laws and rules. For the purposes of this paragraph “sealing” means the removal of incinerator grates and compliance with subdivision (e) of 1 RCNY § 24-01 of Chapter 24 of the Rules of Department of Buildings of the City of New York governing fireproofing.

   (3) Unless otherwise required by law, no owner of refuse burning equipment shall be required to install a refuse compacting system upon the cessation of operation and the removal and sealing of such refuse burning equipment.

  1. Request for change in Department of Sanitation collection service.

   (1) If, as a result of the cessation of operation and removal and sealing of refuse burning equipment, the owner of a residential building which contains such equipment and currently receives Department of Sanitation collection service determines that a change from its existing form of collection service (e.g., curbside or containerized collection) is necessary, he/she shall notify the Department of Sanitation in writing no later than June 28, 1993. Such notice shall be addressed to the New York City Department of Sanitation, Office of Collection and Containerization, 125 Worth Street, Room 821A, New York, New York 10013, and shall provide:

      (i) The type of collection service the building is presently receiving (i.e., curbside or containerized). Curbside collection service means placing garbage receptacles at the curb which are then manually serviced by Department of Sanitation personnel. Containerized collection service means placing garbage bags/refuse into a container(s) in an area accessible to a Department of Sanitation mechanized collection vehicle. The owner of the building currently receiving Department of Sanitation collection service shall state whether he/she request: (A) continuation of containerized collection service, or eligibility to receive containerized service; or (B) continuation of curbside collection service, all requests are subject to Department of Santation approval based on availability of collection equipment, facilities, necessary support resources and operational feasibility; and

      (ii) Proof of Legal Authorization and Occupancy for Building. The owner of a building currently receiving Department of Sanitation collection shall submit a copy of the Certificate of Occupancy for such building, or, if such building is not legally required to operate pursuant to a Certificate of Occupancy, a notarized statement from the building owner stating the number of stories the building contains and the number of families authorized by law to occupy the building.

   (2) Upon the Department of Sanitation’s receipt of the information set forth in subdivision (1) of this section, a Department of Sanitation representative shall visit the subject residential building and determine whether the request for change in collection service should be granted.

   (3) Owners of commercial incinerators which cease to operate and are removed and sealed are required by law to arrange with their private carter for collection of the solid waste which they generate.

  1. Department of Buildings requirements for renovation and alteration of refuse and/or chute rooms.

   (1) If an owner of a building containing refuse burning equipment subject to cessation of operation and removal and sealing pursuant to Local Law 39 of 1989, renovates or alters the refuse and/or chute room, by, a method which includes, but is not limited to, the installation of a refuse chute or compactor, such owner shall comply with §§ 27-836, 27-837 and/or 27-875 of the Administrative Code of the City of New York and Department of Buildings Rules governing the construction and maintenance of refuse chutes and refuse rooms.

   (2) Such owner shall obtain authorization from the borough office of the Department of Buildings in which his/her building is located in the form of an alteration application/permit, as required by articles four, nine, ten and twelve of Subchapter one of Chapter one of Title twenty-seven of the Administrative Code of the City of New York.

   (3) Such owner shall mail a copy of the approved alteration application/permit and a notarized statement that the owner has complied with all applicable rules and laws of the Department of Buildings to: Department of Environmental Protection, Records Control Unit, 59-17 Junction Boulevard, Elmhurst, New York 11373-5107.

  1. Department of Environmental Protection requirements for notice of cessation and removal and sealing of refuse burning equipment. All owners of a building containing refuse burning equipment subject to cessation of operation and removal and sealing pursuant to Local Law 39 of 1989 shall notify the Department of Environmental Protection in writing of such cessation and removal and sealing in accordance with Subdivision (f) of § 24-122 of the Administrative Code of the City of New York, and mail such notice to: John Penn, Department of Environmental Protection, Records Control Unit, 59-17 Junction Boulevard, Elmhurst, New York 11373-5107.

Chapter 4: Certification of Gasoline Dispensing Sites and Transport Vehicles

§ 4-01 Definitions.

For the purpose of this chapter, the following definitions apply:

Annual throughput. “Annual throughput” shall mean the amount of petroleum liquid transferred into or dispensed from a defined source or facility during twelve consecutive months.

Commissioner. “Commissioner” shall mean the Commissioner of the New York City Department of Environmental Protection.

Equivalent control. “Equivalent control” shall mean the use of alternate operational and/or equipment controls for the reduction of gasoline vapor emissions, that have been approved by the Commissioner, such that the aggregate emissions of gasoline vapor from the facility do not exceed those from the application of defined reasonably available control technology.

Gasoline. “Gasoline” means any petroleum distillate having a Reid Vapor Pressure of 4 pounds per square inch (28 kilopascals) or more used as a motor fuel.

Gasoline dispensing site. “Gasoline dispensing site” shall mean any site where gasoline is dispensed into vehicle fuel tanks or into portable containers used to fuel any motor from any stationary storage container(s) larger than 250 gallons.

Gasoline transport vehicle. “Gasoline transport vehicle” shall mean any tank truck, trailer, or railroad tank car, with a capacity of 300 gallons or more, used for the transportation of gasoline.

NYSDEC. “NYSDEC” shall mean New York State Department of Environmental Conservation.

Stage 1 vapor collection system. “Stage 1 vapor collection system” shall mean a system where gasoline vapors are forced from a tank into a vapor-tight holding system or vapor control system through direct displacement by the gasoline being loaded.

Submerged filling. “Submerged filling” shall mean the use of a fill pipe or drop tube whose discharge opening is entirely submerged when the liquid is six inches above the bottom of the container. For containers loaded from the side, submerged filling is defined as the use of a fill pipe whose discharge is entirely submerged when the liquid level is 18 inches, or twice the diameter of the fill pipe, whichever is greater, above the bottom of the container.

Vapor control system. “Vapor control system” shall mean a system that prevents emissions to the outdoor atmosphere from exceeding 4.7 grains per gallon (80 grams per 1,000 liters) of gasoline loaded.

§ 4-02 Applicability.

(a) This chapter applies to the transfer of gasoline into underground storage tanks located at gasoline dispensing sites.
  1. This chapter also applies to owners and operators of all gasoline transport vehicles within the City of New York which:

   (1) Deliver gasoline to any gasoline dispensing site required to be equipped with a stage 1 vapor collection system or equivalent (including such gasoline dispensing sites located in other counties or in states adjacent to New York State); or

   (2) Convey gasoline either to or from any gasoline loading terminal or gasoline bulk plant.

§ 4-03 Gasoline Dispensing Sites.

(a) Prohibitions and requirements.

   (1) No person shall transfer or allow the transfer of gasoline into storage tanks at gasoline dispensing sites located in New York City whose annual throughput exceeds 120,000 gallons, unless the storage tank is equipped with:

      (i) A stage 1 vapor collection system consisting of a vapor-tight return line from the storage tank, or its vent, to the gasoline transport vehicle and a system that will ensure that the vapor line is connected before gasoline can be transferred into the tank; or

      (ii) A properly installed on-site vapor control system connected to a vapor collection system; or

      (iii) An equivalent control system approved by the Commissioner.

   (2) Owners and/or operators of gasoline storage tanks subject to stage 1 vapor collection or vapor control system requirements shall:

      (i) Install all required stage 1 vapor collection and control systems, and make any modifications necessary to comply with the requirements;

      (ii) Provide adequate training and written instructions to the operator(s) of the affected gasoline dispensing site;

      (iii) Replace, repair, or modify any worn or ineffective component or design element to ensure the vapor-tight integrity and efficiency of the stage 1 vapor collection and vapor control systems; and

      (iv) Connect and properly operate the stage 1 vapor collection and control systems whenever gasoline is being loaded or unloaded.

   (3) Each stationary storage tank with a capacity of at least 250 gallons installed or modified after January 1, 1979 at any gasoline dispensing site in New York City area shall have a stage 1 vapor collection or vapor control system.

   (4) No person shall install, alter, test or repair underground equipment for storage, underground storage systems, underground tanks and underground piping and valves for gasoline except by or under direct supervision of a person who has first secured from the Commissioner of the Fire Department of the City of New York a Certificate of License to make such installation, alteration, test or repair. A written application for alteration to any part of existing underground equipment and/or underground storage systems shall be made to the Fire Department according to the requirements of § 27-4062(d)of the Administrative Code of the City of New York.

  1. Certificate of Registration. Owners and/or operators of gasoline dispensing sites who are required to comply under 15 RCNY § 4-03(a) shall apply for a Certificate of Registration and pay a fee for each registration or renewal thereof according to § 24-140(c) of the New York City Administrative Code within 10 days of the effective date of this regulation.
  2. Exemptions.

   (1) A stage 1 vapor collection system and submerged filling are not required for any storage tanks with a capacity less than 2,000 gallons which were installed prior to January 1, 1970, at any gasoline dispensing sites, even if the annual gasoline throughput exceeds 120,000 gallons for the dispensing sites.

   (2) Stage 1 vapor collection systems are not required for gasoline dispensing sites used exclusively for:

      (i) farm-type tractors used only for agricultural purposes or snow plowing (other than for hire),

      (ii) farm equipment including self propelled machines used in growing, harvesting or handling farm produce, and

      (iii) self propelled caterpillar or crawler-type equipment being operated on a contract site, but must be equipped for submerged filling.

§ 4-04 Gasoline Transport Vehicles.

(a) No person shall allow a gasoline transport vehicle subject to this chapter to be filled or emptied unless the gasoline transport vehicle:

   (1) Sustains a pressure change of not more than 3 inches of water (6 millimeters of mercury) in five minutes when pressurized to a gauge pressure of 18 inches of water (34 millimeters of mercury) and evacuated to a gauge pressure of 6 inches of water (11 millimeters of mercury);

   (2) Is repaired by the owner or operator within 15 days after failing to meet the pressure change standard required by this section; and

   (3) Displays a marking near the U.S. Department of Transportation certificate plate, in letters and numerals at least 2 inches high, which reads: NYSDEC and the date on which the gasoline transport vehicle was last tested for any other equivalent display approved by NYSDEC.

  1. No person shall allow a gasoline transport vehicle subject to this chapter to be loaded under a pressure exceeding 18 inches of water (34 millimeters of mercury) gauge, or to be unloaded under a vacuum exceeding 6 inches of water (11 millimeters of mercury) gauge.
  2. Dome covers on gasoline transport vehicles subject to this chapter shall be closed while the transport vehicle is being loaded, unloaded, or in motion except when gasoline transport vehicles are hatch loaded in conformance with paragraph 229.6(c)(2) or 229.7(a)(2) of Title 6 of the New York State Code of Rules and Regulations (6 NYCRR).
  3. Owners and/or operators of gasoline transport vehicles subject to stage 1 vapor collection or vapor control system requirements shall:

   (1) Install all required stage 1 vapor collection and control systems, and make any modifications necessary to comply with the requirements;

   (2) Provide adequate training and written instructions to the operator(s) of the affected gasoline transport vehicle;

   (3) Replace, repair, or modify any worn or ineffective component or design element to ensure the vapor-tight integrity and efficiency of the stage 1 vapor collection and vapor control systems; and

   (4) Connect and properly operate the stage 1 vapor collection and control systems whenever gasoline is being loaded or unloaded.

§ 4-05 Leakage.

During the loading or unloading of a gasoline transport vehicle subject to this chapter, leakage from any component of the gasoline transport vehicle or the vapor collection or control systems shall not equal or exceed 20 percent of the lower explosive limit (LEL measured as propane) when measured at a distance of one inch with a combustible gas detector. There shall be no avoidable visible liquid leak from such components. Components of the transport vehicle or vapor collection or control systems include all piping, seals, hoses, connections, pressure-vacuum seals, and other possible leak sources. The combustible gas detector used for determining compliance with this standard shall have a minimum range of 0 - 100 percent of the LEL as propane, a probe with an internal diameter of 1/4 inch (0.625 cm), and a response time less than 8 seconds with sampling line and probe attached. The combustible gas detector must be properly calibrated prior to testing.

§ 4-06 Testing.

Vehicles subject to this chapter shall undergo a pressure vacuum test within one year after the effective date of this chapter, and annually thereafter. These tests shall be performed by the owner or his agent using test methods acceptable to the Commissioner of NYSDEC. [Test method 27 described in appendix A of Part 60 of Title 40 of the Code of Federal Regulations (40 C.F.R. Part 60) is considered to be acceptable]. If the results of the pressure vacuum test do not show compliance with the pressure change standard, the gasoline transport vehicle shall be repaired to make the tank vapor-tight and retested within 15 days.

§ 4-07 Record Keeping.

(a) The owner of any gasoline transport vehicle subject to this chapter shall maintain written records of pressure-vacuum testing and repairs. The records include the vehicle identification number of the gasoline transport vehicle, the date of tests, the results of the testing, the nature of necessary repairs and the date of retests.
  1. A copy of the most recent pressure-vacuum test results, in a form acceptable to the Commissioner, shall be kept with the gasoline transport vehicle.
  2. Written records required by this section shall be maintained by owner and/or operator and shall be retained for two years after the testing occurred. The record must be made available to the Commissioner or his representative upon request at any reasonable time.

§ 4-08 Reciprocity.

Consistent with the decision of NYSDEC the requirements for testing and marking gasoline transport vehicles subject to this chapter may be satisfied if the vehicle undergoes equivalent certification in another state.

§ 4-09 Compliance Schedules for Gasoline Dispensing Sites.

Any owner or operator of a gasoline dispensing site subject to the requirements of this chapter shall submit a proposed schedule to the Commissioner which includes specific steps and dates necessary to comply with the provisions of this part within 10 days of the effective date of this chapter. Owners of gasoline dispensing sites subject to this chapter shall be in compliance with all requirements within 10 days of the effective date of this chapter or shall have submitted an approved compliance schedule.

§ 4-10 Fire Department Regulations.

Nothing in this chapter shall effect or substitute for New York City Fire Department or other regulations of the New York City Administrative Code.

§ 4-11 Variances.

The Commissioner may grant variances from the requirements of this chapter to gasoline dispensing sites or gasoline transport vehicles in accordance with the procedures, standards and time limits provided in § 24-110 of the Administrative Code of the City of New York.

§ 4-12 Penalties and Sanctions.

Any person who is in violation of, or fails to comply with any provision of any section of these regulations or any determination issued pursuant to these regulations shall be subject to issuance of a notice of violation answerable to the Environmental Control Board as provided in § 24-178 of the Administrative Code of the City of New York.

Chapter 5: Criteria Used For Upgrading Existing Apartment House Incinerators

§ 5-01 Filing Applications and Plans, Amendments, Fees.

(a) All applications and plans for incinerator upgradings must be approved by the Bureau of Air Resources.
  1. Incinerators which have a valid Certificate of Operation. The apartment house owner must submit a new application. No additional fee is necessary.
  2. A fee in accordance with Schedule B of Administrative Code § 24-136(c)(2) must accompany each application.
  3. Applications and amendments shall include design data and plans showing the existing incinerator and the upgrading proposed.
  4. All plans must be drawn to scale and shall be filed in triplicate. One set of plans, if approved, will be returned with a Notice of Approval for an installation or alteration permit. This Notice of Approval signifies compliance with this Department’s plan filing requirements and does not infer prior approval by other city agencies.
  5. Plot plan must show the building location and dimensions, the flue discharge point, and the location, distances, and heights of all buildings within a reasonable distance. Layouts shall include plan and elevation of incinerator room clearly showing the incinerator, the location and size of fixed ventilation to the outer air. Drawings shall also include a roof plan and elevation showing the flue, and other roof structures such as water tanks, penthouses, etc. The furnace, gas burner, automatic draft controls, flues, etc., shall be shown by plan and elevation cross-sections.
  6. Section 24-124(a) and (b) of the New York City Air Pollution Control Code requires that a Professional Engineer or Registered Architect certify that the application is accurate and that the equipment covered will comply with the requirements of the law. The application and appurtenant drawings, specification sheets and amendments, must also be impressed with the seal of the certifier.
  7. A separate application is required for each unit of equipment or control apparatus, unless identical units of equipment or control apparatus are to be installed, altered, or operated in an identical manner in the same building.
  8. If any structural changes to flues or additional flues are to be provided, or additions or changes to gas piping or water supply piping are to be made, application should be made to other departments having jurisdiction in these matters, e.g., Department of Buildings, Department of Water Supply, Gas and Electricity, Fire Department, etc.

§ 5-02 Requirements.

(a) General. These criteria apply to existing incinerators in multiple dwellings. Other designs will be considered if it can be demonstrated that the emission performance requirements of the New York City Air Pollution Control Code can be met, and if such designs comply with the applicable provisions of the Administrative Code.
  1. Minimum requirements and performance for upgrading.

   (1) Incinerator capacity, where feasible, should be adequate to accommodate refuse load based on four burns per day. (See: Table 1 and figure 1.) Grates and brickwork in incinerator and flue must be in good repair.

      (i) grate area shall be at least 50 percent of total burning area, where the existing conditions permit.

      (ii) hearths under the charging flue shall be pitched at a 60° angle from the horizontal so that refuse will slide down on to grate.

   (2) Auxiliary burner(s) with spark ignited gas pilot, flame failure shutoff (100%), temperature control, temperature indicator, furnace draft and closed damper interlocks shall be installed to provide for ignition of the refuse and maintenance of furnace temperature between 1,400F and 1,600F. (See: Table 1 for gas burner(s) capacity.)

   (3) Overfire air fan manifold and nozzles for 25 percent of combustion air requirement shall be installed to assure adequate turbulence and burnout of refuse. Manifold may be located outside furnace as space permits.

   (4) Programming electric clock with 24 hour dial, having 15 minute adjustable contact pins, to permit automatic starting and stopping of burner(s) and fans.

   (5) Enclosed steel cabinet with locked cover, dust and splash-proof, for housing all control equipment. Located in basement, on wall or steel stand, at least 2 feet from incinerator wall to avoid over-heating. Cabinet shall be prewired.

   (6) By-pass damper shall remain closed when the scrubber is in use, but shall be opened automatically when the scrubber is shut down.

   (7) Furnace draft, to assure optimum conditions for control of combustion air, shall be maintained at all times at approximately 0.10 in. of water by automatic control of the ID fan damper.

   (8) Hopper door locks, if any, shall be synchronized with incinerator operations.

   (9) Overtime burning. If the furnace is too small to hold the refuse accumulated overnight between 5p.m. and 7a.m, and the furnace cannot be enlarged, permission for overtime burning, between 6a.m. and 11p.m., may be granted. The hours for burning shall be shown on the Certificate of Operation.

   (10) Every incinerator must meet the particulate emission performance requirements set forth in the New York City Air Pollution Control Code. This may be accomplished by the installation of a scrubber or other control device capable of reducing the uncontrolled particulate emission to a level not exceeding the allowable particulate emission rate. Materials of construction for air cleaners shall provide suitable corrosion and erosion resistance.

  1. Incinerator and flue design. The following are four examples of existing incinerators requiring upgrading:

   (1) Single flue, single combustion chamber (Figure 2)

   (2) Refuse chute and direct fed multiple chamber (Figure 3)

   (3) Single flue, multiple chamber (Figure 4) with bypass flue in basement or at first or second floor.

   (4) Double flue, multiple chamber (Figure 5) with one flue extending through roof.

  1. Conversion of single flue incinerators to double flue or separate gas flue incinerators. With scrubber or equivalent air cleaner installed, a separate gas flue may be provided by one of the following designs.

   (1) Refractory flue (Figure 6) built alongside charging flue, extending through roof of building.

   (2) Use of boiler flue (Figure 7) provided size and combustion controls, etc., are in accordance with following:

      (i) Boiler flue must provide sufficient draft under maximum load conditions for natural draft installations.

      (ii) Both boilers and incinerators are provided with required combustion controls.

      (iii) Dampers are provided in boiler and incinerator flues to prevent excessive gas cooling during cleaning or shut-down periods.

      (iv) Connecting flues from oil fired boilers and incinerators are relatively short and are provided with cleanout doors.

  1. Operating cycles.

   (1) Single flue, single combustion chamber with air cleaner.

      (i) Burning cycle.

         (A) Lock hopper doors, if included.

         (B) Start air cleaner and automatic draft controller.

         (C) Start auxiliary burner to ignite refuse.

         (D) Start over fire air fan.

         (E) Burn for preset interval, usually 30 to 60 minutes.

      (ii) At end of burning cycle.

         (A) Stop auxiliary burner.

         (B) Stop overfire air fan.

         (C) Stop air cleaner, close automatic draft controller and open automatic by-pass damper.

         (D) Unlock hopper door locks, if included.

         (E) Remove accumulated residue and siftings from grate and ash pit at least once each day or more frequently.

   (2) Refuse chute and direct fed multiple chamber with air cleaner.

      (i) Burning cycle.

         (A) Charge refuse from charging chute into furnace at set intervals to avoid excess pileup of refuse in chute hopper.

         (B) Start air cleaner and automatic draft controller.

         (C) Start auxiliary burner and overfire air fan.

         (D) Burn down refuse under supervision of operator or by automatic controls.

      (ii) At end of burning cycle.

         (A) Stop auxiliary burner and overfire air fan.

         (B) Stop air cleaner, close automatic draft controller and open automatic by-pass damper.

         (C) Remove accumulated residue at least once a day.

   (3) Single flue, multiple chamber with by-pass flue at first or second floor.

      (i) Burning cycle.

         (A) Lock hopper doors, if included.

         (B) Close charging flue gate.

         (C) Start air cleaner and automatic draft controller.

         (D) Start auxiliary burner and overfire air fan.

         (E) Burn for preset interval.

      (ii) At end of burning cycle.

         (A) Stop auxiliary burner and over fire air fan.

         (B) Stop air cleaner, close automatic draft controller and open automatic by-pass damper.

         (C) Unlock hopper doors, if included.

         (D) Open charging flue gate briefly to discharge accumulated refuse into furnace. This gate is normally closed.

         (E) Clean grate and ash pit daily.

   (4) Double flue, multiple chamber, with one flue extending through roof.

      (i) Between burns. Charging flue gate shall remain closed except for opening briefly at 15 to 30 minute intervals to discharge accumulated refuse. Opening and closing cycle shall continue 24 hours per day.

      (ii) Burning cycle.

         (A) Open and close charging flue gate.

         (B) Start air cleaner and automatic draft controller.

         (C) Start auxiliary burning and overfire air fan.

         (D) Burn for preset period.

      (iii) At end of burning cycle.

         (A) Stop auxiliary burner and overfire air fan.

         (B) Stop air cleaner, close automatic draft controller and open automatic by-pass damper.

  1. Air for incineration. Adequate provisions for admission of air to incinerator room shall be provided. (Figure 8.)
  2. Operating instructions. The following precautions should be taken:

   (1) During alteration.

      (i) Do not use incinerator for burning construction or other waste. Excessive temperatures may damage the furnace, flues, and other parts.

      (ii) Be sure that chambers, passages and flues are cleaned of building debris before sealing.

      (iii) Install controls last to minimize damage during construction.

   (2) Placing in service.

      (i) Unseal incinerator and clean out combustion chamber, ash pit, separation chambers, flues, etc.

      (ii) Test burners, fans, flue gate, scrubber, dampers, hopper doors, etc., to insure that they work properly.

      (iii) Start a slow fire to dry out gradually the refractory in the furnace and flues.

      (iv) Set controls for the operation cycle.

      (v) Set the timing mechanism for 4 or more burns per day: For example: 6 - 7 a.m., 2 - 3 p.m., 7 - 8 p.m., 10 - 11 p.m..

      (vi) It may be necessary to make seasonal adjustments in the choice of operating periods.

  1. Maintenance instructions.

   (1) Daily.

      (i) Remove residue and siftings from primary and secondary chambers as well as ash pit.

      (ii) Inspect for proper operation: gas burner and controls; grates; flue gate; overfire air fan system; air cleaner and pump; cycling clock.

      (iii) Check all cleanout doors.

   (2) Weekly.

      (i) Remove accumulated fly ash from flues.

      (ii) Inspect hopper doors for tightness of fit.

      (iii) Inspect spark arrester for cleanliness and repair.

      (iv) Remove accumulated fly ash in secondary chambers.

      (v) Remove sludge from scrubber sump.

      (vi) Inspect refractory and repair or replace defective brick.

Note: Report immediately any malfunctioning or deterioration to owner or agent.

Table 1. Flue Fed Incinerators — 100 to 1,000 Rooms — Manual Grates

No. of Rooms or population per incinerator   100 200 300 400 600 800 1,000
Refuse per day at 1.44 lbs per room lbs 144 288 432 576 865 1,152 1,440
Volume of refuse per day at 4.1 lbs/cu ft. cu ft 35.1 70 105 141 211 282 351
Heat input per day at 6,000 Btu/lb Btu 864,000 1,728,000 2,590,000 3,460,000 5,180,000 6,912,000 8,640,000
Refuse per hourly burn at 25% 4 burns per day lbs/hr 36 72 108 144 216 288 360
Volume of refuse per hourly burn at 4.1 lbs/cu ft. cu ft/hr 8.8 17.6 26.3 35.2 52.7 70.2 87.8
Heat input per hourly burn at 6,000 Btu/lb Btu/hr 216,000 432,000 648,000 865,000 1,300,000 1,730,000 2,160,000
Furnace heat release rate Btu/cu ft/hr 2,800 4,800 6,270 7,600 9,680 10,500 11,400
Gas weight leaving furnace at 200% excess air lbs/hr 440 880 1,323 1,760 2,650 3,520 4,415
Gas volume leaving furnace at 1,600F CFM 379 758 1,138 1,515 2,280 3,030 3,900
Combustion air weight lbs/hr 405 810 1,215 1,620 2,440 3,240 4,050
Combustion air volume at 80F CFM 90 180 276 367 554 735 920
Underfire air—50% of total—at 80F CFM 45 90 138 183 277 367 460
Adjustable air port area Min. sq in 50 100 153 200 310 420 510
Overfire air fan at 25% of total at 1”S.P. CFM 22.5 45 69 92 139 184 230
Overfire air duct and manifold area at 2,000 FPM sq in 1.62 3.24 4.97 6.62 10.0 13.25 16.5
Equivalent schedule 40 pipe size in 2 2 3 3 4 4 6
No. of 1”pipe nozzles for O.F. air No. 4 4 5 5 6 7 9
Gas flue and fresh air inlet Min. sq ft 1.0 1.37 1.86 2.36 3.29 4.05 4.86
Auxiliary burner capacity per hourly burn Min. Btu/hr 72,000 144,000 216,000 288,000 433,000 577,000 720,000

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Chapter 6: Interpolation of Allowable Sound Levels For Motor Vehicles

§ 6-01 Introduction.

Figure 1 and Figure 2 set forth below relate to allowable sound levels for motor vehicles as specified in § 24-232(a) of the Administrative Code (Noise Control Code). These figures shall be used for the interpolation between Column I and Column II of Table I of said section to determine the allowable sound levels for motor vehicles operated at speeds of 35 miles per hour or less and speeds of more than 35 miles per hour, respectively, at distances between twenty-five and fifty feet from the center of the lane of the public highway in which the motor vehicle is idling or is traveling.

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Chapter 7: Tunneling

§ 7-01 Tunneling Permits.

Tunneling permits shall not be required for activities carried out solely between the hours of 7 a.m. to 6 p.m. during weekdays. “Tunneling” shall be defined as any activity to construct a tunnel carried out by tunneling methods, i.e., mining, boring, jacking, lining, shielding, and where the above methods are not practical, cut and cover shall also be considered a tunneling method. Tunneling does not include cut and cover operations for the installation of minor utility lines by cut and cover methods. In order to obtain a permit for shaft and tunnel construction the applicant shall submit an application to the Division of Noise Abatement for use in determining after completion the conditions necessary to conform to the New York City Noise Control Code. The tunnel permit shall be issued for each shaft site to cover the operation and hours of use of all equipment. The applicant will be required to submit an application completed in full. It is intended that the permit will be applicable for the site and equipment therein designated. Should there by any change of conditions, location or equipment substitution, the Division of Noise Abatement must be notified and the appropriate specifications of the permit modified.

Chapter 8: Industrial Equipment

§ 8-01 Submission of Environmental Rating Reports from Industrial Sources.

Environmental Rating Reports are required for every industrial process capable of emitting solid, liquid or gaseous contaminants to the open air, and are required regardless of when the equipment became operational. The Department requires that all operational industrial equipment, as defined in § 24-104(25) of the Administrative Code, in New York City submit an Environmental Rating Report pursuant to § 24-154 of the Code. The Environmental Rating Report is required to contain substantive information showing that the equipment is being operated in compliance with § 24-153 of the Code. The Environmental Rating Reports must be filed with the Bureau of Air Resources when specifically requested by the Bureau, and/or upon application for renewal of a Certificate of Operation if an Environmental Rating Report was not previously submitted. In accordance with § 24-138 of the Code an administrative fee must be submitted with the Environmental Rating Report. No fee is required if the Report is filed in support of an application for an operating certificate. Environmental Rating Reports are not required for oil or gas burners and boilers, unit space heaters, and exhausts used for comfort heating, ventilating and air conditioning systems. Any owner or operator who is unsure whether an Environmental Rating Report should be filed should complete and submit Form AR 510 to the Bureau of Air Resources. No fee is required when filing Form AR 510. The Bureau of Air Resources will notify the owner or operator within 60 days of filing Form AR 510 if an Environmental Rating Report must be submitted.

Chapter 9: Gas Fired Burner Installations

§ 9-01 Installation of and Conversion to Gas or Gas/Oil Fired Burners.

(a) For those installations where it is necessary to install a new gas or gas/oil burner then a complete new filing will be required.
  1. For those installations for which the Department of Environmental Protection has an application to use oil as a fuel and a decision is made to convert to straight gas, an amendment to the filing is required which must show compliance with subdivision (e) of this section.
  2. For those installations for which the Department has an application to use oil as a fuel and a decision is made to convert to a combination of oil and gas, and amendment to the active filing is all that is required provided the burner is accepted for both gas and oil firing. It should be understood that the installation will be required to meet the Engineering Criteria for Oil Burning Equipment for the grade of oil being used.
  3. For those installations which have a valid Certificate of Operation under current criteria for fuel oil and a decision is made to convert to straight gas or gas and oil and the burner for which the Certificate of Operation was issued is accepted for burning gas or gas and oil, than an amendment to the original application will suffice to document the change in the grade of fuel. It should be noted however, that in those cases where oil is burned in combination with gas, that the grade of oil must be the same or a lighter grade than that for which the Certificate of Operation was issued.
  4. In all of the above cases, it will be the responsibility of the filing engineer to advise the owner that an appropriate filing is required in the Department of Buildings. A copy of the Letter of Completion from the Building Department must be submitted. Same will be accepted in lieu of burner labeling by Underwriters Laboratories and will not require inspection by the Bureau of Air Resources with reference to modification on burner, but we may require inspection on the boiler for compliance with Chapter 2 of these Rules. There will be no requirement to update the UL label to indicate oil/gas operation.
  5. Whenever an application is filed for natural gas, the application will be required to meet the criteria in effect on June 30, 1973 (Chapter 2 of these Rules).* Where this criteria refers to natural gas, the specific requirements for natural gas will be used, in all other cases, the requirements for number 2 fuel oil will be used on an equivalent BTU basis as has been the policy in the past.

Chapter 10: Air Pollution Control Instruction In Fuel Burning Equipment Using Residual Fuel Oil and Refuse Burning Equipment

§ 10-01 Scope.

The following school, instructor and course completion certification procedures shall apply to all educational institutions, industry and labor organizations offering a course of instruction in accordance with § 24-161 of the Administrative Code of the City of New York.

§ 10-02 Definitions.

Approved school. “Approved school” shall mean an educational institution, industry organization or labor organization which has been certified by the Department to conduct a course in air pollution control.

Certificate of Course Completion. “Certificate of Course Completion” shall mean the certificate issued by the Department indicating that an individual has passed the air pollution control course of instruction in accordance with the provisions of these rules.

Commissioner. “Commissioner” shall mean the Commissioner of the New York City Department of Environmental Protection.

Curriculum. “Curriculum” shall mean a sequence of topics to be covered which together comprise a program of instruction.

Department. “Department” shall mean the New York City Department of Environmental Protection.

Enrollment Card. “Enrollment Card” shall mean a registration card issued by an approved school offering air pollution control course of instruction to a current student.

Instructional Hour. “Instructional Hour” shall mean an instructional unit of time consisting of a minimum of fifty minutes.

Teaching Certificate. “Teaching Certificate” shall mean the certificate issued by the Department indicating that an educational institution, industry organization or labor organization has received approval to conduct a course in air pollution control.

Tuition. “Tuition” shall mean the charge for instruction at an approved school, and shall not include such charges as enrollment or registration fees, or fees for equipment and materials, including but not limited to kits, tools, supplies and books.

§ 10-03 Requirements for Approval of an Air Pollution Control Course of In- struction.

(a) No educational institution, industry organization or labor organization shall offer a course of instruction in air pollution control involving the use of fuel or refuse burning equipment, in conformance with § 24-161 of the Administrative Code of the City of New York, prior to receiving written approval of such course by the Department.
  1. Educational institutions, industry and labor organizations seeking the Department’s approval of a course of instruction shall submit to the Department a completed application in a form prescribed by the Department, containing a description of the course to be offered. Such application shall contain the following information:

   (1) Name and address of the entity planning to conduct the air pollution control course, and one name and telephone number of a contact person.

   (2) The course location and course schedule (dates and times.)

   (3) A copy of the course curriculum and the amount of time allotted for each topic.

   (4) A description of the teaching methods to be used to present each topic (e.g., lectures, discussions, hands-on demonstrations, audio-visual materials).

   (5) Copies of all written materials to be distributed, including typical examinations.

  1. Upon obtaining approval from the Department, the educational institution, industry organization or labor organization shall receive a teaching certificate which will be valid for (5) five years. A teaching certificate may be renewed upon submission of a renewal application.

§ 10-04 Requirements for Course Content.

(a) A course of instruction in air pollution control involving the use of fuel burning equipment using residual fuel oil or refuse burning equipment shall provide the following:

   (1) A minimum of twelve hours of instructions;

   (2) Class instruction wherein the ratio of students to instructor in the classroom shall not exceed 25 to 1, and during hands-on demonstration sessions it shall not exceed 10 to 1; and

   (3) A curriculum of teaching materials which shall include, at a minimum, the New York City Board of Education/DEP workbook “Air Pollution Control”.

  1. Notification of course modification

   (1) At least ten days prior to revising a course, an approved school shall in writing notify the Department and request written department approval of any of the following modifications:

      (i) personnel changes

      (ii) course schedule (dates and locations)

      (iii) course curriculum

      (iv) teaching materials

   (2) Conditional written approval may be granted pending evaluation of the proposed changes.

§ 10-05 Experience Requirements for Instructors.

(a) The resumes of persons applying for instructor positions shall detail, at minimum, the most recent five (5) years experience with residual oil burning or refuse burning equipment and shall include the following:

   (1) List of jobs the applicant has held and the duration of each; and

   (2) Name and address of each employer; and

   (3) Description of the work performed in each position.

  1. Educational institutions, industry and labor organizations shall only employ instructors experienced in teaching the operation and supervision of residual fuel oil burning or refuse burning equipment.
  2. A copy of each instructor’s resume which demonstrates the experience required in 15 RCNY § 10-05(a) and a letter from the training institution attesting to the instructor’s competence to teach the course shall be submitted to the department prior to commencement of the course.

§ 10-06 Procedures for Obtaining Certificate of Course Completion.

(a) No person or entity shall employ an operator or supervisor of fuel burning equipment using residual fuel oil or of refuse burning equipment who is not certified by the Department or who does not have an enrollment card for a course of instruction.
  1. Educational institutions, industry and labor organizations shall then promptly submit to the Department a list of all enrolled students, evidence of their completing a course of instruction in air pollution control and final test score.
  2. The Department shall issue a certificate of course completion to individuals who successfully have completed a course of instruction at an approved school with a passing score of 70 percent on the air pollution control course examination within (60) sixty days of the completion of the course upon payment of the fee specified in subdivision (e).
  3. Stationary and marine engineer shall not be required to complete the course of instruction, but they must pass the air pollution control course examination with a score of at least 70 percent.
  4. An individual who has passed the course of air pollution control instruction and seeks a certificate of course completion shall pay a fee of twenty-five dollars ($25.00) to the Department of Environmental Protection, Bureau of Air Resources.

§ 10-07 Teaching Suspension or Revocation.

The Commissioner shall suspend for a period of up to (3) three years or revoke for a period of up to (5) five years an approved school’s teaching certificate, after giving written notice and an opportunity to be heard, upon the determination that any one of the following has occurred:

  1. Submission of false information on any application;
  2. Failure to submit written notification to the Department of any material change(s) in the conduct of the course; and
  3. Failure to allow a department representative to audit any phase of the course.

Chapter 12: Perchloroethylene Dry Cleaning Facilities

§ 12-01 Applicability.

This Rule applies to all new and existing dry cleaning facilities in the City of New York.

§ 12-02 Definitions.

(a)  For the purpose of this Rule, the definitions of the New York City Air Pollution Control Code apply.
  1. For the purpose of this Rule, the following definitions also apply:

   (1) Adsorptive cartridge filter. A replaceable cartridge filter that contains diatomaceous earth or activated clay as the filter medium.

   (2) Ancillary equipment. The equipment used with a dry cleaning machine in a dry cleaning system including, but not limited to, emission control devices, pumps, filters, muck cookers, stills, solvent tanks, solvent containers, water separators, exhaust dampers, diverter valves, interconnecting piping, hoses and ducts.

   (3) Articles. Clothing, garments, textiles, fabrics, leather goods, and the like, that are dry cleaned.

   (4) Azeotropic control device. A dry cleaning control system where the vapor stream from the dry cleaning machine drum is first cooled and condensed to reduce the concentration of perc in the vapor stream, and is then treated with water to further enhance the displacement of perc from the articles when the vapor stream is returned to the machine drum. There is no exhaust to the atmosphere during the drying cycle.

   (5) Carbon adsorber. An air cleaning device that consists of an inlet for exhaust gases from a dry cleaning machine; activated carbon in the form of a fixed bed, cartridge, or canister, as an adsorbent; an outlet for exhaust gases; and a system to regenerate, or reclaim saturated adsorbent.

   (6) Cartridge filter. A replaceable cartridge filter that contains one of the following as the filter medium: paper, activated carbon, or paper and activated carbon. A cartridge filter contains no diatomaceous earth or activated clay. Cartridge filters include, but are not limited to: standard filters, split filters, “jumbo” filters, and all carbon polishing filters.

   (7) Closed-loop machine. Dry cleaning equipment in which washing, extraction, and drying are all performed in the same single unit (also known as a dry-to-dry unit) and which recirculates perc-laden vapor through a primary control system (e.g., refrigerated condenser) with no exhaust to the atmosphere during the drying cycle. A closed-loop machine may allow for venting to the ambient air through a local exhaust ventilation system, such as a door fan, after the drying cycle is complete and only while the machine door is open.

   (8) Co-located. Sharing a common wall, floor, or ceiling with a residence or business.

   (9) Colorimetric detector tube. A glass tube (sealed prior to use), containing material impregnated with a chemical that is sensitive to perc and is designed to measure the concentration of perc in air.

   (10) Commercial building. Any building where only commercial business is conducted, such as an office building or strip mall.

   (11) Condenser. An air cleaning device that removes condensable vapors by a reduction in the temperature of the exhaust gases or, in the case of a surface condenser, by contact of the exhaust gases with structures that are cooled by a circulating cooling fluid.

   (12) Converted machine. An existing vented machine that has been modified to be a closed-loop machine by eliminating the aeration step, installing a primary control system, and providing for recirculation of the perc-laden vapor with no exhaust to the atmosphere or workroom during the drying cycle. A converted machine may allow for venting to the ambient air through a local exhaust ventilation system, such as a door fan, after the drying cycle is complete and only while the machine door is open.

   (13) Cool-down. The portion of the drying cycle that begins when the heating mechanism deactivates and the refrigerated condenser continues to reduce the temperature of the air recirculating through the drum to reduce the concentration of perc in the drum.

   (14) Department. The New York City Department of Environmental Protection.

   (15) Desorption. Regeneration or stripping of an activated carbon bed, or any other type of vapor adsorber by removal of the adsorbed solvent using hot air, steam, or other means.

   (16) Dip tank. A separate tank that contains perc and is used for purposes other than dry cleaning (e.g., waterproofing).

   (17) Diverter valve. A flow control device that prevents room air from passing through a refrigerated condenser when the door of a dry cleaning machine is open.

   (18) Door fan. A local exhaust ventilation system designed to provide for a minimum 100 fpm inward air velocity into the effective door open area of a dry cleaning machine whenever the door is opened, and where the perc emissions are controlled by a carbon adsorber or equivalent control prior to venting to the outer air.

   (19) Drum. The rotating cylinder or wheel of the dry cleaning machine that holds the articles being cleaned.

   (20) Dry cleaning. The process used to remove soil, greases, paints and other unwanted substances from articles with the use of perc or non perc.

   (21) Dry cleaning control system. Equipment (e.g., carbon adsorber, refrigerated condenser, azeotropic unit, etc.) or an air cleaning device used to reduce the amount of air pollutant(s) in an air stream prior to discharge to the atmosphere.

   (22) Dry cleaning equipment. Any machine, device, or apparatus used to dry clean articles.

   (23) Dry cleaning facility. A facility with one or more dry cleaning systems.

   (24) Dry cleaning system. All of the following equipment, devices, or apparatus associated with the perc dry cleaning operations, including, but not limited to: dry cleaning equipment; filter or purification systems; waste holding, treatment, or disposal systems; perc supply systems; dip tanks; pumps; gaskets; piping, ducting, fittings, valves, or flanges that convey perc-contaminated air; and dry cleaning control systems.

   (25) Drying cabinet. A housing in which materials that have been previously dry cleaned in perc are dried instead of being dried by tumbling in a dry cleaning machine.

   (26) Drying cycle. The operation used to actively remove the perc remaining in the materials after washing and extraction. For closed-loop machines, the heated portion of the cycle is followed by cool-down and may be extended beyond cool-down by the activation of a control system. The drying cycle begins when heating coils are activated and ends when the machine ceases rotation of the drum.

   (27) Drying sensor. A device that senses when articles being cleaned are relatively dry and automatically controls the drying cycle. Drying sensors include but are not limited to: infrared analyzers, float switches, and resistance probes. The device detects the concentration of synthetic solvents in the drying air or that the liquid solvent recovery rate is at a minimal rate. The drying sensor extends the drying cycle for a minimum time beyond the activation point to ensure dry articles.

   (28) Dry-to-dry machine. A one-machine dry cleaning operation in which drying and washing are performed in the same machine.

   (29) Dry-to-dry vented machine. Dry cleaning equipment in which washing, extraction, and drying are all performed in the same single unit and in which fresh air is introduced into the drum in the last step of the drying cycle and exhausted to the outdoor atmosphere, either directly or through a control device (2nd generation equipment).

   (30) Environmental Training Program. An initial course or a refresher course of the Environmental Training Program, described in 15 RCNY § 12-14 and § 232.14 of Title 6 of the Codes, Rules, and Regulations of the State of New York for owners and operators of perc dry cleaning operations that has been authorized by the New York State Department of Environmental Conservation or the Department.

   (31) Equivalent closed-loop vapor recovery system. A device or combination of devices that achieves, in practice, a perc recovery performance equal to or exceeding that of refrigerated condensers.

   (32) Existing facility. Any facility at which dry cleaning equipment was installed or operated prior to May 15, 1997.

   (33) Facility. All emission sources located at one or more adjacent or contiguous properties owned or operated by the same person or persons under common control.

   (34) Filter muck. The residue from a filter using loose diatomaceous earth, which must be replaced periodically.

   (35) First generation equipment. Transfer machines where cleaning and drying (reclaiming) take place in separate machines with the manual transfer of articles from one machine to another.

   (36) Fourth generation equipment. A primary closed-loop refrigerated dry cleaning machine that has a “secondary control system” (e.g., closed-loop refrigerated condenser with a drying sensor and an integral carbon adsorber).

   (37) Fugitive emissions. Emissions of air contaminants which could not reasonably pass through a stack, vent, chimney, or other functionally equivalent opening.

   (38) fpm. Feet per minute.

   (39) Full-size carbon unit. A carbon unit that is used to adsorb perc from a dry cleaning machine when the vapors are recirculating or venting from the drum during the drying cycle. (Normally used on first and second generation equipment.)

   (40) General exhaust ventilation system. A mechanical exhaust ventilation system consisting of fresh air makeup inlets and one or more exhaust fans in a dry cleaning facility. This type of system would commonly be used to exhaust a dry cleaning workroom or a room enclosure. This system shall be completely separate from the ventilation system(s) for the remainder of the building.

   (41) Halogenated-hydrocarbon detector. A portable device capable of detecting vapor concentrations of perc and indicating an increasing concentration by emitting an audible signal or visual indicator that varies as the concentration changes.

   (42) Liquid leak. A leak of liquid containing perc of more than one drop every three minutes.

   (43) Local exhaust ventilation system. A mechanical exhaust ventilation system connected directly to a dry cleaning machine or other related dry cleaning equipment. For example, the exhaust system on a door fan for a third generation machine constitutes a local exhaust ventilation system.

   (44) Major source. A dry cleaning facility that emits or has the potential to emit more than 9.1 megagrams per year (10 tons per year) of perc to the atmosphere. In lieu of measuring a facility’s potential to emit perc or determining a facility’s potential to emit perc, a dry cleaning facility is a major source if: (1) it includes only dry-to-dry machine(s) and has a total yearly perc consumption greater than 8,000 liters (2,100 gallons) as determined according to 15 RCNY § 12-12, subdivision (b); or, (2) it includes only transfer machine system(s) or both dry-to-dry machine(s) and transfer machine system(s) and has a total yearly perc consumption greater than 6,800 liters (1,800 gallons) as determined according to 15 RCNY § 12-12, subdivision (b).

   (44-a) Material safety data sheet. The material safety data sheet as defined in section 24-702 of the Administrative Code of the City of New York.

   (45) Mixed-use facility. A facility that is co-located.

   (46) Muck cooker. A device for heating filter muck to drive off perc vapors for reclaiming.

   (47) New facility. A facility that was not used for the operation of any dry cleaning equipment prior to May 15, 1997.

   (47-a) Non perc. Any chemical substance used in the dry cleaning process other than perc.

   (48) Occupancy. Any building or part of a building, excluding the dry cleaning facility.

   (49) Openings. Any window, door or air intake.

   (50) Perceptible leak. Any perc vapor or liquid leaks that are obvious from the odor of perc, pools or droplets of perc or the detection of gas flow by passing a finger over the surface of the equipment, or as detected by an appropriate portable monitoring instrument.

   (51) Perc. A colorless volatile chlorinated hydrocarbon. Perc is also known as perchloroethylene, tetrachloroethylene, tetrachloroethene, and PCE. The chemical formula for perc is C12C:CC12. The CAS registry number for perc is 00127-18-4.

   (52) Perc-contaminated wastewater evaporator. A device that vaporizes wastewater through physical action or the addition of thermal energy.

   (53) ppb. Parts per billion by volume in air or by weight in water.

   (54) ppm. Parts per million by volume in air or by weight in water.

   (54-a) Primary chemical. The chemical that is used in the greatest concentration in the dry cleaning process.

   (55) Primary control system. A refrigerated condenser or equivalent closed-loop vapor recovery system approved by the Department.

   (56) Process ventilation emission. An emission from any dry cleaning machine normally vented to the outer air that occurs both during the aeration cycle and when the machine door is open, excluding any emissions from door fans on azeotropic control devices and third generation equipment.

   (57) Refrigerated condenser. A closed-loop vapor recovery system into which perc vapors are condensed by cooling below the dew point of the perc using a mechanical refrigerated system.

   (58) Residential building. Any dwelling or housing that is owned, rented, or occupied by the same person for a period of 180 days or more in a year, excluding short-term housing such as a motel or hotel room rented and occupied by the same person for a period of less than 180 days.

   (59) Room enclosure. A room that encloses the dry cleaning machine or equipment. It is constructed of material that is impermeable to perc and designed and operated to maintain negative pressure at all times that the equipment is operating and is used with a general exhaust ventilation system.

   (60) Second generation equipment. A dry-to-dry vented-dry cleaning machine which is not vented to a refrigerated condenser. Typically these machines are properly vented to a control device which may, for example, consist of a carbon adsorber or azeotropic control device plus a small carbon adsorber.

   (61) Secondary control system. A device or apparatus that reduces the concentration of perc in the recirculating air at the end of the drying cycle beyond the level achievable with a refrigerated condenser alone. For example, an integral carbon adsorber used in fourth generation equipment constitutes a secondary control system.

      (i) An “integral” secondary control system is designed and offered as an integral part of a production package with a single make and model of dry cleaning machine and primary control system.

      (ii) An “add-on” secondary control system is designed or offered as a separate retrofit system for use on multiple machine makes and models.

   (62) Self-service dry cleaning machine. A perc dry cleaning machine that is loaded, activated, or unloaded by the customer.

   (63) Small carbon adsorbers. A carbon unit that is used to adsorb perc from the machine drum when the machine door is opened to remove clothes at the end of the drying cycle. For example, the adsorbers used to control emissions from supplemental door fans or azeotropic control devices would constitute small carbon adsorbers.

   (64) Solvent mileage. The average weight of articles cleaned per volume of perc used.

   (65) Solvent tank. Any container that is used to store perc prior to use in the dry cleaning operation and from which the perc is introduced into the drum of the machine at the start of the cleaning cycle.

   (66) Stand-alone facility. A facility that is not co-located.

   (67) Still. Distillation equipment used to volatilize and recover perc from contaminated solvent removed from the cleaned materials.

   (68) Third generation equipment. A closed-loop dry cleaning machine equipped with a refrigerated condenser or other equivalent primary control system.

   (69) Trained operator. A person who holds a certificate of completion for the initial course of an environmental training program and maintains her/his status by successfully completing refresher courses as required.

   (70) Transfer machine. Perc dry cleaning equipment in which washing and extraction are performed in one unit and drying is performed in a separate unit. (First generation equipment.)

   (71) Vapor adsorber. A bed of activated carbon or other adsorbent into which vapors are introduced and trapped for subsequent desorption.

   (72) Vapor barrier. A material surface or coating that is impermeable to perc.

   (73) Vapor leak. A fugitive emission of perc vapor from unintended openings in the dry cleaning system. A vapor leak can be indicated by a rapid audible signal or visual signal from a halogenated-hydrocarbon detector or other approved instrument.

   (74) Water separator. A vessel that uses gravity to physically separate liquid perc from liquid water.

§ 12-03 Variances.

(a)  Unless otherwise precluded by federal or state statute or regulation, or subdivision (d) of this section, the Department may, upon written application from any person who is subject to this Rule, grant a variance from one or more specific provisions of this Rule consistent with § 24-110 of the Administrative Code of the City of New York and under the conditions set forth in this subchapter.
  1. Every application for a variance must:

   (1) identify the specific provisions of this Rule from which a variance is sought;

   (2) demonstrate that compliance with the identified provisions would, on the basis of conditions unique to the person’s particular situation in contrast to the rest of the industry or any segment thereof, impose unreasonable hardship;

   (3) demonstrate that the proposed activity will have no significant adverse impact on the public health, safety, or welfare, the environment or natural resources and will be consistent with the provisions of the New York City Air Pollution Control Code and the performance expected from an activity permitted under the provisions of this Rule; and

   (4) include a copy of any variance granted by the New York State Department of Environmental Conservation. If no variance has been granted by the New York State Department of Environmental Conservation then the application to the Department shall state that no variance has been granted by the New York State Department of Environmental Conservation.

  1. In granting any variance under this subchapter, the Department may impose specific conditions necessary to assure that the subject activity will have no significant adverse impact on the public health, safety, or welfare, the environment, or natural resources.
  2. Phase-out dates for dry cleaning equipment cannot be extended by a variance.

§ 12-04 Prohibitions.

(a) Perc dry cleaning machines may not be installed in residential buildings after July 13, 2006.
  1. Perc dry cleaning machines that were installed in residential buildings between December 21, 2005 and July 13, 2006 must eliminate perc use by July 13, 2009. In the interim, all perc dry cleaning facilities must continue to comply with the requirements of 6 NYCRR Part 232.
  2. Perc dry cleaning machines that were installed in residential buildings before December 21, 2005, must eliminate perc use by December 21, 2020.
  3. The use of any dry-to-dry vented or non-vented equipment as a transfer machine is prohibited.
  4. The installation of any self-service dry cleaning machine(s) after May 15, 1997 is prohibited.
  5. The use or offering for use of any self-service dry cleaning machine(s) after May 15, 1997 is prohibited.
  6. The use of immersion heaters to evaporate solvent from the untreated water effluent of solvent water separators is prohibited.
  7. Except as provided in 15 RCNY § 12-05, the installation, construction, alteration, modification, or operation of a perc dry cleaning facility without first obtaining an installation or alteration permit or an operating certificate issued by the Department in accordance with the requirements of 15 RCNY § 12-15 is prohibited.
  8. Venting of perc emissions from dry cleaning equipment or emission control devices into the workroom or facility is prohibited.

§ 12-05 Pre-Permitting Requirements for Existing Facilities.

Existing facilities with a valid operating certificate(s) issued by the Department must comply with the following requirements in accordance with the timeframes established in this section in advance of applying for and obtaining an operating certificate amendment(s) required under 15 RCNY § 12-15. Prior approvals from the Department are not needed for construction of room enclosures, vapor barriers, general exhaust ventilation systems, or changes in vent stack locations. New facilities must comply with all the applicable requirements contained in this section at the time of installation.

  1. Room enclosures, vapor barriers, and general exhaust ventilation.

   (1) Stand-alone dry cleaning facilities that are designated as major sources, pursuant to the National Perchloroethylene Air Emission Standards for Dry Cleaning Facilities under Title 40, Part 63 of the Code of Federal Regulations, Subpart M and that have transfer type machines should have contained all such machines inside room enclosures by September 23, 1996. Each room enclosure must be:

      (i) Constructed of materials impermeable to perc; and,

      (ii) Designed and operated to maintain a negative pressure at each opening at all times that the machine is operating.

   (2) Co-located dry cleaning facilities must be equipped with a vapor barrier or room enclosure(s) and general exhaust ventilation that meets the design and performance requirements established in 15 RCNY § 12-06, subdivision (a), by the following dates:

      (i) transfer machines – immediately upon the effective date of this Rule.

      (ii) dry-to-dry vented machines – by no later than August 15, 1998.

      (iii) 3rd generation dry-to-dry machines – by no later than November 15, 1998.

      (iv) 4th generation dry-to-dry machines – by no later than May 15, 1999.

   (3) The facility owner shall notify the Department by mail no later than 30 days after the installation of the required vapor barrier and general exhaust ventilation system and certify that it meets all regulatory requirements. Such notification shall be sent by certified mail to the Department.

  1. Relocation of emission points. The relocation of process ventilation emission point(s) to the outdoor atmosphere must comply with the retrofitting requirements and be completed by the deadlines established under 15 RCNY § 12-06(b)(3) and (b)(6).
  2. Public information notice. The facility owner must post a copy of the notice required under 15 RCNY § 12-18 immediately.
  3. Leak inspection. The facility owner must initiate the leak inspection requirements established in 15 RCNY § 12-07 immediately upon the effective date of this Rule.
  4. Operation and maintenance. The facility owner must initiate all operation and maintenance requirements which apply to dry cleaning machines and existing emission control systems established in 15 RCNY § 12-08 immediately upon the effective date of this Rule. However, all requirements established under 15 RCNY § 12-08 that are already in effect pursuant to the National Perchloroethylene Air Emission Standards for Dry Cleaning Facilities in Title 40, Part 63, Subpart M of the Code of Federal Regulations continue to be in effect.
  5. Compliance inspections. The compliance inspection requirements under 15 RCNY § 12-16 are effective immediately upon the effective date of this Rule. Facility owners must initiate the first compliance inspection at their facility immediately upon the effective date of this Rule.
  6. Recordkeeping. The facility owner must initiate all applicable recordkeeping required under 15 RCNY § 12-12 immediately upon the effective date of this Rule. Such recordkeeping must cover all requirements established under 15 RCNY § 12-12 for dry cleaning systems and facilities in general and must also comply with requirements for specific dry cleaning machine types and emission control systems. However, all requirements established under 15 RCNY § 12-12 that are already in effect pursuant to the National Perchloroethylene Air Emission Standards for Dry Cleaning Facilities in Title 40, Part 63, Subpart M of the Code of Federal Regulations, continue to be in effect.
  7. Perc-contaminated wastewater management. Facilities must comply with the perc-contaminated wastewater management requirements under 15 RCNY § 12-09 and under 15 RCNY Chapter 19 governing the use of the public sewer system by no later than May 15, 1998.
  8. Hazardous waste management and emergency response. The hazardous waste management requirements under 15 RCNY § 12-10 and the emergency response requirements under 15 RCNY § 12-11 are effective immediately upon the effective date of this Rule.

§ 12-06 Equipment Standards and Specifications.

(a)  Specific equipment standards and emission control specifications:

   (1) Vapor barriers. Vapor barriers must, at a minimum, enclose the dry cleaning equipment. Vapor barriers can be constructed of polyvinyl chloride, PVC sheet 22 mil thick (0.022 in.), sheet metal, metal foil face composite board, or other equivalent materials that are impermeable to perc vapors. Vapor barriers must be constructed so that all joints and seams are sealed except for inlet makeup air and exhaust openings and entry doors. Entry doors may only be open when a person is entering or exiting the room enclosure.

   (2) General exhaust ventilation system. Dry cleaning facilities which are co-located must be equipped with a vapor barrier and with a general exhaust ventilation system that is completely separate from the ventilation system(s) serving other areas of the building. The general exhaust ventilation system must be located near the dry cleaning machinery or connected to a separate room enclosure with a vapor barrier exhausting emissions to the outer air. The system shall be designed and operated to maintain a negative pressure in the room enclosure whenever the dry cleaning machine(s) is operating. This dry cleaning general exhaust ventilation system must be operated at all times when the dry cleaning machine(s) is in operation, and during maintenance operations and must be capable of at least one air change per five minutes.

   (3) Door fan/local exhaust ventilation systems.

      (i) All first, second and third generation dry cleaning equipment must be equipped with a door fan/local exhaust ventilation system. This system must include a mechanical exhaust fan that is activated when the loading door is open, drawing air from the machine drum causing fresh air to be drawn in through the loading door. A minimum inward air velocity of 100 fpm, must be maintained through the effective door opening area of the loading door of the machine.

      (ii) Door fan/local exhaust ventilation systems must not recirculate vapors into the workroom and must be properly vented to the outer air.

      (iii) Door fan/local exhaust ventilation emissions must be controlled to a design emission standard of five ppm perc with an in-use maximum compliance standard of 20 ppm.

   (4) Process Ventilation Emissions – Interim Standards.

      (i) Process ventilation emission points on first and second generation machines that exhaust during the aeration cycle and when the machine door is open must be vented to the outer air above the roof and more than 25 feet from all openings in nearby occupancies.

      (ii) Process ventilation emissions from existing first and second generation vented machines having emission controls as part of the original equipment or retrofitted to comply with the 100 ppm perc emission standard effective May 10, 1981 under the repealed version of Title 6, Part 232 of Codes, Rules, and Regulations of the State of New York must continue to meet this standard until such time as retrofitting, replacement, or shutdown is required under this section.

      (iii) Process ventilation emissions from existing second generation machines that are retrofitted with control equipment to comply with interim standards established under (b)(3) or (b)(6) in this section must be designed to achieve a perc concentration of five ppm or less in the exhaust and achieve an in-use compliance standard of less than 20 ppm perc in the exhaust.

      (iv) The exhaust damper of a vented first or second generation machine must be completely closed when the machine is not being vented, and must not leak vapors into the workroom or the outer air.

   (5) Primary emission control systems. Refrigerated condensers or equivalent closed-loop vapor recovery systems must meet the following requirements:

      (i) Refrigerated condensers must be capable of achieving an outlet vapor temperature downstream of any by-pass of the condenser less than or equal to 45°F (7.2°C) during the final cool down cycle, and achieve a concentration of 8600 ppm or less perc in the drum upon completion of the drying cycle.

      (ii) Refrigerated condensers must have a graduated thermometer, thermocouple or equivalent instrument with a minimum range from 0°F (-18°C) to 150°F (66°C), that measures the temperature of the outlet vapor stream downstream of any by-pass of the condenser, and is easily visible to the operator.

      (iii) New third and fourth generation equipment with refrigerated condenser control systems must be equipped with a drying sensor/controller that extends the drying time at least four minutes beyond the point that the solvent recovery rate is less than 40 ml/min or solvent vapor concentration in the drum is less than 8600 ppm perc.

      (iv) The refrigerated condenser must be operated with a diverter valve.

      (v) Equivalent closed-loop vapor recovery systems or other control device must use a technology that has been demonstrated, pursuant to the requirements of 15 RCNY § 12-17, to achieve at least 90 percent by weight emission reduction based upon the amount of perc entering and leaving the control device.

   (6) A secondary control system must:

      (i) be designed to function with a primary control system complying with all requirements for third generation equipment.

      (ii) be capable of reducing the perc concentration in the drum from 8600 ppm or greater to 300 ppm.

      (iii) Any integral carbon adsorber used as a secondary control system must be sized correctly for the machine and be capable of reducing the perc concentration in the drum from 8,600 ppm or greater to 300 ppm or less.

      (iv) The integral carbon adsorber must be designed for non-contact steam or hot air stripping operation, and must be stripped or desorbed in accordance with manufacturer’s instructions or at least weekly, whichever is more stringent.

   (7) Spill containment. All new third and fourth generation, or used, reinstalled dry cleaning equipment must be equipped with a spill containment system capable of containing 125 percent of the capacity of the largest dry cleaning perc tank or vessel associated with the dry cleaning machine.

  1. To determine which standards will apply to a particular dry cleaning facility, first determine whether the facility is new or existing. Then determine whether the facility is a stand-alone or is co-located. If co-located, determine whether it is in a commercial or residential building. Finally, for each piece of equipment there are two primary issues addressed by this Rule – the type of emissions control and the location of any process ventilation emission points. Process ventilation emissions apply only to transfer and dry-to-dry vented equipment, not to door fans, general or other ventilation. In all, there are six different categories for which equipment standards are provided as follows:

   1)  New stand-alone facilities – Equipment requirements

   2)  Existing stand-alone facilities – Replacement or addition of equipment

   3)  Existing stand-alone facilities – Retrofitting of equipment

   4)  New mixed-use facilities – New equipment

   5)  Existing mixed-use facilities – Replacement or addition of equipment

   6)  Existing mixed-use facilities – Retrofitting of equipment

   (1) New stand-alone facilities – equipment requirements. The following types of new and/or used equipment are allowed in new stand-alone facilities.

      (i) New equipment – Fourth generation.

         (A) Vapor barrier – Not Required.

         (B) Spill containment – Required as specified in paragraph (a)(7) of this section.

         (C) General exhaust ventilation system – Optional.

         (D) Primary and secondary control systems, and drying sensor – Required as specified in paragraphs (a)(5) and (6) of this section.

         (E) Fugitive perc emissions from any part of the dry cleaning system must not exceed 50 ppm at any time.

      (ii) New equipment – Third generation. The installation of this type of equipment is prohibited after December 31, 1999.

         (A) Vapor barrier – Not Required.

         (B) Spill containment – Required as specified in paragraph (a)(7) of this section.

         (C) General exhaust ventilation system – Optional.

         (D) Primary control system, drying sensor, and door fan – Required as specified in paragraph (a)(3) and (5) of this section.

         (E) Fugitive perc emissions from any part of the dry cleaning system must not exceed 50 ppm at any time.

         (F) An additional option would be to convert to a fourth generation machine with less than or equal to 300 ppm in drum. Under this option a door fan would not be required.

      (iii) Used equipment – Third generation.

         (A) Vapor barrier – Not Required.

         (B) Spill containment – Required as specified in paragraph (a)(7) of this section.

         (C) General exhaust ventilation system – Optional.

         (D) Primary control system and door fan – Required as specified in paragraphs (a)(3) and (5) of this section.

         (E) Fugitive perc emissions from any part of the dry cleaning system must not exceed 50 ppm perc at any time.

         (F) An additional option would be to convert to a fourth generation machine with less than or equal to 300 ppm perc in the drum. Under this option a door fan would not be required.

   (2) Existing stand-alone facilities – replacement or addition of equipment. The equipment standards for new stand-alone facilities must be followed. However, transfer machines may be replaced with upgraded dry-to-dry vented equipment in accordance with the retrofitting requirements.

   (3) Existing stand-alone facilities – retrofitting of equipment.

      (i) Transfer machines – no retrofitting is allowed. All transfer machines must be removed from service on the following schedule.

         (A) If the process ventilation emission point is located above the roof and more than 25 feet from all openings in nearby occupancies, and if previously retrofitted to meet the less than 100 ppm perc vented emission level (see subparagraph (a)(4)(ii) of this section) and is operating in compliance with that emission level, the equipment must be replaced with third or fourth generation equipment by January 1, 2000.

         (B) If the process ventilation emission point is located below the roof or less than 25 feet from any opening in a nearby occupancy, or if process ventilation emissions do not meet the 100 ppm perc emission level, the equipment must be replaced with third or fourth generation equipment immediately upon the effective date of this Rule.

         (C) Vapor barrier – not required.

         (D) General exhaust ventilation system – Optional.

      (ii) Dry-to-dry vented – Second generation.

         (A) Vapor barrier – Not required.

         (B) General exhaust ventilation system – Optional.

         (C) Process ventilation emission point location –

            (a) If the process ventilation emission point is above the roof and more than 25 feet from all openings in nearby occupancies, the relocation of the process ventilation emission point is not required.

            (b) If the process ventilation emission point is below the roof or less than 25 feet from any opening in a nearby occupancy, the process ventilation emission point must be changed to be over the roof and more than 25 feet from all openings in nearby occupancies immediately upon the effective date of this Rule. Alternatively, the equipment may be replaced with third or fourth generation equipment within the same time limit.

         (D) Emission controls.

            (a) Controlled.

               (1) If the machine has been controlled with either an azeotropic control device plus small carbon adsorber or converted to a closed-loop third generation machine having an integral or external primary refrigerated condenser (the water cooled condensing system having been eliminated) and has a door fan, meeting the requirements of paragraph (a)(3) of this section, no additional control is required.

               (2) If the machine is equipped with either a full sized carbon adsorber or a refrigerated condenser with a water cooled condensing system, it must be retrofitted with either an azeotropic control device plus small carbon adsorber (provided EPA publishes a determination that an azeotropic control device is equivalent to a refrigerated condenser), or converted to a closed-loop third generation machine by adding an integral or external primary refrigerated condenser (eliminating the water cooled condensing system) and a door fan with a small carbon adsorber by December 31, 1999. Alternatively, the equipment may be replaced with a third generation machine with a door fan by December 31, 1999, or with a fourth generation by January 1, 2001.

            (b) Uncontrolled. Equipment must be retrofitted with either an azeotropic control device plus small carbon adsorber (provided EPA publishes a determination that an azeotropic control device is equivalent to a refrigerated condenser), or converted to closed-loop third generation by adding an integral or external primary refrigerated condenser (eliminating the water cooled condensing system) and a door fan with a small carbon adsorber immediately upon the effective date of this Rule. Alternatively, equipment may be replaced with third or fourth generation equipment within the same time limit.

         (E) Fugitive perc emissions from any part of the dry cleaning system must not exceed 50 ppm at any time.

      (iii) Dry-to-dry non-vented. Third generation.

         (A) Vapor barrier – Not Required.

         (B) General exhaust ventilation system – Optional.

         (C) Equipment must be retrofitted with a door fan meeting the requirement of paragraph (a)(3) of this section by no later than May 15, 2001; or,

         (D) An additional option would be to convert this type of equipment to a fourth generation machine that achieves a perc concentration of less than or equal to 300 ppm in the drum by no later than May 15, 2001. Under this option a door fan would not be required.

         (E) Fugitive perc emissions from any part of the dry cleaning system must not exceed 50 ppm at any time.

      (iv) Dry-to-dry non-vented. Fourth generation.

         (A) Vapor barrier – Not Required.

         (B) General exhaust ventilation system – Optional.

         (C) Primary and secondary control system and drying sensors must meet requirements specified in paragraphs (a)(5) and (6) of this section. However, for non-major facilities that purchased machines prior to May 15, 1997 the following provision applies: If the owner/manager or operator can demonstrate that the machine is operating in the best possible working condition, no action is required if the measured perc concentration in the drum is less than 500 ppm. If the level exceeds 500 ppm, a door fan that meets the requirements of paragraph (a)(3) of this section must be installed by January 1, 2000.

         (D) Fugitive perc emissions from any part of the dry cleaning system must not exceed 50 ppm at any time.

   (4) New mixed-use facilities – new equipment. Only new dry-to-dry fourth generation equipment is allowed in new mixed-use facilities. No used or retrofitted equipment is allowed.

      (i) Vapor barrier and general exhaust ventilation system. Required as specified in paragraphs (a)(1) and (2) of this section.

      (ii) Spill containment. Required as specified in paragraph (a)(7) of this section.

      (iii) Primary and secondary control systems and drying sensor. Required as specified in paragraphs (a)(5) and (6) of this section. Note: Any machine not meeting the 300 ppm requirement, and, where the owner/manager or operator can demonstrate that the machine is operating in the best possible working condition must have a door fan installed that meets the requirements of paragraph (a)(3) of this section within six months of an inspection indicating high ppm levels.

      (iv) Fugitive perc emissions from any part of the dry cleaning system must not exceed 50 ppm at any time.

   (5) Existing mixed-use facilities – replacement or addition of equipment. The equipment standards for new mixed-use facilities must be followed.

   (6) Existing mixed-use facilities – retrofitting of equipment.

      (i) Transfer machines. No emission control retrofitting is allowed. All transfer machines must be removed from service on the following schedule.

         (A) If the process ventilation emission point is located above the roof and more than 25 feet from all openings in nearby occupancies, and if the equipment has been previously retrofitted to comply with the less than 100 ppm perc vented emission level (see subparagraph (a)(4)(ii) of this section) and is operating in compliance with that emission level, the equipment must be removed from service by September 22, 1998.

         (B) If the process ventilation emission point is located at or below the roof or is 25 feet or less from all openings in nearby occupancies, or if the equipment has not previously been retrofitted or is not in compliance with the less than 100 ppm perc emission level (see subparagraph (a)(4)(ii) of this section), the equipment must be removed from service immediately upon the effective date of this Rule.

         (C) A vapor barrier and general exhaust ventilation system are required immediately upon the effective date of this Rule as specified in paragraphs (a)(1) and (2) of this section.

      (ii) Dry-to-dry vented. Second generation.

         (A) Vapor barrier and general exhaust ventilation system. Required immediately upon the effective date of this Rule as specified in paragraphs (a)(1) and (2) of this section.

         (B) Process vent emission location.

            (a) If the process ventilation emission point is above the roof and more than 25 feet from all openings in nearby occupancies, the relocation of the process ventilation emission point is not required.

            (b) If the process ventilation emission point is at or below the roof or 25 feet or less from any opening in a nearby occupancy, the process ventilation emission point must be changed to be over the roof and more than 25 feet from all openings in nearby occupancies immediately upon the effective date of this Rule. Alternatively, equipment may be replaced with fourth generation equipment within the same time limit.

         (C) Emission Controls.

            (a) Mixed-use – commercial – uncontrolled. Equipment must be retrofitted with either an azeotropic control device plus a small carbon adsorber (provided EPA publishes a determination that an azeotropic control device is equivalent to a refrigerated condenser), or converted to a closed-loop third generation machine by adding an integral or external primary refrigerated condenser (eliminating the water cooled condensing system) and a door fan as specified in paragraph (a)(3) of this section immediately upon the effective date of this Rule. Alternatively, equipment may be replaced with fourth generation equipment within the same time limit. The retrofit of this equipment is only an interim measure, and all retrofitted equipment of this type must be removed from service by January 1, 2005.

            (b) Mixed-use – commercial – controlled.

               (1) If the machine has been controlled with either an azeotropic control device plus small carbon adsorber or converted to a third generation machine having an integral or external primary refrigerated condenser (the water cooled condensing system having been eliminated) and has a door fan as specified in paragraph (a)(3) of this section, no interim retrofitting action is required. This equipment must be removed from service and replaced with fourth generation equipment by January 1, 2005.

               (2) If the machine is equipped with either a full-sized carbon adsorber or a refrigerated condenser with a water cooled condensing system, it must be retrofitted with either an azeotropic control device plus small carbon adsorber (provided EPA publishes a determination that an azeotropic control device is equivalent to a refrigerated condenser), or converted to a third generation machine by adding an integral or external primary refrigerated condenser (eliminating the water cooled condensing system) and a door fan as specified in paragraph (a)(3) of this section by January 1, 2001. Alternatively, equipment may be replaced with fourth generation equipment by January 1, 2001. The retrofit of this equipment is an interim measure only and all retrofitted equipment must be replaced with fourth generation equipment by January 1, 2005.

            (c) Mixed-use – residential – uncontrolled. Equipment must be retrofitted with either an azeotropic control device plus small carbon adsorber (provided EPA publishes a determination that an azeotropic control device is equivalent to a refrigerated condenser), or converted to third generation equipment by adding an integral or external primary refrigerated condenser (eliminating the water cooled condensing system) and a door fan as specified in paragraph (b)(3) of this section immediately upon the effective date of this Rule. Alternatively, the equipment must be replaced with fourth generation equipment within the same time limit. The retrofit of this equipment is only an interim measure and all retrofitted equipment of this type must be removed from service by January 1, 2000.

            (d) Mixed-use – residential – controlled.

               (1) If the machine has been controlled with either an azeotropic control device plus a small carbon adsorber or has been converted to a third generation machine having an integral or external primary refrigerated condenser (the water cooled system having been eliminated) and has a door fan as specified in paragraph (b)(3) of this section, no additional retrofitting is required. However, all equipment of this type must be replaced with fourth generation equipment by January 1, 2000.

               (2) If the machine is equipped with a full-sized carbon adsorber with a water cooled condensing system, it must be operated in compliance with the 100 ppm standards of the previous version of Part 232 of Title 6 of the Codes, Rules, and Regulations of the State of New York and must be replaced with fourth generation equipment by January 1, 2000.

         (D) Fugitive perc emissions from any part of the dry cleaning system must not exceed 50 ppm at any time.

      (iii) Dry-to-dry non-vented. Third generation.

         (A) Vapor barrier and general exhaust ventilation system. Required by no later than November 15, 1998 as specified in paragraphs (a)(1) and (2) of this section.

         (B) Equipment must be retrofitted with a door fan meeting the requirements of paragraph (a)(3) of this section by no later than May 15, 2001; or,

         (C) An additional option is to convert this piece of equipment to a fourth generation machine that achieves a perc concentration of less than or equal to 300 ppm in the machine drum by no later than May 15, 2001. Under this option a door fan would not be required.

         (D) Fugitive perc emissions from any part of the dry cleaning system must not exceed 50 ppm at any time.

      (iv) Dry-to-dry non-vented. Fourth generation.

         (A) Vapor barrier and general exhaust ventilation system. Required by no later than May 15, 1999 as specified in paragraphs (a)(1) and (2) of this section.

         (B) Primary and secondary controls and drying sensor. Required as specified in paragraphs (a)(5) and (6) of this section. However, for non-major facilities that purchased machines prior to May 15, 1997 the following provision applies: If the owner/manager or operator can demonstrate that the machine is operating in the best possible working condition, no action is required if the measured perc concentration in the drum is less than 500 ppm. If the level exceeds 500 ppm, a door fan as specified in paragraph (a)(3) of this section is required.

         (C) Fugitive perc emissions from any part of the dry cleaning system must not exceed 50 ppm at any time.

§ 12-07 Leak Inspections and Self Monitoring Requirements.

(a)  Leak check requirements. The trained operator, must inspect the dry cleaning system for perceptible liquid and vapor leaks and other fugitive emissions. The trained operator, or a designee, must record the status of each component on a checklist supplied by the New York State Department of Environmental Conservation. Completed checklists must be kept for at least five years from the date of the inspection.

   (1) The dry cleaning system must be thoroughly inspected, at least weekly, for vapor leaks using one of the following devices or methods for detecting vapor leaks:

      (i) a halogenated-hydrocarbon detector;

      (ii) a portable gas analyzer;

      (iii) an air sampling pump and colorimetric tube; or

      (iv) an alternative method approved by the New York State Department of Environmental Conservation.

   (2) all equipment referenced in paragraph (a)(1) of this section must be properly calibrated.

  1. The following components of the dry cleaning system must be inspected weekly for perceptible liquid and vapor leaks and for proper operation as required by 15 RCNY § 12-08 (operation and maintenance requirements) while the dry cleaning system is operating:

   (1) hose and pipe connections, fittings, couplings and valves;

   (2) door gaskets and seatings;

   (3) filter gaskets and seatings;

   (4) pumps;

   (5) solvent (including spent solvent) tanks and containers;

   (6) water separators;

   (7) muck cookers;

   (8) stills;

   (9) exhaust dampers;

   (10) diverter valves; and

   (11) cartridge filter housings.

  1. Carbon adsorber vents must be tested weekly using colorimetric detector tubes or portable halogen detectors and the test results must be noted on the checklist.
  2. The temperature of the vapor stream on the inlet and outlet side of a refrigerated condenser must be measured weekly and recorded on the checklist.
  3. Preparedness and prevention equipment and conditions as required in paragraph (d)(7) of 15 RCNY § 12-08 must be inspected weekly to ensure proper operation and maintenance. A notation must be made on the checklist at the time of inspection.
  4. The inward air velocity for a loading door fan must be checked weekly with a portable velometer or equivalent measurement instrument. A notation of the instrument reading must be made on the checklist.
  5. Any liquid leak, vapor leak, or malfunction that has been detected by the operator must be noted on the checklist and, if at all possible, repaired immediately. If the leak cannot be repaired at the time of detection, the leaking component must be physically marked or tagged in a manner that is readily observable by an inspector and must be repaired within 24 hours of detection, unless repair parts are unavailable.

   (1) If repair parts are not available at the facility, the parts must be ordered within two working days of detecting such a leak. Such repair parts must be installed within five working days after receipt. Equipment with a leak that has been repaired by the end of the 15th working day after detection must not be operated until the leak is repaired, unless the facility owner or operator receives a leak-repair extension from the De- partment.

   (2) The Department may grant a leak-repair extension to a facility owner for a single period of thirty days or less. Any person applying to the Department for a leak-repair extension shall include a copy of a leak-repair extension granted by the New York State Department of Environmental Conservation. If no leak-repair extension has been granted by the New York State Department of Environmental Conservation, then the application to the Department shall state that no leak-repair extension has been granted by the New York State Department of Environmental Conservation. A leak-repair extension may be granted only if the Department makes the following findings:

      (i) the delay in repairing the leak could not have been avoided by action on the part of the facility owner or operator;

      (ii) the facility owner and operator used reasonable preventive measures and acted promptly to initiate the repair;

      (iii) the leak will not significantly increase perc exposure near the facility; and

      (iv) the facility is in compliance with all other requirements of this section and has a history of compliance.

   (3) Once a repair is completed, the completion date must be recorded on the checklist.

   (4) Where a hazard is imminent or has already occurred, remedial action must be taken immediately.

   (5) All uncontainable releases, fires or explosions must be reported to the Department and appropriate emergency response agencies immediately.

  1. A fugitive emission concentration of 50 ppm of perc emanating from any part of the dry cleaning system is a violation; except for short-term maintenance operations involving the opening of dry cleaning system components for inspection or repair.
  2. Any exceedance of the leak inspection requirements of this Rule that has been detected by the operator must be noted on the checklist and repaired/adjusted immediately.

§ 12-08 Operation and Maintenance Requirements.

(a)  Dry cleaning facilities must be maintained and operated to minimize the release of perc to the environment.
  1. The operator must operate and maintain all components of the dry cleaning system in accordance with the requirements of this Rule and the conditions specified in a facility’s operating permit. For operations not specifically addressed, the components must be operated and maintained in accordance with the manufacturer’s recommendations. The facility operator must retain, on-site, a copy of the design specifications and the operating manuals for each dry cleaning system and each emission control device located at the dry cleaning facility.
  2. Each operation and maintenance function and the date performed must be recorded on a checklist supplied by the New York State Department of Environmental Conservation. Completed checklists must be maintained on-site for at least five years from the date of the checklist.
  3. Operators must comply with the following operation and maintenance requirements, as applicable:

   (1) Fourth generation machines.

      (i) Refrigerated condensers must be operated in accordance with manufacturer’s specifications.

      (ii) Integral refrigerated condensers must be operated to ensure that exhaust gases are recirculated until the air-vapor stream temperature is 45°F or less at the outlet. The difference between the temperature of the air-perc gas vapor stream entering and exiting the refrigerated condenser must be greater than or equal to 20°F (11.1°C). The temperature differential must be determined at least weekly with a thermometer with a temperature range of from 32°F (0°C) to 120°F (48.9°C) to an accuracy of ±2°F (1.1°C) (see 15 RCNY § 12-07).

      (iii) Vapor adsorbers used with a primary control system or secondary control system must be operated to ensure that exhaust gases are recirculated at the temperature specified for optimum adsorption.

      (iv) Cartridge filters and adsorptive cartridge filters must be handled using one of the following methods:

         (A) Drained in the filter housing, before disposal, for no less than 24 hours for cartridge filters and 48 hours for adsorptive cartridge filters. If the filters are then transferred to a separate device to further reduce the volume of perc, this treatment must be done in a system that routes any vapor to a primary closed-loop control system, with no exhaust to the atmosphere. In performing such a transfer the filter housing must be closed as soon as possible to minimize vapor leaks. The general exhaust ventilation system must be operated during this activity.

         (B) Dried, stripped, sparged, or otherwise treated, within the sealed filter housing, to reduce the volume of perc contained in the filter.

      (v) All steam and condensing coils must be maintained to be free of lint and hard lint build-up on interior surfaces.

      (vi) For dry cleaning equipment equipped with a door fan the operator must use a portable velometer or equivalent measurement instrument to verify that the required 100 fpm inward air velocity is maintained through the effective door opening when the loading door is open. The inward air velocity must be checked on a weekly basis.

      (vii) Test carbon absorber exhaust vents daily using colorimetric detector tubes or portable gas detectors. These absorbers shall be stripped periodically and maintained so that the perc concentration in the exhaust air does not exceed 20 ppm.

   (2) Third Generation Machines.

      (i) Refrigerated condensers must be operated in accordance with manufacturer’s specifications.

      (ii) Integral and external refrigerated condensers must be operated to ensure that exhaust gases are recirculated until the air-vapor stream temperature is 45°F or less at the outlet. The difference between the temperature of the air-perc gas vapor stream entering and exiting the refrigerated condenser must be greater than or equal to 20°F (11.1°C). The temperature differential must be determined at least weekly with a thermometer with a temperature range of from 32°F (0°C) to 120°F (48.9°C) to an accuracy of ±2°F (1.1°C) (see 15 RCNY § 12-07).

      (iii) Vapor adsorbers used when the machine has been retrofitted as a fourth generation machine must be operated to ensure that exhaust gases are recirculated at the temperature specified by the manufacturer for optimum adsorption.

      (iv) Cartridge filters and adsorptive cartridge filters must be handled using one of the following methods:

         (A) Drained in the filter housing, before disposal, for no less than: 24 hours for cartridge filters and 48 hours for adsorptive cartridge filters. If the filters are then transferred to a separate device to further reduce the volume of perc, this treatment must be done in a system that routes any vapor to a primary closed-loop control system, with no exhaust to the atmosphere. In performing such a transfer the filter housing must be closed as soon as possible to minimize vapor leaks. The general exhaust ventilation system must be operated during this activity.

         (B) Dried, stripped, sparged, or otherwise treated, within the sealed filter housing, to reduce the volume of perc contained in the filter.

      (v) All steam and condensing coils must be maintained to be free of lint and hard lint build-up on interior surfaces.

      (vi) For dry cleaning equipment equipped with a door fan, the operator must use a portable velometer or equivalent measurement instrument to verify that the required 100 fpm inward air velocity is maintained through the effective door opening when the loading door is open. The inward air velocity must be checked on a weekly basis.

      (vii) Test carbon absorber exhaust vents daily using colorimetric detector tubes or portable gas detectors. These absorbers shall be stripped periodically and maintained so that the perc concentration in the exhaust air does not exceed 20 ppm.

   (3) Second Generation Machines.

      (i) A vented machine operated with full-sized carbon adsorbers (dry-to-dry vented) that function during the drying cycle must meet the following requirements:

         (A) Desorption must be performed at the frequency specified by the manufacturer or as specified by this clause, whichever is more stringent. The minimum frequency for desorption of full-size carbon units is as follows, each time all dry cleaning equipment exhausted to the device has cleaned a total of three pounds of articles for each pound of activated carbon. Desorption must be performed with the minimum steam pressure and air flow capacity specified by the manufacturer.

         (B) Once desorption is complete, the carbon bed must be fully dried according to the manufacturer’s instructions.

         (C) No perc vapors may bypass the carbon adsorber to the outdoor atmosphere at any time, nor be recirculated into the facility.

         (D) The filter located in front of the carbon adsorber must be checked and cleaned weekly.

         (E) For dry cleaning equipment in mixed-use settings, the carbon adsorber vent must be tested weekly using colorimetric detector tubes. Test results must be recorded on the checklist. Test results of five ppm or greater of perc will require an immediate stripping of the carbon adsorber.

      (ii) Small external carbon adsorbers used for azeotropic control systems, must be stripped at least weekly when in use. If not in continuous daily use, adsorbers must be stripped after they have been used for ten days.

         (A) Small external carbon adsorbers must be vented to outside the building and must not recirculate vapor into the facility.

         (B) Small external carbon adsorbers used in mixed-use settings must be tested weekly using colorimetric detector tubes or equivalent measuring devices. Test results must be recorded on the inspection checklist. A test result of five ppm or greater of perc will require an immediate stripping of the carbon adsorber.

      (iii) The exhaust damper of a vented machine must be completely closed when the machine is not being vented and must be repaired or replaced within five working days if malfunctioning.

      (iv) Cartridge filters and adsorptive cartridge filters must be handled using one of the following methods:

         (A) Drained in the filter housing, before disposal, for no less than 24 hours for cartridge filters and 48 hours for adsorptive cartridge filters. If the filters are then transferred to a separate device to further reduce the volume of perc, this treatment must be done in a system that routes any vapor to a primary closed-loop control system, with no exhaust to the atmosphere. In performing such a transfer the filter housing must be closed as soon as possible to minimize vapor leaks. The general exhaust ventilation system must be operated during this activity.

         (B) Dried, stripped, sparged, or otherwise treated, within the sealed filter housing, to reduce the volume of perc contained in the filter.

      (v) All water-cooled condensers must include temperature gauges installed in the inlet and outlet water lines of the condensing coil on the dryer. The temperature difference must be maintained according to manufacturer’s specifications.

      (vi) Azeotropic control devices must be maintained and operated in accordance with manufacturer’s instructions and specifications.

      (vii) Test carbon absorber exhaust vents daily using colorimetric detector tubes or portable gas detectors. These absorbers shall be stripped periodically and maintained so that the perc concentration in the exhaust air does not exceed 20 ppm.

   (4) First generation machines. An existing facility with a transfer machine operating a full-sized carbon adsorber or azeotropic control device, and cartridge filters must meet the applicable requirements of paragraph (d)(3) of this section.

   (5) Ancillary Equipment.

      (i) All filter muck must be treated in a still or muck cooker, which routes perc-contaminated vapors to a condenser or other control device and recycles condenser vapors into the machine. Still or muck cooker emissions must not be vented into the facility. Any still or muck cooker must not be operated in a manner that exceeds 75 percent of its capacity or other alternate value recommended by the manufacturer. Any still or muck cooker must be cooled to 100°F (38°C) or less before being emptied or cleaned.

      (ii) Button and lint traps must be cleaned each working day and the lint must be placed in a tightly sealed container. Whenever possible such operations must be performed so that the opening of such traps is done quickly with the local or general exhaust ventilation system operating to minimize perc emissions.

      (iii) Perc-contaminated wastewater treatment units.

         (A) Carbon filtration units – carbon cartridges must be replaced according to a schedule as specified by the manufacturer to assure an effluent quality that does not exceed 20 ppb perc.

         (B) Evaporators – perc contaminated wastewater evaporators must be operated to ensure that no liquid perc or visible emulsion is allowed to vaporize.

      (iv) Dip tanks and drying cabinets must be exhausted to maintain an inward air flow, and be maintained under negative pressure, to ensure that fugitive emissions will be no greater than 50 ppm. Vented emissions from dip tanks and drying cabinets must not exceed 20 ppm.

   (6) The owner or operator of a dry cleaning system must maintain the following equipment as recommended by manufacturer’s specifications:

      (i) hose and pipe connections, fittings, couplings, and valves;

      (ii) door gaskets and seatings;

      (iii) filter gaskets and seatings;

      (iv) pumps;

      (v) water separators;

      (vi) muck cookers;

      (vii) stills;

      (viii) exhaust dampers;

      (ix) diverter valves;

      (x) cartridge filter housings;

      (xi) drying sensors;

   (7) Preparedness and prevention.

      (i) All dry cleaning operations must be equipped with the following:

         (A) adequate spill control equipment including sorbent materials, or alternative method for absorbing spills,

         (B) vapor-proof containers for storing spill-contaminated material, and

         (C) fire control equipment.

      (ii) The facility owner must maintain aisle space to allow proper inspection of the dry cleaning equipment.

      (iii) A reasonable supply of spare parts for repairing dry cleaning equipment must be available at the dry cleaning facility.

   (8) All parts of the dry cleaning system including solvent containers where perc may be emitted to the atmosphere must be kept closed at all times except when access is required for proper operation and maintenance.

§ 12-09 Perc-Contaminated Wastewater Management.

Perc-contaminated wastewater generated by all new and existing facilities subject to this Rule must be managed as follows:

  1. Perc-contaminated wastewater discharges.

   (1) Perc-contaminated wastewater that is discharged to the public sewer system must be treated by physical separation (water separator) and double carbon filtration, or an equivalent control which has been approved by the Department, which has been properly designed to assure an effluent quality that:

      (i) is less than or equal to 20 ppb perc without perc evaporation; and

      (ii) complies in all other respects to the requirements of chapter 19 of Title 15 of the Rules of the City of New York regulating the use of the public sewer system.

   (2) Except as provided for by subparagraph (a)(1)(i) of this section, no person may discharge into the public sewer system any perc-contaminated wastewater or wastes resulting from dry cleaning processes including, but not limited to, still bottom or sludge residues, dirt, lint, soils, or any other deposits or residues extracted as a result of dry cleaning processes. The discharge into the public sewer system of filters or other filter media used in dry cleaning processes is prohibited.

   (3) No person may discharge perc-contaminated wastewater to the surface or groundwaters within New York City except in compliance with the terms and conditions of a valid State Pollution Discharge Elimination Permit.

  1. Evaporation of perc-contaminated wastewater. Perc-contaminated wastewater that is evaporated must be treated by physical separation (water separator) and double carbon filtration prior to evaporation.

§ 12-10 Hazardous Waste Management.

(a)  Any perc-contaminated wastes generated must be managed in accordance with Parts 370 through 376 of Title 6 of the Codes, Rules, and Regulations of the State of New York. Perc-contaminated wastewater must be handled as provided in 15 RCNY § 12-09.
  1. All perc-contaminated wastes (including spent cartridge filters, spent carbon, still bottoms, and lint) must be stored in tightly sealed containers, which are impermeable to the solvent, so that no perc is emitted to the atmosphere.
  2. Containers must be appropriately labeled and stored in a designated area.
  3. Containers must be in good condition and must be kept closed except when necessary to add or remove waste.
  4. Receipts or records showing the date and volume of any perc-contaminated hazardous waste shipments must be retained for five years.

§ 12-11 Emergency Response.

(a)  Dry cleaning systems must be operated and maintained to ensure that perc releases are contained and do not migrate to sewer systems or groundwater.

   (1) For existing dry cleaning equipment:

      (i) floor drains and flooring in the vicinity of the equipment must be sealed so as to be impermeable to spills, or

      (ii) temporary dikes, berms and containment devices must be placed in areas where spills are most likely to occur and procedures for preventing spill migration must be established and followed.

   (2) For new dry cleaning equipment, a spill containment system must be installed under the equipment as specified in paragraph (a)(7) of 15 RCNY § 12-06. This spill tank shall be capable of holding 125% of the capacity of the largest perc tank or vessel that is part of the dry cleaning machine.

  1. In the event of a perc release, the owner, operator or a designee must take all reasonable measures to ensure the release is contained. These measures must include, where applicable, stopping processes and operations, increasing room exhaust ventilation, collecting and containing released perc and removing and maintaining containers.
  2. If the facility owner and/or operator knows or has reason to know of any release of one (1) pound or more of perc (1 pound of perc is equivalent to 0.0740 gallons of perc), a fire, or an explosion, then the facility owner and/or operator shall report the perc release, fire, or explosion to the Department immediately and shall also comply with all other reporting requirements of chapter 11 of Title 15 of the Rules of the City of New York governing Hazardous Substances Emergency Response.
  3. Any emergency response action must be recorded as specified in 15 RCNY § 12-12. This record must include, at a minimum:

   (1) The date, duration and nature of any malfunction, spill or incident of the dry cleaning system;

   (2) The notification procedures; and,

   (3) The corrective actions taken.

§ 12-12 Reporting and Recordkeeping.

(a)  Operators of all dry cleaning facilities or their designees must record the following:

   (1) The date, duration and nature of any malfunction, spill, incident, or emergency response at the facility as outlined in paragraph (d) of 15 RCNY § 12-11;

   (2) The date of maintenance on any air cleaning component or exhaust system (such as the regeneration and/or replacement of the carbon in a carbon adsorber);

   (3) The number of loads between regenerations, cleaning and replacement of lint filters and carbon adsorber pre-filters, repair or replacement of exhaust fans;

   (4) The amount of activated carbon in carbon adsorbers (dry weight in pounds);

   (5) The date of maintenance of drying sensors;

   (6) The date and volume of any perc-contaminated hazardous waste shipments; and

   (7) The dates of perc-contaminated wastewater treatment unit carbon cartridge replacement.

  1. Each owner or operator of a dry cleaning facility must keep receipts of perc purchases, a log of the following information, maintain such information on-site and provide it upon request for a period of five years:

   (1) The volume of perc purchased each month by the dry cleaning facility as recorded from perc purchases; if no perc is purchased during a given month then the owner or operator would enter zero gallons into the log;

   (2) The owner or operator must perform the following calculation on the first day of every month:

      (i) Sum the volume of all perc purchases made in each of the previous twelve months, as recorded in the log described in paragraph (1) above.

      (ii) If no perc purchases were made in a given month, then the perc consumption for that month is zero gallons.

      (iii) The total sum calculated is the yearly perc consumption at the facility.

  1. Each owner or operator of a dry cleaning facility must record the following information on an inspection checklist as described in 15 RCNY § 12-07.

   (1) The dates when the dry cleaning system components are inspected for perceptible leaks as specified under the inspection and testing requirements, and the name or location of dry cleaning system components where perceptible leaks are detected;

   (2) The date, time and colorimetric detector tube monitoring results as specified in 15 RCNY § 12-07, if a carbon adsorber is used for primary or secondary emission control;

   (3) The date, time and temperature sensor monitoring results for refrigerated condensers, as specified in 15 RCNY § 12-07; and,

   (4) The dates of repair and records of written or verbal orders for repair parts to demonstrate compliance with the inspection and testing requirements in 15 RCNY § 12-07.

  1. Each owner or operator of a dry cleaning facility must retain on-site copies of the operation and maintenance checklists required under 15 RCNY § 12-08 and compliance inspection reporting forms required under 15 RCNY § 12-16.
  2. Each owner or operator of a dry cleaning facility must retain on-site a copy of the design specifications and the operating manuals for each dry cleaning system and each emission control device located at the dry cleaning facility.
  3. All records must be maintained on-site for at least five years and must be made available to the Department upon written or verbal request.
  4. In addition to the permitting requirements of 15 RCNY § 12-15, new facilities, or facilities installing new equipment, must submit to the Department a copy of the compliance report submitted to the New York State Department of Environmental Conservation within 30 days of commencing operation to certify compliance with the federal National Emission Standard for Hazardous Air Pollutants requirements. This statement must include:

   (1) The name and address of the owner or operator;

   (2) The address (that is, physical location) of the dry cleaning facility;

   (3) An estimation of the annual perc consumption;

   (4) A description of the machines’ control devices;

   (5) A statement verifying compliance with each applicable requirement under Title 40 of the Code of Federal Regulations subchapters 63.322, 63.323, and 63.324; and,

   (6) A statement certifying that all information contained in the statement is accurate and true.

  1. In addition to the permitting requirements of 15 RCNY § 12-15, facilities exceeding the consumption thresholds identified in Title 40 of the Code of Federal Regulations subchapter 63.620(d), (e), or (g) must submit to the Department a copy of the compliance report submitted to the New York State Department of Environmental Conservation within 30 days of the compliance deadline of 180 days certifying compliance with any additional federal requirements. This statement must include:

   (1) The name and address of the owner or operator;

   (2) The address (that is, physical location) of the dry cleaning facility;

   (3) An estimation of the annual perc consumption;

   (4) A description of the machines’ control devices;

   (5) A statement verifying compliance with each applicable requirement under 40 C.F.R. Subchapters 63.322, 63.323, and 63.324; and,

   (6) A statement certifying that all information contained in the statement is accurate and true.

§ 12-13 Equipment Testing and Certification.

(a)  Prohibitions and requirements. The provisions of this section will be effective 60 days after the date that the first qualifying testing program is approved by the New York State Department of Environmental Conservation or its agent.

   (1) Only the following kinds of dry cleaning equipment are permitted to be installed in perc dry cleaning facilities subject to this Rule: new closed-loop dry cleaning machines; converted dry cleaning machines; door fan systems; or, add-on secondary control systems which meet the design and performance standards in 15 RCNY § 12-06 and testing requirements of this section. Unless otherwise specified in this Rule, the dry cleaning equipment as manufactured and installed must comply in all respects with the unit upon which certification by the New York State Department of Environmental Conservation or its agent was based.

   (2) Any manufacturer or vendor of any new closed-loop dry cleaning equipment that is to be installed in and used by a dry cleaning facility in New York City must apply for and receive certification from the New York State Department of Environmental Conservation or its agent that the equipment to be installed and operated complies in all respects with the performance standards and the testing requirements of Part 232 of Title 6 of the Codes, Rules, and Regulations of the State of New York. Such certification must include the operating parameters under which the equipment was tested to receive certification.

   (3) It is unlawful for any person to sell, offer for sale, cause to be offered for sale, lease or represent new closed-loop dry cleaning equipment or any other machine or system described in paragraph (a)(1) of this section as one which can be used by a dry cleaning facility in New York City unless it has been certified by the New York State Department of Environmental Conservation or its agent.

   (4) The contract of sale, lease, or use between the manufacturer or vendor and dry cleaning equipment user must contain, at a minimum, a provision stating that the manufacturer or vendor must, upon request, provide the user with a copy of the certification of the equipment by the New York State Department of Environmental Conservation or its agent, as required by § 232.13 of Title 6 of the Codes, Rules, and Regulations of the State of New York.

   (5) The manufacturer or vendor must provide immediate notification to the Department of any generic design or functional defect discovered in the equipment. Such notice must include a detailed plan of the manufacturer’s or vendor’s remedy.

   (6) After the certified dry cleaning equipment has been installed at the user’s facility, the manufacturer or manufacturer’s representative must supply at least a two-day training session to the purchaser or lessee. The training must include instruction on how to maintain and operate the dry cleaning machine. This requirement does not apply to add-on door fan systems designed to capture drum vapors when the door is open.

  1. Equipment testing. All persons conducting equipment testing must comply with the equipment testing requirements, protocols, methods, and procedures of § 232.13(b) of Title 6 of the Codes, Rules, and Regulations of the State of New York.

§ 12-14 Owner/Manager Operator and Inspector Training and Certification.

(a)  Except for the conditions established in subdivision (b) and the effective date provisions of subdivision (f) of this subchapter, it is unlawful for any person to operate a dry cleaning facility subject to this Rule unless:

   (1) the facility manager and/or owner has a current and valid Dry Cleaning Owner/Manager Certification; and

   (2) the person operating the dry cleaning machine has a current and valid Dry Cleaning Operator Certification.

  1. In the event that an unforeseen/unpredictable situation prevents a dry cleaning facility from having a certified operator operating the dry cleaning equipment, the owner/manager will be allowed to continue operation of the dry cleaning machine with a non-certified operator for a period not to exceed three days per occurrence. Under no circumstances may an uncertified operator operate dry cleaning equipment at any facility for a total of more than ten days in any calendar year. If the use of an uncertified operator would cause nonperformance of required maintenance and leak detection, the facility must suspend dry cleaning operations until a certified operator is available. The purpose of this provision is to accommodate emergencies or unforeseen extenuating circumstances and must not be used to cover routine situations such as vacations or other scheduled absences.
  2. A Dry Cleaning Owner/Manager Certification may be issued by any organization that offers a training program (including refresher courses) approved by the New York State Department of Environmental Conservation in accordance with the requirements of § 232.14(c) of Title 6 of the Codes, Rules, and Regulations of the State of New York.
  3. A Dry Cleaning Operator Certification may be issued by any organization that offers a training and testing program (including refresher courses) approved by the New York State Department of Environmental Conservation in accordance with the requirements of § 232.14(d) of Title 6 of the Codes, Rules, and Regulations of the State of New York.
  4. Individuals that inspect dry cleaning facilities, either as a registered inspector or under the supervision of a registered inspector, must obtain a Dry Cleaner Owner/Manager Certification.
  5. Effective date for Dry Cleaning Owner/Manager and Dry Cleaning Operator Certification. After the date of the first qualifying training program approved by the New York State Department of Environmental Conservation, the requirements of this subdivision will take effect and the first training and certification will be mandatory according to the following schedule:

   (1) upon start up for all operators of new dry cleaning facilities unless the facility Owner/Manager can demonstrate that compliance with this requirement poses an unreasonable burden because of the unavailability of scheduled training courses or testing facilities;

   (2) three months for operators of all existing dry cleaning facilities that are in mixed-use locations and that contain transfer machines;

   (3) six months for operators of all existing dry cleaning facilities in mixed-use locations that contain dry-to-dry vented machines but do not contain transfer machines;

   (4) nine months for operators of all the rest of the existing dry cleaning facilities in mixed-use locations;

   (5) twelve months for operators of all existing dry cleaning facilities in stand-alone locations that contain transfer machines;

   (6) fifteen months for operators of existing dry cleaning facilities in stand-alone locations that contain dry-to-dry vented machines but do not contain transfer machines; and,

   (7) eighteen months for operators of all the rest of existing dry cleaning facilities in stand-alone locations.

  1. A Dry Cleaning Operator Certification will be valid for a three year period and may be renewed upon completion of a refresher course.
  2. Persons or organizations authorized to offer operator training and certification courses may not require membership in an association or purchase of a product as a prerequisite to enrollment or successful completion of the course.
  3. An authorization to offer operator training and certification courses is valid for a maximum of five years. The authorization may be renewed by filing an application provided by the New York State Department of Environmental Conservation. Such ap- plication must be filed at least six months prior to the expiration of the current authorization.
  4. If the New York State Department of Environmental Conservation fails to approve and implement the training programs set forth in § 232.14 of Title 6 of the Codes, Rules, and Regulations of the State of New York in a timely manner then the Department may elect, in its sole discretion, to implement such training programs consistent with this subchapter and § 232.14 of Title 6 of the Codes, Rules, and Regulations of the State of New York.
  5. Dry cleaning owners and/or managers and all machine operators shall attend a 16-hour training course, successfully pass a DEC Certification test and hold current, valid DEC Owner/Manager and/or Operator Certificates. Every shop owner shall have at least one person with an Owner/Manager Certification and one person with an Operator Certification.

§ 12-15 Permits and Certificates.

(a)  Alterations or Modifications to Existing Certificated Dry Cleaning Facilities Required by 15 RCNY § 12-05. Any person who owns or operates an existing perc dry cleaning facility which has a valid operating certificate and who is required to perform alterations or modifications in order to comply with the requirements of 15 RCNY § 12-05 shall submit to the Department by means of certified mail a copy of the same notice submitted to the New York State Department of Environmental Conservation in accordance with the requirements of § 232.5(a)(3) of Title 6 of the Official Compilation of Codes, Rules, and Regulations of the State of New York.
  1. New Installations that are Not Major Sources of Perc and Alterations or Modifications to Existing Certificated Dry Cleaning Facilities. No person may install or construct a new perc dry cleaning facility or undertake alterations or modifications to an existing certificated perc dry cleaning facility, except for alterations or modifications required by 15 RCNY § 12-05, without first submitting an application on a form to be supplied by the Department and obtaining an installation or alteration permit. All installation and alteration permit applications shall reference any process application number(s) previously assigned to the facility by the Department and shall also include a copy of the facility’s New York State Department of Environmental Conservation air permit or registration. Except as provided for by subdivision (c) of this section, the Department shall issue an installation or alteration permit or an operating certificate to any new or existing perc dry cleaning facility that the Department determines is in full compliance with all the provisions, requirements, and standards of this Rule.
  2. New Installations that are Major Sources of Perc. The Department may grant an installation permit to a new dry cleaning facility that will be a major source of perc only after the Department has determined that the proposed dry cleaning facility is in full compliance with the provisions, requirements, and standards of this Rule and that the proposed dry cleaning facility will not cause detriment to the health, safety, welfare or comfort of any person. The Department may impose such additional permit and/or certificate terms and conditions as it determines may be necessary to protect the health, safety, welfare, or comfort of any person. In addition to the requirements of this section, any new perc dry cleaning facility which is a major source of perc must comply with all requirements under federal and state law including, but not limited to, the National Emission Standard for Hazardous Air Pollutants for Perchloroethylene Dry Cleaning Facilities and shall also obtain a Title V permit as required by the Federal Clean Air Act.

§ 12-16 Compliance Inspections.

(a)  Stand-alone dry cleaning facilities must be inspected at least annually, and mixed-use facilities must be inspected according to the following schedule:

   (1) At least twice annually where any transfer or dry-to-dry vented equipment is operated; or

   (2) At least annually where only non-vented equipment is operated.

  1. Such inspections must be performed by an inspector registered with the New York State Department of Environmental Conservation or by an individual working under the supervision of a registered inspector.
  2. All registered inspectors must meet the requirements of paragraphs (1), (2) and (3) of this subdivision. All individuals working under the supervision of a registered inspector must meet the requirements of paragraphs (2) and (3) of this subdivision.

   (1) The inspector must be one of the following:

      (i) a licensed professional engineer;

      (ii) a registered architect; or

      (iii) a certified industrial hygienist.

   (2) Must possess a Dry Cleaner Owner/Manager certification in accordance with 15 RCNY § 12-14 and complete other appropriate training as specified by the New York State Department of Environmental Conservation on topics related to inspections.

   (3) Must not be engaged in the sales or marketing of dry cleaning equipment. Must not be engaged in providing services to the dry cleaning industry. Employees of trade associations may not conduct inspections, but trade associations may solicit bids for performing inspections on behalf of their members.

  1. Inspections must be conducted in accordance with protocols specified by the New York State Department of Environmental Conservation, using an inspection reporting form supplied by the New York State Department of Environmental Conservation.
  2. Analysis of air samples collected by passive sampling devices or the equivalent must be conducted by a laboratory certified by the Environmental Laboratory Approval Program (ELAP) of the New York State Department of Health.
  3. The inspection will verify that the NOTICE required by 15 RCNY § 12-18 is posted in a conspicuous location in the facility.
  4. After the inspection is completed, the registered inspector must provide a completed inspection reporting form to the Department and to the facility owner within 45 days of the inspection.
  5. Failure of the registered inspector to comply with the above requirements may result in the removal of the registered inspector from the Department’s list of registered inspectors.
  6. The owner/manager or operator must:

   (1) Make available upon request the most recent completed inspection reporting form to interested individuals for review on premises during normal business hours.

   (2) If the inspection reveals a leak or malfunction, the facility must be repaired within the timeframes established in 15 RCNY § 12-07 and reinspected within one month.

§ 12-17 Equivalency.

Any person requesting that use of alternative equipment or procedures be considered as equivalent to the requirements under 15 RCNY § 12-06 shall make an application to the New York State Department of Environmental Conservation in accordance with the requirements of § 232.17 of Title 6 of the Codes, Rules, and Regulations of the State of New York and shall submit a copy of the New York State Department of Environmental Conservation’s equivalency determination to the Department.

§ 12-18 Posting Notice.

(a) The facility owner must post the notice required by § 232.18 of Title 6 of the Official Compilation of Codes, Rules, and Regulations of the State of New York in a conspicuous location in the dry cleaning facility to inform building tenants and/or customers of the substances (perc) used in the dry cleaning system and potential health effects associated with exposure to them.
  1. In addition to the notice required by subdivision (a), the owner of a dry cleaning facility that uses perc in the cleaning process must post in a conspicuous location in the facility a notice, on a form to be provided by the Department and with dimensions of 8 1/2 × 11 inches, that contains the following statements:

      (i) “Information about the hazardous chemical substance (perc) used at this dry cleaning facility can be found on the Material Safety Data Sheet, which may be read at www.nyc.gov/dep/drycleanermsds.”

      (ii) “This facility is inspected and permitted by the Department of Environmental Protection. The Department of Environmental Protection permit number is ____________. The RTK ID # is ____________.”

  1. The owner of a dry cleaning facility that uses non-perc in the cleaning process must post in a conspicuous location in the facility a notice, on a form to be provided by the Department and with dimensions of 8 1/2 × 11 inches, that contains the following statements:

      (i) “The primary non-perc chemical substance used at this dry cleaning facility is ______________.”

      (ii) “Detailed information about the primary non-perc chemical substance can be found on the Material Safety Data Sheet, which may be read at www.nyc.gov/dep/drycleanermsds.”

      (iii) “This facility is inspected and permitted by the Department of Environmental Protection. The Department of Environmental Protection permit number is ____________. The RTK ID # where applicable is __________.”

  1. The owner of a dry cleaning facility that uses both perc and non-perc in the cleaning process must post the notice required by subdivision (c) of this section, in addition to the notices required by subdivisions (a) and (b) of this section.

§ 12-19 Enforcement.

Any person who is in violation of or fails to comply with any provision, standard, or requirement of this Rule or the terms and conditions of any permit issued pursuant to this Rule shall be subject to the issuance of notice(s) of violation and other enforcement action(s) pursuant to the provisions of the Administrative Code of the City of New York including, but not limited to, the payment of civil penalties and compliance with orders of the Environmental Control Board.

§ 12-20 Severability.

If any provision of this Rule or its application to any person or circumstance is held invalid, the remainder of this Rule, and the application of those provisions to persons other than those to which it is held invalid, will not be affected thereby.

Chapter 14: Rules Concerning the Use of Ultra Low Sulfur Diesel Fuel and Emissions Control Technology In Nonroad Vehicles Used In City Construction

Subchapter A: General Provisions

§ 14-01 Definitions.

Code. “Code” shall mean the Administrative Code of the City of New York.

Commissioner. “Commissioner” shall mean the commissioner of the New York City Department of Environmental Protection or his or her designee.

Nonroad engine. “Nonroad engine” shall mean an internal combustion engine (including the fuel system) that is not used in a motor vehicle or a vehicle used solely for competition, or that is not subject to standards promulgated under § 7411 or § 7521 of Title 42 of the United States code, except that this term shall apply to internal combustion engines used to power generators, compressors or similar equipment used in any construction program or project.

Nonroad vehicle. “Nonroad vehicle” shall mean a vehicle powered by a nonroad engine, fifty horsepower and greater, and that is not a motor vehicle or a vehicle used solely for competition, which shall include, but not be limited to, excavators, backhoes, cranes, compressors, generators, bulldozers, and similar equipment, except that this term shall not apply to horticultural maintenance vehicles used for landscaping purposes that are powered by a nonroad engine of sixty-five horsepower or less and that are not used in any construction program or project.

Ultra low sulfur diesel fuel. “Ultra low sulfur diesel fuel” shall mean diesel fuel that has a sulfur content of no more than fifteen parts per million.

Subchapter B: Use of Best Available Technology and Ultra Low Sulfur Diesel Fuel

§ 14-02 Best Available Technology Determination.

An engine that has been certified to meet the United States Environmental Protection Agency’s (“EPA”) Tier IV Exhaust Emission Standards is deemed to be using the Best Available Technology (“BAT”), and does not require additional retrofit technologies. EPA’s Tier IV Exhaust Emission Standards are described in Table 1 of the EPA`s Clean Air Nonroad Diesel Rule Fact Sheet, EPA420-F-04-032, May 2004, available at http://www.epa.gov/nonroaddiesel/2004fr/420f04032.htm. If an engine has not been certified to meet the Tier IV Exhaust Emission Standards, pursuant to § 24-163.3 of the Administrative Code, the BAT that must be utilized is one of the following, provided, that this technology shall achieve the greatest reduction in emissions of particulate matter and shall in no event result in an increase in the emissions of either particulate matter or nitrogen oxides:

Category I (a) Any properly installed and functioning system utilizing a Diesel Particulate Filter (“DPF”) that primarily reduces emissions of particulate matter (“PM”), demonstrating an 85% or greater reduction in PM, and secondarily nitrogen oxide (“NOx”) that appears on either the United States Environmental Protection Agency (“EPA”) or the California Air Resources Board (“CARB”) verified lists at http://www.epa.gov/otaq/retrofit/verif-list.htm and http://www.arb.ca.gov/diesel/verdev/background.htm for onroad or nonroad engines.

Category I (b) Any properly installed DPF from either the EPA or CARB verified lists.

Category I(c) A filter that has undergone the Verminderung der Emissionen Realer Dieselmotoren im Tunnelbau (“VERT”) test procedure and appears as approved for continuous use on the VERT list maintained by http://akpf.org/pub/vert__filterliste.pdf or similar test procedures to those conducted by EPA/CARB and has demonstrated an 85% or greater reduction in emissions of PM.

Category II Any properly installed and functioning system utilizing a Flow through Filer (“FTF”) that primarily reduces emissions of particulate matter (“PM”) and secondarily nitrogen oxide (“NOx”) that appears on either the verified lists for onroad or nonroad engines or any properly installed FTF on the verified list and that produces the greater PM reduction but not less than a 50% reduction in PM.

Category III Any properly installed and functioning system utilizing a Diesel Oxidation Catalyst (“DOC”) or any emulsified diesel fuel that appears on either the EPA or CARB verified lists for onroad or nonroad engines that produces not less than a 25% reduction in FM. Fuel technologies must be compatible with the use of ultra low sulfur diesel fuel.

§ 14-03 Method of Best Available Technology Selection.

(a)  Any contractor or agency operating a type of nonroad vehicle must select the appropriate BAT for use with such type of nonroad vehicle. For each type of nonroad vehicle subject to the BAT requirement, the contractor or agency operating such type of vehicle must identify, in list form, all types of pollution control technology devices that qualify as BAT in Category I for such nonroad vehicle.
  1. All types of pollution control technology devices identified by the contractor or agency as Category I (a) BAT that are not technologically feasible for use with the subject type of nonroad vehicle are to be eliminated from the list of Category I (a) BAT. To eliminate a specific type of pollution control technology or individual device, the contractor or agency must demonstrate to the satisfaction of the Commissioner and document that operational constraints or physical, chemical or engineering principles preclude the successful and effective use of the nonroad vehicle when used with the specific pollution control technologies of that type. The contractor or agency shall then consider DPFs that satisfy the requirements set forth in Category I(b). If use of a Category I(b) DPF is technologically feasible, the contractor or agency must notify the Commissioner of the selection and the installation schedule. If none are technologically feasible, the contractor or agency shall select the technology devices set forth in Category I(c).
  2. If, after the elimination process, no technologies remain in Category I (a), (b), or (c) from which the contractor or agency can select a BAT, the contractor or agency shall apply for Approval of a Written Finding of Unavailbility. Upon approval by the DEP, the same identification and elimination process shall be done for Category II. If, after the elimination process, no technologies remain in Category II from which the contractor or agency can select a BAT, the same identification and elimination process shall be done for Category III. If, after the elimination process, no technologies remain in Category III from which the contractor or agency can select a BAT, the contractor or agency operating the subject nonroad vehicle shall apply for an Approval of a Written Finding of Unavailability or a Safety Waiver.
  3. Once a category is selected as provided for in (c) above, an economic impact analysis is to be performed on the remaining technologies if the technology reduces both PM and NOx. If the cost of the technology that provides NOx control is equal to or greater than thirty percent more than that of the technology without NOx control, then the technology without NOx control shall be selected. For the purpose of this paragraph, the criteria that shall be considered is the cost of the strategies, themselves and the cost of installation.
  4. For newly purchased vehicles, BAT may be Original Equipment Manufacturer (“OEM”) installed control technology, provided that the technology is selected in a manner such that it provides the greatest reduction in particulate matter above the PM standard that the EPA has certified without increasing NOx and that reduction is verified by the manufacturer. The BAT need not be on EPA or CARB verified retrofit lists.
  5. The contractor or agency must use the pollution control technology identified as BAT by the process set forth in this subchapter.
  6. Prior to the installation of the selected technology, the contractor or agency shall notify the DEP of the BAT selection and contact the DEP when the DPF or other BAT is installed pursuant to this chapter and § 24-163.3 of the Administrative Code. The contractor or agency shall make arrangements to have the unit inspected and registered and the DEP shall label the vehicle as compliant. The contractor shall retain all documentation generated in the BAT selection process for as long as the selected BAT is in use. A contractor’s failure to fully document the selection process or to provide such documentation shall be considered a violation of subdivision e of § 24-163.3 and is subject to applicable penalties.

§ 14-04 Best Available Technology Selection Applicability.

(a)  The BAT listed in this subchapter may be amended, superseded, or repealed at any time. However, no contractor or agency will be required to replace a selected BAT within three years of first using such BAT on any nonroad vehicle.
  1. A contractor or agency who is using a DPF that does not appear on the EPA or CARB verified lists may use such DPF for three years from the date it was first installed. After such three-year period, if such DPF does not appear on either the EPA or CARB verified lists, such DPF may not be used in nonroad vehicles used in City projects.
  2. A contractor or agency who is using Category I(c) technology may use such technology for three years from the date it was first installed. After such three-year period, if such technology does not appear on either the EPA or CARB verifid lists, such technology may not be used in nonroad vehicles used in City projects.
  3. A contractor or agency that has installed technology that appears on either the EPA and/or CARB verified lists at the time of installation, but which has been removed from the EPA and/or CARB verified lists during the thirty months following installation, may not use such technology in nonroad vehicles used in City projects at the conclusion of the three-year period following installation. A contractor or agency that has installed technology that appears on the EPA and/or CARB verified lists at the time of installation, but which has been removed from the EPA and/or CARB verified lists during the six months preceding the conclusion of the three-year period following installation, or at any time after the conclusion of such three-year period, may use such technology in nonroad vehicles for an additional six months following the date it was removed from the EPA and/or CARB verified lists.

§ 14-05 Use of Ultra Low Sulfur Diesel Fuel.

All nonroad vehicles subject to this rule must be powered by ultra low sulfur diesel fuel, regardless of which BAT is selected, unless the Commissioner has issued a written determination pursuant to subdivision i of § 24-163.3 permitting the use of diesel fuel that has a sulfur content of no more than thirty parts per million.

§ 14-06 Public Works Contracts.

Any contractor acting pursuant to a public works contract that is subject to the provisions of paragraph four of subdivision f of § 24-163.3, but not paragraph one or three of such subdivision, shall comply with this subchapter and subchapters A and C of this chapter as of June 19, 2005.

Subchapter C: Waiver Procedures

§ 14-07 Application for Approval of a Written Finding of Unavailability.

(a)  If the BAT required for any nonroad vehicle is unavailable, an agency may submit a Written Finding of Unavailability for the Commissioner's approval. Any application for approval of a Written Finding of Unavailability for the applicable BAT must contain the following information:

   (1) The name of the agency applying for approval of the Written Finding of Unavailability;

   (2) The name and identification number of the subject contract, if applicable;

   (3) Identification of the specific nonroad vehicle that is the subject of the Written Finding of Unavailability;

   (4) Identification of the required BAT;

   (5) An explanation as to why the applicable BAT is unavailable. Such explanation must include all documentation generated in the BAT selection process described in this chapter;

   (6) Identification of a technology for reducing the emission of pollutants, if any, that is available and appropriate for such vehicle, which may include a technology that does not appear on the EPA or CARB verified lists, and that, if available and appropriate, will be used instead of the BAT.

   (7) The name and contact number of the applicant.

  1. Applications should be sent to:

   Director of the Division of Air and Noise Programs, Enforcement and Policy    Bureau of Environmental Compliance    New York City Department of Environmental Protection    59-17 Junction Blvd.    Flushing, NY 11373

  1. The Department will make a determination whether to approve the Written Finding of Unavailability no later than thirty days after receipt of the Written Finding.
  2. Approvals shall expire 180 days after issuance, unless the agency renews the Written Finding and the Commissioner approves such Finding, in accordance with the procedures set forth in subdivisions (a), (b) and (c) of this section. Any such application for renewal shall be submitted no later than thirty days prior to the expiration date of the approval.

§ 14-08 Application for a Safety Waiver.

(a)  Any application for a waiver from the applicable BAT must contain the following information:

   (1) If a contractor applies, the name of the contractor applying for the waiver and the agency to which the contractor is under contract;

   (2) If an agency applies, the name of the agency applying for the waiver;

   (3) The name and identification number of the subject contract, if applicable;

   (4) Identification of the specific nonroad vehicle that is the subject of the waiver request;

   (5) Identification of the required BAT;

   (6) A technical explanation as to why use of such Best Available Technology may endanger the operator of the vehicle or those working near the vehicle, due to engine malfunction;

   (7) Identification of a technology for reducing the emission of pollutants, if any, that is available and appropriate for such vehicle, which may include a technology that does not appear on EPA or CARB verified lists, and that, if available and appropriate, will be used instead of the BAT;

   (8) The name and contact number of the applicant.

  1. Waiver applications should be sent to:

   Director of the Division of Air and Noise Programs, Enforcement and Policy    Bureau of Environmental Compliance    New York City Department of Environmental Protection    59-17 Junction Blvd.    Flushing, NY 11373

  1. The Department will make a determination whether to issue a waiver no later than thirty days after receipt of the waiver request.
  2. Waivers shall expire 180 days after issuance, unless the Commissioner renews the waiver in accordance with the procedures set forth in subdivisions (a), (b) and (c) of this section. Any such application for renewal shall be submitted no later than thirty days prior to the expiration date of the waiver.

Chapter 15: Rules Concerning the Use of Ultra Low Sulfur Diesel Fuel and Emission Control Technology On City Motor Vehicles

Subchapter A: General Provisions

§ 15-01 Definitions.

Best available retrofit technology. “Best available retrofit technology” shall mean a technology, verified by the United States environmental protection agency or the California air resources board, for reducing the emission of pollutants that achieves reductions in particulate matter emissions at the highest classification level for diesel emission control strategies, as set forth in 15 RCNY § 15-04, that is applicable to the particular engine and application. Such technology shall also, at a reasonable cost, achieve the greatest reduction in emissions of nitrogen oxides at such particulate matter reduction level and shall in no event result in a net increase in the emissions of either particulate matter or nitrogen oxides.

CARB. “CARB” shall mean the California Air Resources Board.

City agency. “City agency” shall mean a city, county, borough, administration, department, division, bureau, board or commission, or a corporation, institution or agency of government, the expenses of which are paid in whole or in part from the city treasury.

Code. “Code” shall mean the Administrative Code of the City of New York.

Commissioner.”Commissioner” shall mean the Commissioner of the New York City Department of Environmental Protection or her designee.

Department. “Department” shall mean the Department of Environmental Protection.

EPA. “EPA” shall mean the United States Environmental Protection Agency.

Gross vehicle weight rating. “Gross vehicle weight rating” shall mean the value specified by the manufacturer of a motor vehicle model as the maximum design loaded weight of a single vehicle of that model.

Motor vehicle. “Motor vehicle” shall mean a vehicle operated or driven upon a public highway that is propelled by any power other than muscular power, except electrically-driven mobility assistance devices operated or driven by a person with a disability, provided, however, that this term shall not include vehicles that are specially equipped for emergency response by the department, office of emergency management, sheriff’s office of the department of finance, police department or fire department.

Person. “Person” shall mean any natural person, co-partnership, firm, company, association, joint stock association, corporation or other like organization.

Reasonable cost. “Reasonable cost” shall mean that such technology does not cost greater than thirty percent more than other technology applicable to the particular engine and application that falls within the same classification level for diesel emission control strategies, as set forth in 15 RCNY § 15-04, when considering the cost of the strategies, themselves, and the cost of installation.

Ultra low sulfur diesel fuel. “Ultra low sulfur diesel fuel” shall mean diesel fuel that has a sulfur content of no more than fifteen parts per million.

Editor’s note: The amendment from City Record 3/15/2017 purported to add definitions of “CARB” and “EPA” to 15 RCNY § 15-04, but the new definitions were added here at the discretion of the edtior.

Subchapter B: Use of Best Available Retrofit Technology and Ultra Low Sulfur Diesel Fuel

§ 15-02 Best Available Retrofit Technology Determination.

Pursuant to section 24-163.4 of the Code, any diesel fuel-powered motor vehicle having a gross vehicle weight rating of more than 8,500 pounds that is owned or operated by a City agency must utilize the Best Available Retrofit Technology (“BART”), as defined in 15 RCNY § 15-01. In making their selections, agencies are directed to consult the EPA and CARB verified lists at http://www.epa.gov/ otaq/retrofit/retroverifiedlist.htm and http://www.arb.ca.gov/diesel/verdev/back-ground.htm.

City agencies must select BART for their diesel fuel-powered motor vehicles in accordance with 15 RCNY § 15-05. City agencies must notify the Department of their selections, and the Department will make a determination as to whether the BART selected may be utilized for the vehicle, engine and application for which it was selected. The Department will notify the selecting agency of its determination. City agencies are not required to select BART for their diesel fuel-powered motor vehicles in the following circumstances:

  1. If a vehicle will be retired within the next 12 months, the vehicle does not have to be retrofitted if vehicle usage is limited to 2,000 miles; if the agency does not limit such usage to 2,000 miles, a DOC must be installed; and
  2. If a vehicle will be retired within the next 36 months, the vehicle must have a DOC installed, and vehicle usage must be limited to yearly mileage of 3,000 miles or 30% of the mileage averaged over the last three years, whichever is less. Agencies that are retiring their vehicles pursuant to this section must provide the odometer or hour-meter reading and date it was taken to the Department and must maintain a mileage log for the vehicle(s).

§ 15-03 Motor Vehicles That Are Not Subject to BART.

Any diesel fuel-powered motor vehicle having a gross vehicle weight rating of more than 8,500 pounds that is owned or operated by a City agency and that is equipped with an engine certified to the applicable 2007 United States Environmental Protection Agency standard for particulate matter as set forth in section 86.007-11 of title 40 of the code of federal regulations or to any subsequent United States environmental protection agency standard for such pollutant that is at least as stringent, shall not be required to utilize the BART as defined in 15 RCNY § 15-01.

§ 15-04 Classification Levels.

Level IV Any Diesel Particulate Filter (DPF) or other technology verified for a specific application from either the CARB or EPA verified lists that reduces diesel particulate matter emissions by 85 percent or greater, or reduces engine emissions to less than or equal to 0.01 grams diesel particulate matter per brake horsepower-hour.

Level III Any DPF or Diesel Oxidation Catalyst (DOC) or Catalyzed Wire Mesh Filter (CWMF) or other technology or combination of technologies verified for a specific application from either the CARB or EPA verified lists that reduces diesel particulate matter emissions by between 50 and 84 percent.

Level II Any DOC or other technology verified for a specific application from either the CARB or EPA verified lists that reduces diesel particulate matter emissions by between 25 and 49 percent.

Level I Any DOC or emulsified diesel fuel or other technology verified for a specific application from either the CARB or EPA verified lists that reduces diesel particulate matter emissions by between 20 and 24 percent.

§ 15-05 Selection Process.

(a)  For each type of motor vehicle subject to the BART requirement, the City agency operating such vehicle must identify, in list form, all types of pollution control technology devices verified for such motor vehicle at classification Level IV.
  1. All types of pollution control technology devices identified by the City agency as classification Level IV devices that are not technologically feasible for use with respect to the particular vehicle, engine or application are to be eliminated from such list. To eliminate all types of pollution control technology devices identified by the agency at classification Level IV, or a specific type of pollution control technology, or a particular pollution control technology device, the agency must demonstrate to the satisfaction of the Commissioner that operational constraints or physical, chemical or engineering principles preclude the successful and effective use of the motor vehicle when used with such types of technology devices, or type of technology, or particular pollution control technology device.
  2. If, after the elimination process, no pollution control technology devices remain in classification Level IV from which the City agency can select a BART, the same identification and elimination process must be done for classification Level III. If after the elimination process, no pollution control technology devices remain in classification Level III from which the City agency can select a BART, the same identification and elimination process must be done for classification Level II. If after the elimination process, no pollution control technology devices remain in classification Level II from which the City agency can select a BART, the same identification and elimination process must be done for classification Level I.
  3. Once a level is selected as provided for in subdivisions (a), (b), and (c) of this section, an economic impact analysis is to be performed on the remaining technologies where the technology reduces both PM and nitrogen oxide (NOx). The agency shall select the technology achieving, at a reasonable cost, the greatest reduction in NOx emissions.
  4. The Commissioner may determine, upon application by a City agency, that a technology, whether or not it has been verified by the United States environmental protection agency or the California air resources board, may be appropriate to test, on an experimental basis, on a particular type of diesel fuel-powered motor vehicle owned or operated by a City agency. The Commissioner may authorize such technology to be installed on up to five percent or twenty-five of such type of motor vehicle, whichever is less.

§ 15-06 Best Available Retrofit Technology Selection Applicability.

No City agency shall be required to replace a selected BART or an experimental technology within three years of having first utilized such technology. Furthermore, no City agency shall be required to replace Level IV technology until it has reached the end of its useful life.

§ 15-07 Use of Ultra Low Sulfur Diesel Fuel.

All motor vehicles owned or operated by a City agency must be powered by ultra low sulfur diesel fuel unless the Commissioner has issued a written determination pursuant to subdivision (e) of section 24-163.4 of the Code, or a waiver pursuant to subdivision (f) of section 24-163.4 of the Code.

Chapter 16: NYCDEP Rules for the Recreational Use of City Property*

§ 16-01 Scope and Purpose.

The following rules (the “Rules”) apply to all recreational uses of City Property, as defined herein, in the counties of Delaware, Dutchess, Greene, Putnam, Schoharie, Sullivan, Ulster, and Westchester. These Rules promote New York City’s goal of allowing recreational use and enjoyment of its City Property. Additional information about recreational use opportunities is available from the New York City Department of Environmental Protection (as defined below, the “NYCDEP”) offices and on the NYCDEP website at www.nyc.gov/dep.

§ 16-02 Definitions.

All capitalized terms have the same meaning as in the New York State Environmental Conservation Law (“ECL”) unless defined differently herein as follows:

  1. Access Permit. “Access Permit” means a valid NYCDEP instrument of registration and permission to access certain City Property for Recreational Use as further described in 15 RCNY § 16-04.1.
  2. Access Permit Areas. “Access Permit Areas” means a City Property location designated by NYCDEP as available for recreation uses as determined by NYCDEP, and for which a NYCDEP Access Permit and Vehicle Tag are required. Access Permit Areas are generally located near Water Supply facilities, such as Reservoirs and Controlled Lakes, and may have special access requirements or restrictions.
  3. Angling. “Angling” means taking fish by hook and line. This includes bait and fly fishing, casting, trolling and the use of landing nets to complete the catch.
  4. Big Game. “Big Game” means deer and bear.
  5. Boat Storage Area. “Boat Storage Area” means a location on land designated by NYCDEP for Fishing and/or Recreational Boats to be stored when not on the water.
  6. City. “City” means the City of New York.
  7. City Property. “City Property” means all real property, Reservoirs and Controlled Lakes owned by the City and within the jurisdiction of NYCDEP in the counties of Delaware, Dutchess, Greene, Putnam, Schoharie, Sullivan, Ulster, and Westchester.
  8. Controlled Lake. “Controlled Lake” means a lake from which the City may withdraw water pursuant to rights acquired by the City or as a right of ownership. The Controlled Lakes, for purposes of these Rules, are Lake Gilead and Lake Gleneida.
  9. Day Use Area. “Day Use Area” means a City Property location designated by NYCDEP as available for designated Recreational Uses, as determined by NYCDEP in accordance with these Rules. It is not necessary to have an Access Permit or a Vehicle Tag for activities in a Day Use Area. Day Use Areas are generally areas that may be designated for activities including, but not limited to, running, walking, in-line skating, biking, and dog walking.
  10. Fishing. “Fishing” means taking fish by Angling and also includes the use of tip-ups for ice fishing and the taking of carp by bow and arrow.
  11. Fishing Boats. “Fishing Boats” means metal rowboats with a location-designated NYCDEP Fishing Boat Tag that may be used on City Reservoirs and Controlled Lakes and stored on a Boat Storage Area for Fishing.
  12. Fishing Boat Tag. “Fishing Boat Tag” means a valid instrument of permission, which may include a sticker, bar code, or other instrument as determined by NYCDEP, issued to allow Access Permit holders to store a Fishing Boat in a Boat Storage Area, as further described in 15 RCNY § 16-10.1.

(m)Group Access Permit. “Group Access Permit” means an valid instrument of registration and permission for groups to temporarily access certain City Property that requires an Access Permit for Recreational Use without each member having to obtain an individual Access Permit, as further described in 15 RCNY § 16-06.

  1. Group. “Group” means any congregation of individuals in excess of six (6) people and shall not consist of more than thirty (30) individuals. Groups larger than 30 people are not permitted.
  2. Group Leader. “Group Leader” means the person who applies for the Group Access Permit and who agrees to accept responsibility for the conduct, activities, and safety of all Group Members.
  3. Group Member. “Group Member” means an individual listed on the Group Access Permit application for whom completed liability waivers have been received and accepted by NYCDEP, and who will accompany the Group Leader on the permitted Group activity.
  4. Guest. “Guest” means a person accompanying a valid Access Permit holder who has completed and signed a Guest Pass application.
  5. Guest Pass. “Guest Pass” means a valid instrument of registration and permission for Guests of valid Access Permit holders to temporarily access certain City Property for Recreational Use as further described in 15 RCNY § 16-05.
  6. Hiking. “Hiking” means foot travel including hiking, walking, running, cross-country skiing, snowshoeing, bird watching, nature observation and photography.
  7. High Water Mark. “High Water Mark” means the visible mark along the shoreline where the Reservoir water intersects with the shoreline during its high peak level. Boaters are encouraged to contact the appropriate NYCDEP Boat Office if they have questions identifying this boundary.
  8. Hunting. “Hunting” means pursuing, shooting, killing or capturing (other than Trapping as defined below) wildlife, except wildlife which has been lawfully trapped or otherwise reduced to possession, and includes all lesser acts such as disturbing, harrying or worrying, whether they result in taking or not, and every attempt to take and every act of assistance to any other person in taking or attempting to take wildlife.
  9. Ice Free Period. “Ice Free Period” means that the main bodies and shorelines of the Reservoirs and Controlled Lakes are free from ice. There is the possibility that a Reservoir whose main body is free of ice (and therefore “open” to Fishing) may still have some ice present in some of the isolated coves and protected areas.
  10. Manned and Unmanned Aircraft. “Manned and Unmanned Aircraft” means, without limitation, drones, model airplanes, airplanes, flying machines, balloons, parachutes or other apparatus for aviation.
  11. NYCDEP. “NYCDEP” means the New York City Department of Environmental Protection, an executive agency of the City.
  12. NYSDEC. “NYSDEC” means the New York State Department of Environmental Conservation, an executive agency of the State of New York.
  13. Public Access Area. “Public Access Area” means those areas of City Property designated by NYCDEP and by these Rules as available for Recreational Uses without a NYCDEP Access Permit and Vehicle Tag, as designated by NYCDEP and described herein. Public Access Areas are generally not adjacent to Reservoirs.

(aa) Recreational Areas. “Recreational Areas” means Public Access Areas, Day Use Areas, Access Permit Areas, Fishing Boat Areas, and Recreational Boating Areas

(bb) Recreational Boats. “Recreational Boats” means vessels that may be used in Recreational Boating Areas and stored on adjacent City Property for Recreational Uses, as further described in 15 RCNY § 16-10.2(b)(1).

  1. Recreational Boat Tag. “Recreational Boat Tag” means a valid instrument of permission, which could include a sticker or bar code or other instrument as determined by NYCDEP, issued for the purpose of allowing Access Permit holders to use and store boats for use when boating on Recreational Boating Areas as further described in 15 RCNY § 16-10.2.

(dd) Recreational Boating Area. “Recreational Boating Area” means a location designated by NYCDEP within the Cannonsville, Neversink, Pepacton and Schoharie Reservoirs that is available for use of Recreational Boats.

(ee) Recreational Uses. “Recreational Uses” means activities on City Property that, in the sole discretion of NYCDEP, do not pose a potential adverse impact to natural resources, water quality or security, and includes, without limitation, the following activities: Hunting, Hiking, Fishing, Trapping, paddling, exercising, bird watching, nature observation, sightseeing, cross country skiing, snowshoeing, and nature photography.

(ff) Reservoir. “Reservoir” means any natural or artificial impoundment of water owned or controlled by the City which is tributary to the City Water Supply system.

(gg) Restricted Area. “Restricted Area” means any area in which public access is not allowed.

(hh) Small Game. “Small Game” means upland and migratory game birds, small game mammals (e.g., squirrel, rabbit), furbearers (e.g., fox, coyote), and reptiles and amphibians.

  1. Special Event Area. “Special Event Area” means a location on City Property designated by NYCDEP as available for designated Recreational Uses, which shall be designated by NYCDEP in accordance with these Rules, but not requiring NYCDEP Access Permits or Vehicle Tags. These areas are for short duration, low-impact activities including but not limited to “Family Fishing Day” and Reservoir clean-ups in which NYCDEP staff are present as facilitators of the event.

(jj) Tag. “Tag” includes Vehicle Tags, Recreational Boat Tags and Fishing Boat Tags.

(kk) Trapping. “Trapping” means taking, killing and capturing wildlife with traps, deadfalls and other devices commonly used to take wildlife, and the shooting or killing of wildlife lawfully trapped, and includes all lesser acts such as placing, setting or staking such traps, deadfalls and other devices whether they result in taking or not, and every attempt to take and every act of assistance to any other person in taking or attempting to take wildlife with traps, deadfalls or other devices.

(ll) Vehicle Tag. “Vehicle Tag” means a valid instrument of permission issued in support of an Access Permit for the purpose of allowing visitors to park a vehicle on City Property while accessing City Property for Recreational Use, as further described in 15 RCNY § 16-04.2.

  1. Voluntarily. “Voluntarily” means anything other than a forced or emergency landing of any manned or unmanned aircraft.

(nn) Water Supply. “Water Supply” means the New York City public water supply system, and includes all Watercourses, wetlands, Reservoirs, Reservoir stems and Controlled Lakes tributary thereto.

(oo) Watercourse. For the purposes of these Rules, a “Watercourse” means a visible path through which surface water travels on a regular basis, including an intermittent stream, which is tributary to the Water Supply.

(pp) Watershed. “Watershed” or “New York City Watershed” means the land area contributing surface water to the New York City Water Supply.

Subchapter A: Open Access Areas

§ 16-03.1 Public Access Areas

Public Access Areas (PAA) are those locations designated for public use without the need for a Access Permit. NYCDEP may, in its discretion, designate portions of City Property as PAAs. PAAs are located on City Property that is not adjacent to Water Supply facilities such as Reservoirs or Controlled Lakes.

  1. Designations. PAAs are posted with signs and otherwise designated as such by NYCDEP on NYCDEP maps, the NYCDEP website, and/or in other NYCDEP publications.
  2. Season. Access to PAAs is year-round except as otherwise restricted on NYCDEP sign postings and on NYCDEP maps on the NYCDEP website.
  3. Uses. Permitted uses will be posted on signs in the PAA, and may, at NYCDEP’s discretion, include one or more of the following permitted uses: Fishing, Hunting, Hiking and/or Trapping. No boating is allowed on ponds within PAAs; however, a person may float through a PAA on a Watercourse that traverses the property. Boats do not need to be steam cleaned.

§ 16-03.2 Day Use Areas.

Day Use Areas (DUAs) are those locations on City Property designated for public use without the need for a NYCDEP Access Permit. These areas may be near Water Supply facilities and usually have some improvements. DUAs may or may not have management agreements with local municipalities.

  1. Designations. DUAs and their allowed uses will be designated by NYCDEP on NYCDEP maps on the NYCDEP website and by NYCDEP sign postings.
  2. Uses. Permitted uses will be posted on signs in the DUA, and may, at NYCDEP’s discretion, include one or more of the following activities: walking, picnicking, in-line skating, dog walking, bicycling and Fishing. Permitted uses will also be posted on signs and on the NYCDEP website.
  3. Hours. Hours of use will be posted on NYCDEP signage and will typically be dawn to dusk.

§ 16-03.3 Special Event Areas.

Special Event Areas (SEA) are those locations on City Property designated for public use during a NYCDEP-sponsored event without the need for a NYCDEP Access Permit.

  1. Designations. SEAs will be designated by NYCDEP for specific limited duration events, typically one day.
  2. Uses. Uses allowed in SEAs shall be determined by NYCDEP and shall be posted on event flyers and other outreach material.
  3. Hours. Hours of use shall be determined by NYCDEP on an event-by-event basis.

§ 16-04 Access Permit Areas.

Access Permit Areas (APAs) are those areas that require a valid NYCDEP Access Permit and Vehicle Tag for entry. NYCDEP may, in its discretion, designate portions of City Property as APAs that may be entered and used by the public for Recreational Uses with the requirement of having a valid NYCDEP Access Permit and Vehicle Tag.

  1. Designations. APAs and their allowed uses will be designated by NYCDEP on NYCDEP maps on the NYCDEP website and by NYCDEP sign postings.
  2. Uses. Permitted uses will be posted on signs in the APA, and may, at NYCDEP’s discretion, include Fishing, Hunting, Hiking, Trapping, and use of Fishing Boats, and Recreational Boats. Scouting for the purpose of deer Hunting is allowed, provided that valid NYCDEP Access Permits are carried.
  3. All individuals entering APAs must have (1) a valid NYCDEP Access Permit as required in 15 RCNY § 16-04.1, and (2) a Vehicle Tag as required in 15 RCNY § 16-04.2.

§ 16-04.1 Access Permit.

(a) Application. The Access Permit application will be available for download or completion on the NYCDEP website and for pick-up at certain NYCDEP facilities in New York City, NYCDEP offices throughout the Watershed and such other locations as indicated on the NYCDEP website. No application fee is required.
  1. Required Information. An Access Permit application will require the following information:

   (1) Applicant’s name, mailing address, phone number, electronic mail address, and date of birth;

   (2) Applicant’s gender, height, eye color and hair color;

   (3) Applicant’s driver’s license number and state of issuance, or non-driver’s identification number and state of issuance, or IDNYC identification card, or any valid passport, or any school-issued identification;

   (4) Acknowledgement of risks and waiver of liability;

   (5) Applicant’s signature and date of signature;

   (6) Parent or legal guardian’s signature and date of signature if applicant is between 16 and 17.

Information provided will be maintained by NYCDEP for agency purposes only.

  1. Access Permit Eligibility. All persons 18 years of age and older must complete an application for and receive, maintain and carry a valid Access Permit in order to enter Access Permit Areas (and must have the applicable NYSDEC hunting, fishing and/or trapping licenses as required by the NYSDEC Environmental Conservation Law as described in 15 RCNY § 16-12(f)) and Recreational Boating Areas for recreational purposes as defined in these Rules. Entry onto Access Permit Areas, without a valid Access Permit, Guest Pass, or appropriate accompaniment as described herein, is prohibited and shall be considered a trespass.

Persons aged 16 and 17 are eligible to apply for an Access Permit and must have the written consent of their parent or legal guardian indicated on their Access Permit application to obtain an Access Permit. Persons aged 16 and 17 years old who obtain a valid Access Permit may enter City Property for Recreational Activities without an adult.

  1. Other Access. All persons under 16 years of age may access City Property without an Access Permit or a Guest Pass for Recreational Uses but must be accompanied by a valid Access Permit holder aged 18 or older. A valid Access Permit holder aged 18 or older may accompany up to six (6) persons under the age of 16 and he or she is responsible for their conduct and safety and shall be liable for any of their violations of these Rules. Groups in excess of six (6) persons under the age of 16 require a Group Access Pass, signed by a parent or guardian as provided in 15 RCNY § 16-06.
  2. Internet Submission and Processing. The NYCDEP Access Permit application may be completed and submitted on the NYCDEP website. Access Permit issuance letters, Access Permits and corresponding Vehicle Tags may be printed directly from the NYCDEP website. NYCDEP is not responsible for electronic delivery errors or limitations of equipment and services not maintained by NYCDEP that may cause delays or prevent printing.
  3. Mail Submission and Processing. Completed Access Permit applications may be submitted by United States Postal Service (“USPS”) mail to the address on the form. Accepted applications submitted by USPS mail shall be processed as follows:

An Access Permit issuance letter and Access Permit shall be generated and mailed with the corresponding Vehicle Tag generally within two weeks of receipt, except in unusual circumstances, directly to the address submitted on the application.

Addresses on any mailings returned to NYCDEP as undeliverable by the USPS will be verified for accuracy and re-mailed if necessary. Applicants are responsible for maintaining current, accurate contact information with NYCDEP. NYCDEP is responsible for USPS delivery errors or lost mail.

  1. Refusal. Rejected applications will be returned to the applicant, accompanied by a letter or e-mail identifying the reason(s) for refusal, generally within two weeks of application receipt, except in unusual circumstances, directly to the address submitted on the application. Within ten days of receipt of the communication, the applicant may send an appeal of NYCDEP’s refusal to issue an Access Permit to the NYCDEP Deputy Chief of City Land Stewardship. Such appeal must include any relevant information pertaining to the basis for the refusal. Upon examination of the circumstances and generally within two weeks of receipt, the NYCDEP Deputy Chief City Land Stewardship will either uphold the refusal or revise its prior decision and issue an Access Permit upon such terms and conditions as may be appropriate. The applicant will be notified of NYCDEP’s determination in writing. Grounds for refusal of an Access Permit include but are not limited to the following:

   (1) Incomplete or illegible application;

   (2) Failure to meet application eligibility requirements;

   (3) Submission of false information.

  1. Term. An Access Permit is valid for five (5) years, or the period indicated thereon, if different, expiring on the permit holder’s day and month of birth, unless revoked, suspended or altered by NYCDEP.
  2. Renewal. NYCDEP will send an Access Permit renewal application by electronic or USPS mail to the address on file for each valid Access Permit holder generally two months before the Access Permit expiration date. The Access Permit renewal application will require confirmation of the permit holder’s information on file, as well as user survey questions, if any. Access Permit renewal processing will be as provided for in the initial application. Applicants may renew their Access Permits by returning the application by USPS mail or through the NYCDEP website.
  3. Replacement. To replace lost or destroyed Access Permits the permit holder must send a written request to NYCDEP by USPS, electronic mail or through the NYCDEP website. Electronically requested replacements may be printed immediately upon NYCDEP’s approval, whereas replacements requested by USPS mail will generally be issued within two weeks of receipt of the request.
  4. Notifications. Notices to Access Permit holders will be sent to the address on record with NYCDEP. It is the Access Permit holder’s responsibility to inform NYCDEP of any changes to the address and information submitted on a permit application or renewal form.
  5. Updating Contact Information. It is the Access Permit holder’s responsibility to inform NYCDEP of any changes to the contact information submitted on his or her application or renewal form. Access Permit holders must notify NYCDEP in writing, either by electronic or USPS mail, of any such changes. Failure to do so may result in the Access Permit holder not receiving important notifications, such as Fishing or Recreational Boat Tag renewal notices, area closure notices or Access Permit renewal notices. Access Permit holders may use the Access Permit Update Form to submit contact changes or update their information on the NYCDEP website. This form is available for download from or completion on the NYCDEP website and for pick-up at certain NYCDEP facilities in New York City, NYCDEP offices throughout the Watershed and such other locations as indicated on the NYCDEP website.
  6. Transferability. An Access Permit is not transferable and may be used only by the person to whom it has been issued.
  7. Fishing and Recreational Boat Tags. NYCDEP may revoke an individual’s Fishing or Recreational Boat Tag(s) upon Access Permit revocation or expiration.
  8. Limitation. All Access Permits and other permits and tags provided for in these rules are limited to the purposes and time periods for which they are issued, and convey no interest in or right over property of NYCDEP or the City.

§ 16-04.2 Vehicle Tag.

All vehicles parked on City Property for Recreational Uses other than at DUAs and PAAs must have the driver’s valid Vehicle Tag prominently displayed in their vehicle so that it is visible from the front of the vehicle.

  1. Issuance. Any person who has been issued an Access Permit will be issued a Vehicle Tag.
  2. Term. A Vehicle Tag is valid only if and for so long as the person’s Access Permit is valid. If an expired Access Permit is renewed, the Vehicle Tag becomes valid again upon renewal of the Access Permit.
  3. Use of a Vehicle Tag. The driver’s Vehicle Tag must be prominently displayed so that it is visible from the front of the vehicle, typically hanging from the rear view mirror whenever a person is accessing City Property for Recreational Use, except in DUAs and PAAs. Only one Vehicle Tag is required to be displayed if multiple Access Permit holders are visiting Access Permit Areas in the same vehicle. Motorcycle drivers may display a photocopy of their Vehicle Tag on the motorcycle.
  4. Transferability. Vehicle Tags are not transferable to another person but may be used by the permittee on any vehicle.
  5. Replacement. Lost or destroyed Vehicle Tags will be replaced upon the holder’s written request to NYCDEP by USPS, electronic mail or the NYCDEP website. Electronically requested replacements may be printed immediately upon NYCDEP’s approval, whereas replacements requested by USPS mail will generally be issued within two weeks of receipt of the request.

§ 16-05 Guest Pass.

Guest Passes are for temporary access for the Recreational Use of certain City Property. Guests may participate in all Watershed recreational opportunities while accompanied by a person who has a valid Access Permit. A Guest Pass cannot be used to obtain a Fishing or Recreational Boat Tag. Access Permit holders are responsible for their Guests and must ensure their Guests follow all Recreational Rules.

  1. Application. The Guest Pass is a fully completed Guest Pass application signed by the Guest, or signed by the Guest’s parent or legal guardian if the Guest is under 18, and carried by the Guest. No Guest Pass is necessary for individuals under 16 years of age, or for groups of up to 6 under 16 years of age, provided they are accompanied by an Access Permit holder aged 18 or older. No application fee is required.
  2. Required Information. A valid Guest Pass application must be filled out by the Guest and includes:

   (1) Guest’s name, mailing address, phone number, electronic mailing address, and date of birth;

   (2) Guest’s gender, height, eye color and hair color;

   (3) Guest’s driver’s license number and state of issuance, or non-driver’s identification number and state of issuance, or IDNYC identification card, any valid passport or any school-issued identification;

   (4) Acknowledgement of risks and waiver of liability;

   (5) Guest’s signature and date of signature;

   (6) Parent or legal guardian’s signature and date of signature if Guest is under 18.

  1. Eligibility. The sponsoring Access Permit holder must be aged 18 years or older. An individual aged 16 years and older, without an Access Permit, must use a Guest Pass. Individuals under 18 years of age must have the signature of a parent or guardian on the Guest Pass. Individuals under 16 years of age, and groups of up to 6 individuals under 16 years of age, do not need a Guest Pass provided an Access Permit holder 18 or older accompanies them while they are on City Property where an Access Permit is required.
  2. Term. A Guest Pass is valid for 7 consecutive days starting on and including the date the Guest Pass was signed. A Guest Pass without a signature date is invalid.
  3. Using a Guest Pass. The following is required for proper use of a Guest Pass:

   (1) Guests must fully complete the Guest Pass and carry it with them at all times while on City Property.

   (2) Guests must produce their Guest Pass and identification upon request of any law enforcement officer or NYCDEP representative.

   (3) All Guests must be accompanied at all times while on City Property by the valid Access Permit holder sponsoring the Guest. Access to City property by a Guest unaccompanied by the sponsor Access Permit holder constitutes trespass. The sponsoring Access Permit holder may sponsor and accompany up to 6 Guests at any one time on City Property.

   (4) Guests must comply with these Rules.

   (5) Guest Passes cannot be used to obtain a Fishing or Recreational Boat Tag.

  1. Transferability. A Guest Pass is non-transferable and may only be used by the person identified thereon.
  2. Renewal. A Guest Pass is not renewable.

§ 16-06 Group Access Permit.

Group Access Permits of limited duration are available for Groups of between 7 and 30 individuals to conduct such activities as would normally be available to individual Access Permit holders and will be issued in writing if approved by NYCDEP. Groups larger than 30 people are not permitted. Any individual members of a Group accessing NYCDEP land pursuant to a Group Access Permit must possess all applicable NYSDEC hunting, fishing and trapping licenses as required by the NYSDEC Environmental Conservation Law.

  1. Uses. Group Access Permits may be used for all activities allowed by these Rules in addition to other recreational opportunities approved by NYCDEP, including but not limited to Reservoir clean-ups, nature and outdoor educational walks and talks and school field trips.
  2. Eligibility. A Group Leader must be 18 years of age or older. Group Members may be any age but individuals under 18 years of age must have the signature of a parent or guardian on the Group Access Permit.
  3. Term. Group Access Permits may be issued for a term of 1 day to 3 consecutive months.
  4. Application. An application for a Group Access Permit must be fully completed by the assigned Group Leader and submitted to the mail or email address on the application. Group Access Permit applications shall be available by calling 1-800-575-LAND (5263). No application fee is required.
  5. Required Information. The following information must be provided on or with the Group Access Permit application:

   (1) Application date;

   (2) Group name and address;

   (3) Group Leader’s name, date of birth, address, primary telephone, electronic mail address, driver’s license or non-driver’s identification number and state of issuance, any valid passport or IDNYC identification card;

   (4) Signed and dated statement by Group Leader accepting all responsibility for Group and Group Member activity and safety while on City Property and indemnifying the City of New York, as well as waiver of liability and acknowledgement of risk for Group Leader and Group Members, with parent or guardian signature for those under 18 years of age;

   (5) Description of the purpose for which the Group is applying for access;

   (6) Date(s) and duration(s) for which the Group is seeking access;

   (7) Location of City Property for which Group access is being requested, including township, adjacent roadways, and description of intended entrance and exit points;

   (8) Names, ages, addresses and telephone numbers of up to twenty-nine Group Members in addition to the Group Leader;

  1. Issuance Criteria. NYCDEP will deny Group Access Permit applications that fail to meet the issuance criteria listed below. NYCDEP will consider the following criteria when evaluating a Group Access Permit application:

   (1) Completeness of the application;

   (2) Consistency of proposed use with allowable activities;

   (3) Eligibility of Group or Group Leader to receive an Access Permit;

   (4) Availability and public access status of City Property proposed for use;

   (5) Consistency with water quality protection, Water Supply security, strong neighborhood relations, and available City resources;

   (6) Compatibility with the City’s land management goals;

   (7) Compatibility with existing uses, rights, easements, or facilities requirements on the portion of City Property for which Group access is requested.

  1. General Conditions. Group Access Permit Leaders and Group Members must comply with these Rules. Group Access Permit Leaders and Group Members must also comply with the following conditions:

   (1) Access to City Property by the Group is only allowed for the dates, locations and Group Members stated on the approved Group Access Permit;

   (2) Use of City Property by the Group is only permitted for those uses stated on the approved Group Access Permit;

   (3) The Group Leader must carry the approved Group Access Permit or a legible photocopy of the permit at all times while on City Property;

   (4) Group Members must be accompanied by a Group Leader at all times while on City Property;

   (5) All vehicles used by the Group to access City Property must be identified by a photocopy of the approved Group Access Permit in or on the vehicle such that it is clearly visible from the exterior front of the vehicle.

  1. Responsibility. Use of and activities on City Property under the Group Access Permit by Group Members is the sole responsibility of the Group Leader who must accept responsibility for the conduct, activities, and safety of all Group Members. The Group Leader must accompany the Group at all times while on City Property.

Subchapter B: Recreational Activities

§ 16-07 Fishing.

(a) Fishing Activities. Fishing is allowed consistent with NYSDEC regulations. A valid NYSDEC fishing license is required.
  1. Designation. Areas that allow Fishing will be designated by NYCDEP on sign postings, the NYCDEP website, and on NYCDEP maps.
  2. Season. Access for Fishing is allowed during applicable New York State fishing seasons as established in NYSDEC fishing regulations, as amended, except as otherwise restricted by these Rules or by NYCDEP postings or notices.
  3. Allowable Species. Fishing is allowed for any species allowed under New York State law, during and in accordance with all available NYSDEC fishing seasons and City Property designations unless otherwise posted by NYCDEP.
  4. Means. Angling is the only permissible means of Fishing on City Property, except that pursuant to and in conformance with NYSDEC regulations, (i) tip-ups may be used for ice fishing, and (ii) bow and arrow may be used for carp fishing. Anglers must be in immediate attendance when their lines are in the water.
  5. Bait and Bait Disposal. The use of terrestrial bait such as worms and crickets is allowed. Live aquatic bait, which may include but is not limited to, alewives, shiners, leeches, and crawfish, may be used for Fishing unless such bait has been taken from waters infested with zebra and/or Quagga mussels or other invasive species, including, but not limited to: Lake Champlain, Lake Erie, Lake Ontario, the Finger Lakes, the Erie Canal, the Niagara River, the Mohawk River, the St. Lawrence River, the Susquehanna River and the Hudson River. A complete list of Zebra and Quagga mussel-infested waters may be found at: http://nas.er.usgs.gov/mollusks/zebramussel/. Neither bait nor the water from aquatic bait containers shall be disposed of on City Property. NYCDEP, at its sole discretion, may prohibit the use of specified bait. Any such prohibitions shall be indicated by NYCDEP on sign postings, on the NYCDEP website, and on NYCDEP maps. Use of bait must also be consistent with all applicable provisions of New York State law and NYSDEC regulations, as amended, including those regarding the use and transport of certified baitfish.
  6. Fishing Equipment. Fishing equipment must comply with the following:

   (1) Waterproof waders must be used when entering Reservoirs or Controlled Lakes for the purposes of Fishing. Due to the potential threat of invasive species being transferred from waders into the NYC Water Supply, NYCDEP reserves the right to restrict the use of certain types of waders and/or prohibit use on City Property. A list of waders and/or boots prohibited for use, if and when determined, shall be posted on the NYCDEP website. As an alternative to prohibition of certain waders, NYCDEP may require waders be cleaned as per NYCDEP guidelines, if and when such guidelines are developed.

   (2) Temporary, portable, fabric fishing shelters and windbreaks may be used for ice fishing on City Property. Shelters must contain the occupant’s name, telephone number and Access Permit number. Wood or metal shelters are not permitted.

   (3) Ice fishing equipment, including fabric fishing and shelters and windbreaks, must remain within view of the equipment owner and must be removed from City Property by the occupant when not in use or at the end of each day, whichever is sooner.

   (4) Use of float tubes or inflatable waders is prohibited in Reservoirs or Controlled Lakes.

   (5) Motorized fishing equipment is prohibited on City Property, including but not limited to gasoline or propane-powered motors or ice augers except as allowed in 15 RCNY § 16-07(g)(6).

   (6) Electric ice augers with rechargeable batteries contained within the auger housing or hand-held power drills to power ice augers may be used. Small 12-volt sealed batteries may be used for portable fish finders. No automotive-type batteries are allowed on City Property.

   (7) Propane bottles to heat portable heating units or ice augers are not allowed for use on Reservoirs or Controlled Lakes.

  1. Fish Entrails. Fish entrails may not be deposited on City Property that is in or within 100 feet of a Reservoir, Controlled Lake, pond, Watercourse, public access point, or public road.
  2. Shoreline Fishing. Shoreline Fishing is allowed at Access Permit Areas, Public Access Areas, and certain Day Use Areas as indicated by NYCDEP on sign postings, on the NYCDEP website, and on NYCDEP maps.
  3. Fishing from Bridges. Fishing from vehicular bridges located on City Property is not permitted except where designated by NYCDEP and as indicated by NYCDEP on sign postings, on the NYCDEP website, and on NYCDEP maps.
  4. Ice Fishing. Ice Fishing is allowed, in conformance with NYSDEC regulations, only on the Amawalk, Bog Brook, Boyds Corner, Cross River, Diverting, East Branch, Muscoot, Titicus, West Branch, Croton Falls and Middle Branch Reservoirs, on Lake Gilead and Lake Gleneida and on ponds located in Access Permit Areas and Public Access Areas as indicated by NYCDEP on sign postings, on the NYCDEP website, and on NYCDEP maps. Ice fishing is prohibited in all other Reservoirs for safety and operational reasons.

§ 16-08 Hunting.

(a) Hunting Activities. Hunting is allowed consistent with applicable NYSDEC regulations.
  1. Designation. Areas that allow Hunting will be designated by NYCDEP on sign postings, the NYCDEP website, and on NYCDEP maps. NYCDEP may designate specific Hunting activities or restrictions (e.g. no rifle use, bow Hunting-only), or implement special Hunting programs (deer culls) on Recreational Areas that allow Hunting.
  2. Season. Access for Hunting is allowed during applicable New York State Hunting seasons, except as otherwise restricted by these Rules or by NYCDEP postings or notices.
  3. Allowable Species. Hunters may hunt for any species allowed under New York State law, during and in accordance with all available NYSDEC Hunting seasons and City Property designations unless otherwise posted by NYCDEP on its website. Waterfowl Hunting is not allowed in, over, or within 500 feet of Reservoirs or Controlled Lakes.
  4. Game Pursuit. Hunters should respect the rights of owners of neighboring properties and not trespass on private lands. If an animal wounded by a hunter travels onto neighboring property, the hunter should obtain the property owner’s permission in accordance with applicable law to enter the property for retrieval. If an animal wounded by a hunter travels onto City Property that is not open for Hunting, the hunter must obtain permission to enter the area from NYCDEP Police before entering by calling (888) 426-7433.
  5. Hunter Behavior. Hunters must abide by the principles of the NYSDEC hunter education training program and conduct themselves in a safe and courteous manner in relation to other hunters and recreational users, NYCDEP employees and representatives, neighboring land owners and community members. Failure to do so may result in the loss of individual Hunting opportunities, Recreational Area closures, and loss of Access Permit.
  6. Game Cleaning Practices. Hunters are encouraged to remove all game entrails from City Property and to use gloves while cleaning harvested game in order to hinder the spread of disease and possible water contamination. Entrails must not be deposited in or within one hundred (100) feet of any Reservoir, lake, pond, Watercourse, public access point, public road, or private property.
  7. Tree Stands, Hunting Blinds and Trail Cameras. Temporary tree stands, Hunting blinds and trail cameras may be used during Big Game Hunting seasons in Public Access Areas and Access Permit Areas provided that they do not cause damage to trees. The following conditions apply:

   (1) The use of screws, nails or foot pegs in trees on City Property is prohibited.

   (2) Tree stands, Hunting blinds and trail cameras may be placed on City Property up to two weeks prior to the opening of the archery deer Hunting season.

   (3) Hunters may leave tree stands, Hunting blinds and trail cameras on City Property at their own risk on a first-come, first-served basis during Big Game Hunting seasons.

   (4) Any tree stand, Hunting blind or trail camera on City Property must be clearly and legibly labeled with the user’s name, Access Permit number (if applicable) and telephone number.

   (5) Tree stands, Hunting blinds and trail cameras must be removed from City Property by midnight of the last day of the Big Game Hunting season.

   (6) Tree stands, Hunting blinds and trail cameras unlabeled or left on City Property after Big Game Hunting season are subject to confiscation and disposal by NYCDEP pursuant to 15 RCNY § 16-12(e).

  1. Shooting Lanes. Hunters may cut limbs not greater than two inches in diameter and not further than twenty-five yards from a tree stand with a hand tool for purposes of clearing shooting lanes. The use of chainsaws is prohibited. Any vegetation removed for shooting lanes must be cut flush with the vegetation’s main stem. All vegetation cut must be scattered and not stacked to a height greater than 2 feet off of the ground.
  1. Use of Dogs. Dogs may be used for Hunting Small Game species in compliance with NYSDEC regulations. Dogs must be under the control of their handler at all times. Dog training activities are allowed on Public Access Areas consistent with NYSDEC regulations. Dogs must not be used for tracking injured deer or bear without express permission from NYCDEP Police as provided for in 15 RCNY § 16-12(j). Any tracking of injured deer or bear permitted by NYCDEP must comply with NYSDEC conditions for tracking injured deer or bear with dogs.
  2. Discharge of Firearms. Firearms may not be discharged over or into the waters of any Reservoir or Controlled Lake.
  3. Back Tags. Back Tags must be displayed while Hunting on City Property as required by NYSDEC.

§ 16-09 Hiking.

(a) Hiking Activities. Hiking activities permitted are: foot travel including Hiking, walking, running, cross-country skiing, snowshoeing, bird watching, nature observation, and photography.
  1. Designation. Areas that allow Hiking will be designated by NYCDEP on sign postings, the NYCDEP website, and on NYCDEP maps.
  2. Season. Access for Hiking is year-round except as otherwise restricted by these Rules or by NYCDEP postings or notices.

Subchapter C: Boats

§ 16-10.1 Fishing Boats.

People with valid Access Permits may fish on City Property from Fishing Boats with valid Fishing Boat Tags in accordance with the following Rules.

  1. Use. Fishing Boats with valid Fishing Boat Tags must be used at Access Permit Areas only for purposes of Fishing. All Fishing Boat occupants must be in possession of minimum Fishing equipment including a pole, line, and a hook and bait or a lure; and must be plausibly engaged in the activity of Fishing while using a Fishing Boat in Access Permit Areas.
  2. Eligible Boats. Boats eligible for Fishing Boat Tags shall be metal row boats, except boats on record as having had valid Fishing Boat Tags that were issued before March 31, 2006 may be wooden or fiberglass row boats. Only rowboats that are (1) a minimum of 11’6” in length and 42” in width and (2) a maximum of 16’ in length are permitted on City Property. Other vessels, including but not limited to sailboats, motorized boats, inflatable boats, guide/river boats, and collapsible boats are prohibited as Fishing Boats.
  3. Mooring. Mooring of Fishing Boats, including to buoys, is prohibited. A temporary anchor is allowed.
  4. Fishing Boat Season. On the Amawalk, Bog Brook, Boyds Corner, Cross River, Croton Falls, Diverting, East Branch, Kensico, Middle Branch, Muscoot, New Croton, Titicus, and West Branch Reservoirs, and on Lake Gilead and Lake Gleneida, Fishing Boats with valid Fishing Boat Tags may be placed on the water during any Ice Free Period. On all other New York City Reservoirs, Fishing Boats with valid Fishing Boat Tags may be placed on the water between April 1st and November 30th of each year during any Ice Free Period.
  5. Condition and Maintenance. Fishing Boat owners are responsible for the sanitary condition and seaworthiness of their vessels and for all activities that occur thereon. Any supplies used for Fishing Boat maintenance may not enter a water body and must be removed from City Property immediately following maintenance activities.
  6. Safety. Every Fishing Boat used on City Property must have at least one U.S. Coast Guard approved wearable personal flotation device in good condition for each person on board. Each person on board who is under the age of 12 must wear a securely fastened U.S. Coast Guard approved wearable flotation device of an appropriate size at all times. All boaters must comply with U.S. Coast Guard, New York State, and any other applicable laws and regulations.

   (1) Fishing Boats used after sunset must have a device (e.g. headlamp, flashlight, or lantern) at the ready capable of producing a white light, which must be temporarily exhibited in sufficient time to prevent collision. Fishing Boats users must wear U.S. Coast Guard approved wearable personal flotation devices after sunset.

  1. Capacity. Each Fishing Boat may carry no more than three occupants, unless the Fishing Boat has a U.S. Coast Guard approved “Maximum Capacities” plate or label affixed by the manufacturer that identifies a greater occupancy capacity.
  2. Winter Storage. Between December 1st and March 31st, Fishing Boats must be stored at a point above the High Water Mark within the assigned Boat Storage Area.
  3. Steam Cleaning and Storage. Due to the threat of Water Supply contamination by invasive species organisms that may be introduced to City Reservoirs and Controlled Lakes by boats previously used in contaminated waters, all Fishing Boats and equipment (i.e. anchors, anchor lines, paddles, etc.) used on City Reservoirs and Controlled Lakes must be registered and steam cleaned by NYCDEP or its designees, when available, as listed on the NYCDEP website, and stored on-site in Boat Storage Areas designated by NYCDEP. All Fishing Boats stored and used on City Reservoirs, Controlled Lakes and adjacent City Property must have a valid Fishing Boat Tag affixed thereto.
  4. Application. Fishing Boat Tag applications will be available for download on the NYCDEP website or for pick-up at NYCDEP facilities in New York City, NYCDEP offices throughout the Watershed and such other locations as indicated on the NYCDEP website.
  5. Fishing Boat Tag Application Required Information. A Fishing Boat Tag application will require the following information:

   (1) Applicant’s valid Access Permit number;

   (2) Applicant’s name, mailing address, phone number, electronic mail address, if available, and date of birth;

   (3) Boat make, model, serial number, color, width, length, material, and hull shape;

   (4) Designated Open Boat Storage Area requested;

   (5) Applicant’s acknowledgement of risk and waiver of liability;

   (6) Applicant’s acknowledgement and acceptance that NYCDEP or its designee has the right to allocate storage space for the Fishing Boat in accordance with 15 RCNY § 16-10.1(v); confiscate and store a Fishing Boat that NYCDEP determines is in violation of these regulations; to dispose of the Fishing Boat in accordance with 15 RCNY § 16-10.3; waives any right to assert a claim against NYCDEP and/or its designee or hold either liable under any circumstances including, but not limited to, damage to, or loss of, a boat or accessories such as, but not limited to, chains, locks and oars during its confiscation, storage or disposition.

   (7) Applicant’s signature and date of signature; and

   (8) Parent or legal guardian’s signature and date of signature if applicant is under 18.

  1. Eligibility. Valid Access Permit holders 16 years of age and older and who own the rowboat that they are registering are eligible to receive a Fishing Boat Tag for the boat documented on the application. Applicants ages 16-17 need parental or legal guardian consent. Each Fishing Boat Tag will be issued to a single Fishing Boat owner only. Access Permit holders may apply for Fishing Boat Tags for more than one Fishing Boat subject to the limitations included in these Rules under 15 RCNY § 16-10.3(7).

   (1) With express written permission from NYCDEP as provided for in 15 RCNY § 16-12(j), an organization that implements boat-sharing among its members, with a valid NYCDEP Access Permit, may be eligible to receive a Fishing Boat Tag for each of its Fishing Boats.

      (i) Organizations must submit a request for DEP to review and approve a boat-sharing program. The organization shall appoint a responsible party who shall be NYCDEP’s main point of contact and responsible for each Fishing Boat Tag issued in the organization’s name.

  1. Application Submission and Appointment. A Fishing Boat Tag application must be submitted to NYCDEP or its designee, when available, as listed on the NYCDEP website, at the boat registration appointment on the day the Fishing Boat is to be placed on an Open Boat Storage Area. The appointment must be made in advance by contacting the NYCDEP office nearest the Reservoir where the Fishing Boat will be located, or the NYCDEP designee, when available, as listed on the NYCDEP website. A completed application must be submitted in person at the processing appointment. A Fishing Boat Tag application may be completed in advance of the appointment. A cancelled appointment may be rescheduled to a later date as available.
  2. Boat Processing and Tag Issuance. A Fishing Boat owner must attend the processing appointment for his or her boat in person and must bring his or her boat, valid Access Permit, and government-issued photo identification. A boat processing appointment consists of the following steps:

   (1) The Fishing Boat owner must submit the completed Fishing Boat Tag application in person or via the NYCDEP website, when available.

   (2) Access Permit data on file shall be confirmed with the applicant. This information shall include contact information and Access Permit status.

   (3) Boat type, shape, size, color, make, model, serial number, absence of possible contaminants, boat condition (i.e. peeling paint) and apparent seaworthiness shall be confirmed and entered into the file.

   (4) Boats and equipment will be steam cleaned by NYCDEP or its designee on all surfaces to remove any possible Water Supply contaminants such as zebra mussel larvae.

   (5) A unique Fishing Boat number will be assigned and affixed to the boat by NYCDEP.

   (6) Upon completion of the boat cleaning and processing appointment, the Fishing Boat owner shall be given a Reservoir map and/or directions to the designated Open Boat Storage Area and must immediately place the registered Fishing Boat at the assigned Open Boat Storage Area.

   (7) Fishing Boat owners may be restricted from placing their Fishing Boat in certain Boat Storage Areas, as determined by NYCDEP. A Fishing Boat owner may submit a Waiting List application to NYCDEP which shall maintain and utilize such list as described in 15 RCNY § 16.10.1(v)(1)(ii) below.

  1. Rejection. Grounds for rejection of a Fishing Boat Tag application include the following:

   (1) Incomplete application;

   (2) Failure to meet application eligibility requirements;

   (3) Submission of false information;

   (4) Illegible application; and/or

   (5) Failure of Fishing Boat to meet inspection and cleaning standards;

Rejected applications will be returned immediately to the applicant, accompanied by an explanation of the reason(s) for rejection, and an opportunity provided for the immediate resubmission of the corrected application, if applicable. Within 10 days of applicant’s receipt of NYCDEP’s rejection notification, the applicant may send an appeal of NYCDEP’s refusal to issue a Fishing Boat Tag to the NYCDEP Deputy Chief of City Land Stewardship. Such appeal must include any relevant information pertaining to the basis for the refusal. Upon examination of the circumstances and generally within two weeks of receipt, the NYCDEP Deputy Chief City Land Stewardship will either uphold the refusal or revise NYCDEP’s prior decision and issue a Fishing Boat Tag upon such terms and conditions as may be appropriate. The applicant will be notified of NYCDEP’s determination in writing.

  1. Term. Fishing Boat Tags are valid for 4 years, or until the expiration date indicated thereon, if different, unless revoked, or altered by NYCDEP. If a Fishing Boat Tag is expired or revoked, the Fishing Boat owner must remove the boat from City Property promptly. NYCDEP may remove the Fishing Boats per 15 RCNY § 16-10.3. Fishing Boat Tag holders with an expired or suspended Access Permit may not use their Fishing Boat.
  2. Display. Fishing Boat Tags must be affixed to the upper port-side exterior bow of the corresponding registered Fishing Boat. The Fishing Boat Tag holder must keep a Fishing Boat Tag affixed and clearly legible at all times. The Fishing Boat owner must ensure that the NYCDEP-issued Fishing Boat numbers are clearly legible and visible. Fishing Boats with missing or illegible NYCDEP-issued Fishing Boat Tags and/or boat numbers are subject to confiscation by NYCDEP. Other non-NYCDEP issued numbers may need to be removed at NYCDEP’s discretion.
  3. Replacement. Lost or destroyed Fishing Boat Tags may be replaced upon the boat owner’s written request to NYCDEP by USPS or electronic mail. Replacements will generally be issued within two weeks.
  4. Renewal. A renewal Fishing Boat Tag notice or application will be sent via USPS or electronic mail to the address on file for each valid Fishing Boat owner, generally in the spring of the Fishing Boat Tag expiration year. Content of the renewal Fishing Boat Tag application will include confirmation of boat owner and boat information on file. Upon return of the application to NYCDEP by the applicant, a renewed Fishing Boat Tag will be updated and/or sent to the address on file for the Fishing Boat owner.
  5. Non-Transferability. Fishing Boat Tags are not transferable to either another person or another boat.
  6. Transfer of Fishing Boat Ownership. When an owner of a Fishing Boat with a valid Fishing Boat Tag (“Boat Seller”) transfers ownership of his or her Fishing Boat to another valid Access Permit holder (“Boat Purchaser”), the Boat Seller must submit a Boat Tag Surrender Form to NYCDEP listing the number of his or her Fishing Boat Tag either by mail or in person, noting the Boat Purchaser’s name and address. The Boat Purchaser must complete a Fishing Boat Tag application for the Fishing Boat, in accordance with 15 RCNY § 16-10.1(k), indicating the name of the Boat Seller from whom the Boat Purchaser purchased the boat.

   (1) NYCDEP will issue and mail a new Fishing Boat Tag and other materials to the accepted Boat Purchaser at the address on file, generally within 2 weeks of the Boat Purchaser’s Fishing Boat Tag application if the new Fishing Boat will be placed in an Open Boat Storage Area. New Fishing Boat Tags will not be issued in Closed Boat Storage Areas.

   (2) The new Fishing Boat Tag issued to the Boat Purchaser will supersede any prior Fishing Boat Tag issued for the Fishing Boat, including the Boat Seller’s Fishing Boat Tag which is null and void upon the Fishing Boat’s transfer to the Boat Purchaser. The Boat Purchaser must remove any prior Fishing Boat Tag(s). The Fishing Boat Tag issued to the Boat Purchaser must be affixed in accordance with 15 RCNY § 16-10.1(q) above.

  1. Fishing Boat Storage Areas. Each registered Fishing Boat will be assigned by NYCDEP and/or its designee to a Fishing Boat Storage Area that has a space available as determined by NYCDEP. Assignment of a Fishing Boat to a Fishing Boat Storage Area is valid for the duration of the Fishing Boat Tag. The Fishing Boat must be stored in the assigned Boat Storage Area when not in use on the water. A Fishing Boat not stored within its assigned Fishing Boat Storage Area will be subject to confiscation by NYCDEP.

NYCDEP may grant a Fishing Boat Tag holder a storage space in either a:

   (1) Closed Boat Storage Area: a Boat Storage Area designated by NYCDEP that requires protection to prevent damage to City Property such as erosion, soil compaction or loss of vegetation. The number of Fishing Boats stored in a Closed Boat Storage Area may not exceed the number of Fishing Boats NYCDEP reasonably determines as the limit for that area, in view of conditions in and around such area. Fishing Boat owners may request to be on a Waiting List, described below, to store his or her Fishing Boat in a Closed Boat Storage Area. Provided the Fishing Boat owner remains in good standing and has resolved any violation of these regulations to NYCDEP’s satisfaction, upon submission of a renewal for a Fishing Boat Tag that was previously assigned to a Closed Boat Area, NYCDEP will assign the same Fishing Boat to the Closed Storage Area it is located in provided the Fishing Boat has not been transferred to a new owner since the prior Fishing Boat Tag was issued by NYCDEP.

      (i) If a Fishing Boat Owner transfers ownership of a Fishing Boat that is stored in a Closed Boat Storage Area, the Boat Purchaser must remove the Fishing Boat from the Closed Boat Storage Area. The Boat Purchaser may submit a Fishing Boat Tag application to store the boat in an Open Boat Storage Area on the same Reservoir. If there is no Open Boat Storage Area on that Reservoir, the Boat Purchaser must remove the Fishing Boat from City Property. The Boat Purchaser may submit a Fishing Boat Tag application to place the Fishing Boat in an Open Boat Storage Area on another Reservoir and, in addition, may submit a Waiting List Application for a Reservoir with a Closed Boat Storage Area.

      (ii) Waiting List: NYCDEP will maintain and utilize a Waiting List for each Reservoir with a Closed Boat Storage Area in order to allocate Fishing Boat storage spaces in such areas. A person may request to be placed on a Reservoir’s Closed Boat Storage Area Waiting List by requesting a Waiting List application from NYCDEP or its designee, completing the Waiting List application, and returning it to NYCDEP either by mail or in person. NYCDEP will place the name on the Waiting List based upon the order in which the completed Waiting List application was received except that a Fishing Boat owner who has exceeded the boat limits established by NYCDEP pursuant to 15 RCNY § 16-10.3(7) will not be placed on a Waiting List.

   (2) Open Boat Storage Area: a Fishing Boat storage area designated by NYCDEP that has suitable storage space as determined by NYCDEP for a Fishing Boat with a Fishing Boat Tag without overcrowding or damaging City Property. NYCDEP will assign each applicant who receives a Fishing Boat Tag a storage space in an Open Boat Storage Area on the requested Reservoir, if available. If there is no Open Boat Storage Area on the requested Reservoir, the applicant may submit a Waiting List application as described in 15 RCNY § 16-10.1(v)(1)(i) and (ii) above.

A Fishing Boat owner may request a change of an assigned Boat Storage Area for their Fishing Boat on the same water body once per calendar year by contacting NYCDEP. NYCDEP will grant a change of an assigned Boat Storage Area provided that the requested Boat Storage Area is open to additional Fishing Boats.

  1. Fishing Boat Storage. When not in use on the water for Fishing, a Fishing Boat must be stored in its assigned Boat Storage Area at all times. From December 1st to April 1st, a Fishing Boat must be stored above the High Water Mark within its assigned Boat Storage Area. It is recommended that a Fishing Boat owner store their Fishing Boat back from the shoreline so as not to obstruct other anglers’ access to the water. DEP, at its sole discretion, may delineate by signage or on maps, shoreline buffer zones, which are within 10 feet of the High Water Mark of the shoreline. A shoreline buffer zone may be delineated on a new and/or an expanded Boat Storage Area or in an existing Boat Storage Area that is considered to have soil compaction, vegetation loss, or erosion. Fishing Boats found within a NYCDEP-delineated shoreline buffer zone are subject to removal by NYCDEP.

Where manufactured hitching posts, stanchions or boat racks are supplied and have available space, a Fishing Boat must be secured to them. A Fishing Boat must not be stored on or against other stored Fishing Boats, as this may make some Fishing Boats inaccessible to their owners.

A Fishing Boat must not be stored leaning against a tree unless there is no space available on a hitching post or other securing mechanism as provided by NYCDEP. Storage against a tree must be in a manner that does not damage the tree or may result in the boat being blown over into a hull-down position. A Fishing Boat must not be secured to a dead tree or a tree marked with blue paint by NYCDEP.

Improper stored boats may be subject to removal by NYCDEP or Access Permits holders may be subject to the penalties in 15 RCNY § 16-15.

  1. Fishing Boat Placement and Securing. To prevent the creation of insect breeding grounds in water-filled Fishing Boats, each Fishing Boat must, except as provided in this subdivision, be stored hull-up (upside down) and flat against the ground at all times.

A Fishing Boat owner may store on site such fishing equipment as may be secured under their overturned, stored Fishing Boat. Equipment or items left on City Property and not secured under a Fishing Boat is subject to NYCDEP confiscation and disposal. A Fishing Boat owner is encouraged to secure their stored Fishing Boat to reduce the possibility of theft and scattering. Improper stored boats may be subject to removal by NYCDEP or Access Permits holders may be subject to the penalties in 15 RCNY § 16-15.

  1. Owner Removal of a Fishing Boat. Fishing Boat owners may remove their Fishing Boats from City Property at any time. Fishing Boat owners must notify the appropriate NYCDEP Boat Office before removing their Fishing Boat from City Property. Upon removal of a Fishing Boat from City Property, its Fishing Boat Tag is immediately rendered invalid and the boat can no longer be stored or used on City Property. Fishing Boat owners wishing to return a once-registered, removed Fishing Boat to a City Reservoir or Controlled Lake must make a registration and processing appointment with the appropriate NYCDEP Boat Office, or designee, as listed on the NYCDEP website.
  2. Change of Reservoir or Controlled Lake. Fishing Boat owners with a valid Access Permit may change the location of their Fishing Boat from one Reservoir or Controlled Lake to another Reservoir or Controlled Lake provided there is an Open Boat Storage Area. Such change will be treated the way a new boat would be treated. This will require an application, boat processing appointment, and a new Fishing Boat Tag. It is prohibited for a boat owner to move their boat away from the assigned Reservoir or Controlled Lake without first notifying and securing approval from the appropriate NYCDEP Boat Office. It is prohibited for a Fishing Boat owner to place any boat on a Reservoir or Controlled Lake without a valid Fishing Boat Tag for that location. The Fishing Boat must be steam cleaned and receive a new Fishing Boat Tag for the new Boat Storage Area.

(aa) Loaning a Fishing Boat. Fishing Boats with a valid Fishing Boat Tag may be loaned to other valid Access Permit holder(s) with written permission from the Fishing Boat owner, which includes the term of the loan. The person being loaned the Fishing Boat must carry such written permission while using the Fishing Boat.

§ 16-10.2 Recreational Boats.

Recreational Boating is allowed on the Cannonsville, Neversink, Pepacton and Schoharie Reservoirs in NYCDEP designated Recreational Boating Areas and in NYCDEP’s discretion. The Recreational Boating Areas may be entered and used for Recreational Boating by persons with valid Access Permits and Recreational Boating Tags as provided in these Rules. Recreational Boating Areas and launch sites will be designated by NYCDEP on sign postings, on the NYCDEP website, on NYCDEP maps, and/or in other publications and notices available from NYCDEP and at local sporting outfitters.

  1. Season. Access to Recreational Boating Areas begins at sunrise on May 1st and ends at sunset on October 31st or as otherwise determined by NYCDEP, and is 7 days a week from sunrise to sunset, except as otherwise restricted on NYCDEP sign postings, on the NYCDEP website, on NYCDEP maps, and/or in other publications or notices.
  2. Recreational Boat Tags. All boats used in Recreational Boating Areas must be registered and steam cleaned by NYCDEP’s designees, as listed on NYCDEP’s website, and must have a valid Recreational Boat Tag affixed to the upper port side exterior bow.

   (1) Eligibility. Boats eligible for Recreational Boat Tags include but are not limited to canoes, sculls, metal jonboats, rowboats and kayaks that measure no less than 9 feet in length. Inflatable boats, collapsible boats, swim and paddle boards, stand up kayaks, kayaks with pedal drive systems and or sails, sailboats and motorized boats are prohibited. NYCDEP may, at its discretion, add to or delete from the list of boats eligible for Recreational Boat Tags. Changes to the list will be designated by NYCDEP on sign postings, on the NYCDEP website, on NYCDEP maps, and/or in other publications and notices available from NYCDEP and at local sporting outfitters.

   (2) Term. Seasonal Recreational Boat Tags will be valid for the full season as defined in subparagraph (a) of this section. NYCDEP, at its discretion, may issue a temporary tag valid for 1 to 7 days. Recreational Boat Tags only remain valid so long as the boat owner’s Access Permit is valid. Recreational Boat Tag holders with an expired, suspended or revoked Access Permit may not use their Recreational Boat.

   (3) Application. Recreational Boat Tag applications will be available at the same locations as Access Permit applications, including the NYCDEP website, and will also be available at vendors/designees as approved by NYCDEP for processing Recreational Boats for use in Recreational Boating Areas.

   (4) Required Information. A Recreational Boat Tag application requires the following information:

      (i) Applicant’s valid Access Permit number;

      (ii) Applicant’s name, mailing address, phone number, electronic mail address, if available, and date of birth;

      (iii) Boat make, model, color, width, length, material, and hull shape and if known, serial number;

      (iv) Selection of Recreational Boat Tag term;

      (v) Applicant’s acknowledgement of risk and waiver of liability;

      (vi) Applicant’s acknowledgement and acceptance that NYCDEP or its designee has the right to confiscate and store a boat that NYCDEP determines is in violation of these regulations and to dispose of the boat in accordance with 15 RCNY § 16-10.3; waives any right to assert a claim against NYCDEP and/or its designee or hold either liable under any circumstances for damage to, or loss of, a boat or accessories such as, but not limited to, chains, locks and oars during its confiscation, storage or disposition.

      (vii) Applicant’s signature and date of signature; and

      (viii) Parent or legal guardian’s signature and date of signature if the applicant is aged 16 or 17.

   (5) Boat Processing, Registration, Steam Cleaning and Recreational Boat Tag Issuance. Recreational Boat Tag applications may be completed in advance of submission, except for the portions which must be completed when the boat is registered, steam cleaned and placed on the Reservoir. Prior to entering Recreational Boating Areas, all Recreational Boats and equipment (i.e. anchors, anchor lines, paddles, etc.) must be steam cleaned by one of NYCDEP’s designees at the appropriate office as listed on the NYCDEP website. Recreational Boat Tags cannot be transferred from one person to another.

  1. Recreational Boat Launch Sites. Recreational Boats may only be placed in or taken out of Recreational Boating Areas at Recreational Boat launch sites designated by NYCDEP.
  2. Recreational Boat Storage Areas and Recreational Boat Storage. NYCDEP’s designee will assign an available Boat Storage Area as determined by NYCDEP for all Recreational Boats. No Recreational Boat may be stored in a shoreline buffer zone, which is within 10 feet of the shoreline. A Recreational Boat not stored within its assigned Boat Storage Area, or is in a Boat Storage Area closed by NYCDEP, or to which it was not assigned, will be subject to confiscation by NYCDEP.

Where manufactured hitching posts, racks and/or stanchions are supplied by NYCDEP and have available space, a Recreational Boat must be secured to one of them. NYCDEP may also designate certain locations within the Boat Storage Areas for Recreational Boat Storage, which will be delineated at the storage area by NYCDEP.

A Recreational Boat may not be stored on or against another stored boat. A Recreational Boat must not be stored leaning against a tree unless there is no space available on a hitching post or other securing mechanism as provided by NYCDEP. Storage against a tree must be in a manner that does not damage the tree or may result in the boat being blown over into a hull-down position. A Recreational Boat must not be secured to a dead tree or a tree marked with blue paint by NYCDEP.

A Recreational Boat must be stored, at the owner’s risk, in the vicinity of the Recreational Boating Area’s launch sites above the High Water Mark back from the shoreline so as not to obstruct access to the water, and in a hull up (upside down) position so as not to collect water.

To prevent the creation of insect breeding grounds in water-filled Recreational Boats, each Recreational Boat must, except as provided in this subdivision, be stored hull up (upside down) and flat against the ground at all times.

A Recreational Boat owner may store on site such boating equipment as may be secured under their overturned, stored Recreational Boat. Equipment or items left on City Property and not secured under a Recreational Boat is subject to NYCDEP confiscation and disposal. A Recreational Boat owner is encouraged to secure their stored Recreational Boat to reduce the possibility of theft and scattering.

Improper stored boats may be subject to removal by NYCDEP or Access Permits holders may be subject to the penalties in 15 RCNY § 16-15.

  1. Owner Removal of Recreational Boat. Recreational Boats with Recreational Boat Tags may be removed from Recreational Boat Areas by their owners at any time before the Recreational Boat Tag’s expiration date. Recreational Boat owners with a Seasonal Recreational Boat Tag must notify the appropriate NYCDEP Boat Office before such removal. Upon removal of a Recreational Boat from a Recreational Boating Area, its Recreational Boat Tag is immediately rendered invalid. Recreational Boat owners wishing to return a once-registered, removed Recreational Boat to a Recreational Boating Area must secure a new Recreational Boat Tag.
  2. Safety. Every Recreational Boat used on City Property must have at least one U.S. Coast Guard approved wearable personal flotation device in good condition for each person on board. Each person on board who is under the age of 12 must wear a securely fastened U.S. Coast Guard approved wearable flotation device of an appropriate size. All boaters must comply with U.S. Coast Guard, New York State, and any other applicable laws and regulations regarding personal flotation device use.
  3. Capacity. Each Recreational Boat may only carry the occupants as recommended by the manufacturer unless the Recreational Boat has a U.S. Coast Guard approved “Maximum Capacities” plate or label affixed by the manufacturer that identifies a greater occupancy capacity.
  4. Condition and Maintenance. Recreational Boat owners are responsible for the sanitary condition and seaworthiness of their vessels and for all activities that occur thereon.
  5. Use. Fishing is a permissible, but not required, use of Recreational Boats.

§ 16-10.3 Confiscation, Storage, Disposal, and Limitations of all Boats.

(1) NYCDEP Confiscation of any Boat. Any boat left in the water unattended; found on land outside of the boat’s assigned Boat Storage Area; found in a closed Boat Storage Area to which it was not assigned; found without a valid Fishing or Recreational Boat Tag or with illegible boat numbers; found on City Property after expiration or revocation of the owner’s Fishing or Recreational Boat Tag or Access Permit; found in a Restricted Area, or abandoned or otherwise not in compliance with these Rules is subject to confiscation and storage by NYCDEP or its designee at the owner’s expense.

By accepting a Fishing or Recreational Boat Tag, the owner of the tagged boat acknowledges and accepts NYCDEP’s and its designee’s right to confiscate and store a boat that NYCDEP determines is in violation of these regulations; NYCDEP’s right to dispose of the boat in accordance with this section; and waives any right to assert a claim against NYCDEP and/or its designee for such confiscation and/or disposal or hold either liable under any circumstances for damage to, or loss of, a boat or accessories such as, but not limited to, chains, locks and oars during its confiscation, storage or disposition.

When a boat is confiscated by NYCDEP or its designee, a record of the boat’s condition will be prepared and maintained including the following information: a boat description, date of confiscation, storage location, condition, equipment with the boat, if any, estimated value, and whether it appears seaworthy or not. Such record will be maintained until NYCDEP or its designee disposes of said boat in accordance with these Rules.

When a boat is confiscated, a one-time confiscation penalty of $120.00 will be assessed per boat. A storage fee of $1.00 per day will also be assessed per boat until the boat is claimed by its owner, or until the storage fee adds up to $90. Together the confiscation penalty and storage fees will not exceed $210.00 in total per boat.

NYCDEP or its designee will send a written notice to attempt to contact the owner of a NYCDEP confiscated boat within 30 days from the date NYCDEP deems the boat confiscated in order to notify such owner of the boat’s status. This written notice will be documented by NYCDEP or its designee and may be by USPS mail, or electronic mail using the contact information on file for the Access Permit/Boat Tag holder. If a confiscated boat has no record of ownership with NYCDEP, the boat will be held for 3 months and if unclaimed, disposed of in accordance with 15 RCNY § 16-10.3(4).

  1. Storage of NYCDEP-Confiscated Boats. NYCDEP or its designee will secure a confiscated boat on NYCDEP or its designee’s property until the confiscated boat is claimed by its owner or until 3 months have passed from the date of notice of confiscation by NYCDEP or its designee. Storage may include a boat being left in place and secured on City Property until it can be disposed of by NYCDEP or its designee.
  2. Owner Claim of Confiscated Boats. All boats confiscated and stored by NYCDEP or its designee will be available for claim and pick up within the 3 month storage period by the boat owner of record, by appointment with NYCDEP or its designee. NYCDEP or its designee’s staff will confirm that the person claiming the boat is the boat owner of record. Any accumulated confiscation penalty and storage fees must be paid to the order of NYCDEP by certified check, bank check, or money order and must be tendered to NYCDEP or its designee in order for the boat to be released. An owner must pay any accumulated penalties and fees and remove their claimed boat at the same appointment; NYCDEP or its designees will not hold claimed boats or allow deferred payment. NYCDEP, or its designee after consulting with NYCDEP, may in extreme circumstances (such as death or a debilitating illness of a boat owner), waive any accumulated penalties and/or fees.
  3. Disposal of confiscated property. When necessary, NYCDEP will dispose of boats and other property confiscated by NYCDEP through any of the following means:

   (i) Sale by the New York City Department of Citywide Administrative Services; or

   (ii) Public auction by NYCDEP or its designee.

  1. Boat Relinquishment. Boat owners or their representatives may relinquish ownership of their boat stored on City Property to NYCDEP directly or through NYCDEP’s designee according to the following process:

   (i) The boat owner or his or her representative must write a letter stating that he or she relinquishes ownership of his or her boat to NYCDEP. The letter must contain the following information:

      (a) boat owner name, address, telephone number, and Access Permit number;

      (b) boat number and Boat Storage Area;

      (c) if written by the boat owner, the signature of the boat owner; and

      (d) date of signature.

   (ii) If the letter is written by the representative of a boat owner, the representative must affirm in writing his or her ability to act on behalf of the boat owner for the purposes of relinquishing ownership to NYCDEP.

   (iii) The relinquishment letter must be mailed to NYCDEP at 71 Smith Avenue Kingston, NY 12401 or its designee, if applicable.

  1. Lost and Stolen Property. Property owners must report all property believed to be lost or stolen to the appropriate NYCDEP Boat Office and the NYCDEP Police upon discovery. A boat owner whose boat has been stolen and has filed a report with NYCDEP Police may replace the boat at the same Boat Storage Area within 90 days of the Police report filing date. This will be allowed even if the Boat Storage Area is closed.
  2. Limitations. To limit potential adverse water quality or natural resource impacts, overcrowding, and for other such other reasons as NYCDEP may deem necessary or appropriate, NYCDEP may:

   (i) Limit the number of valid Fishing or Recreational Boat Tags any individual can hold at one time;

   (ii) Limit the number of Reservoir-specific valid Fishing or Recreational Boat Tags any individual can hold at one time;

   (iii) Limit the total number of Fishing or Recreational Boat Tags issued for a particular Reservoir or Controlled Lake; and/or,

   (iv) Limit the number of boats stored at a particular Reservoir or Controlled Lake, Boat Storage Area or boat launch site.

   (v) If and when limits are determined to be necessary by NYCDEP, they shall be posted on the NYCDEP website and be available at NYCDEP offices, and its designees’ boat steam cleaning sites, if applicable.

   (vi) Any limitations proposed per above shall apply to new Fishing Boat or Recreational Boat Tag holders.

§ 16-11 Restricted Areas.

(a) General. NYCDEP may, in its discretion, temporarily limit or forbid access to any or all City Property at any time and from time to time as may be necessary for Water Supply security, for public safety or resource protection. Such limitation on or prohibition of access will be indicated by posting signs and, when applicable, on the NYCDEP website and/or by publishing announcements.
  1. Location. Unless otherwise posted, all persons other than NYCDEP employees and contractors on City business, on-duty law enforcement personnel and others with express written permission from NYCDEP as provided for in 15 RCNY § 16-12(j) are prohibited from entering City Property that is:

   (1) On or within 500 feet of any dikes, dams, tunnel outlets, spillways, buildings and other “significant” Water Supply structures as may be designated by NYCDEP in its sole discretion. Other distances within which access is prohibited may be applied at NYCDEPs discretion. These larger Restricted Areas will be delineated by signs and on public maps on the NYCDEP website.

   (2) Any area not officially designated as a Access Permit Area, Public Access Area, Day Use Area, or an area not specifically designated for access; and

   (3) Any other area posted with signs such as “No Trespassing” or otherwise designated as a Restricted Area.

Subchapter D: General Provisions and Prohibitions

§ 16-12 General Rules.

The following general requirements apply to all Recreational Use on City Property:

  1. Personal Identification. All visitors to City Property 16 years and older must carry government (or school-issued, for individuals 18 and younger) photo identification while on City Property and must produce such identification upon request of any law enforcement officer or NYCDEP representative.
  2. Signs and Instruction. All persons on City Property must observe all instructions and warnings on posted signs and notices and from NYCDEP representatives.
  3. Trespass. All persons entering City Property should respect the rights of owners of adjacent property and must not trespass onto private lands.
  4. Property Use and Designation. NYCDEP will designate and list Recreational Areas by posting signs and, when applicable, by publishing announcements on the NYCDEP website, on NYCDEP maps, and/or in other publications and notices.
  5. Abandoned and Confiscated Property Other than Boats. Abandoned or prohibited equipment found on City Property will be confiscated by NYCDEP. The property will be stored by NYCDEP for 3 months. If the abandoned property remains unclaimed after 3 months, it will be disposed of in accordance with 15 RCNY § 16-10.3(4).
  6. Other licenses. While on City Recreational Areas, individuals must possess all applicable NYSDEC Hunting, Fishing and Trapping licenses as required by the NYSDEC Environmental Conservation Law.
  7. Recreational Area Closures. NYCDEP may close Recreational Areas or any parts thereof, to public access and may limit the number of recreational users permitted in a Recreational Area as it deems necessary. Possible considerations for Recreational Area closure include but are not limited to Water Supply protection, management and security concerns and user conflicts. Closures will be indicated on the NYCDEP website and/or sign postings.
  8. Season. Recreational Area seasons are year-round except as otherwise restricted by these Rules and/or NYCDEP sign postings, on the NYCDEP website, on NYCDEP maps, and/or in other publications or notices.
  9. Hours. NYCDEP may limit or restrict the hours for any Recreational Area or any parts thereof that may be accessed and used by the public. Hour restrictions will be indicated on the NYCDEP website and/or sign postings.
  10. Express Written Permission. Where provided for by these Rules, NYCDEP may grant permission on a case-by-case basis for certain activities on City Property, when considering, among other factors, compatibility with water quality protection, site constraints, administrative burdens, public safety and security, site management considerations such as universal access and whether the use will serve a significant public purpose.

§ 16-13 Regulated Activities.

The provisions of this section apply to the specified activities and uses on all City Property.

  1. Injury, Destruction or Abuse of Natural Resources or Property. No person shall disturb, deface, remove or injure any vegetation, trees, wildlife, soil, stone or other cultural or natural resources located on City Property, including, but not limited to equipment, sampling stations, fences, gates, stone walls, boundary markers, monuments, blaze marks, NYCDEP signs, roads, trails or other improvements, without prior written permission from NYCDEP as provided for in 15 RCNY § 16-12(j) or as otherwise allowed by these Rules.
  2. Firearms, Weapons, Explosives. Rifles, shotguns, handguns/pistols, air rifles, crossbows, bows and arrows and muzzleloaders may only be carried while actively Hunting as allowed by these Rules and in accordance with NYSDEC regulations. As provided above, handguns/pistols may only be carried by those who hold a valid handgun license or pistol permit. Hunting or pocket knives may be carried and used by those engaged in Hiking, Fishing, Hunting or Trapping. All other weapons, fireworks, and explosives are prohibited.
  3. Animals. Animals are prohibited from City Property except for:

   (1) Dogs under the control of the owner on PAAs.

   (2) Dogs actively used for Hunting on APAs.

   (3) Leashed dogs on designated trails and DUAs as posted on signs.

   (4) Service dogs may be used in all PAAs, APAs and DUAs.

Dog owners must remove their dog’s feces from City Property. Dogs are not permitted to enter any water body except in Public Access Areas.

  1. Posting of Notices or Signs. The posting of signs or notices is prohibited except for:

   (1) Flagging Tape. Temporary marking with flagging tape is allowed for Hiking, bushwhacking, game tracking or to mark a Hunting location. Flagging must be removed by the end of the activity or the end of Big Game season, as applicable.

  1. Tents and Other Structures. Tents and other temporary or permanent structures, except for temporary tree stands, temporary Hunting blinds, temporary trail cameras for Hunting and temporary ice fishing windbreaks, are not allowed on City Property and are subject to confiscation by NYCDEP at the owner’s expense and risk.
  2. Motor Vehicle Access. Trucks, automobiles, all-terrain vehicles, motorcycles, snowmobiles and all other motorized vehicles, including aircraft, are prohibited on all City Property unless allowed by NYCDEP on postings, NYCDEP maps and/or notices or by express written permission from NYCDEP as provided for by 15 RCNY § 16-12(j). Vehicles that are: (1) blocking gates or entryways, (2) found in areas posted with “No Parking” signs, (3) found in any unauthorized area on City Property, or (4) found without a valid NYCDEP Vehicle Tag on any City Property other than a Public Access Area or a Day Use Area, may be subject to confiscation and storage by NYCDEP at the owner’s expense and risk.

§ 16-14 Prohibitions.

The activities and uses listed in this section are prohibited on all City Property in the Watershed.

  1. Littering, Polluting, Dumping. No person shall in any manner cause any rubbish, garbage, solid waste, hazardous waste, trash, refuse, organic or inorganic waste, cremated remains, diseased or dead animal or other offensive matter or any abandoned property or material to be placed or left on City Property. Upon leaving City Property, recreation users must remove any and all equipment, supplies, or other items brought onto the City Property. This includes but is not limited to: equipment packaging, fishing line, bait, bait containers, lures, hooks, sinkers, bobbers, shell casings, scent bottles, food and drink containers, bags, chairs, and clothing. Recreation users are encouraged to carry trash bags with them and remove trash and litter left by others to help protect the Water Supply, wildlife and the scenic appearance of City Property.
  2. Bathing, Swimming, Washing of Objects. No bathing, swimming or washing of any objects is permitted on City Property.
  3. Unauthorized Presence on City Property. No person shall enter upon and remain on City Property unless participating in a Recreational Use activity as allowed by these Rules.
  4. Target Shooting. Target or clay bird shooting is not permitted on City Property.
  5. Camping. Camping is not permitted on City Property.
  6. Fires. The causing, building or maintaining of fires on City Property is prohibited except as otherwise allowed per NYCDEP or NYSDEC signage.
  7. Smoking. Smoking, including electronic cigarettes (e-cigarettes), is prohibited on all City Property at all times.
  8. Motorized Equipment. The use or possession of motorized equipment on City Property is prohibited except as allowed in 15 RCNY § 16-07(g)(6) and unless specifically designated by NYCDEP on sign postings, NYCDEP maps, or on notices, or unless NYCDEP grants express written permission for such use or possession as provided for by 15 RCNY § 16-12(j).
  9. Commercial Activities. The use of City Property for any commercial activity or as part of any commercial enterprise is prohibited unless NYCDEP or its designee grants express written permission for such use as provided for by 15 RCNY § 16-12(j).
  10. Other Activities. Any recreational or other activity not expressly allowed by these Rules, including but not limited to bicycle riding, horseback riding, ice-skating, sleigh riding, and downhill skiing, is prohibited on City Property unless specified by NYCDEP on sign postings and, where applicable, on other notices, or unless NYCDEP grants express written permission for such use as provided for by 15 RCNY § 16-12(j).
  11. Manned and Unmanned aircraft. No person shall Voluntarily take off or land any contrivance now or hereafter invented for flight in the air, including drones, aircraft and model aircraft, within any lands or waters administered by NYCDEP except with prior written permission from NYCDEP as provided for by 15 RCNY § 16-12(j).
  12. Horses. Horses are not permitted on City Property.
  13. Biking. The use of bicycles and similar non-motorized vehicles on City Property is prohibited except in DUAs as posted by NYCDEP.

§ 16-15 Rule Infractions.

Any violation of these Rules by an Access Permit holder or by any person accompanying an Access Permit holder is cause for confiscation, suspension or revocation of such Access Permit and any related Tags. Such violation may also affect issuance of future Access Permits and/or Tags as determined by NYCDEP and may also subject the violator to prosecution to the fullest extent of the law.

  1. Confiscation. Upon request of a NYCDEP representative or law enforcement officer, an Access Permit holder or Guest Pass holder must surrender his or her Access Permit and/or Guest Pass and/or any related Tag to the requestor and must immediately leave the City Property.
  2. Notification Procedure. Upon examination of the circumstances, NYCDEP will make a determination to suspend, revoke or return the Access Permit, Guest Pass, and/or Tag. DEP will send its written determination within 45 days of the alleged violation. NYCDEP will send a letter of suspension, revocation, or reinstatement via USPS or electronic mail to the individual’s address on file. This letter will specify:

   (1) Date, location, and nature of the alleged infraction;

   (2) The alleged violator’s name, address, and Access Permit or Tag number(s), as applicable;

   (3) Citation of the alleged violation as per these Rules;

   (4) Notification of penalty imposed and Access Permit or Tag status;

   (5) Notification of the opportunity and timeline for appeal.

  1. Suspension. If NYCDEP determines that the Access Permit and Tag should be suspended, a letter including the basis for the suspension, the period of suspension and the expiration date of the suspension period will be sent to the Access Permit holder at the address on file.

   (1) Access Permits and Tags may be renewed while suspended; however, the suspended Access Permit holder will not receive a new Access Permit or Tag(s) during the suspension period. Suspended Access Permits may only be renewed by using the NYCDEP Access Permit Update Form. The Access Permit Update Form will be available for download on the NYCDEP website. NYCDEP online renewals will not be allowed for suspended Access Permits. The completed NYCDEP Access Permit Update Form must be mailed to the address on the NYCDEP website. The renewed Access Permit will remain in NYCDEP custody during the suspension period.

   (2) The suspended Access Permit holder may not enter upon City Property for Recreational Uses until the period of suspension has ended and NYCDEP returns the Access Permit and related Tags, as applicable.

   (3) Depending on the severity of the violation and record of previous violations, Access Permit/Tag suspension may be from 2 months to 5 years from the date of the violation.

   (4) Persons with a suspended Access Permit may be permitted, at NYCDEP’s discretion, to leave valid Fishing Boats on a Reservoir; however, they may not access or use the Fishing Boat without a Valid Access Permit.

   (5) When Access Permits expire under suspension and are not renewed, all Tags automatically expire and all boats operated under these Tags must be removed from City Property.

  1. Penalty Schedule. First offenses of the Rules will result in suspension that is one-third the maximum suspension term as specified in the penalty table for the specific violation. Second offenses will result in a suspension that is one-half the maximum suspension period for the specific violation, and third offenses will result in the maximum suspension period for the specific violation. Two or more violations in one incident shall result in the minimum penalty for the most egregious violation. Violations of 3 or more sections of the Rules during a single incident or individual offenses which have seriously threatened public safety, Water Supply safety or security, or the personal safety of individuals will result in the maximum penalty for the single most egregious violation. In addition, certain violations of the Rules may result in the issuance of a summons for trespass and/or other applicable violations of law and/or arrest.

   (1) Fishing and Recreational Boat Tag holders whose boats are confiscated 3 times within a 5 year period by NYCDEP may be subject to Access Permit suspension and loss of future Tag privileges.

   (2) The maximum penalty for violation of the Rules is a 3 year suspension for holders of Access Permits or a 3 year suspension from applying for an Access Permit, except for those infractions listed in the table below.

Individuals who have committed 4 or more offenses within a 5 year period, or who have seriously threatened public safety, Water Supply safety or security, or the personal safety of individuals through means not specifically enumerated in this penalty schedule may be subject to the revocation of all public access privileges.

  1. Revocation. If NYCDEP determines that the Access Permit and/or Tag should be revoked due to significant or repeated violations, a letter including the basis for revocation will be sent to the former Access Permit holder. Upon such determination, all Tags held by the former Access Permit holder will also be revoked. All boats must be removed by the owner promptly, and in any event, within the time limits specified in the NYCDEP revocation letter. The length of time allowed for boat removal in such revocation letter will be based on (i) weather and (ii) administrative considerations. The boats under the name of the former Access Permit holder must be removed from City Property in the presence of a NYCDEP representative. If the boats are not removed by the owner, NYCDEP may remove the boats per 15 RCNY § 16-10.3. The former Access Permit holder may not apply for a new Access Permit and/or Tag until the date specified in the letter, if any.
Applicable Rules Section Violation Description Access Permit Suspension Term
15 RCNY §§ 16-04.2, 16-08, 16-14 Tree stands, Hunting Blinds and Trail Cameras (15 RCNY § 16-08(h)); Shooting lanes (15 RCNY § 16-08(i)); Vehicle Tags (15 RCNY § 16-04.2); Smoking (15 RCNY § 16-14(g)) 2 - 6 months
15 RCNY §§ 16-07, 16-08, 16-10.1, 16-10.2, 16-12 Season (15 RCNY § 16-07(c)), (15 RCNY § 16-08(c)), (15 RCNY § 16-10.1(d), (15 RCNY § 16-10.2(a)); (15 RCNY § 16-12(h); Means (15 RCNY § 16-07(e)); Equipment (15 RCNY § 16-07(g), 15 RCNY § 16-14(h)); Entrails (15 RCNY § 16-07(h); Game Cleaning Practices (15 RCNY § 16-08(g)); Boat Safety/Capacity (15 RCNY § 16-10.1(f), (g); 15 RCNY § 16-10.2(f), (g)); Ice Fishing (15 RCNY § 16-07(k)); Hunter Behavior/Safety (15 RCNY § 16-08(f)); Fishing Boat Tag (15 RCNY § 16-10.1(a), (b), (i), (p), (q), (t), (u)); Fishing Boat Storage, Placement, and Securing (15 RCNY § 16-10.1 (v), (w), (x)); Recreational Boat Tag (15 RCNY § 16-10.2(b)); Recreational Boat Launch Sites, Storage Areas, and Storage (15 RCNY § 16-10.2(c), (d)); General Rules (15 RCNY § 16-12) 4 months - 1 year
15 RCNY §§ 16-03.1, 16-03.2, 16.03.3, 16-04 Public Access Areas (15 RCNY § 16-03.1); Day Use Areas (15 RCNY § 16-03.2); Special Event Areas (15 RCNY § 16-03.3); Access Permit Areas (15 RCNY § 16-04) 1 - 3 years or revocation
15 RCNY §§ 16-11, 16-13, 16-14, 16-16 Restricted Areas (15 RCNY § 16-11); Injury, Destruction or Abuse of Natural Resources or Property (15 RCNY § 16-13(a)); Firearms, Weapons, Explosives (15 RCNY § 16-13(b)); Animals (15 RCNY § 16-13(c)), Tents and Other Structures (15 RCNY § 16-13(e)); Motor Vehicle Access (15 RCNY § 16-13(f)); Littering, Polluting, Dumping (15 RCNY § 16-14(a)); Bathing, Swimming, Washing of Objects (15 RCNY § 16-14(b)); Target Shooting (15 RCNY § 16-14(d)); Camping (15 RCNY § 16-14(e)); Fires (15 RCNY § 16-14(f)); Motorized Equipment (15 RCNY § 16-14(h)); Commercial Activities (15 RCNY § 16-14(i)); Manned and Unmanned aircraft (15 RCNY § 16-14(k); Horses (15 RCNY § 16-14(l)), Biking (§ 16-14(m)); Conformance with State and Local Laws (15 RCNY § 16-16). 18 months - 5 years or revocation

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  1. Appeals. Individuals may appeal the suspension or revocation of their Access Permit privileges and/or ability to apply for public access privileges by submitting to the Deputy Chief of City Land Stewardship, within 30 days of the date of the NYCDEP letter of suspension or revocation, a written request explaining why the penalty should be changed. In support of an appeal, an individual must submit:

   (1) an explanation as to why the penalty imposed is not justified by the circumstances presented;

   (2) a statement indicating his or her commitment to abide by all Rules, policies, and conditions in the future.

The Deputy Chief of City Land Stewardship will respond to all appeals in writing within 45 days of receipt. In response to a written appeal, NYCDEP may reduce the duration of suspension or revocation period. Factors NYCDEP will consider in determining whether to grant or deny an appeal request include whether the individual has committed any other Rule infractions within the previous 5 years and whether the infraction at issue threatened or compromised Water Supply quality or security, public safety or led to property damage or injury to any individual. Court dispositions of any summons issued or arrests made for reasons other than a violation of these rules will not negate any such violations, but may be considered during an appeal review by NYCDEP. Individuals dissatisfied with the first appeal response may elect to submit a final written appeal to the Deputy Commissioner for the NYCDEP Bureau of Water Supply for a final determination.

  1. Reinstatement. Upon conclusion of the suspension period for a suspended Access Permit and/or Tags, NYCDEP will send notification of reinstatement via USPS or electronic mail to the Access Permit holder at the address on file. This notification will include the return of any confiscated Access Permit or Tag that is still valid or an application for a replacement.
  2. Group Infractions. Any violation of these Rules and/or the Group Access Permit conditions by a Group Member may result in:

   (1) Expulsion of the Group and/or Group Member from the property;

   (2) Revocation of the Group Access Permit;

   (3) Loss of general privileges to access City Property including loss of eligibility to apply for an Access Permit, suspension or revocation of Access Permits; and

   (4) Arrest and prosecution of the Group Members, Group Leader, and/or organization sponsoring the Group and/or which the Group represents.

  1. Public Access Area and Day Use Area Infractions. Failure to comply with these Rules, postings or notices in a Public Access Area or a Day Use Area may result in, but not be limited to, one or more of the following:

   (1) Expulsion from City Property;

   (2) Suspension or revocation of Access Permit and/or Tag privileges, if applicable

   (3) Prohibition from obtaining an Access Permit or Tag;

   (4) Suspension from access to some, any or all City Property;

   (5) Arrest and prosecution.

§ 16-16 Conformance with State and Local Laws.

All persons using City Property for Recreational Uses are subject to the New York State Environmental Conservation Law and all other statutes, ordinances and Rules applicable and the Rules set forth herein. Access Permits are not substitutes for any NYSDEC Fishing, Hunting or Trapping Licenses required by law.

§ 16-17 Enforceability.

If any clause, sentence, paragraph, subdivision, section, Rule or other part of this chapter shall be adjudged by any court of competent jurisdiction to be invalid, such judgment shall not affect, impair or invalidate the remainder thereof, but shall be confined in its operation to the clause, sentence, paragraph, subdivision, section, Rule or other part thereof directly involved in the controversy in which such judgment shall have been rendered.

Chapter 17: [Occupation Or Use of New York City Property (Lands, Water Bodies, Reservoirs and Infrastructure) In the Counties of Delaware, Dutchess, Greene, Orange, Putnam, Schoharie, Sullivan, Ulster, and Westchester]

§ 17-01 Scope and Purpose.

The following rules apply to any permitted occupation or use of New York City property (lands, water bodies, reservoirs and infrastructure) in the counties of Delaware, Dutchess, Greene, Orange, Putnam, Schoharie, Sullivan, Ulster, and Westchester. These rules are for the benefit of municipalities, utilities, government agencies, organizations exempt from federal taxation pursuant to 26 U.S.C. § 501(c)(3), individuals and commercial enterprises who may want to access or to occupy City owned property. The New York City Department of Environmental Protection is the City agency designated as the issuing authority for Revocable Land Use Permits (“Permits”).

§ 17-02 Definitions.

(a) Commercial Use. "Commercial Use" means a use which is undertaken primarily for the purpose of making a profit. Commercial Use does not include use by any utility company.
  1. Commissioner. “Commissioner” means the Commissioner of the New York City Department of Environmental Protection or a Deputy Commissioner authorized to act for such Department pursuant to law.
  2. Low-Impact Uses. “Low-impact uses” mean those uses with little or no soil, vegetation, stream, or wetland disturbances and no siting of impervious surfaces or structures. The term “low-impact uses” does not include any alterations that would increase the rate or volume of stormwater runoff.
  3. Property Value. “Property Value” means the assessed value (land only) of property adjacent to or similar to the City property subject to a Permit, in proportion to the acreage of City property subject to a Permit, adjusted by the New York State equalization rate.
  4. Public Corporation. “Public Corporation” means a municipal corporation, a district corporation or a public benefit corporation, as defined in Section 66 of the General Construction Law.
  5. Reimbursement of Taxes. “Reimbursement of taxes” means the reimbursement of actual real property taxes and assessments paid by the City of New York, and includes the total assessed value, if any, paid by the City of New York for the acreage of City property that is subject to a Permit.
  6. Rural Electric Cooperative. “Rural Electric Cooperative” means any corporation organized under the New York State Rural Electric Cooperative Law.

§ 17-03 Applications and Application Fees.

(a) Applications may be obtained from the DEP website, from any authorized DEP employee or on request by calling DEP at (914) 742-2076. Prior to submission of the application, applicants must discuss their Permit request at the telephone number above with a staff member of the Land Use Permit Office or any other authorized DEP employee. Applications may then be hand-delivered to an authorized DEP employee or submitted by United States Postal Service (USPS) mail to: NYC Department of Environmental Protection Land Use Permit Office 465 Columbus Avenue Valhalla, NY 10595

Notification of the availability of internet application submission will be posted on the DEP website.

  1. All applications for Permits must be accompanied by a non-refundable application fee of twenty-five dollars ($25.00) payable to the order of “The City of New York” by money order or check unless such fee is waived pursuant to 15 RCNY § 17-07(c). Notification of the availability of payment by credit card will be posted on the DEP website.
  2. Applications must contain all materials related to the Permit request, including but not limited to detailed plans, sketches, maps and surveys that show the areas of the proposed uses and adjacent City property boundaries. If DEP deems necessary, the applicant will be required to provide additional plans, engineering drawings or other documents.
  3. Permit fees are set forth in 15 RCNY § 17-07.

§ 17-04 Term and Renewal.

(a) The issuance and renewal terms of the permits shall not exceed five (5) years. Permits may be renewed for additional five (5) year terms upon DEP's approval of an updated application for renewal, and any additional plans, engineering drawings or documents required by DEP. DEP will send Permit renewal applications to permittees.
  1. If a Permit is not renewed, use of City property must cease at the conclusion of the term of the Permit. The property must be restored to DEP’s satisfaction within thirty (30) days of the date of the expiration of the Permit. DEP will determine, based on the nature and location of the area requiring restoration, whether DEP or the former permittee will perform such restoration. The former permittee is responsible for all restoration costs regardless whether the permittee or DEP performs such restoration. If DEP allows the permittee to undertake the restoration, the former permittee must secure a permit prior to beginning the restoration work. Failure to complete such restoration to the satisfaction of DEP may result in the exercise of any legal remedies available to DEP.

§ 17-05 Conditions.

All Permits will include standard conditions and may also include special conditions specific to the use of the City property, as deemed necessary. The permittee must sign an acknowledgment before a Notary Public accepting all conditions including Permit fees set forth by DEP as a requirement of Permit issuance.

§ 17-06 Right of Entry.

DEP reserves the rights of its employees, contractors and other persons approved by DEP to enter City property at any time for any purpose without notice to, or permission of, the permittee.

§ 17-07 Permit Fees and Waivers.

(a) Except as set forth in subdivision (c) of this section, Permit fees for all Permits are equal to the greater of the total amount determined in accordance with subdivision (e) of this section or $25.00.
  1. DEP will invoice all renewable Permits annually. Payment is due within 30 days of the invoice date.
  2. DEP will waive application fees and Permit fees for Permits in connection with the following:

   (1) DEP-funded or supported projects or projects servicing DEP facilities;

   (2) Projects for highway purposes in which adjacent City land is needed for work within existing municipal rights of way and/or easements;

   (3) Projects or uses by a Public Corporation, federal or state agency that involve Low-Impact Uses and water-quality improvement projects such as, but not limited to, the following:

      •   replacing a failing culvert to reduce flooding,

      •   emergency road repairs or installation of ground water monitoring wells to assess contamination.

      •   Such projects shall not include improvements that are likely to increase the tax assessment of City land;

   (4) Projects or uses by a Public Corporation, federal or state agency that involve certain Low-Impact Uses related to recreation such as, but not limited to, the following:

      •   hiking,

      •   snowshoeing,

      •   cross-country skiing,

      •   bird watching,

      •   educational programs, and,

      •   nature study and interpretation;

   (5) Projects or uses by a Public Corporation, federal or state agency, or a utility providing a public benefit, on property where the City has determined to grant an easement to the permittee for such project or use;

   (6) Court-ordered uses of City property;

   (7) Projects or uses by a Public Corporation, federal or state agency or any organization exempt from federal taxation pursuant to 26 U.S.C. § 501(c)(3) that involve Low Impact Uses of limited duration such as, but not limited to, the following:

      •   nature or natural resources studies,

      •   fund-raising events,

      •   posting and removal of temporary signs or markers for an event, and

      •   temporary storage or staging; and

   (8) Emergency use of City property by a Public Corporation, federal or state agency or any organization exempt from federal taxation pursuant to 26 U.S.C. § 501(c)(3) to respond to an imminent threat to the health and safety of humans, or to respond to a substantial imminent threat to water quality or to property. DEP must be notified by telephone and questions about the emergency must be answered on the business day following the date of the emergency.

  1. Application and Permit fees shall not be waived for any projects that include requests for Commercial or individual uses.
  2. The schedule of Permit fees is listed below.

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Access over City Property This includes, but shall not be limited to, temporary or permanent physical access ways such as driveways, logging roads and construction entranceways.    
Each 300 feet in length, or part thereof, for widths less than or equal to 10 feet, Non-Commercial uses $95.03
Each 300 feet in length, or part thereof, additional fee per foot of width over 10 feet, Non- Commercial uses $19.00  
Each 300 feet in length, or part thereof, for widths less than or equal to 10 feet, Commercial Uses $190.08
Each 300 feet in length, or part thereof, additional fee per foot of width over 10 feet, Commercial Uses $38.03
General access over City property other than driveways (one-time Permit fee) $100.00
Fencing    
Each 300 feet, or part thereof, Non-Commercial uses $95.03
Each 300 feet, or part thereof, Commercial Uses $190.08
Walkways    
Non-Commercial uses $95.03
Commercial Uses $190.08
Bridges    
Bridges or crossings for access/driveways or walkways for Non-Commercial use $95.03
Bridges or crossings for access/driveways or walkways for Commercial Use $190.08
Commuter Parking    
Paved or unpaved surfaces 33 1/3% of gross receipts derived from commuter parking fees plus reimbursement of taxes
Non-Commuter Parking    
Municipal/Organizations Exempt from Federal Taxation – paved or unpaved surfaces Reimbursement of taxes
Commercial Uses – paved or unpaved surfaces 10% of property value of area used plus reimbursement of taxes
Signs including supports    
Non-Commercial uses $25.00
Subsurface Sewage Treatment Systems (SSTS)    
Individual sewage treatment systems serving single family homes $190.08
All other subsurface sewage treatment systems $380.14
Drainage Pipe/Culvert Pipes    
Each 10 feet in length, or part thereof, for each 1 inch in diameter of pipe $1.67
Water Pipes    
Pipes for private use, each 300 feet in length, or part thereof, any size diameter $95.03
Pipes for Commercial Use, each 300 feet in length, or part thereof, any size diameter $190.06
Water Connection/Pump Houses (Public use)    
Each connection, plus cost for pipes and appurtenances plus reimbursement of taxes $475.27
A separate Water Supply Agreement with specific costs for water withdrawal may also be required  
Subsurface Utilities or Facilities (Public Service Corp.)    
Each 10 feet in length, or part thereof, for each 1 inch in diameter of pipe $1.67
Dry Wells    
Each $47.53
Manholes and other Underground Structures    
Per cubic foot $2.65
Utility Installation Charge for Utility Poles (One-time Permit fee)    
Each pole, including anchor $11.39
Utility Poles and Supports for Utility Poles    
Each pole $7.55
Each support, guy wire, pull, anchor or other appurtenance $7.55
Utility Attachments to Another Utility’s Existing Permitted Pole(s)    
Each attachment $2.26
Utility Structures (Transformers and switching substations, small substations, gas metering connections and treatment chambers, etc.)    
Less than or equal to 5,000 square feet $950.62
Greater than 5,000 and less than or equal to 10,000 square feet $1,901.26
Greater than 10,000 and less than or equal to 15,000 square feet $2,851.86
Greater than 15,000 and less than or equal to 20,000 square feet $3,802.49
Greater than 20,000 and less than or equal to 30,000 square feet $4,753.13
Greater than 30,000 square feet $5,703.76
Other Utility Uses    
Interface Cabinets (Telephone), each $38.03
Telephone Platforms, each $76.03
Utility Pedestals and Slabs, each $47.53
Shield Wires, each $19.00
Aerial, Buried, or Submarine Electric Cable    
Each 300 feet in length, or part thereof, for each wire transmitting less than or equal to 5,000 volts $76.03
Each 300 feet in length, or part thereof, for each wire transmitting more than 5,000 volts and less than or equal to 13.2 kilovolts $114.06
Each 300 feet in length, or part thereof, for each wire transmitting 13.2 kilovolts or more $152.06
Transmission Lines    
Each circuit transmitting less than 345 kilovolts $638.71
Each circuit transmitting 345 kilovolts or more $821.24
Additional Permit fees for Aqueduct Crossings 10% of property value of area used plus reimbursement of taxes
Small Transformers and Regulators    
Each unit transmitting less than or equal to 13.2 kilovolts $76.03
Each unit transmitting more than 13.2 kilovolts and less than or equal to 34.5 kilovolts $152.06
Each unit transmitting more than 34.5 kilovolts $228.09
Other Electric    
Anodes and Rectifiers, each $38.03
Splice Boxes, each $7.59
Aerial, Buried, or Submarine Cable, other than Electric    
Each 300 feet in length, or part thereof, for each wire $76.03
Aerial, Buried, or Submarine Fiber Optic Cable (any size)  
Each 300 feet in length, or part thereof, for each wire $76.03
Ducts (Electric, Telephone, etc.)    
Each 300 feet in length, or part thereof, for each duct, 8 inches or less in diameter $76.03
Each 300 feet in length, or part thereof, for each duct, greater than 8 inches in diameter $152.06
Municipal Maintenance/Organizations Exempt from Federal Taxation    
Site maintenance and/or repair $25.00
General municipal use for official business $25.00
Natural Resource Extraction    
Agricultural Uses such as planting/harvesting crops and livestock (per acre) $5.00
Harvesting hay (per acre) $2.50
Brush-hogging (flat Permit fee) $50.00
Recreation    
High-impact uses that call for major physical improvement (e.g. ball fields, soccer fields) by municipalities or organizations exempt from federal taxation Reimbursement of taxes
Moderate-impact uses and related structures (e.g. paved trails, snowmobiles trails, horse trails) $30.00
Low-Impact Uses and related small-scale amenities such as informational kiosks $25.00
Wall Breaks (One-time Permit fee)    
This includes removing/opening sections of City walls for access or other uses as needed $95.03
Investigatory Work for a period not to exceed one (1) year (One-time Permit fee)    
Flat rate for any test borings, wells, pits, etc. (regardless of quantity) $475.27
Each structure for storage (trailers, sheds, gas tanks, etc.) $190.08
Investigatory Work for a period to exceed one (1) year    
Additional annual Permit fee for investigatory work exceeding one (1) year $100.00
Staging Area (One-time Permit fee)    
Flat Rate $190.08
Miscellaneous    
Dry Hydrants $34.68
Street Poles and Lights (each) $10.00
Other Non-Commercial uses (Permit fee double for commercial use):  
Less than or equal to 5,000 square feet $250.00
Greater than 5,000 and less than or equal to 10,000 square feet $500.00
Greater than 10,000 and less than or equal to 15,000 square feet $1,000.00
Greater than 15,000 and less than or equal to 20,000 square feet $1,500.00
Greater than 20,000 and less than or equal to 30,000 square feet $2,000.00
Greater than 30,000 square feet $2,500.00
The following Permit Fees shall apply to Rural Electric Cooperatives    
Access/Driveways    
Each 300 feet in length, or part thereof, for widths less than or equal to 10 feet $39.62
Each 300 feet in length, or part thereof, additional Permit fee per foot of width over 10 feet $7.92
Fencing    
Each 300 feet in length, or part thereof $39.62
Manholes and Other Underground Structures    
Per cubic foot $.95
Utility Installation Charge for Utility Poles (One-time Permit fee)    
Each pole, including anchor $4.75
Utility Poles and Supports for Utility Poles    
Each pole $3.17
Each support, guy wire, anchor, pull or other appurtenance $3.17
Utility Attachments to Another Utility’s Existing Permitted Pole(s)    
Each attachment $.95
Utility Structure (Transformers and switching substations, small substations, gas metering connections and treatment chambers, etc.)    
Less than or equal to 5,000 square feet $396.34
Greater than 5,000 and less than or equal to 10,000 square feet $792.66
Greater than 10,000 and less than or equal to 15,000 square feet $1,189.00
Greater than 15,000 square feet and less than or equal to 20,000 square feet $1,585.33
Greater than 20,000 square feet and less than or equal to 30,000 square feet $1,981.67
Greater than 30,000 square feet $2,378.00
Aerial, Buried or Submarine Electric Cable    
Each 300 feet in length, or part thereof, for each wire transmitting less than or equal to 5,000 volts $31.70
Each 300 feet in length, or part thereof, for each wire transmitting more than 5,000 volts and less than 13.2 kilovolts $47.56
Each 300 feet in length, or part thereof, for each wire transmitting 13.2 kilovolts or more $63.40
Transmission Lines    
Each circuit transmitting less than 345 kilovolts $266.30
Each circuit transmitting 345 kilovolts or more $342.40
Additional Permit fees for Aqueduct Crossings In addition to applicable circuit fees, 10% of property value of area used plus reimbursement of taxes
Small Transformers and Regulators    
Each unit transmitting less than or equal to 13.2 kilovolts $31.70
Each unit transmitting more than 13.2 kilovolts and less than or equal to 34.5 kilovolts $63.40
Each unit transmitting more than 34.5 kilovolts $95.10
Ducts    
Each 300 feet of length, or part thereof, for each duct, 8 inches or less in diameter $31.70
Each 300 feet of length, or part thereof, for each duct, greater than 8 inches in diameter $63.40
Other    
Anodes and Rectifiers, each $15.86
Splice Boxes, each $3.17
Utility Pedestals and Slabs, each $19.83
Shield Wires, each $7.92

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§ 17-08 Damage to Persons or Property.

(a)  The permittee shall indemnify and save the City harmless from all damages resulting from injury to persons or property arising from the use of City land, structures or other property under this Permit. Insurance policies naming the City, together with its officials and employees and the New York City Water Board as additional insureds must be provided as follows:

   •   All individuals and Not-for-Profit Organizations: Personal or General Liability or Homeowners’ Insurance with minimum limits of $500,000;

   •   All Commercial entities: Commercial General Liability Insurance with minimum limits of $2,000,000 per occurrence, $5,000,000 aggregate;

   •   All Utilities and Municipalities: Commercial General Liability Insurance with minimum limits of $2,000,000 per occurrence, $5,000,000 aggregate.

In lieu of such insurance policies, municipal permittees may provide proof of self-insurance in an amount satisfactory to DEP and municipal and Commercial entities may provide other forms of undertakings, such as, but not limited to, letters of credit in amounts satisfactory to DEP. All permittees must provide proof of insurance, self-insurance or other undertaking annually.

  1. The permittee shall be required to furnish a surety bond in a minimum amount of $250,000 in favor of the City of New York to be continued during the period that City property is occupied by the permittee for siting major improvements or infrastructure, including, but not limited to, the following:

     •     pump stations,

     •     filtration plants, and

     •     other improvements of a similar nature.

The purpose of such bond is to cover the cost of any repairs or remediation necessitated by the permittee’s use of City property or for removal of permittee’s improvements remaining on City property after Permit revocation or termination and restoration of the property to its original conditions after such removal. Such bond shall be continued in force by the permittee until City property is cleared of all encumbrances placed there by permittee and shall not limit in any way the liability of the permittee for damage to life or property resulting from the use or occupancy of City property.

  1. In the event any City infrastructure or lands are damaged by the permittee’s use of City property, DEP will determine, based on the nature and location of the damage, whether DEP or the permittee will perform such repair. Regardless of whether DEP or the permittee performs such repairs, the permittee shall be responsible for any and all costs for such repairs to the satisfaction of DEP. If DEP allows the permittee to undertake such repairs, failure to complete these repairs to the satisfaction of DEP may result in revocation of the Permit and any additional legal remedies available to DEP.
  2. In case of emergency, insurance verification must be submitted to DEP within ten (10) business days of the date of emergency Permit issuance.

§ 17-09 Revocation.

Permits are revocable at the will of the Commissioner upon thirty (30) days’ written notice of the proposed revocation, except in the case of emergencies that present immediate risks to water quality, City infrastructure(s) or to the health of employees or members of the public. Reasons for revocation include, but are not limited to, the following:

•    violation by the permittee of any regulation or condition(s) of the Permit,

•    failure to pay Permit fees,

•    failure to maintain improvement or structure allowed by such Permit,

•    failure to provide proof of insurance, and

•     DEP’s need to use its land for water supply operations.

Such revocation, other than for DEP’s need to use its land for water supply purposes, may be cured by the permittee within the thirty (30) day written notice period. Failure by DEP to revoke a Permit shall not prohibit DEP from exercising any other legal remedies available.

§ 17-10 Permittee’s Improvements to be Removed and City Property Restored on Notice of Permit Revocation or Permit Termination.

Upon Permit revocation, any improvements belonging to the permittee must be removed from City property, at the permittee’s expense, within thirty (30) days of such revocation unless otherwise authorized by DEP in writing. The property must be restored by the permittee or DEP in accordance with 15 RCNY § 17-08(c) within thirty (30) days of revocation or as otherwise agreed upon. Any improvement(s) remaining on City property beyond thirty (30) days of the written notice shall be considered abandoned and title to such improvement(s) shall become vested in the City, at the City’s option. Should the City elect to take title, the improvement(s) shall be disposed as the Commissioner may direct in lieu of any other procedure for the disposition of abandoned property required or permitted by law, and the former permittee waives any right to assert a claim against DEP pursuant to the provisions of the New York State Personal Property Law, Abandoned Property Law or any such other procedure. DEP shall seek reimbursement for any costs incurred for the removal of any such improvement(s) and shall also seek forfeiture of any bond provided.

§ 17-11 Title of Property.

Title and ownership of all City property, including all natural resources above, on and beneath the property, such as, but not limited to, minerals, soils, trees and metals upon, in or under the land shall remain and be vested in the City of New York. Removal of City resources from any Permitted location, unless approved in writing in advance by DEP, is strictly prohibited and will be prosecuted to the fullest extent of the law.

§ 17-12 Unenforceability.

If any clause, sentence, paragraph, subdivision, section, rule or part of this chapter shall be adjudged by any court or competent jurisdiction to be invalid, such judgment shall not affect, impair or invalidate the remainder thereof, but shall be confined in its operation to the clause, sentence, paragraph, subdivision, section, rule or part thereof directly involved in the controversy in which such judgment shall have been rendered.

§ 17-13 Repeal.

These rules are intended to repeal those rules entitled Issuance of Temporary Permits for the Occupation of City Property, effective September 2, 2001; provided, however, that with respect to Permits issued before the effective date of these rules, all restrictions, conditions and requirements upon the permittee contained in the earlier rules shall remain in effect until such Permit is renewed, cancelled, terminated or revoked.

Chapter 18: Protection from Contamination, Degradation and Pollution of the New York City Water Supply and Its Sources

Subchapter A: General Provisions

§ 18-11 Preface.

(a)  The health, welfare and economic well-being of nearly nine million residents in the five counties of New York City ("the City"), and of an increasing number of upstate New York communities is inextricably tied to the quality of the source waters in the watersheds of the New York City Water Supply located in Westchester, Putnam, Dutchess, Delaware, Ulster, Greene, Sullivan and Schoharie Counties, and Fairfield County in Connecticut. The high quality of these waters faces a continuing threat from the cumulative and episodic impacts of pollution sources generated by certain land uses and activities in the watersheds. It is the duty of the Commissioner of the New York City Department of Environmental Protection (the "Department") to protect the high quality of waters from which the City's water supply is drawn and preserve it from degradation for the purpose of protecting the health and general welfare of its consumers.
  1. These rules and regulations repeal in their entirety and supersede the Rules and Regulations for the Department of Water Supply, Gas and Electricity of the City of New York enacted the 11th day of June, 1953.
  2. These rules and regulations are hereby enacted pursuant to the authority vested in the Commissioner of the Department of Environmental Protection, as set forth in 15 RCNY § 18-13.

§ 18-12 Purpose and Findings.

(a)  The quality of the drinking water supplied to the City and upstate communities which draw from the New York City water supply depends primarily on the quality of the source waters which feed the reservoirs. The source waters and reservoirs are vulnerable to degradation and contamination from various sources and activities, including, but not limited to:

   (1) Wastewater discharges to surface water and groundwater;

   (2) Urban, suburban, rural, mining, silvicultural and agricultural land use practices that result in nonpoint source runoff of pollution and/or in adverse changes in the natural rate at which water flows into and through a delineated drainage basin; and

   (3) Improper use, handling, storage, transport and/or disposal of substances, including but not limited to, hazardous substances, radioactive materials, pesticides, fertilizers, winter highway maintenance materials, solid wastes, and animal wastes.

  1. The Department finds that such sources and activities, either alone or in conjunction with any other related activities, may constitute a source of contamination to or degradation of the water supply, may cause a contravention of the State water quality standards set forth in 6 NYCRR Parts 701-705, and Subchapter D of these rules and regulations, and may result in the impairment of the use of the water supply for drinking, culinary or food processing purposes.
  2. In response to the Safe Drinking Water Act Amendments of 1986, the United States Environmental Protection Agency has begun implementing a significant expansion of regulatory requirements for public water systems. In order to protect the public health, and to satisfy the legislative mandates of the Safe Drinking Water Act Amendments and the rules and regulations in 40 C.F.R. Parts 141 and 142, the New York State Department of Health has amended the State Sanitary Code, 10 NYCRR Part 5, Subpart 5-1, Public Water Systems, which contains New York State’s Surface Water Treatment Rule. Although both Federal and State law propose filtration as a method for water quality treatment for pathogen control, the effectiveness of the filtration process and complexity of plant operation is dependent upon the quality of the water entering the filtration plant. In addition, many contaminants are not removed by conventional filtration. Therefore, it is clear that enhancement of the City’s existing watershed rules and regulations would be necessary even if the City were to build filtration plants to filter its entire water supply.
  3. It is the goal and intent of these rules and regulations to protect the public health by averting future contamination to and degradation of the water supply and by remediating existing sources of pollution or degradation of the New York City water supply. These rules and regulations implement the Department’s intention to minimize the discharge of pollutants into the source waters from both point and nonpoint sources, minimize the adverse impacts of erosion, limit the discharge of phosphorus to source waters which may accelerate the eutrophication process, and provide notification to the City of ongoing or proposed activities, which either alone or in conjunction with other existing and proposed regulated activities, may cause contamination to or degradation of the water supply.
  4. It is the purpose of these rules and regulations to insure compliance with the Federal and State standards by providing a comprehensive watershed protection program. Furthermore, these rules and regulations articulate an antidegradation policy for the New York City water supply system. These rules and regulations are promulgated to govern those activities in the watershed that threaten the quality of the water supply of the numerous upstate communities and the City of New York. While bound by its responsibility to protect the public health, the City has also taken the needs of the communities and businesses in the New York City watershed into consideration in drafting and promulgating these rules and regulations.
  5. The City reserves the right to re-examine these rules and regulations periodically to insure that they continue to further the goal and intent referred to in paragraph (d) of this subdivision and the purposes referred to in paragraph (e) of this subdivision. Without limiting the foregoing, and without limiting the City’s rights to continue, modify, amend, suspend, waive or revoke any or all of these rules and regulations at any time in accordance with applicable law, the City intends to re-examine these rules and regulations ten (10) years after the effective date hereof to ascertain whether, and to what extent, these rules and regulations should be modified or amended so that they continue to serve their intended purposes.

§ 18-13 Authority.

These rules and regulations are promulgated pursuant to Article 11 of the New York State Public Health Law and § 24-302 of the New York City Administrative Code, and have been duly promulgated by the Commissioner of the Department of Environmental Protection of the City of New York and approved by the Commissioner of the New York State Department of Health. These rules and regulations shall become effective upon completion of any conditions set forth in the approval issued by the New York State Department of Health pursuant to § 1100(1) of the Public Health Law; publication of these rules and regulations pursuant to § 1100(2) of the Public Health Law; and upon completion of the requirements of the New York City Administrative Procedure Act.

§ 18-14 Applicability.

(a)  These rules and regulations apply to all persons undertaking, or proposing to undertake, the activities in the categories listed below, where such activities are specifically regulated in these rules and regulations and occur in the New York City watershed:

   (1) Discharge or storage of pathogenic materials.

   (2) Discharge or storage of hazardous substances and hazardous wastes.

   (3) Discharge or storage of radioactive materials.

   (4) Discharge or storage of petroleum products.

   (5) Discharge or transport of human excreta and use of holding tanks.

   (6) Design, construction and operation of wastewater treatment plants.

   (7) Design, construction and operation of sewer systems and service connections.

   (8) Design, construction and operation of intermediate sized and individual sewage treatment systems.

   (9) Discharge of stormwater and sediment, and preparation and implementation of stormwater pollution prevention plans.

   (10) Construction of impervious surfaces.

   (11) Discharge from miscellaneous point sources.

   (12) Discharge of solid waste, including the siting of junkyards and solid waste management facilities.

   (13) Discharge from agricultural activities.

   (14) Discharge or storage of pesticides.

   (15) Application and storage of fertilizers.

   (16) Snow disposal and application and storage of winter highway maintenance materials.

  1. These rules and regulations apply to substantial alterations or modifications of the activities described in subdivision (a) of this section.
  2. These rules and regulations apply to a substantial alteration or modification of any noncomplying regulated activity, as set forth in these rules and regulations.
  3. These rules and regulations apply to noncomplying regulated activities that are required to come into compliance with these rules and regulations as set forth in these rules and regulations.
  4. The boundaries of the New York City watershed have been delineated on United States Geological Survey maps, which are available for inspection at the offices of the local representatives of the Department listed in 15 RCNY § 18-15. A map of the watershed is provided in Appendix 18-A of this Part for reference purposes only.

§ 18-15 Local Representatives.

(a)  Information about these rules and regulations and application and other forms required by these rules and regulations may be obtained from the following offices of the Department or on the Department's website at www.nyc.gov/dep. Applications for Department approval of a regulatory activity must be submitted to one of these offices. Petitions appealing from a determination issued by the Department or requesting a hearing on a cease and desist order issued by the Department must be submitted to the offices listed in subdivision (b).

   (1) New York City Department of Environmental Protection Regulatory and Engineering Programs      465 Columbus Avenue      Valhalla, New York 10595      Telephone: (914) 742-2028

   (2) New York City Department of Environmental Protection Regulatory and Engineering Programs      71 Smith Avenue      Kingston, New York 12401      Telephone: (845) 340-7215

  1. Petitions for appeal of a determination issued by the Department in accordance with 15 RCNY § 18-28 and petitions for a hearing on a cease and desist order issued by the Department in accordance with 15 RCNY § 18-29 must be submitted to the address listed in paragraph (1), with a copy to the address listed in paragraph (2).

   (1) New York City Office of Administrative Trials and Hearings      40 Rector Street      New York, New York 10006-1705      Telephone: (212) 442-4900

   (2) New York City Department of Environmental Protection      General Counsel      59-17 Junction Boulevard      19th Floor      Flushing, New York 11373-5107      Telephone: (718) 595-6555

  1. For communications with the Department regarding any known or suspected violations of these rules and regulations or notification of potential contamination of the water supply occurring anywhere in the watershed:

   (1) New York City Water Supply Watershed Police Telephone:      1-888-H20-SHED

  1. Addresses and phone numbers contained herein are informational and persons subject to these rules and regulations shall utilize successor addresses and phone numbers where appropriate.

§ 18-16 Definitions.

(a)  The following terms shall have the stated meanings when used in this Chapter, except where otherwise specifically provided:

   (1) Absorption area means the area to which wastewater is distributed for infiltration to the soil.

   (2) Absorption field means the area to which sewage is distributed for infiltration to the soil by means of a network of pipes.

   (3) Access road means an impervious private or public road, other than a driveway, which connects a parcel to an existing public or private road and which is necessary in order to enable the parcel to be developed. Access road does not include an internal road within a subdivision or within an area of common development involving two (2) or more parcels.

   (4) Affiliate means any agency or person controlled by, controlling, or under common control with an applicant.

   (5) Agency means any local, state or federal department, agency, board, public benefit corporation, public authority, commission, district, or governing body, including any city, county, and other political entity of the State.

   (6) Agricultural activity means (i) an activity that occurs on “land used in agricultural production” as that term is defined in § 301(4) of the Agriculture and Markets Law, or (ii) an activity which is covered by a whole farm plan approved by the Watershed Agricultural Council, or by a New York State Agricultural Environmental Management Plan, or by another federal, state, or other conservation plan determined by the Department to provide water quality protection equivalent to whole farm plans approved by the Watershed Agricultural Council.

   (7) Alteration or modification means any change in physical configuration, intensity of use, location, plans, design, site, capacity, treatment standard or method, or other change in a regulated activity or in a noncomplying regulated activity. This term shall not include remediation, routine repairs or maintenance of structures and equipment.

   (8) Approval means any final decision by an agency to issue a permit, certificate, license, lease, renewal or other entitlement or to otherwise authorize a proposed project or activity.

   (9) Area zoned for commercial or industrial uses means a commercial or industrial zoning district, hamlet zoning district, or highway business zoning district. Areas zoned for commercial or industrial uses shall not include agricultural zoning districts.

   (10) Base flow means visible sustained or fair weather runoff of water, including groundwater.

   (11) Best management practices (BMPs) means methods, measures or practices determined to be the most practical and effective in preventing or reducing the contamination to or degradation of the water supply. Best management practices include, but are not limited to, structural and nonstructural controls and operations and maintenance procedures, that can be applied before, during or after regulated activities to achieve the purposes stated herein.

   (12) Best treatment technology (BTT) means methods, measures or practices determined to be the most practical and effective in reducing amounts of phosphorus in both surface and subsurface point source discharges which occur within the New York City watershed. BTT will vary with the size of the wastewater treatment plant, but is generally understood to consist of secondary treatment and chemical removal (usually accomplished by the addition of aluminum salts, iron salts, polymers, or pH adjustments with lime), with media filtration as a final step if necessary to achieve higher removal rates.

   (13) C.F.R. means the Code of Federal Regulations.

   (14) City means the City of New York.

   (15) Clear cutting means cutting all of the trees, not just selected trees, within a specified boundary designated by the owner of the property.

   (16) Coliform restricted basin means the drainage basin of a reservoir or controlled lake in which the coliform standards as set forth in 15 RCNY § 18-48(c) or (d) are exceeded as determined by the Department pursuant to its annual review conducted under 15 RCNY § 18-48(e).

   (17) Combined sewer system means a structure used for conveying both sewage and stormwater.

   (18) Commissioner means the Commissioner of the New York City Department of Environmental Protection or its successors or a deputy commissioner authorized to act for such Department pursuant to law.

   (19) Construction or construction activity means any building, demolition, renovation, replacement, restoration, rehabilitation or alteration of any new or existing structure or road.

   (20) Construction and demolition debris means uncontaminated solid waste resulting from the construction, remodeling, repair and demolition of structures and roads; and uncontaminated solid waste consisting of vegetation resulting from land clearing and grubbing, utility line maintenance and seasonal and storm related cleanup.

   (21) Contamination means the introduction of any pollutant to the water supply.

   (22) Controlled lake means a lake from which the City may withdraw water pursuant to rights acquired by the City or as a right of ownership. The controlled lakes are: Kirk Lake, Lake Gleneida and Lake Gilead.

   (23) Croton System means Middle Branch, Bog Brook, East Branch, Croton Falls, Diverting, Titicus, Amawalk, Muscoot, New Croton, and Cross River Reservoirs, Kirk Lake, Lake Gleneida and Lake Gilead, and their respective drainage basins.

   (24) Degradation means a process of reduction or deterioration of the water quality of the water supply, including the process of eutrophication.

   (25) Department means the New York City Department of Environmental Protection or its successors.

   (26) Design capacity means the approved flow limit of the physical apparatus of a wastewater treatment plant as specified in its SPDES permit.

   (27) Design point means a point where stormwater runoff enters a watercourse or wetland or leaves the site of an activity for which a stormwater pollution prevention plan must be prepared pursuant to this Chapter.

   (28) Design professional means a professional engineer or a registered architect who is licensed to practice in the State of New York, or a land surveyor with an exemption under § 7208(n) of the Education Law.

   (29) Designated Main Street Area means a defined area of limited size located within the East of Hudson Watershed which is an existing center of commercial, industrial, residential, or mixed use and which has been defined and designated by a local government in the East of Hudson Watershed and approved by the Department pursuant to these rules and regulations.

   (30) Designated Village Center means an area in the Croton System described by the metes and bounds of a village center, whether or not located in an incorporated village, designated by a local government(s) in a Comprehensive Croton Water Quality Protection Plan prepared and agreed to in accordance with 15 RCNY § 18-82 by submitting to the Department a description of the metes and bounds of such proposed Designated Village Center, a map of the described area, and a statement of the features which qualify the area as a Designated Village Center. A Designated Village Center must be an existing center of commercial, residential or mixed uses.

   (31) Discharge means the intentional or unintentional disposal, deposit, injection, emission, application, dumping, spilling, leaking, washing off, release, running off, draining or placing of any solid, semi-solid, liquid, or any other non-gaseous waste or other substance into or onto any land or water or into any sewer system so that such waste or other substance may directly or indirectly enter into any watercourse, wetland, reservoir, reservoir stem, controlled lake or groundwater.

   (32) Disturbed area means the portion of a site for which the imperviousness of the ground has changed from pre-construction conditions as a result of any land clearing, land grading or construction activity. Disturbed areas may include lawns and landscaped areas.

   (33) Drainage Area means all land and water area from which runoff may run to a common design point.

   (34) Drainage basin means the land area which contributes surface water to a reservoir or controlled lake.

   (35) Driveway means a route accessible by a motor vehicle between a residential building and a public or private road to provide ingress and egress from the residential building.

   (36) East of Hudson Watershed means West Branch, Boyd’s Corner, Bog Brook, East Branch, Croton Falls, Diverting, Titicus, Amawalk, Muscoot, New Croton, Cross River, Middle Branch and Kensico Reservoirs, Kirk Lake, Lake Gleneida and Lake Gilead, and their respective drainage basins.

   (37) Effective Date means May 1, 1997.

   (38) Effluent means water or wastewater that flows out from a wastewater treatment plant or other treatment process.

   (39) Epilimnion means the uppermost, warmest, well-mixed layer of a lake during thermal stratification.

   (40) Erosion means the wearing away or the movement of soil by such physical agents as wind or water, that is exacerbated by such practices as the disturbance of ground cover by stripping or removing vegetation, construction activity, or tilling.

   (41) Exfiltration means wastewater that leaks out of a sewer system into the surrounding environment, through faulty joints, defective pipes, cracks in pipes, connections, or at manholes.

   (42) Existing means physically constructed, functioning and operational prior to the effective date of these rules and regulations.

   (43) Expansion means an increase in the permitted flow limit for a wastewater treatment plant as specified in the SPDES permit and/or an increase in the design capacity of a wastewater treatment plant.

   (44) Facility means a structure, room or other physical feature designed to perform a particular function and that makes possible some activity.

   (45) Fertilizer means any commercially produced mixture, generally containing phosphorus, nitrogen and/or potassium, except compost, that is applied to the ground to increase the supply of nutrients to plants.

   (46) Galley System means any subsurface system for treating sewage that employs structural chambers in a horizontal or vertical arrangement for the storage of effluent until it can be absorbed into the soil, that is utilized following a septic tank as an alternative to a standard absorption field, and that did not have all discretionary approvals necessary for construction and operation before June 30, 2002.

   (47) Gasoline station means an establishment at which gasoline is sold or offered for sale to the public for use in motor vehicles.

   (48) Groundwater means any water beneath the land surface in the zone of saturation. The zone of saturation is where water fills all available pore spaces.

   (49) Hamlet means a population center designated as a hamlet by a Town Board in the West of Hudson watershed and described as a hamlet in a Water Supply Permit duly issued by the New York State Department of Environmental Conservation or in any written agreement among the affected parties to the 1997 New York City Watershed Memorandum of Agreement, including the New York State Department of Environmental Conservation.

   (50) Hazardous substance means any substance defined or listed in 6 NYCRR Part 597 except that hazardous substance does not mean any petroleum product, including those listed in 6 NYCRR § 597.2, Table 1, and also does not mean any hazardous waste.

   (51) Hazardous waste means any solid waste, defined or listed as a hazardous waste in 6 NYCRR Part 371.

   (52) Holding tank means a tank or vault, with no outlet, used for holding sewage before it is pumped out and transported elsewhere for treatment or disposal.

   (53) Hypolimnion means the lower, cooler layer of a lake during thermal stratification.

   (54) Impervious surface means an area which is either impervious to water or which substantially prevents the infiltration of water into the soil at that location. Impervious surfaces include, but are not limited to, paving, concrete, asphalt, rooftops, and other hard surfacing materials, and do not include dirt, crushed stone or gravel surfaces.

   (55) Individual residence means a building consisting of one residential unit.

   (56) Individual sewage treatment system means an on-site subsurface sewage treatment system serving one or two family residential properties and receiving sewage without the admixture of industrial wastes or other wastes, as defined in the Environmental Conservation Law § 17-0701.

   (57) Industrial waste means any liquid, gaseous, solid or waste substance or a combination thereof resulting from any process of industry, manufacturing, trade or business, or from the development or recovery of any natural resources, which may cause or might reasonably be expected to cause contamination to or degradation of the water supply.

   (58) Infiltration means water, other than wastewater, that enters a sewer system, including sewer service connections, from the ground through such means as defective pipes, pipe joints, connections, or manholes. Infiltration does not include, and is distinguished from, inflow and from treatment of runoff by stormwater infiltration practices.

   (59) Inflow means water other than wastewater that enters a sewer system, including sewer service connections, from sources such as, but not limited to, roof leaders, cellar drains, yard drains, area drains, foundation drains, drains from springs and swampy areas, manhole covers, cross connections between storm sewers and sanitary sewers, catch basins, cooling towers, storm waters, surface runoff, street wash waters, or drainage. Inflow does not include, and is distinguished from, infiltration.

   (60) In situ soil means naturally occurring glacial soil; it does not include fill or stabilized fill.

   (61) Intake means the points in the New York City water supply located prior to the point of disinfection where the water is no longer subject to surface runoff.

   (62) Intermediate sized sewage treatment system means an on-site subsurface sewage treatment system serving an industrial, institutional, municipal, commercial, or multi-family residential facility, and receiving sewage without the admixture of industrial wastes or other wastes, as defined in the Environmental Conservation Law § 17-0701.

   (63) Intermittent stream means a watercourse that during certain times of the year goes dry or whose lowest annual mean discharge during seven consecutive days with a recurrence interval of ten years (MA7CD/10) is less than 0.1 cubic foot per second and which periodically receives groundwater inflow. A drainage ditch, swale or surface feature that contains water only during and immediately after a rainstorm or a snow melt shall not be considered to be an intermittent stream.

   (64) Junkyard means any place of storage or deposit, whether in connection with another business or not, where four or more unregistered, old, or second hand motor vehicles, no longer intended or in condition for legal use on the public highways, are held, whether for the purpose of resale of used parts, for the purpose of reclaiming for use some or all of the materials such as metal, glass, or fabric for the purpose of disposing of the same, or for any other purpose.

   (65) Land clearing means the exposure of soil by devegetation or the exposure of soil to the forces of erosion.

   (66) Land grading means the removal, addition or alteration of surface or subsurface conditions of land by excavation or filling.

   (67) Limiting distance means the shortest horizontal distance from the nearest point of a structure or object to the edge, margin or steep bank forming the ordinary high water mark of a watercourse, wetland, reservoir, reservoir stem or controlled lake or to the contour line coinciding with the reservoir spillway elevation.

   (68) Metalimnion means an intermediate zone between the epilimnion and hypolimnion where the water temperature drops rapidly with increasing depth.

   (69) Microfiltration means a process in which treated effluent passes through a membrane filter having a nominal pore diameter of 0.2 microns or less.

   (70) Multi-family residence means a building containing three (3) or more residential units.

   (71) Municipal solid waste landfill means a landfill, as defined in 6 NYCRR § 360-1.2, which is owned or operated by a municipality.

   (72) New means any regulated activity undertaken, constructed, installed, or implemented after May 1, 1997.

   (73) Noncomplying regulated activity means any regulated activity or existing activity which does not conform to the standards set forth in these rules and regulations, but has obtained all discretionary approvals necessary for construction and operation, prior to the effective date of these rules and regulations and/or prior to the effective date of an amendment to these rules and regulations that made the activity noncomplying.

   (74) Nonpoint source pollution means pollution sources which are diffuse and do not have a single point of origin or are not introduced into a receiving stream from a point source.

   (75) NYCRR means the Official Compilation of Codes, Rules and Regulations of the State of New York.

   (76) Offset means a reduction in the discharge of phosphorus into a drainage basin which is surplus, quantifiable, permanent, and enforceable, as defined herein:

      (i) Surplus means that the reduction in phosphorus is not otherwise required by federal, state or local law, including these rules and regulations, or pursuant to the terms of any judgment, decree or order of any court, administrative tribunal or governmental agency, or pursuant to any watershed protection program funded by the Department, except as provided in 15 RCNY §§ 18-83(a)(3) and 18-84(a)(3).

      (ii) Quantifiable means that a reasonable basis exists for calculating and verifying the amount of the reduction in phosphorus.

      (iii) Permanent means that the reduction in phosphorus is ongoing and of unlimited duration, as opposed to a temporary reduction.

      (iv) Enforceable means that the actions and performance standards proposed by the applicant leading to the reduction in phosphorus are incorporated into a legally valid and binding agreement which may be enforced by the City in a court of competent jurisdiction.

   (77) One-year, twenty-four hour storm means the storm, with a twenty-four hour duration, that statistically has a 100 percent chance of occurring in any given year, as specified in the most recent Watershed Water Quality Annual Report.

   (78) Operator means any person who leases, operates, controls or supervises a facility.

   (79) Owner means any person who has legal or equitable title to a facility.

   (80) Pathogenic means capable of causing disease from organisms, including but not limited to: bacteria, fungi, viruses, and protozoa (such as Giardia and Crypto- sporidium).

   (81) Person means any individual, public or private corporation, political entity, agency, municipality, industry, co-partnership, association, firm, trust, estate or any other legal entity whatsoever, except that person shall not mean the State of New York or any State department, agency, board, public benefit corporation, public authority or commission.

   (82) Perennial stream means a watercourse that flows throughout the year from source to mouth.

   (83) Pesticide means (i) any substance or mixture of substances intended for preventing, destroying, repelling, or mitigating any insects, rodents, fungi, weeds, or other forms of plant or animal life or viruses, except viruses on or in living humans, or other animals, which the Commissioner of the New York State Department of Environmental Conservation shall declare to be a pest or (ii) any substance or mixture of substances intended as a plant regulator, defoliant or desiccant.

   (84) Petroleum product means oil or petroleum of any kind and in any form including, but not limited to, oil, petroleum, fuel oil, oil sludge, oil refuse, oil mixed with other wastes and crude oils, gasoline and kerosene.

   (85) Phosphorus restricted basin means (i) the drainage basin of a source water reservoir in which the phosphorus load to the reservoir results in the phosphorus concentration in the reservoir exceeding 15 micrograms per liter, or (ii) the drainage basin of a reservoir other than a source water reservoir or of a controlled lake in which the phosphorus load to the reservoir or controlled lake results in the phosphorus concentration in the reservoir or controlled lake exceeding 20 micrograms per liter in both instances as determined by the Department pursuant to its annual review conducted under 15 RCNY § 18-48(e).

   (86) Photic zone means the region of a lake that receives light, where photosynthesis takes place. The photic zone extends down to a depth where photosynthetic activity and respiration are balanced due to the available light, or to one percent surface illumination.

   (87) Point source means any discernible, confined and discrete conveyance, including but not limited to any pipe, ditch, channel, tunnel, conduit, well, discrete fissure, container, rolling stock, or vessel or other floating craft, or landfill leachate collection system, from which pollutants are or may be discharged.

   (88) Pollutant means unpermitted dredged spoil, solid waste, incinerator residue, sewage, effluent, garbage, sewage sludge, munitions, chemical waste, biological material, radioactive material, heat, wrecked or discarded equipment, rock, sand, and industrial and municipal waste discharged into water.

   (89) Principal means an agency or person that owns 10 percent or more of the voting stock or has the ability to control a corporation, partnership or other entity.

   (90) Radioactive material means any material in any form that emits radiation spontaneously.

   (91) Redevelopment project means the reconstruction or modification of any previously developed land such as residential, commercial, industrial, or road/highway, which involves soil disturbance. Redevelopment is distinguished from new development in that new development refers to construction on land which has not been substantially developed. The term “redevelopment project” specifically applies to areas previously developed with impervious surfaces.

   (92) Regulated activity means any activity to which these rules and regulations apply, as described in subdivisions (a)-(d) of 15 RCNY § 18-14.

   (93) Remediation means the repair or replacement, other than routine repair or maintenance as described in 15 RCNY § 18-38(a)(9)(iii), of a subsurface sewage treatment system that is failing.

   (94) Reservoir means any natural or artificial impoundment of water owned or controlled by the City which is tributary to the City Water supply system.

   (95) Reservoir stem means any watercourse segment which is tributary to a reservoir and lies within 500 feet or less of the reservoir.

   (96) Residential lot(s) means any parcel of land of five acres or less, any point on the boundary line of which is less than one-half mile from any point on the boundary line of another such lot in the same tract, unless any such lot may not legally be used for residential purposes. Without limiting the generality of the foregoing, the term “residential” shall include temporary, seasonal and permanent residential use.

   (97) Sediment means organic or mineral solids or colloids that are transported by the process of hydrologic, hydraulic, or atmospheric transport, including but not limited to erosion.

   (98) Sewage means the water-carried human or animal wastes from residences, buildings, industrial establishments or other places, together with such groundwater infiltration and surface water as may be present. The admixture of sewage with industrial waste or any other waste as herein defined, shall also be considered “sewage” within the meaning of these rules and regulations.

   (99) Sewer connection or lateral means the connection between a building, residence, or other structure and a sewer system except that any connection designed and intended to convey 2,500 gallons per day or more of residential sewage shall be considered a sewer extension.

   (100) Sewer extension means newly constructed sewer pipe lines or conduits, and pumping stations and other constructions appurtenant thereto, designed to serve one or more sewer connections and to convey sewage, industrial waste or other wastes to a sewer system.

   (101) Sewer system means pipe lines or conduits, pumping stations, and force mains, and all other constructions, devices, and appliances appurtenant thereto, including sewer extensions, used for conducting sewage, industrial waste or other wastes to a treatment facility.

   (102) Silvicultural activity means the removal of selected trees within a specified boundary designated by the owner of the property so that adequate numbers of trees are left to provide seed and partial shade for the development of new tree seedlings, and when such activity is in accordance with Federal, State and local laws.

   (103) Small quantity generator has the meaning set forth in 6 NYCRR § 370.2(b)(154).

   (104) Solid waste means all putrescible and non-putrescible materials or substances that are discarded, abandoned, or rejected as being spent, useless, worthless or in excess to the owners at the time of such discard or rejection, including but not limited to garbage, refuse, industrial and commercial waste, sludges from air or water treatment facilities, rubbish, tires, ashes, contained gaseous material, incinerator residue, construction and demolition debris, discarded automobiles and offal, except where exempt from compliance with 6 NYCRR Part 360 as described in 6 NYCRR § 360-1.2(a)(4).

   (105) Solid waste management facility means any facility employed beyond the initial solid waste collection process and managing solid waste including but not limited to: storage areas or facilities; transfer stations; rail-haul or barge-haul facilities; landfills; construction and demolition processing facilities; disposal facilities; solid waste incinerators; landspreading facilities; composting facilities; surface impoundments; waste oil storage, reprocessing and rerefining facilities; recyclables handling and recovery facilities; and waste tire storage facilities, as defined in 6 NYCRR § 360-1.2.

   (106) Source water reservoir means Ashokan, Cross River, Croton Falls, Kensico, New Croton, Rondout, and West Branch Reservoirs.

   (107) SPDES flow parameter violation means two or more violations of a permitted State Pollutant Discharge Elimination System (SPDES) flow parameter limit during a consecutive six month period. A facility that operates less than 6 months per year will be deemed to have a SPDES flow parameter violation if the permitted SPDES flow parameter limit is violated one or more times during any consecutive four month period.

   (108) State Pollutant Discharge Elimination System (SPDES) permit means a permit issued pursuant to Titles 7 and 8 of Article 17 of the Environmental Conservation Law.

   (109) Stormwater means that portion of precipitation that is in excess of the evaporative or infiltrative capacity of soils, or the retentive capacity of surface features, that flows off the land by surface runoff or by subsurface interflow to watercourses, wetlands, reservoirs, reservoir stems and controlled lakes, i.e., that portion of the water supplied to surface drainage that is not groundwater or base flow.

   (110) Stormwater conveyance measure means a swale, drainage ditch, pipe, spillway, or other structure located outside a stormwater management practice that is used solely to transport water between stormwater management practices or to a watercourse or wetland. A stormwater conveyance measure constructed to convey stormwater, on a temporary basis, during active construction, which will not be used as a stormwater conveyance measure after construction is complete, is not considered a watercourse under this Chapter. A stormwater conveyance measure that contains water only during and immediately after a rainstorm or a snowmelt is not considered a watercourse.

   (111) Stormwater infiltration practice means a stormwater management practice designed to collect and temporarily store runoff and to distribute that runoff to the underlying soil for treatment.

   (112) Stormwater management practice means a stormwater pond, stormwater wetland (also known as a constructed wetland), infiltration system, filter practice, or open channel used primarily for managing and/or treating stormwater, including a Department approved alternative stormwater management practice.

   (113) Stormwater Project Review Committee (“Committee”) means a Committee formed in each Town or Village in the watershed to assist the Department in implementing 15 RCNY § 18-39(b) and (c), and consisting of the following four Committee members: a representative of the Department, who shall act as chairperson; a representative of the New York State Department of Environmental Conservation from the region in which the activity requiring a stormwater pollution prevention plan is proposed to be located; a representative of the Town or Village in which the activity requiring a stormwater pollution prevention plan is proposed to be located or if no one is designated by the Town, or if the activity is proposed for a village, the Village, a representative of the appropriate County Planning Department, provided, however, that a Town, or if the activity is proposed for a village, the Village, may at any time designate a representative to replace the one designated by the County Planning Department; and a representative of the County Department of Health from the County in which the activity requiring a stormwater pollution prevention plan is proposed to be located, or in a County without a County Department of Health, a representative of the County Soil and Water Conservation Service.

   (114) Stormwater retrofit means any construction of a structural stormwater management practice in a previously developed area, the modification of a structural stormwater management practice, or the implementation of a nonstructural practice to improve stormwater management and/or stormwater treatment over current conditions.

   (115) Stratification means the physical condition caused primarily by temperature-created differences in water density, which results in the formation of a warm, surface layer (epilimnion), a zone of transition (metalimnion), and a cooler, deep layer of water (hypolimnion).

   (116) Subdivision means any tract of land which is divided into five or more parcels of five acres or less, along an existing or proposed street, highway, easement or right-of-way, for sale or for rent as residential lots. A tract of land shall constitute a subdivision upon the sale, rental or offer for sale or lease of the fifth residential lot therefrom within any consecutive three year period.

   (117) Subsurface discharge means discharge to an absorption area, i.e., a process designed to allow filtered, treated sewage effluent to be discharged into the ground as a means of ultimate disposal.

   (118) Subsurface sewage treatment system means any underground system used for collecting, treating, and disposing of sewage into the ground including, but not limited to, individual and intermediate sized sewage treatment systems, as defined in these rules and regulations.

   (119) Ten-year, twenty-four hour storm means the storm, with a twenty-four hour duration, that statistically has a ten percent chance of occurring in any given year, as specified in the most recent Watershed Water Quality Annual Report.

   (120) Terminal reservoir means Kensico, West Branch, New Croton, Ashokan and Rondout Reservoirs.

   (121) Two-year, twenty-four hour storm means the storm, with a twenty-four hour duration, that statistically has a fifty percent chance of occurring in any given year.

   (122) Ulster County Fill System means a subsurface sewage treatment system used in Ulster County which has been approved by the New York State Department of Health for use in Ulster County and which is built upon two (2) feet of in situ soil that has a percolation rate between 3 to 60 minutes/inch, and which uses at least four (4) feet of fill material, including at least three (3) feet between the bottom of the trench and the in situ soil, that has a percolation rate between 3 and 10 minutes/inch. Ulster County Fill Systems may be used on individual lots or in subdivisions in Ulster County and may also be used in a county other than Ulster if the New York State Department of Health has approved the system for use in such other county.

   (123) Village means a territory which has been incorporated as a village pursuant to Article 2 of the New York State Village Law.

   (124) Village extension means an area immediately adjoining a main road extending outside an existing village which has been designated as a village extension by a Town Board in the West of Hudson watershed and described in a Water Supply Permit duly issued by the New York State Department of Environmental Conservation or in any written agreement among the affected parties to the 1997 New York City Watershed Memorandum of Agreement, including the New York State Department of Environmental Conservation.

   (125) Wastewater treatment plant means any facility which treats sewage or discharges treated effluent not intended to receive further treatment in the watershed, and which requires a permit under Titles 7 or 8 of Article 17 of the Environmental Conservation Law. A wastewater treatment plant is installed for the purpose of treating, neutralizing, stabilizing or disposing of sewage by removal of contaminants accomplished by unit operations or processes or by a combination of such operations and processes as may be applicable to a given design for a wastewater treatment plant. Wastewater treatment plants shall not include intermediate sized sewage treatment systems as defined in these rules and regulations.

   (126) Water Quality Volume (WQv) means the storage needed to capture and treat 90% of the average annual stormwater runoff volume. WQv is calculated as follows:      WQv = (P)(Rv)(A)         12

      where:

         WQv = water quality volume (in acre-feet)

         P = 90% Rain Event Number (A map of the 90% Rainfall in New York State appears in the most recent Watershed Water Quality Annual Report.)

         Rv = 0.05 + 0.009(I), where I is percent impervious cover

         A = site area in acres

      A minimum WQv of 0.2 inches per acre shall be met at residential sites that have less than 17% impervious cover.

   (127) Water supply means the New York City public water supply system, and includes all watercourses, wetlands, reservoirs, reservoir stems and controlled lakes tributary thereto.

   (128) Watercourse means a visible path through which surface water travels on a regular basis, including an intermittent stream, which is tributary to the water supply. A drainage ditch, swale or surface feature that contains water only during and immediately after a rainstorm or a snowmelt shall not be considered to be a watercourse.

   (129) Watershed means the land area contributing surface water to the New York City water supply.

   (130) Watershed Agricultural Council means the Watershed Agricultural Council for the New York City Watershed, Inc., a not-for-profit organization with its principal place of business at 33195 State Highway 10, Walton, New York 13856.

   (131) Watershed Water Quality Annual Report means the report prepared annually by the Department in accordance with 15 RCNY § 18-48. The Watershed Water Quality Annual Report includes the results of its annual review of its reservoirs and controlled lakes as described in 15 RCNY § 18-48 as well as the current New York State rainfall values for the one- and ten-year, twenty-four hour storms and a map of the 90% rainfall in New York State.

   (132) West of Hudson watershed means the Ashokan, Cannonsville, Pepacton, Neversink, Rondout, and Schoharie Reservoirs and their drainage basins.

   (133) Wetland means any area mapped as a wetland by the New York State Department of Environmental Conservation pursuant to the Environmental Conservation Law, which is at least 12.4 acres in size or has been designated as a wetland of unusual local importance.

   (134) Winter highway maintenance materials means the solid compounds or the solutions that are commonly used for traction on, or for the abatement of, winter road ice, including, but not limited to, chloride compounds, mixtures of sand and chloride compounds, sand and coal combustion bottom ash and ash from solid waste incinerators that meet the requirements of 6 NYCRR § 360-3.5(h).

§ 18-17 References.

The following laws, guidance documents, regulations or technical material have been incorporated by reference in this Chapter 18. These references are available for inspection and copying at the Department of Environmental Protection, Bureau of Water Supply, Division of Water Quality, 465 Columbus Avenue, Valhalla, New York 10595, or can be directly obtained from the sources listed for the given reference.

   (1) Federal Categorical Pretreatment Standards, 40 C.F.R. Part 403, 1992, Superintendent of Documents, United States Government Printing Office, Washington, D.C. 20402.

   (2) USDA Soil Conservation Service Soil Type Boundaries, USDA SCS, Room 771, Federal Building, 100 South Clinton Street, P.O. Box 7248, Syracuse, New York 13261-7248.

   (3) Standard Methods for the Examination of Water and Wastewater, 12th edition, 1965, Table 18, “Qualitative Description of Odors,” page 306, American Public Health Association, American Water Works Association, and Water Pollution Control Federation, 2626 Pennsylvania Avenue NW, Washington, D.C. 20037.

   (4) Standard Methods for the Examination of Water and Wastewater, 18th edition, 1992, American Public Health Association, American Water Works Association, and Water Environment Federation, 2626 Pennsylvania Avenue NW, Washington, D.C. 20037.

   (5) Methods for Chemical Analysis of Water and Wastes, 1979, Environmental Protection Agency (EPA), Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402.

   (6) State Environmental Quality Review Act, New York State Environmental Conservation Law, Article 8 (ECL §§ 8-0101 et seq.), Department of State, 162 Washington Avenue, Albany, New York 12231.

   (7) Public Water Supplies; Sewerage and Sewage Control, New York State Public Health Law, Article 11 (PHL §§ 1100 et seq.), Department of State, 41 State Street, Albany, New York 12231.

   (8) Classifications and Standards of Quality and Purity, 6 NYCRR Parts 701 and 703, Department of State, 41 State Street, Albany, New York 12231.

   (9) Standards for Individual Water Supply and Wastewater Treatment Systems, 10 NYCRR Part 75 and Appendix 75-A, Department of State, 41 State Street, Albany, New York 12231.

   (10) New York State Department of Environmental Conservation Technical and Operational Guidance Series (TOGS) 1.1.1, Ambient Water Quality and Guidance Values (October 22, 1993, Reissue Date June 1998, as modified and supplemented by the January 1999 Errata Sheet and the April 2000 and June 2004 Addenda), New York State Department of Environmental Conservation, 625 Broadway, Albany, New York 12233.

   (11) New York State Department of Environmental Conservation Technical and Operational Guidance Series (TOGS) 1.3.1, Total Maximum Daily Loads and Water Quality Based Effluent Limits , including Amendments A through E , New York State Department of Environmental Conservation, 625 Broadway, Albany, New York 12233.

   (12) New York State Department of Environmental Conservation Technical and Operational Guidance Series (TOGS) 1.3.1B, Total Maximum Daily Loads and Water Quality-Based Effluent Limits, Amendments-Low and Intermittent Stream Standards , New York State Department of Environmental Conservation, 625 Broadway, Albany, New York 12233.

   (13) New York State Environmental Conservation SPDES General Permit for Storm Water Discharges from Construction Activities, Permit No. GP-0-08-001, Dated January 29, 2010, New York State Department of Environmental Conservation, 625 Broadway, Albany, New York 12233.

   (14) Design Standards for Wastewater Treatment Works, Intermediate Sized Sewerage Facilities, 1988, New York State Department of Environmental Conservation, 625 Broadway, Albany, New York 12233.

   (15) Recommended Standards for Wastewater Facilities, Great Lakes – Upper Mississippi River Board of State and Provincial Public Health and Environmental Managers, 2004, Health Education Services, P.O. Box 7126, Albany, New York 12224.

Subchapter B: Standards and Procedures For Regulated Activities and Noncomplying Regulated Activities

§ 18-21 Standards for Regulated Activities.

(a)  The following general standards apply to all regulated activities unless specifically noted otherwise, whether or not the regulated activity also requires the review and approval of the Department. In addition, certain regulated activities must meet additional standards or procedures where specifically set forth in this subchapter or in other subchapters:

   (1) All regulated activities shall be planned, designed, scheduled and conducted in such manner as to not constitute a source of contamination to or degradation of the water supply.

   (2) The Department shall base its review and approval of any regulated activity on compliance with these rules and regulations, including the water quality standards set forth in Subchapter D, and shall additionally take into consideration the system specific water quality characteristics set forth in Appendix 18-B.

   (3) The burden of demonstrating compliance with the requirements of these rules and regulations shall be on the person proposing to engage in a regulated activity. In the event that any person finds that compliance with any standard set forth in these rules and regulations is not possible, then she or he may apply for a variance in accordance with the provisions of Subchapter F of these rules and regulations. Variances may be granted provided that the Department makes the findings required by Subchapter F of these rules and regulations.

   (4) Failure to comply with the conditions of any approval issued by the Department under these rules and regulations shall be a violation of these rules and regulations.

   (5) The Department may order that a regulated activity cease, and/or a facility where such regulated activity is taking place be closed or removed, if such regulated activity is causing contamination to or degradation of the water supply, such that the activity is a threat to the life, health, or safety of water supply users that requires immediate corrective action. Any person who receives such an order may request a hearing on such order in the manner provided in 15 RCNY § 18-29.

§ 18-22 Procedures for Notification and/or Reporting.

Where any notification, application or reporting to the Department required by these rules and regulations is to be made in writing, it shall be sent by certified mail to both the local Department representative in the portion of the watershed in which the regulated activity takes place and to the Engineering Section. Addresses are listed in 15 RCNY § 18-15.

§ 18-23 Application Procedures and Requirements.

(a)  These procedures shall apply to the following:

   (1) Applications for review and approval of regulated activities, including renewals of approvals of regulated activities. An application for renewal of an approval of a regulated activity shall be submitted to the Department no less than 180 days prior to the expiration of the approval. This deadline shall apply unless stated otherwise in a special condition of the approval.

   (2) Applications for review and approval of a substantial alteration or modification of any regulated activity;

   (3) Applications for review and approval of any substantial alteration or modification of a noncomplying regulated activity; and

   (4) Applications for variances pursuant to Subchapter F of these rules and regu- lations.

  1. The applicant shall meet the following requirements:

   (1) No person shall undertake any activity listed in 15 RCNY § 18-14 which requires the review and approval of the Department without first obtaining written approval from the Department, except where a temporary emergency approval has been obtained from the Department pursuant to 15 RCNY § 18-24.

   (2) Any person proposing to undertake any activity listed in 15 RCNY § 18-14 which requires the review and approval of the Department, shall submit to the Department, at the address of the Department representative for the area where the regulated activity is to be undertaken set forth in 15 RCNY § 18-15, an application for review and approval which includes a plan of the activity which meets the requirements of this Subchapter and any additional requirements for the specific activity set forth in these rules and regulations. Failure by the applicant to submit information to the Department or to follow the Department procedures set forth in these rules and regulations is sufficient grounds to deny the approval.

   (3) Any person seeking approval of an activity may be subject to such terms and conditions as the Department may require, including time limitations and limitations on transfer of the approval given by the Department.

   (4) (i)  An applicant shall affirmatively state in the application whether any enforcement action has been commenced during the five (5) years preceding the application against the applicant, or any principal or affiliate of the applicant, for alleged violations of law related to the specific regulated activity for which the approval is sought, or related to the facility or site at which the activity is located. The applicant shall supply the following information with respect to each enforcement action: the agency or entity commencing the action, the date of commencement, the facility location and address where the alleged violation occurred, and disposition of the action.

      (ii) Failure to fully and accurately disclose any material information required to be disclosed pursuant to subparagraph 4(i) shall be a basis for the Department to deny a permit application.

      (iii) Failure to cure any adjudicated violation of this Chapter or any law, rule or regulation enforced by the Department shall be a basis to deny a permit application.

      (iv) If the Department or the City has commenced an enforcement action against the applicant for violations of law related to the facility or site at which the activity for which the approval is sought is located, the Department may suspend processing of the application until such alleged violations are cured.

   (5) Any property owner may request that the Department perform a site visit and evaluation to determine and flag the presence of a watercourse, reservoir, reservoir stem or controlled lake on the owner’s property. If the property owner supplies the Department with a surveyor’s map of the property which includes a representation of the flagged watercourses, reservoirs, reservoir stems or controlled lakes identified by the Department, the Department shall confirm or annotate the findings upon the surveyor’s map as soon as is practicable. A confirmed survey map shall be binding upon the Department for five years following the date of the confirmation.

   (6) If an applicant for Department review and approval of a regulated activity requests that the Department conduct a site visit and evaluation to determine and flag the presence of a watercourse, reservoir, reservoir stem or controlled lake on the applicant’s property the Department shall do so as soon as is practicable. If the applicant supplies the Department with a surveyor’s map of the property which includes a representation of the flagged watercourses, reservoirs, reservoir stems or controlled lakes identified by the Department, the Department shall confirm or annotate the findings upon the surveyor’s map within 20 business days of receipt thereof. A confirmed survey map shall be binding upon the Department for five years following the date of the confirmation. The absence of a Department confirmed surveyor’s map will not cause an application to be considered incomplete.

  1. An application shall contain the following information:

   (1) An application for the review and approval of any activity listed in 15 RCNY § 18-14 shall provide a description of the activity, the location and topography of the area of the activity, identification of any existing structures at the location, and any engineering, construction or other plans which detail the methods to be used in undertaking the activity such that it shall meet the requirements of this Subchapter and any additional requirements for the specific activity set forth in these rules and regulations.

   (2) An application for review and approval of any activity listed in 15 RCNY § 18-14 shall include a copy of any Environmental Assessment Form (EAF), and either a Draft Environmental Impact Statement (DEIS) or a determination of nonsignificance by the lead agency, where such documents are prepared pursuant to Article 8 of the Environmental Conservation Law and the rules and regulations promulgated thereunder.

   (3) When a regulated activity requires a related approval from any other agency or more than one approval from the Department, the application for review and approval shall include a list of such approvals which the applicant knows to be required, and a statement of the status of any required approval at the time of filing of the application with the Department.

   (4) An application for review and approval of any regulated activity shall include the name, address, telephone number, and fax number of the applicant or the applicant’s authorized representative, and of the design professional(s), if any, involved in preparing the application.

  1. Review and Approval Procedures:

   (1) The applicant proposing to engage in any activity listed in 15 RCNY § 18-14 which requires the review and approval of the Department shall certify in writing that she or he believes that the application is complete and in compliance with the requirements of this Subchapter and any additional requirements for the specific activity set forth in these rules and regulations.

   (2) An application is complete when it is determined by the Department to contain sufficient information for the purpose of commencing review of the application. The Department retains the right to seek additional information in order to enable the Department to make a determination pursuant to these rules and regulations. Within ten (10) days of receiving an application for review and approval of a conventional individual sewage treatment system to be installed on an individual lot which is not within a subdivision, or within twenty (20) days of receiving any other type of application for review or approval, the Department shall either:

      (i) Notify the applicant in writing that the application is complete and that the Department shall commence its review; or

      (ii) Notify the applicant in writing that the application is incomplete and specifically request all additional information from the applicant as the Department deems necessary. If additional information is requested or comments are issued by the Department that need to be addressed by the applicant, the twenty (20) day period described in paragraph (d)(4) of this subdivision or the forty-five (45) day period described in paragraph (d)(5) of this subdivision shall not commence to run. The Department shall notify the applicant in writing within ten (10) days of receiving the additional information that has been requested either that the application is complete and that the Department has commenced its review or that further information is required.

      (iii) Except in cases where the applicant has submitted false or misleading information or where a change in relevant law has occurred or changes have been proposed for the project, the Department may require further information based only upon the additional information submitted by the applicant or new issues raised by such information. In addition, the Department may also require further information based on a change in ownership of the property, the identity of the applicant, or the identity of the applicant’s owners, principals, shareholders, directors, or officers.

   (3) If the Department fails to notify an applicant in writing of its determination as to the completeness or incompleteness of the application within the time periods set forth in paragraph (d)(2) of this subdivision, the applicant may notify the Department of its failure by means of certified mail, return receipt requested, to the local Department representative identified in 15 RCNY § 18-15 who is responsible for processing the application and a copy to the Engineering Section. If the Department fails to notify the applicant of its determination as to the completeness or incompleteness of the application within ten (10) business days of receiving the notice, the application shall be deemed complete as of the eleventh day.

   (4) The Department shall notify the applicant in writing of its determination within twenty (20) days of determining that an application for review and approval of a conventional individual sewage treatment system to be installed on an individual lot which is not within a subdivision is complete pursuant to the procedures set forth in paragraph (d)(2) of this subdivision unless the Department and the applicant mutually agree in writing upon an extension of the twenty (20) day review period. If, during the twenty (20) day review period, the Department requests revisions to the application, the review period shall be suspended from the date such request is made until the date on which the Department receives such revisions, provided that the Department shall have no fewer than ten (10) days from the date of receipt to issue a determination.

   (5) For all applications for review and approval, other than for a conventional individual sewage treatment system to be installed on an individual lot which is not within a subdivision, the Department shall notify an applicant in writing of its determination within forty-five (45) days of notifying the applicant that the application is complete pursuant to the procedures set forth in paragraph (d)(2) of this subdivision unless the Department and the applicant mutually agree in writing upon an extension of the forty-five (45) day review period. If, during the forty-five (45) day review period, the Department requests revisions to the application, the review period shall be suspended from the date such request is made until the date on which the Department receives such revisions, provided that the Department shall have no fewer than ten (10) days from the date of receipt to issue a determination.

   (6) If the Department fails to notify an applicant in writing of its determination within the twenty (20) day time period as set forth in paragraph (d)(4) of this subdivision or the forty-five (45) day time period as set forth in paragraph (d)(5) of this subdivision, the applicant may notify the Department of its failure by means of certified mail, return receipt requested to the local Department representative identified in 15 RCNY § 18-15 who is responsible for processing the application and a copy to Regulatory and Engineering Programs. The notice shall contain the applicant’s name, location of the proposed project, the office in which the application was filed, and a statement that a decision is sought in accordance with this subdivision. Any notice failing to provide this information will not invoke this provision.

      (i) If the Department fails to notify the applicant of its decision within ten (10) business days of the receipt of such notice, the application shall be deemed approved subject to the standard terms and conditions applicable to such an approval.

   (7) Notwithstanding the time period for notifying an applicant of the Department’s determination specified in paragraphs (d)(4), (d)(5) and (d)(6) of this section, if a lead agency has determined that a project may have a significant effect on the environment for purposes of the State Environmental Quality Review Act (SEQRA), such time periods shall be suspended pending receipt from the lead agency of either a Final Environmental Impact Statement (FEIS) or a determination of nonsignificance. Upon receipt of either document, the time periods shall resume, provided, however, that the Department shall have at least twenty (20) days to notify an applicant of its determination.

   (8) Notwithstanding the time periods for decisions specified in this subdivision, the Department may condition an approval on the applicant providing satisfactory proof of any bonds required by the Department within thirty days of the applicant receiving the conditional approval from the Department.

   (9) Any notice required or permitted to be given by the Department under this Subchapter shall be given in such manner designed to reach the applicant, as the Department deems appropriate, and may include, but is not limited to, regular mail, certified mail return receipt requested, or telecopier.

§ 18-24 Emergency Procedures.

(a)  Notwithstanding any other provision of this Subchapter, where an expedited review and approval of a regulated activity is necessary to respond to an imminent threat to the health and safety of humans or animals, or to respond to a substantial imminent threat to property, an applicant seeking such review and approval shall notify the Department by telephone at the office of the local representative listed in 15 RCNY § 18-15, and shall meet with the Department within 24 hours. At the meeting the applicant shall present to the representative of the Department such available information regarding the regulated activity as would otherwise be required in a written application for review and approval of the regulated activity. Additionally, the applicant shall provide an explanation of the nature of the imminent threat that necessitates the expedited review. The Department shall review the information supplied by the applicant and shall issue a temporary determination to approve or disapprove the application within 24 hours of receipt of the information required by this subdivision.

   (1) An applicant shall not be required to notify the Department before undertaking the routine repair and maintenance of a subsurface sewage treatment system, including, but not limited to, the pump-out of a septic tank, the repair of a broken lateral, the leveling of a distribution box, or the removal of a blockage.

  1. An approval granted by the Department pursuant to the emergency expedited review procedure shall be a temporary approval only, and shall not be considered to be a final approval of the Department. The temporary approval may contain conditions and time limitations and shall be limited to whatever actions are necessary to abate the imminent threat. A final approval shall be issued by the Department only after review and approval of a complete written application submitted in accordance with the procedures and standards set forth in subdivision (c) of this section, and any other applicable provisions of this Subchapter and these rules and regulations.
  2. An applicant who has received a temporary approval for a regulated activity pursuant to the emergency expedited review procedure shall, within twenty days of such approval, submit a written application to the Department containing all of the information required to be provided by these rules and regulations for the particular regulated activity.

§ 18-25 Optional Pre-application Conference.

(a)  If a proposed regulated activity requires one or more Department reviews or approvals, or the preparation of an Environmental Impact Statement pursuant to the State Environmental Quality Review Act, the prospective applicant may request an optional pre-application conference with the appropriate Department staff as a means of clarifying application procedures to be followed in order to comply with the requirements set forth in these rules and regulations.
  1. The request for a pre-application conference should be made at the earliest possible stage of the applicant’s planning process. Such request shall be made in writing to the Department representative for the area where the regulated activity is to be undertaken, as set forth in 15 RCNY § 18-15. A mutually agreed upon time and place shall be scheduled for the pre-application conference.
  2. In order to assist the prospective applicant, prior to the preapplication conference, the prospective applicant shall submit to the Department representative the following information:

   (1) A description of the proposed regulated activity, a site plan or sketch showing the location and topography of the area of the activity, identification of any existing structures at the location, and any engineering, construction or other plans which describe the methods to be used to meet the requirements of these rules and regulations;

   (2) A statement of the prospective applicant’s timetable and financial plans for carrying out the proposed regulated activity, if known;

   (3) A statement of any governmental financial aid, facilities, or other assistance which the prospective applicant expects to be provided or plans to request for the regulated activity; and

   (4) Such other information as the Department deems reasonably necessary.

  1. At the pre-application conference, the proposed project will be informally discussed. Based on information provided by the applicant, review and approval requirements will be identified and the applicant will be provided with guidance concerning the application and review process. Participation in the preapplication process shall not relieve an applicant from the requirements of obtaining all approvals otherwise necessary under these rules and regulations or any other law or rules and regulations, prior to commencing the regulated activity.

§ 18-26 Modification, Suspension or Revocation of Approvals and Variances.

(a)  An approval or variance issued by the Department pursuant to these rules and regulations may be modified, suspended or revoked at any time upon the Department's initiative, on any of the grounds set forth in paragraphs (1) through (5) of this subdivision. The grounds for modification, suspension or revocation include:

   (1) Materially false or inaccurate statements in the approval or variance application or supporting documents;

   (2) Failure by the person named in the approval or variance to comply with any terms or conditions of the approval or variance;

   (3) The scope of the project, as described in the application, is exceeded;

   (4) Newly discovered material information or a material change in environmental conditions, relevant technology or applicable law or rules and regulations since the issuance of the existing approval or variance; or

   (5) Noncompliance with previously issued approval or variance conditions, orders of the Commissioner, or with any provisions of the rules and regulations of the Department related to the activity.

  1. The Department shall send a notice of intent to modify, suspend or revoke an approval or variance to the person named in the approval or variance by certified mail, return receipt requested or by personal service. The notice shall state the alleged facts or conduct which appear to warrant the intended action.
  2. Within fifteen calendar days of receipt of a notice of intent, the person named in the approval or variance may submit a written statement to the Department, giving reasons why the approval or variance should not be modified, suspended or revoked, or requesting a hearing, or both. Failure by such person to timely submit a statement shall result in the Department’s action becoming effective on the date specified in the notice of intent.
  3. Within fifteen calendar days of receipt of such person’s statement, the Department shall either:

   (1) If a statement without a request for a hearing is submitted, rescind or confirm the notice of intent based on a review of the information provided by such person; or

   (2) If a statement with a request for a hearing is submitted, notify such person of a date and place for a hearing, to be commenced not later than sixty calendar days from this notification.

  1. In the event such a hearing is held, the Commissioner shall, within thirty calendar days of receipt of the complete record, issue a written decision, stating the findings and reasons therefor, to the person named in the approval or variance. The decision shall:

   (1) Continue the approval or variance in effect as originally issued;

   (2) Modify the approval or variance or suspend it for a stated period of time or upon stated conditions; or

   (3) Revoke the approval or variance, including, where ordered by the Commissioner, removal or modification of all or any portion of a project, whether completed or not.

  1. Where the Department proposes to modify an approval or variance, and the person named in the approval or variance requests a hearing on the proposed modification, the original conditions of the approval or variance shall remain in effect until a decision has been issued by the Commissioner pursuant to subdivision (e) of this section. At such time the modified conditions shall take effect.
  2. Nothing in this section shall preclude or affect the Commissioner’s authority to use the remedy of summary abatement or to issue a cease and desist order under these rules and regulations, or any other law or regulation.

§ 18-27 Noncomplying Regulated Activities.

(a)  General requirements.

   (1) A noncomplying regulated activity may be continued except where specifically prohibited from continuing by these rules and regulations.

   (2) A noncomplying regulated activity shall come into compliance with these rules and regulations where specifically required to do so by these rules and regulations.

   (3) Except where otherwise provided in these rules and regulations, no noncomplying regulated activity shall be substantially altered or modified without the prior review and approval of the Department. The Department shall review and approve such an alteration or modification in accordance with the standards and procedures set forth in Subchapter F (variances). However, a noncomplying regulated activity may be reduced in size or extent without such review and approval provided that such reduction does not cause any increase in any existing discharge or any increase in the potential for contamination to or degradation of the water supply. An application for a regulated activity to be located on a site with a noncomplying regulated activity, which does not involve a substantial alteration or modification of a noncomplying regulated activity, shall be reviewed in accordance with the standards for that regulated activity.

   (4) In the event that any noncomplying regulated activity is discontinued for a period of one year or more, it shall permanently desist. However, a noncomplying regulated activity shall not be deemed discontinued in the following situations:

      (i) Seasonal use of a residence or business;

      (ii) Destruction of 75 percent or more of the market value of a noncomplying regulated activity and its related property, by flood, fire, or other natural disaster, provided that any replacement of a noncomplying regulated activity shall be identical in capacity, intensity, volume and type to the former noncomplying regulated activity and provided that such replacement shall take place within two years of such destruction, and provided further that such replacement shall comply with these rules and regulations, where possible;

      (iii) Transfer, sale, or lease of a residence or business provided further that the noncomplying regulated activity is not changed to a different noncomplying regulated activity, unless approved by the Department, and provided that such transfer, sale or lease occurs within three years of the offering for sale or lease of the residence or business.

   (5) Should any noncomplying regulated activity cause contamination to or degradation of the water supply, such that the activity is a threat to the life, health, or safety of water supply users, the Commissioner may order that such noncomplying regulated activity conform either in whole or in part to the requirements of these rules and regulations, immediately or within a limited period of time at the Commissioner’s discretion, or be discontinued immediately. Any person who receives such an order may request a hearing on such order in the manner provided in 15 RCNY § 18-29.

   (6) Any owner or operator of a noncomplying regulated activity who was not required by these rules and regulations to notify the Department pursuant to paragraph (1) of subdivision (b) of this section, may request, in writing, a determination from the Department that such property or activity is a noncomplying regulated activity. The written request shall include all of the information required in such paragraph. The Department shall determine, based upon the submission, whether the property or activity is a noncomplying regulated activity, and shall notify the owner or operator of such determination in writing.

  1. Commercial, industrial, institutional or governmental noncomplying regulated activities.

   (1) Commercial, industrial, institutional or governmental owners or operators of a noncomplying regulated activity shall notify the Department, in writing, of the existence of the noncomplying regulated activity within one (1) year of the effective date of these rules and regulations. The notification shall include a description of the noncomplying regulated activity and its location, and the name and telephone number of a contact person.

   (2) The Department shall publish a directory of all commercial, industrial, institutional or governmental noncomplying regulated activities located in the watershed based upon the information submitted pursuant to paragraph (1) of this subdivision, and any additional information available to the Department.

   (3) The directory shall be published in a newspaper of general circulation for two consecutive weekdays in each of two consecutive weeks.

   (4) Within sixty days of the last date of such publication, any commercial, industrial, institutional, or governmental owner or operator of a noncomplying regulated activity shall notify the Department in writing of any objection to the information set forth in the directory. Furthermore, any owner or operator of a noncomplying regulated activity shall notify the Department in writing of the omission from the directory of his or her noncomplying regulated activity.

   (5) Within 120 days of the last date of publication of the directory, the Department shall publish a revised directory, in accordance with the procedures provided for in paragraph (3) of this subdivision.

   (6) If, within five years of the effective date of these rules and regulations, a commercial, industrial, institutional or governmental owner or operator of a noncomplying regulated activity discovers that his or her property should have been included in the final directory and was not included, such owner or operator shall write to the Department and request that the property be added to the directory. The request shall include all of the facts surrounding the omission from the listing and the reason why the property should be designated a noncomplying regulated activity, as well as all supporting documentary evidence, such as title searches, deeds, etc. Based upon the submission, the Department shall determine whether to add the property to the directory and shall notify the petitioner in writing of its decision.

   (7) Upon written notification by the Department, a commercial, industrial, institutional, or governmental owner or operator of a noncomplying regulated activity may be required to submit any results of local, state or federally mandated or conducted tests or environmental audits. In addition, such owner or operator may be required to provide to the Department copies of any reports or applications submitted to local, state and federal agencies relating to the noncomplying regulated activity.

   (8) Upon written notification by the Department, a commercial, industrial, institutional, or governmental owner or operator of a noncomplying regulated activity may be required to submit, within ninety days of receipt of mailing, for review and approval by the Department, a plan to protect the water supply from the potential for contamination or degradation posed by such activity. Such plan may include, but shall not be limited to, restriction or management of activities, use of best management practices, drainage control, development of procedures to address the potential contamination or degradation (including disposal procedures) and training of employees.

      (i) The decisions whether to require submission of a plan and whether to approve a plan shall be based upon the risk of potential for contamination to or degradation of the water supply based upon such factors as: location, intensity of use, record of adequate maintenance and operation of any existing structure or facility, compliance with existing local, state, and federal laws and rules and regulations, and the burden upon the noncomplying regulated activity.

§ 18-28 Appeals.

(a)  An applicant may appeal a final determination issued by the Department under these rules and regulations by filing a petition in writing with the Department and with the New York City Office of Administrative Trials and Hearings ("OATH") within thirty (30) days of the date the determination was mailed. The petition shall state the name and address of the petitioner and shall include a short and plain statement of the matters to be adjudicated, identifying the approval or variance sought by the petitioner with citation to the applicable provisions of these rules and regulations, the regulated activity for which the Department issued the determination, the proposed location of the activity, and the date of the Department's determination. The petition should also indicate whether the petitioner is requesting a hearing. A copy of the determination being appealed shall be attached to the petition. In addition, a completed OATH intake sheet shall be included with the petition. Blank intake sheets are available from the Department.
  1. The following determinations are appealable:

   (1) A denial of an application for approval of a regulated activity.

   (2) A denial of an application for a variance.

   (3) The imposition of a substantial condition in an approval of a regulated activity.

   (4) The imposition of a substantial condition in a grant of a variance.

  1. Petitions for appeal shall be referred to a City administrative law judge (ALJ) for hearing, where allowed by this section, and determination as defined in subdivision (g).
  2. The following issues are adjudicable on appeal:

   (1) Whether the regulated activity proposed by the petitioner will be in compliance with the requirements of these rules and regulations.

   (2) Whether the imposition of a substantial condition in an approval of a regulated activity is appropriate to ensure that the regulated activity will comply with the requirements of these rules and regulations.

   (3) Whether the Commissioner has abused his or her discretion in denying a request for a variance or in imposing a substantial condition in a grant of a variance.

   (4) Except where the Department has acted as lead agency, the ALJ shall not adjudicate any issues relating to compliance with the State Environmental Quality Review Act (SEQRA).

  1. Except for appeals from determinations relating to variances, the petitioner shall have the burden of proving by a preponderance of the evidence that the proposed regulated activity is in compliance with the requirements of these rules and regulations. For appeals from determinations relating to variances, the petitioner shall have the burden of proving that the Commissioner has abused his or her discretion.
  2. (1)  Appeals from determinations relating to individual sewage treatment systems or variances shall be decided on the record before the Department in its review of the application and any other written submissions allowed by the ALJ.

   (2) A petitioner may request an adjudicatory hearing on appeals from all other determinations issued by the Department. If a petitioner does not request a hearing, the petition shall be decided on the record before the Department in its review of the application and any other written submissions allowed by the ALJ. (i)  Unless otherwise agreed to by the parties and the ALJ, the hearing shall be held in the district of the Department in which the regulated activity was proposed to be located, except that hearings may be held at the Department’s offices in Valhalla, New York for appeals relating to regulated activities in the East of Hudson watershed and at the Department’s offices in Kingston, New York for appeals relating to regulated activities in the West of Hudson watershed.

  1. The ALJ shall submit a report to the Commissioner within 60 days after the record on appeal is closed with a recommendation as to whether the determination appealed from should be approved, modified or rejected. The Commissioner shall issue a final decision approving, rejecting, or modifying the ALJ’s recommendation within 30 days of receipt of the ALJ’s report. If the Commissioner does not act, the ALJ’s recommendation shall be deemed approved.
  2. This section shall not apply to determinations made by local governments administering provisions of these rules and regulations pursuant to Subchapter G.
  3. An applicant shall have the option whether to file an administrative appeal under this section and nothing in this section shall preclude an applicant from challenging a final determination issued by the Department in a court of competent jurisdiction, including instituting a proceeding under Article 78 of the Civil Practice Law and Rules, without first filing a petition for appeal pursuant to this section.

§ 18-29 Hearings on Cease and Desist Orders.

(a)  Any person who receives a cease and desist order may request a hearing on the order by submitting a petition in writing to the Commissioner and to the Office of Administrative Trials and Hearings ("OATH") within seven (7) days of receipt of the cease and desist order. The petition for a hearing shall state the name and address of the petitioner and shall include a short and plain statement of the matters to be adjudicated, identifying the activity that is the subject of the order, the location of the activity, and the date of the cease and desist order. A copy of the order shall be attached to the petition. In addition, a completed OATH intake sheet shall be included with the petition. Blank intake sheets are available from the Department.
  1. Upon receipt of the petition for a hearing, OATH shall schedule a hearing promptly in the district of the Department where the activity that is the subject of the order allegedly occurred, and at a time and date which shall not exceed fifteen (15) days from the date of receipt by OATH of the petition for a hearing unless the parties and the ALJ agree to another location and date, except that hearings may be held at the Department’s offices in Valhalla, New York for petitions relating to regulated activities in the East of Hudson watershed and at the Department’s offices in Kingston, New York for petitions relating to regulated activities in the West of Hudson watershed. Notice of such hearing shall be provided in writing to the petitioner and to the Department.
  2. A petition for a hearing shall not stay compliance with the cease and desist order, and it shall continue to be the duty of the petitioner to discontinue the activity pursuant to the terms of the order. Failure to do so shall be a violation of the order and these rules and regulations.
  3. At the hearing, the petitioner shall have the burden of proving that the activity that is the subject of the order does not come within the provisions of 15 RCNY § 18-21(a)(5) and 15 RCNY § 18-27(a)(5).
  4. The failure of the petitioner to appear at the time, date and place set forth in the notice of hearing shall constitute a default of the right to a hearing on the cease and desist order. The Department shall provide a notice of default in writing to the petitioner within five (5) days of the petitioner’s failure to appear.
  5. The hearing shall be held before an ALJ. The ALJ shall cause a record of the hearing to be made, and shall make a report to the Commissioner within ten (10) days of the close of the hearing record, setting forth the appearances, the relevant facts and arguments presented at the hearing, findings of fact and conclusions of law, and a recommendation as to whether the order should be continued, modified or vacated and the reasons therefor. Transcripts of the record of the hearing shall be made available at the petitioner’s request and expense.
  6. Within ten (10) days of receipt of the recommendation of the ALJ, the Commissioner may continue, vacate, or modify the order. If the Commissioner does not act, the ALJ’s recommendation shall be deemed adopted.
  7. The results of the hearing on the cease and desist order shall be without prejudice to the right of a person to apply for an approval or variance for a regulated activity under these regulations, and shall also be without prejudice to the authority of the Department or any other person to take action on account of any violation of law, rule, regulation or order arising out of the events, situations or circumstances which led to the issuance of the order.

§ 18-30 State Environmental Quality Review Act (SEQRA).

The following activities are deemed by the Department to be “Type II” actions under SEQRA and its implementing regulations, and the Department shall not require an environmental impact statement or any other determination or procedure under SEQRA for these activities:

  1. Installation of a new individual sewage treatment system on an individual lot which is not within a subdivision, or within a subdivision which has been approved as of the effective date of these rules and regulations.
  2. Any alteration or modification of an existing individual sewage treatment system.

Subchapter C: Regulated Activities

§ 18-31 Pathogenic Materials.

Unless otherwise permitted by these rules and regulations, a discharge, or storage which is reasonably likely to lead to a discharge, of pathogenic materials into the environment (including into groundwater), and which is reasonably likely to cause degradation of surface water quality or of the water supply, is prohibited. It shall be an affirmative defense under this section that such discharge, or storage likely to lead to a discharge, is either permitted or not prohibited under federal law, and is either permitted or not prohibited under state law.

§ 18-32 Hazardous Substances and Hazardous Wastes.

(a)  Unless otherwise permitted by these rules and regulations, a discharge, or storage which is reasonably likely to lead to a discharge, of hazardous substances or hazardous wastes into the environment (including into groundwater), and which is reasonably likely to cause degradation of surface water quality or of the water supply, is prohibited. It shall be an affirmative defense under this subsection that such discharge, or storage likely to lead to a discharge, is either permitted or not prohibited under federal law, and is either permitted or not prohibited under state law.
  1. New storage facilities or new tanks at an existing facility for the storage of hazardous substances regulated under 6 NYCRR Part 596, and new process tanks, as defined in 6 NYCRR § 596.1(c)(35), which would be regulated under 6 NYCRR Part 596 if not for the exemption of process tanks under 6 NYCRR § 596.1(b)(3)(i), are prohibited within the limiting distance of 100 feet of a watercourse or wetland, or within the limiting distance of 500 feet of a reservoir, reservoir stem, or controlled lake, except as provided in subdivision (d) of this section.
  2. The owner or operator of a new facility, or a new or substantially modified tank at an existing facility, for the storage of hazardous substances which is regulated under 6 NYCRR Part 596 and which is located between the limiting distance of 100 and 250 feet of a watercourse or wetland, must comply with the following conditions:

   (1) The owner or operator shall submit to the Department a copy of any registration forms required by 6 NYCRR § 596.2(d) and (e) and any notification forms required by 6 NYCRR § 596.2(f) at the time such forms are submitted to the New York State Department of Environmental Conservation. When, on an emergency basis, new storage tanks are installed or existing storage tanks are substantially modified in order to protect public health, safety or the environment, the owner or operator shall notify the Department no later than two hours after the decision is made by the owner or operator to install or substantially modify the tank.

   (2) The owner or operator shall submit to the Department a copy of any spill prevention report required to be prepared or updated by 6 NYCRR § 598.1(k), within thirty (30) days of preparing or updating such report.

   (3) Failure to comply with the provisions of 6 NYCRR § 596.6 (spill response, investigation and corrective action) is a violation of these rules and regulations.

   (4) Failure to comply with 6 NYCRR Part 599 (Standards for New or Modified Hazardous Substance Storage Facilities) is a violation of these rules and regulations.

  1. Subdivision (b) of this section shall not apply to:

   (1) The storage of any hazardous substance that is a noncomplying regulated activity, including the replacement in kind of an existing storage tank provided that the replacement tank is designed and installed in compliance with Federal, State and local law. To the extent practicable, the new tank shall be located outside of the limiting distances of 100 feet of a watercourse or wetland, or outside of the limiting distance of 500 feet of a reservoir, reservoir stem, or controlled lake;

   (2) The storage of hazardous substances where such storage is necessary to operate a wastewater treatment plant approved by the Department; and

   (3) The storage of hazardous substances where such storage is made necessary by construction of a new facility or the alteration or modification of an existing facility used in connection with the operation of a public water supply system.

  1. [Repealed.]

§ 18-33 Radioactive Materials.

Unless otherwise permitted by these rules and regulations, a discharge, or storage which is reasonably likely to lead to a discharge, of radioactive materials into the environment (including into groundwater), and which is reasonably likely to cause degradation of surface water quality or of the water supply, is prohibited. It shall be an affirmative defense under this section that such discharge, or storage likely to lead to a discharge, is either permitted or not prohibited under federal law, and is either permitted or not prohibited under state law.

§ 18-34 Petroleum Products.

(a)  Unless otherwise permitted by these rules and regulations, a discharge, or storage which is reasonably likely to lead to a discharge, of petroleum products into the environment (including into groundwater), and which is reasonably likely to cause degradation of surface water quality or of the water supply, is prohibited. It shall be an affirmative defense under this subsection that such discharge, or storage likely to lead to a discharge, is either permitted or not prohibited under federal law, and is either permitted or not prohibited under state law.
  1. New aboveground and underground petroleum storage facilities, which require registration under 6 NYCRR Part 612, or new tanks which expand the capacity of existing facilities which require registration under 6 NYCRR Part 612, are prohibited within the limiting distance of 100 feet of a watercourse or wetland, or within the limiting distance of 500 feet of a reservoir, reservoir stem, or controlled lake. Notwithstanding this prohibition, the expansion of an existing aboveground or underground petroleum storage facility shall be allowed within the aforesaid limiting distances provided that the owner or operator of such facility demonstrates to the Department that the application of the limiting distances would preclude the continuation of an existing business.
  2. New home heating oil tanks not requiring registration under 6 NYCRR Part 612, within the limiting distance of 100 feet of a watercourse or wetland, or within the limiting distance of 500 feet of a reservoir, reservoir stem, or controlled lake are prohibited from being installed underground and shall be located either aboveground or contained in a basement with a concrete or other impervious floor.
  3. New aboveground and underground petroleum storage tanks of 185 gallons or more which are neither home heating oil tanks regulated under subdivision (c) of this section nor located at facilities requiring registration under 6 NYCRR Part 612, are prohibited within the limiting distance of 25 feet of a watercourse or wetland, or within the limiting distance of 300 feet of a reservoir, reservoir stem, or controlled lake, except that such new tanks may be allowed within the aforesaid limiting distances provided that the applicant demonstrates to the Department that application of the limiting distances would preclude the continuation of an existing business or the continued identical use of the existing facility.
  4. Subdivisions (b), (c), and (d) shall not apply to:

   (1) The storage of any petroleum products that is a noncomplying regulated activity; (2)  The storage of petroleum products for agricultural purposes;

   (3) The replacement in kind of existing petroleum storage facilities or tanks;

   (4) The storage of petroleum products where such storage is necessary to operate a wastewater treatment plant approved by the Department; and

   (5) The storage of petroleum products where such storage is made necessary by construction of a new facility or the alteration or modification of an existing facility used in connection with the operation of a public water supply system.

§ 18-35 Human Excreta and Holding Tanks.

(a)  Unless otherwise permitted by these rules and regulations, a discharge, or storage which is reasonably likely to lead to a discharge, of human excreta, or a discharge, or storage which is reasonably likely to lead to a discharge, from a holding tank, into the environment (including into groundwater), and which is reasonably likely to cause degradation of surface water quality or of the water supply, is prohibited. It shall be an affirmative defense under this subsection that such discharge, or storage likely to lead to a discharge, is either permitted or not prohibited under federal law, and is either permitted or not prohibited under state law.
  1. Emptying, discharging or transferring the contents of a holding tank or other sewage receptacle into any watercourse, wetland, reservoir, reservoir stem, or controlled lake is prohibited.

§ 18-36 Wastewater Treatment Plants.

(a)  Minimum requirements.

   (1) Unless otherwise permitted by these rules and regulations, the design, construction, or operation of a wastewater treatment plant is prohibited where such design, construction, or operation causes a discharge, or storage which is reasonably likely to lead to a discharge, of sewage or sewage effluent into the environment (including into groundwater), and which is reasonably likely to cause degradation of surface water quality or of the water supply. It shall be an affirmative defense under this subsection that such discharge, or storage likely to lead to a discharge, is either permitted or not prohibited under federal law, and is either permitted or not prohibited under state law.

   (2) The design of new wastewater treatment plants, and the plans and specifications resulting from that design, require the review and approval of the Department. The construction of new wastewater treatment plants shall be in conformance with the plans and specifications approved by the Department.

   (3) The design for an expansion or an alteration or modification of new or existing wastewater treatment plants, and the plans and specifications resulting from that design, require the review and approval of the Department. The construction of the expansion or alteration or modification shall be in accordance with the plans and specifications approved by the Department.

   (4) The owner or operator of a new or existing wastewater treatment plant shall operate and maintain the wastewater treatment plant in accordance with the operations and maintenance manual for the plant. Such manual shall be prepared by the owner and approved by the Department. Such manual shall be prepared or revised, and submitted to the Department for approval, within ninety (90) days after construction, expansion, alteration or modification of a wastewater treatment plant is completed.

   (5) No new wastewater treatment plants with a surface discharge, or expansion or alteration or modification of new or existing wastewater treatment plants, shall cause a contravention of the water quality standards set forth in Subchapter D of these rules and regulations or the phosphorus water quality values set forth in the New York State Department of Environmental Conservation Technical and Operational Guidance Series (TOGS) 1.1.1, Ambient Water Quality Standards and Guidance Values .

   (6) No part of any seepage unit or absorption area for a subsurface discharge from a wastewater treatment plant shall be located within the limiting distance of 100 feet of a watercourse or wetland or within the limiting distance of 500 feet of a reservoir, reservoir stem, or controlled lake.

   (7) Wastewater treatment plants with surface discharges into the watershed shall be capable of achieving 99.9 percent removal and/or inactivation of Giardia lamblia cysts and 99.99 percent removal and/or inactivation of enteric viruses.

   (8) Wastewater treatment plants with either surface or subsurface discharges within the watershed shall provide phosphorus removal using the best treatment technology so that the wastewater treatment plant is designed to be operated and maintained to meet the following requirements:

SPDES Permitted Total Flow(Gallons/day) Total Phosphorus Limit(mg/l)
≤ 50,000 1.0
> 50,000 and < 500,000 0.5
≥ 500,000 0.2

~

   (9) Wastewater treatment plants with surface discharges to intermittent streams in the watershed shall be operated and maintained to meet the intermittent stream effluent limits set forth in the New York State Department of Environmental Conservation Technical and Operational Guidance Series (TOGS) 1.3.1, Total Maximum Daily Loads and Water Quality-Based Effluent Limits , including Amendments A through E , and New York State Department of Environmental Conservation Technical and Operational Guidance Series (TOGS) 1.3.1B, Total Maximum Daily Loads and Water Quality-Based Effluent Limits, Amendments-Low and Intermittent Stream Standards , provided however, that the effluent limit for a discharge of a pollutant to an intermittent stream shall in no case be less stringent than the effluent limit which would apply to the same discharge of the pollutant to the first downstream perennial stream.

   (10) Within one year of the effective date of these rules and regulations, the owners of all existing wastewater treatment plants shall submit to the Department for review and approval an operations and maintenance plan and a schedule setting forth a plan for bringing the wastewater treatment plant into compliance with all of the requirements of this section. Any such plan that is disapproved by the Department shall be revised and resubmitted to the Department for review and approval within ninety (90) days after the initial disapproval. Owners of existing wastewater treatment plants must secure final Department approval of such operation and maintenance plans and such a schedule setting forth a plan for bringing the plant into compliance by no later than eighteen (18) months from the effective date of these rules and regulations, and must complete all work in order for such plants to be brought into compliance with the requirements of this section by no later than five (5) years from the effective date of these rules and regulations or any extended period of time approved by the Department upon good cause shown.

   (11) Existing wastewater treatment plants with surface discharges are prohibited from expanding if they are located in an area where new wastewater treatment plants with surface discharges are prohibited by these rules and regulations. This paragraph shall not apply to existing wastewater treatment plants which discharge subsurface or the expansion of existing wastewater treatment plants where the expanded portion discharges subsurface.

   (12) Existing wastewater treatment plants with surface discharges may expand if they are located in an area where new wastewater treatment plants with surface discharges are allowed by these rules and regulations. The plans submitted to expand the wastewater treatment plant shall meet all of the requirements of this section.

   (13) Existing wastewater treatment plants with subsurface discharges may expand. The expanded portion of such wastewater treatment plants shall meet all of the design standards and other requirements of this section.

   (14) Any approval of a new or expanded wastewater treatment plant issued by the Department shall expire and thereafter be null and void unless construction is completed within five (5) years of the date of issuance of such approval or any extended period of time approved by the Department upon good cause shown. Following expiration of the approval, the plans for the wastewater treatment plants may be resubmitted to the Department for consideration for a new approval.

  1. Requirements for wastewater treatment plants located within phosphorus restricted basins. No new wastewater treatment plants with surface discharges, or expansions of existing wastewater treatment plants with surface discharges, shall be allowed in a phosphorus restricted basin. A variance from this provision may be sought in accordance with the requirements set forth in 15 RCNY § 18-61(d).
  2. Requirements for wastewater treatment plants located in coliform restricted basins. No new wastewater treatment plants with surface discharges, or expansions of existing wastewater treatment plants with surface discharges, shall be allowed in a coliform restricted basin. A variance from this provision may be sought in accordance with the requirements set forth in 15 RCNY § 18-61(d)(1).
  3. Treatment requirements for wastewater treatment plants located within the 60 day travel time to intake.

   (1) The map indicating the demarcation line for the watershed areas that are located within the 60 day travel time to intake appears in Appendix 18-A. Large detailed maps of such areas are available to be reviewed by the public during business hours at the regional offices listed in 15 RCNY § 18-15.

   (2) Within the 60 day travel time to the intake the following requirements are applicable:

      (i) New wastewater treatment plants with surface discharges, or expansions of existing wastewater treatment plants with surface discharges, are prohibited except as provided in 15 RCNY § 18-82(e). A variance from this provision may be sought in accordance with the requirements set forth in 15 RCNY § 18-61(e);

      (ii) Existing wastewater treatment plants with SPDES permitted surface discharges may continue to operate provided the wastewater treatment plant provides sand filtration or a Department-approved alternative technology to sand filtration, disinfection, phosphorus removal, and microfiltration or a Department-approved equivalent technology to microfiltration, as required by these rules and regulations;

      (iii) New and existing wastewater treatment plants with subsurface discharges may commence or continue to operate provided that the wastewater treatment plant provides sand filtration or a Department-approved alternative technology to sand filtration and phosphorus removal, and for SPDES permitted discharges greater than 30,000 gallons per day (gpd), disinfection, as required by these rules and regulations.

  1. Treatment requirements for wastewater treatment plants located in the watershed and beyond the 60 day travel time to intake.

   (1) The map indicating the demarcation line for the watershed areas that are located beyond the 60 day travel time to intake appears in Appendix 18-A. Large detailed maps of such areas are available to be reviewed by the public during business hours at the regional offices listed in 15 RCNY § 18-15.

   (2) Beyond the 60 day travel time to the intake the following requirements are applicable:

      (i) New wastewater treatment plants with surface discharges into a reservoir, reservoir stem, controlled lake, or wetland are prohibited;

      (ii) All new surface discharges into a watercourse, and any existing wastewater treatment plants with SPDES permitted surface discharges may commence or continue to operate, provided that the wastewater treatment plant provides sand filtration or a Department-approved alternative technology to sand filtration, disinfection, phosphorus removal, and microfiltration or a Department-approved equivalent technology to microfiltration, as required by these rules and regulations;

      (iii) New and existing wastewater treatment plants with subsurface discharges may commence or continue to operate, provided that the wastewater treatment plant provides sand filtration or a Department-approved alternative technology to sand filtration and phosphorus removal, and for SPDES permitted discharges greater than 30,000 gallons per day (gpd), disinfection, as required by these rules and regulations.

  1. Design, operation and maintenance requirements.

   (1) This subdivision (f) shall apply to new and existing wastewater treatment plants.

   (2) The criteria used by the Department to approve the design for any new wastewater treatment plant or the portion of any new or existing wastewater treatment plant which is being expanded or altered or modified shall be all applicable requirements of law, including the standards set forth in the following documents:

      (i) “Design Standards for Wastewater Treatment Works, Intermediate Sized Sewerage Facilities,” New York State Department of Environmental Conservation (1988); and

      (ii) “Recommended Standards for Wastewater Facilities,” Great Lakes – Upper Mississippi River Board of State and Provincial Public Health and Environmental Managers (2004).

   (3) The Department shall not approve a wastewater treatment plant, or any proposed expansion of a wastewater treatment plant, which discharges within the watershed, if there is inflow or infiltration into a sewer system connected to such wastewater treatment plant which causes either:

      (i) The State authorized flow limit of the wastewater treatment plant to be exceeded; or

      (ii) The strength of the sewage influent to the wastewater treatment plant to be diluted to a level that adversely affects the efficacy of the State permitted and Department approved treatment process.

   (4) The Department shall not approve a wastewater treatment plant, or any proposed expansion of a wastewater treatment plant, if there is an indication of exfiltration from a sewer system connected to such wastewater treatment plant.

   (5) All wastewater treatment plants shall meet the following requirements to insure uninterrupted reliable operation:

      (i) All wastewater treatment plants shall provide standby power units sufficient to run the entire plant in order to ensure uninterrupted reliable operation in the event of utility power failure and these units shall be equipped with an alarm and automatic start-up capability;

      (ii) All vital plant structures, mechanical and electrical equipment of new or existing wastewater treatment plants located or designed within the 100-year flood plain shall be protected from damage from a 100-year flood that may affect or disrupt its function or general performance. Such structures and equipment shall remain fully operational in a 25-year flood.

      (iii) The disinfection system shall be provided with backup units, an alarm and equipment that will insure processing of the plant flow without interruption and the backup electrical and/or mechanical equipment shall be equipped with automatic start-up capability.

      (iv) Sand filtration or a Department-approved alternative technology to sand filtration shall be implemented in units of sufficient number and size to ensure that the flow they are designed to accommodate, consistent with the “Design Standards for Wastewater Treatment Works, Intermediate Sized Sewerage Facilities,” New York State Department of Environmental Conservation (1988) and/or the “Recommended Standards for Wastewater Facilities,” Great Lakes – Upper Mississippi River Board of State and Provincial Public Health and Environmental Managers (2004), can be processed in the event that the largest such unit is off line;

      (v) All wastewater treatment plants must be equipped with a flow meter that includes a recording device; and

      (vi) All alarm systems shall require telemetering to a central location with around the clock operator presence or, in the alternative, to an operator’s residence so that a response shall be initiated immediately.

   (6) The following requirements shall apply to all wastewater treatment plants with subsurface discharges or absorption areas located in the watershed:

      (i) The loading rate to the absorption trench may be 25 percent greater than that required under the design standards listed in subdivision (f)(2) of this section;

      (ii) An additional area of at least 50 percent of the absorption area shall be set aside as a reserve area;

      (iii) At a minimum, one percolation and one deep hole test shall be performed in both the primary absorption area and in the reserve absorption area. An applicant shall notify the Department in writing at least 7 business days prior to performance of such tests, and specify the location and the time of the tests. At the option of the Department, a Department representative may witness these tests; and

      (iv) The use of pumping, mechanical dosing or other mechanical devices requires a pump chamber equipped with an alarm to indicate malfunction, a backup pump, and any other safety features required by the Department to prevent overflow.

   (7) (i) All owners or operators of Department approved wastewater treatment plants in the watershed shall, prior to commencement of construction of such wastewater treatment plants, deposit with the Department a performance bond for the completion of the construction of the wastewater treatment plant and an additional bond or other guaranty for the payment of labor and material furnished in the course of such construction. Upon completion of construction and payment of labor and materials, such bonds or other guaranties shall be released. Additionally, prior to commencement of operation of the approved wastewater treatment plant, the owners or operators of the approved wastewater treatment plant shall provide a surety bond, or a reasonable guaranty, that they shall continue to maintain and operate the system for a period of five years. The surety bond or guaranty shall be in an amount sufficient to insure the full and faithful performance by the owners or operators of the wastewater treatment plants, and their successors and assigns, with regard to their obligation to properly maintain and operate the wastewater treatment plants in accordance with all requirements of law and according to the conditions set by the Department in its approval; provided, however, that such surety bond or guaranty shall not be required by the Department where the owners or operators of the wastewater treatment plant have provided a surety bond or guaranty for the maintenance and operation of the wastewater treatment plant to the local governing body, in an amount necessary to insure the full and faithful performance of the operation and maintenance of the wastewater treatment plant; provided further, that such surety bond or guaranty shall not be required where the owner or operator of the wastewater treatment plant is a village, town, county or city. The Commissioner may, at his or her discretion, increase the amount of such surety bond or guaranty, but not to exceed an amount necessary to insure the full and faithful performance of the operation of the wastewater treatment plant. All such bonds shall be prepared on the forms of bonds authorized by the City of New York and shall have as a surety such company or companies that shall be approved by the City of New York and are authorized to do business in the State of New York.

      (ii) The Commissioner may authorize the provision of other security, including cash, if the Commissioner finds that compliance with the bond requirement is not reasonably possible and the public interest would be served by such authorization. The alternative security shall be deposited with the Comptroller of the City of New York.

      (iii) Whenever an owner or operator of a wastewater treatment plant deposits securities or other obligations with the City of New York, in lieu of a performance bond, it shall be with the understanding that the Comptroller of the City of New York, or his or her successors, may sell and use the proceeds thereof for any purpose for which the principal or surety on such bond would be liable under the terms of the approval. If money is deposited with the Comptroller, the owner or operator of the wastewater treatment plant shall not be entitled to receive interest on such money from the City of New York.

   (8) The transfer of any approval or permit issued by the Department for the construction and/or operation of any wastewater treatment plant shall require Department approval. The Department shall approve such transfer provided that the transferee demonstrates sufficient financial, technical, and professional capability to construct, operate and/or maintain the subject wastewater treatment plant in compliance with applicable laws, as cited in 15 RCNY § 18-36(a)(1), the provisions of these rules and regulations, and the terms and conditions of any approval or permit granted by the Department.

  1. Application requirements.

   (1) An application for review and approval of a new wastewater treatment plant shall include the following information:

      (i) A Department application form and an Environmental Assessment Form (EAF Long Form);

      (ii) A facility plan which shall include: a description of the project, flow and waste load estimations, site characteristics, evaluation of existing system, if applicable, and existing local or related facilities, including any related water quality problems, examination of the project service area, estimation of growth, examination of alternative solutions and explanation of why the proposed option was chosen, analysis of potential impacts, analysis of hydraulic and organic capacities (including Waste Assimilation Capacity analysis), description of unit processes and explanation of sizing, operation under emergency conditions, and sludge processing, storage and disposal methods, estimation of costs, proposed financing methods and anticipated user fees, outline of operation and maintenance requirements (including cost projections), and regulatory review and permitting requirements;

      (iii) An engineering plan which shall include: location plan, site plan, schematic of plant hydraulic profile, piping schematic, location, dimension and elevations of plant process units and appurtenances, mechanical system layout, electrical system layout, and erosion and sediment control and stormwater management plan.

      (iv) Construction specifications, including material and equipment specifications;

      (v) Construction schedule;

      (vi) In cases where a draft environmental impact statement (“DEIS”) is to be prepared for an activity and the DEIS complies with the requirements of Article 8 of the Environmental Conservation Law and the regulations promulgated thereunder, and includes the information required in this part, the DEIS may constitute all or part of the application for review and approval under this part. In such case the applicant will provide the Department with notice and a copy of the DEIS; however, no approval shall be issued by the Department prior to review of the FEIS and issuance of a finding to approve; and

      (vii) A copy of the draft SPDES permit, if any, and, when issued, a copy of the final SPDES permit. Copies of any revisions to the draft SPDES permit shall also be provided to the Department as they become available to the applicant.

   (2) An application for review and approval of an expansion or of an alteration or modification of a new or existing wastewater treatment plant shall include all of the information required in subdivision (g)(1) of this section where applicable, and shall either:

      (i) Certify that the wastewater treatment plant is in compliance with all of the requirements of this section, and all requirements of its SPDES permit; or

      (ii) Certify that a schedule for the wastewater treatment plant to come into compliance with the requirements of this section and with the requirements of its SPDES permit has been submitted to the Department for approval. A copy of such compliance schedule shall be attached to the application.

   (3) All approvals for new or expansion of existing wastewater treatment plants are conditioned on the applicant’s submission of record drawings once construction is complete.

§ 18-37 Sewer Systems, Service Connections and Discharges to Sewer Systems.

(a)  Combined sewer systems are prohibited from discharging within the watershed.
  1. A new service connection or sewer extension to a sewer system is prohibited where the wastewater treatment plant to which the sewer system has been connected and which discharges within the watershed has had a SPDES flow parameter violation in the prior twelve months, or where the additional flow from the new service connection or sewer extension will cause or can be expected to cause such wastewater treatment plant to have a SPDES flow parameter violation.
  2. All new service connections shall be tested accordance with the standards set forth in “Design Standards for Wastewater Treatment Works, Intermediate Sized Sewerage Facilities,” New York State Department of Environmental Conservation (1988), and the standards in “Recommended Standards for Wastewater Facilities,” Great Lakes – Upper Mississippi River Board of State and Provincial Public Health and Environmental Managers, §§ 33.92-33.95 (2004). A copy of the results of the tests shall be forwarded to the Department as soon as they are available.
  3. Except for the owner of an individual or two family residence, the owner of any property which will be served by a new sewer connection to a sewer system, or by any alteration or modification of a sewer connection to a sewer system, shall submit all plans or designs for such sewer connection or such alteration or modification to the Department prior to or simultaneously with the delivery of the notice to the Department required under paragraph (d)(1) below. The owner of an individual or two family residence to be served by a new sewer connection to a sewer system, or by an alteration or modification of a sewer connection to a sewer system, shall not be required to submit the plans or designs for such sewer connection or such alteration or modification to the Department, unless specifically requested by the Department. If so requested, such owner shall submit such plans or designs to the Department prior to or simultaneously with the delivery of the notice to the Department required under paragraph (d)(1) below or, if the request is made by the Department after such notice has been given, within ten (10) days after such request has been made.

   (1) The owner of any property which will be served by a new sewer connection to a sewer system, or by an alteration or modification of a sewer connection to a sewer system, shall notify the Department 48 hours prior to the installation of such sewer connection or of such alteration or modification, and provide an opportunity to the Department to observe the work. If required or requested pursuant to 15 RCNY § 18-37(d), the owner shall submit to the Department all plans or designs for such sewer connection or for such alteration or modification prior to or simultaneously with the delivery of such notice to the Department.

  1. The design, construction and plans for a new sewer system or sewer extension shall require the review and approval of the Department. Any proposed alteration or modification of a sewer system, including a sewer system that is a noncomplying regulated activity, shall require the review and approval of the Department.

   (1) The Department may require an engineering report, construction plans and specifications, and any environmental assessments and determinations in compliance with Article 8 of the Environmental Conservation Law when reviewing any application pursuant to this subdivision for a new sewer system or sewer extension, or a proposed alteration or modification of a sewer system.

   (2) Any approval of a new or an alteration or modification of an existing sewer system or sewer extension issued by the Department shall expire and thereafter be null and void unless construction is commenced within five (5) years of the date of issuance. Following expiration of the approval, the plans for the sewer system may be resubmitted to the Department for consideration for a new approval.

  1. The criteria used by the Department to approve any new sewer system or sewer extension or the portion of any sewer system which is being altered or modified, shall be all applicable requirements of law, including the standards set forth in the following documents:

   (1) “Design Standards for Wastewater Treatment Works, Intermediate Sized Sewerage Facilities,” New York State Department of Environmental Conservation (1988);

   (2) “Recommended Standards for Wastewater Facilities,” Great Lakes – Upper Mississippi River Board of State and Provincial Public Health and Environmental Managers (2004).

  1. All sewer systems and sewer extensions connected to a wastewater treatment plant which discharges within the watershed shall be designed, operated and maintained in such manner as to prevent inflow or infiltration which causes either:

   (1) The SPDES authorized flow limit of the wastewater treatment plant to be exceeded; or

   (2) The strength of the sewage influent to the wastewater treatment plant to be diluted to a level that adversely affects the efficacy of the SPDES permitted and Department approved treatment process.

  1. All sewer systems shall be designed, operated and maintained to prevent exfiltration from such systems.
  2. The owner or operator of a facility which disposes of wastes regulated pursuant to the Federal Categorical Pretreatment Standards, 40 C.F.R. Part 403, shall submit three copies of the engineering report, plans and specifications, prepared by a licensed design professional, in compliance with 40 C.F.R. Parts 403, 406 - 471 and any applicable local regulations, to the Department for its review and approval.
  3. Application Requirements. An application for review and approval of any sewer system or sewer extension shall include the following information:

   (1) Tax map number and, where available, building permit number, for each property to be served by the proposed sewer system or sewer extension;

   (2) Copy of the applicable municipal Sewer Use Ordinance, if any;

   (3) Letter of flow acceptance from the owner of the receiving wastewater treatment plant, when available;

   (4) An engineering report presenting the proposed flow and supporting design calculations; and

   (5) Four (4) sets of plans showing:

      (i) site location in relation to established sewer district;

      (ii) distances to wells, watercourses, rock outcroppings, wetlands, controlled lakes and reservoirs;

      (iii) system profile including all connections, manholes and required pump stations;

      (iv) design details of system components including pipe sizes and pump capacities; and

      (v) where applicable, a copy of the application for modification of the SPDES permit for the receiving wastewater treatment plant and any draft revisions to such SPDES permit.

  1. As a condition of approval the Department may require evidence of financial security prior to construction, from any owner or operator of a new sewer system or sewer extension or a substantial alteration or modification to an existing sewer system. Such financial security shall consist of a bond, or an equivalent guaranty, to be deposited with the Department, covering the full cost of the construction of such facility and an additional bond or an equivalent guaranty for the payment of labor and material furnished in the course of such construction. Upon completion of construction and payment of labor and materials, such bonds or other guaranties shall be released. Additionally, a bond or equivalent guaranty may be required for the maintenance and operation of the facility for a period of five years post-construction. No bond or guaranty is required where the owner or operator of such a facility is a village, town, county or city.

§ 18-38 Subsurface Sewage Treatment Systems.

(a)  Minimum requirements.

   (1) The design, treatment, construction, maintenance and operation of new subsurface sewage treatment systems, and the plans therefor, require the review and approval of the Department, provided that the requirements of this section shall not apply to subsurface sewage treatment systems necessary for an agricultural activity that are designed, provide treatment and are constructed, maintained and operated in compliance with State and Federal law.

   (2) All new individual sewage treatment systems shall comply with the requirements of 10 NYCRR Part 75 and Appendix 75-A except where a local government or agency has enacted, or these rules and regulations specify, more stringent standards, in which case, the more stringent standards shall apply.

   (3) All new intermediate sized sewage treatment systems shall comply with the requirements set forth in Design Standards for Wastewater Treatment Works, Intermediate Sized Sewerage Facilities, New York State Department of Environmental Conservation (1988), except where a local government or agency has enacted, or these rules and regulations specify, more stringent standards, in which case, the more stringent standards shall apply.

      (i) As a condition of approval the Department may require evidence of financial security prior to construction, from any owner or operator of a new intermediate sized sewage treatment system or a substantial alteration or modification to an existing intermediate sized sewage treatment system. Such financial security shall consist of a bond, or an equivalent guaranty, to be deposited with the Department, covering the full cost of the construction of such facility and an additional bond or an equivalent guaranty for the payment of labor and material furnished in the course of such construction. Upon completion of construction and payment of labor and materials, such bonds or other guaranties shall be released. Additionally, a bond or equivalent guaranty may be required for the maintenance and operation of the facility for a period of five years post-construction. No bond or guaranty is required where the owner or operator of such a facility is a village, town, county or city.

   (4) No part of any absorption field for any new subsurface sewage treatment system shall be located within the limiting distance of 100 feet of a watercourse or wetland or 300 feet of a reservoir, reservoir stem or controlled lake. For a new conventional individual subsurface sewage treatment system or for a new Ulster County Fill System the Department may recommend a greater limiting distance from an absorption field to a watercourse, wetland, reservoir, reservoir stem or controlled lake.

   (5) Raised systems, as described in 10 NYCRR Part 75 and Appendix 75-A, are allowed on undeveloped lots not located in a subdivision or on undeveloped residential lots located in a subdivision which was approved prior to the effective date of these rules and regulations, where site conditions are not suitable for a conventional system provided that:

      (i) The system shall be located at least 250 feet from any watercourse or wetland and 500 feet from any reservoir, reservoir stem or controlled lake provided that the greater limiting distance for raised systems does not preclude construction on the subject lot or lots of the use proposed by the applicant, and further provided that the site conditions and the subsurface sewage treatment system comply with the other provisions of these rules and regulations and other applicable Federal, State and local laws, as cited in 15 RCNY § 18-38(a)(1); or

      (ii) Raised systems which cannot meet the limiting distances set forth in subparagraph (i) due to size or location of the lot shall be located at the greatest limiting distance possible within the property lines and at least 100 feet from any watercourse or wetland and 300 feet from any reservoir, reservoir stem or controlled lake.

   (6) Where a watershed county has adopted a subdivision code that allows a raised system, as described in 10 NYCRR Part 75 and Appendix 75-A, or where any system that has been modified from the Standards outlined in Appendix 75-A has been approved by the New York State Department of Health as an alternative system, or where the New York State Department of Health approved such raised or modified alternative systems for use in subdivisions located in the watershed, such raised or alternative systems are allowed in subdivisions that are approved subsequent to the effective date of these rules and regulations, provided that no part of such systems shall be located within 250 feet of a watercourse or wetland or 500 feet of a reservoir, reservoir stem or controlled lake.

   (7) Any proposed alteration or modification of any subsurface sewage treatment system, including a noncomplying regulated activity, requires the review and approval of the Department.

      (i) Any proposed alteration or modification of any individual sewage treatment system that is an existing or a noncomplying regulated activity shall be performed in accordance with the requirements applicable to new subsurface sewage treatment systems under this section. Alterations or modifications of such individual sewage treatment systems that cannot meet these requirements, due to site constraints, shall be performed in accordance with these requirements to the extent possible. In addition, unless such an alteration or modification is limited to a replacement in kind, reduces the potential for contamination to or degradation of the water supply from an existing subsurface sewage treatment system, or reduces flow to an existing subsurface sewage treatment system, the applicant shall demonstrate adequate mitigation measures to avoid contamination to, or degradation of, the water supply which are at least as protective of the water supply as the requirements that cannot be met.

      (ii) Any proposed alteration or modification of any new individual sewage treatment system shall be performed in accordance with the requirements applicable to new subsurface sewage treatment systems under this section. If such an alteration or modification reduces the potential for contamination to or degradation of the water supply from a new subsurface sewage treatment system, or reduces flow to a new subsurface sewage treatment system, and such alteration or modification cannot meet these requirements due to site constraints, it shall be performed in accordance with these requirements to the extent possible.

      (iii) Any proposed alteration or modification of any intermediate sized subsurface sewage treatment system is prohibited unless such alteration or modification complies with the requirements of this section.

   (8) All existing subsurface sewage treatment systems, which are operating in accordance with their Federal, State, and local approvals on the effective date of these rules and regulations, but which do not comply with the additional requirements set forth in this section, shall be allowed to continue to operate and shall be considered noncomplying regulated activities.

   (9) If at any time after the effective date of these rules and regulations a subsurface sewage treatment system fails or needs remediation, the owner or operator of the subsurface sewage treatment system shall comply with the following:

      (i) Any proposed remediation of any part of a subsurface sewage treatment system shall require the prior review and approval of the Department, and if approved, shall be completed as soon as possible in accordance with a schedule approved by the Department; (ii)  Any proposed remediation of any part of a subsurface sewage treatment system shall be implemented, to the extent possible, in accordance with the design standards set forth in this section, and shall require the prior review and approval of the Department. However, if the Department determines, based upon the application submitted by the owner or operator of the subsurface sewage treatment system, that such system cannot comply with this section, the owner or operator of the subsurface sewage treatment system shall cooperate with the Department to determine the most suitable location and design for the system on the specific site. The Department may require the owner to agree to a regular schedule for the pump out of the septic tank or other remedial action, including the use of holding tanks, before the proposed remediation is approved by the Department and implemented; and

      (iii) The provisions of this paragraph shall not apply to the routine repair and maintenance of a subsurface sewage treatment system, including, but not limited to, the pump out of a septic tank, the replacement of a septic tank, whether in kind or with a larger tank of an appropriate size for the subsurface sewage treatment system, the repair of a broken lateral, the leveling of a distribution box, or the removal of a blockage.

   (10) Any approval of a subsurface sewage treatment system issued by the Department shall expire and thereafter be null and void unless construction is commenced within five (5) years of the date of issuance for systems located within approved subdivisions, or within two (2) years of the date of issuance for all other subsurface sewage treatment systems. Following expiration of the approval, the plans for the subsurface sewage treatment system may be resubmitted to the Department for consideration for a new approval.

  1. Design, operation, treatment, and maintenance requirements.

   (1) All subsurface sewage treatment systems shall be designed, operated and maintained to prevent the exposure of sewage to the surface of the ground or the discharge of sewage to ground- water.

   (2) Mound systems, galley systems, seepage pits, evaporation-transpiration (ET) and evaporation-transpiration absorption (ETA) systems are prohibited from use for subsurface sewage treatment systems installed in the watershed on or after June 30, 2002. Sand filters are prohibited from use for individual sewage treatment systems in the watershed.

   (3) An additional area of at least 100 percent of the primary absorption field shall be set aside as a reserve absorption field for any subsurface sewage treatment system.

   (4) No part of any primary or reserve absorption field shall be built under pavement or other impervious surfaces, and pavement and other impervious surfaces shall not be built over such absorption fields after installation.

   (5) At least one percolation test and at least one deep hole test shall be performed in the primary absorption field. At least one percolation test and at least one deep hole test shall be performed in the reserve absorption field area. An applicant shall notify the Department in writing at least seven (7) days prior to performance of such tests, and specify the location and the time of the tests. At the option of the Department, a Department representative may witness such tests.

   (6) Proposed sites with soil percolation rates faster than 3 minutes per inch or slower than 60 minutes per inch shall not be approved by the Department for locating a subsurface sewage treatment system.

   (7) Whenever possible, gravity flow systems shall be used for subsurface sewage treatment systems. The use of electrically operated pumps shall require a chamber equipped with an alarm to indicate malfunction and any other safety features required by the Department to prevent sewage overflow. An intermediate sized sewage treatment system that uses electrically operated pumps is required to have either a backup pump or a backup storage tank capable of holding two days’ flow. An individual sewage treatment system that uses electrically operated pumps shall have a backup storage tank capable of holding one day’s flow.

  1. Application Requirements.

   (1) An application for review and approval of any subsurface sewage treatment system shall include the following information:

      (i) Soil investigation report including:

         (a) percolation test results;

         (b) deep hole test pit results or boring analysis;

         (c) indication of surface water or ledge rock observed;

         (d) design rate of flow; and

         (e) delineation of United States Department of Agriculture Soil Conservation Service soil type boundaries.

      (ii) Building permit number and tax map number where available.

      (iii) Four (4) sets of plans showing:

         (a) site location, including distances to wells, watercourses, rock outcroppings, wetlands, controlled lakes and reservoirs;

         (b) site/system plans showing two-foot contours;

         (c) system profile;

         (d) details of system components; and

         (e) a report containing:

            (1) a description of the project characteristics; and

            (2) a detailing of the design process.

   (2) An application for review and approval of an intermediate sized sewage treatment system shall include all of the information in paragraph (1) of subdivision (c) of this section, and additionally shall contain:

      (i) An Environmental Assessment form and State Environmental Quality Review Act determination, if applicable; and

      (ii) A SPDES permit, if applicable.

§ 18-39 Stormwater Pollution Prevention Plans and Impervious Surfaces.

(a)  Impervious surfaces.

   (1) The construction of an impervious surface within the limiting distance of 100 feet of a watercourse or wetland, or within the limiting distance of 300 feet of a reservoir, reservoir stem, or controlled lake, is prohibited.

   (2) Paragraph (1) shall not apply to the following activities:

      (i) Construction of a new individual residence, which shall comply with paragraph (5) of this subdivision;

      (ii) Non-commercial ancillary improvements or additions to an individual residence; (iii)  Construction of an impervious surface for a driveway serving an individual residence constructed or having obtained all discretionary approvals necessary for construction prior to March 1, 2010;

      (iv) Construction of an impervious surface for a driveway serving an individual residence that obtains all discretionary approvals necessary for construction on or after March 1, 2010, which shall comply with paragraph (5) of this subdivision;

      (v) Agricultural activities;

      (vi) Construction of bridges or crossings of watercourses or wetlands constructed pursuant to a valid permit from the appropriate regulatory agencies. If a permit from a regulatory agency other than the Department is not required, the applicant shall comply with paragraph (9) of this subdivision;

      (vii) Creation of an impervious surface made necessary by the construction of a wastewater treatment plant or alteration or modification of a wastewater treatment plant approved by the Department;

      (viii) Creation of an impervious surface that is made necessary by the construction of a new facility or alteration or modification of an existing facility used in connection with the operation of a public water supply system; or

      (ix) Creation of an impervious surface, such as a culvert, needed as an integral component of diversion or piping of a watercourse, but only with the review and approval of the Department and only if the Department determines that such impervious surface will not have an adverse impact on water quality.

   (3) Paragraph (1) shall not apply to creation of an impervious surface in the West of Hudson watershed within a village, hamlet, village extension, or area zoned for commercial or industrial uses, which complies with paragraph (8) of this subdivision or to the creation of an impervious surface in the East of Hudson watershed within a Designated Main Street Area, which complies with paragraph (11) of this subdivision.

   (4) Paragraph (1) shall not apply to the creation of an impervious surface in connection with the following activities occurring in the East of Hudson watershed outside a Designated Main Street Area or in the West of Hudson watershed outside a village, hamlet, village extension, or an area zoned for commercial or industrial uses:

      (i) Construction of a new road or widening of an existing road, which shall comply with paragraph (6) of this subdivision;

      (ii) Creation of an impervious surface within a designated village center, which shall comply with paragraph (7) of this subdivision; or

      (iii) Expansion of an existing impervious surface within the limiting distance of 100 feet of a watercourse or wetland, at an existing commercial, institutional, municipal, industrial, or multi-family residential facility, provided that the total area of all expanded impervious surfaces, including all impervious surfaces allowed under this provision after May 1, 1997, does not exceed 25 percent of the area of the existing impervious surface at that commercial, institutional, municipal, industrial, or multi-family residential facility, which shall comply with subdivisions (b), (c) and (d) of this section.

   (5) The following requirements are applicable to construction of a new individual residence and of impervious surfaces for driveways serving individual residences that obtain all discretionary approvals necessary for construction on or after March 1, 2010:

      (i) Whether or not a new individual residence will be located in a subdivision, construction of a new individual residence within the limiting distance of 300 feet of a reservoir, reservoir stem, or controlled lake is prohibited;

      (ii) Construction of a new individual residence in a subdivision within the limiting distance of 100 feet of a watercourse or wetland is prohibited where: (a)  The subdivision plat received preliminary approval on or after October 16, 1995; or (b)  The subdivision plat received preliminary approval before October 16, 1995, the person who owned the subdivision on October 16, 1995 was the same person, or a principal or affiliate of the person, who owned the subdivision at the time the subdivision plat received preliminary approval, and construction activity related to infrastructure improvements for the subdivision had not begun as of October 16, 1995;

      (iii) Construction of a new individual residence not in a subdivision, or in a subdivision approved before October 16, 1995 and not prohibited by paragraph (a)(5)(ii)(b) of this subdivision, within the limiting distance of 100 feet of a perennial stream or wetland requires an individual residential stormwater permit from the Department, pursuant to subdivision (e) of this section;

      (iv) Construction of an impervious surface for a driveway serving an individual residence that obtains all discretionary approvals necessary for construction on or after March 1, 2010 within the limiting distance of 300 feet of a reservoir, reservoir stem, or controlled lake is prohibited;

      (v) Construction of an impervious surface for a driveway to serve an individual residence that obtains all discretionary approvals necessary for construction on or after March 1, 2010, within the limiting distance of 100 feet of a perennial stream or within the limiting distance of 50 feet of an intermittent stream or wetland, requires an individual residential stormwater permit from the Department, pursuant to subdivision (e) of this section.

   (6) The following requirements are applicable to construction of an impervious surface for a new road or the widening of an existing road:

      (i) Construction of an impervious surface for a new road within the limiting distance of 300 feet of a reservoir, reservoir stem or controlled lake is prohibited, except paving an existing dirt or gravel road is permitted. Construction of a new impervious surface by paving an existing dirt or gravel road requires a stormwater pollution prevention plan which complies with subdivisions (b), (c) and (d) of this section.

      (ii) Construction of an impervious surface for a new road within the limiting distance of 50 feet of an intermittent stream or wetland, or within the limiting distance of 100 feet of a perennial stream is prohibited, except for paving an existing dirt or gravel road or where necessary to provide an access road to two or more parcels or to a subdivision. Construction of an impervious surface for paving such existing dirt or gravel road or for such a new access road requires a stormwater pollution prevention plan which complies with the requirements of subdivisions (b), (c) and (d) of this section. Any access road constructed pursuant to this paragraph shall be constructed as far as practicable from all watercourses and wetlands.

      (iii) Construction of an impervious surface for a new road between the limiting distances of 50 feet and 100 feet of an intermittent stream or wetland requires a stormwater pollution prevention plan which complies with the requirements of subdivisions (b), (c) and (d) of this section.

      (iv) Widening of an existing road located within the limiting distance of 50 feet of an intermittent stream or wetland, within the limiting distance of 100 feet of a perennial stream, or within the limiting distance of 300 feet of a reservoir, reservoir stem or controlled lake shall be performed on the side of such existing road furthest from the watercourse, wetland, reservoir, reservoir stem or controlled lake, to the extent practical.

   (7) The following requirements are applicable to creation of an impervious surface within a designated village center:

      (i) A local government in the Croton System may delineate an area within the local government’s boundaries to be a “designated village center” in a Comprehensive Croton Water Quality Protection Plan prepared and agreed to in accordance with 15 RCNY § 18-82. Such designated village center shall comply with the requirements of this paragraph with regard to the construction of impervious surfaces.

      (ii) Within a designated village center the construction of a new impervious surface within the limiting distance of 100 feet of a watercourse or wetland, or within the limiting distance of 300 feet of a reservoir, reservoir stem, or controlled lake requires the review and approval of the Department. An approval issued by the Department pursuant to this subparagraph shall contain a determination by the Department that there is no reasonable alternative to the creation of the proposed new impervious surface within the applicable limiting distance and that the best available measures have been taken to prevent adverse impacts on the quality of the drinking water supply.

   (8) The following requirements are applicable to creation of an impervious surface in the West of Hudson watershed within a village, hamlet, village extension or area zoned for commercial or industrial uses:

      (i) Creation of any new impervious surface within the limiting distance of 100 feet of a watercourse or wetland, or within the limiting distance of 300 feet of a reservoir, reservoir stem or controlled lake, within a village, hamlet, village extension or area zoned for commercial or industrial uses as of the effective date of these rules and regulations, requires a stormwater pollution prevention plan which complies with the requirements of subdivisions (b), (c) and (d) of this section, except that the foregoing requirements of this subparagraph shall not apply to the creation of a new impervious surface for an activity set forth in paragraph (2) of this subdivision which complies with the provisions of paragraph (2).

      (ii) If a local government in the West of Hudson watershed adopts a zoning ordinance designating additional areas for commercial or industrial use after the effective date of these rules and regulations, it may apply to the Department to allow construction of new impervious surfaces in the newly zoned commercial or industrial areas located within the limiting distance of 100 feet of a watercourse or wetland, or within the limiting distance of 300 feet of a reservoir, reservoir stem, or controlled lake. The Department shall approve such application if the Department determines that allowing new impervious surfaces in such newly zoned commercial or industrial area is consistent with the objectives of these rules and regulations and with previously approved zoning ordinances. If approved by the Department, creation of new impervious surfaces within such newly zoned commercial or industrial areas within the aforesaid limiting distances shall be allowed subject to the requirements of subparagraph (8)(i) above.

   (9) Construction of a bridge or crossing of a watercourse or wetland which does not require a permit from a regulatory agency other than the Department shall require the review and approval of the Department. Such bridge or crossing shall be constructed to prevent adverse impacts on the quality of the water supply.

   (10) Maintenance of an existing impervious surface that is a noncomplying regulated activity shall not require the review and approval of the Department.

   (11) The following requirements are applicable to creation of an impervious surface in the East of Hudson watershed within a Designated Main Street Area:

      (i) Creation of any new impervious surface within a Designated Main Street Area requires a stormwater pollution prevention plan which complies with the requirements of subdivisions (b), (c), and (d) of this section, except that the foregoing requirements of this subparagraph shall not apply to the creation of a new impervious surface for an activity set forth in paragraph (2) of this subdivision which complies with the provisions of paragraph (2).

      (ii) Within thirty (30) days of the effective date of these rules and regulations, a local government may define by metes and bounds, tax maps or other geographic boundaries a proposed Designated Main Street Area within its boundaries, and apply to the Department for approval of such proposal. Within thirty (30) days of such application the Department may approve, disapprove, or approve with modifications, such Designated Main Street Area. If the Department disapproves the application, the local government shall have an additional thirty (30) days in which to submit a revised application for approval of the proposed Designated Main Street Area, and the Department shall approve or disapprove the application within thirty (30) days of receipt of such revised application. The Department will approve only a limited number of Designated Main Street Areas and local governments may not designate all areas of population concentrations in the East of Hudson watershed as Designated Main Street Areas. The approved boundary description of a Designated Main Street Area shall be made available by the Department for public inspection at its field offices in the East of Hudson watershed.

  1. Stormwater pollution prevention plans.

   (1) Stormwater pollution prevention plans shall not be required to be prepared pursuant to this section for agricultural and silvicultural activities.

   (2) Stormwater pollution prevention plans shall not be required to be prepared pursuant to this section for clear cutting and mining activities, provided, however, that such activities shall be subject to the requirements set forth in the applicable New York State Department of Environmental Conservation SPDES Permit which may be required pursuant to Environmental Conservation Law § 17-0808.

   (3) Stormwater pollution prevention plans shall be prepared for the activities listed in this paragraph. Such plans shall be prepared and implemented in accordance with the requirements of Part III of the New York State Department of Environmental Conservation SPDES General Permit No. GP-0-10-001 that are applicable to construction activities identified in Table 2 of Appendix B, except for plans for redevelopment projects and stormwater retrofits, which shall be prepared and implemented in accordance with subdivision (b)(7). No activity shall be exempt from any such requirements as a result of the size or nature of the watercourse(s) to which stormwater from such activity discharges, except with prior written approval from the Department. Such plans shall also be subject to the prior review and approval of the Department. The activities for which a stormwater pollution prevention plan must be prepared under this paragraph are:

      (i) Plans for development or sale of land that will result in the disturbance of five (5) or more acres of total land area as described in the definition of “larger common plan of development or sale” in Appendix A of General Permit No. GP-0-10-001;

      (ii) Construction of a subdivision;

      (iii) Construction of a new industrial, institutional, municipal, commercial, or multi-family residential project that will result in creation of an impervious surface totaling over 40,000 square feet in size;

      (iv) A land clearing or land grading project, involving two or more acres, located at least in part within the limiting distance of 100 feet of a watercourse or wetland, or within the limiting distance of 300 feet of a reservoir, reservoir stem or controlled lake or on a slope exceeding 15 percent;

      (v) Construction of a new solid waste management facility or alteration of modification of an existing solid waste management facility within 300 feet of a watercourse or wetland or 500 feet of a reservoir, reservoir stem or controlled lake;

      (vi) Construction of a gasoline station;

      (vii) Construction of an impervious surface for a new road, as required by paragraph (a)(6) of this section;

      (viii) Construction of an impervious surface in the West of Hudson watershed within a village, hamlet, village extension or area zoned for commercial or industrial uses, as required by paragraph (a)(8) of this section;

      (ix) Up to a 25 percent expansion of an existing impervious surface at an existing commercial, institutional, municipal, or industrial facility which is within the limiting distance of 100 feet of a watercourse or wetland, as required in subdivision (a)(4)(iii) of this section; or

      (x) Construction of an impervious surface in the East of Hudson Watershed in a Designated Main Street Area.

   (4) If there is a significant change in design, construction, operation, or maintenance of an activity which is subject to a Stormwater Pollution Prevention Plan pursuant to subdivision (b)(3) which may have a significant effect on the potential for the discharge of pollutants to surface waters and which has not otherwise been addressed in the Stormwater Pollution Prevention Plan, or if the Stormwater Pollution Plan proves to be ineffective in eliminating or significantly minimizing erosion and sedimentation or the discharge of pollutants associated with construction activity, the Stormwater Pollution Prevention Plan must be amended. Such amended stormwater pollution prevention plan shall be submitted to the Department for prior review and approval and shall comply with the requirements of this section.

   (5) Any approval of a stormwater pollution prevention plan issued by the Department shall expire and thereafter be null and void unless construction is completed within five (5) years of the date of issuance or within any extended period of time approved by the Department upon good cause shown. Following expiration of the approval, the application for the stormwater pollution prevention plan may be resubmitted to the Department for consideration for a new approval.

   (6) As a condition of approval the Department may require evidence of financial security prior to construction from any owner or operator of a stormwater management system pursuant to a stormwater pollution prevention plan. Such financial security shall consist of a bond, or an equivalent guaranty, to be deposited with the Department, covering the full cost of the construction of such facility and an additional bond or an equivalent guaranty for the payment of labor and material furnished in the course of such construction. Upon completion of construction and payment of labor and materials, such bonds or other guaranties shall be released. Additionally, a bond or equivalent guaranty may be required for the maintenance and operation of the facility for a period of five years post-construction. No bond or guaranty is required where the owner or operator of such a facility is a village, town, county or city.

   (7) Where an activity that requires a stormwater pollution prevention plan pursuant to subdivision (b)(3) is a redevelopment project or a stormwater retrofit, such plan shall:

      (i) be prepared and implemented, to the extent possible, in accordance with the requirements of Part III of the New York State Department of Environmental Conservation General Permit No. GP-0-10-001 that are applicable to construction activities identified in Table 2 of Appendix B;

      (ii) be prepared and implemented, to the extent possible, in accordance with the additional requirements for stormwater pollution prevention plans set forth in subsection (c) below; and

      (iii) provide an improvement in stormwater management and/or stormwater treatment as compared with conditions prior to the activity.

  1. Additional Requirements for Stormwater Pollution Prevention Plans.

   (1) When any activity listed in paragraph (3) of subdivision (b) of this section is proposed to be undertaken in the drainage basin of a terminal reservoir, as identified in the watershed maps in Appendix 18-A, the stormwater pollution prevention plan shall include analysis of coliform runoff, before and after the land disturbance activity.

      (i) If such proposed activity causes or contributes to the contravention of the coliform standard set forth in 15 RCNY § 18-48(b)(1), the stormwater pollution prevention plan shall not be approved by the Department, unless the measures required by the stormwater pollution prevention plan in conjunction with any other controls to be imposed that limit future land disturbance at the site, including but not limited to property easements, restrictive covenants, zoning laws and development by-laws, will prevent the contribution of additional coliform.

   (2) Stormwater Conveyance Measures. Stormwater pollution prevention plans prepared pursuant to this section shall provide for the maintenance of natural drainage systems, including perennial and intermittent streams, and the use of swales and drainage ditches in an open condition to the maximum extent practicable. A stormwater pollution prevention plan shall ensure that any closed stormwater conveyance measures are sized appropriately to convey, at a minimum, the 10-year, 24-hour storm flow.

   (3) Stormwater Treatment Volume. All stormwater pollution prevention plans prepared pursuant to this section shall include measures to capture and treat the greater of the volume of runoff generated by the 1-year, 24-hour storm or the Water Quality Volume (WQv). Stormwater management practices which provide treatment shall be designed to accommodate the quantity of runoff flowing to the stormwater management practice, including runoff from off-site areas.

   (4) Where a stormwater pollution prevention plan prepared pursuant to this section includes a stormwater infiltration practice, to the maximum extent practicable, no portion of such stormwater infiltration practice shall be located within 100 feet of any portion of the absorption area of a subsurface sewage treatment system.

   (5) To the maximum extent practicable, an activity requiring a stormwater pollution prevention plan, and the stormwater pollution prevention plan prepared for such activity, shall be designed:

      (i) To minimize the alteration of the existing drainage areas and to maintain the volumes of flow at design points at pre-construction levels, except as necessary to alleviate downstream flooding problems or other adverse conditions in existence prior to construction, or to divert runoff from off-site and/or undisturbed areas away from areas proposed to be disturbed.

      (ii) To minimize loss of annual recharge to groundwater by maximizing the use of stormwater infiltration practices where suitable soil conditions exist.

   (6) If an activity requiring a stormwater pollution prevention plan will result in impervious surfaces covering twenty percent (20%) or more of the drainage area for which a stormwater management practice is designed, the stormwater pollution prevention plan shall provide for stormwater runoff from that drainage area to be treated by two different types of stormwater management practices in series, except that only one stormwater management practice is required if either:

      (i) the stormwater management practice provided is a stormwater infiltration practice; or

      (ii) the activity requiring a stormwater pollution prevention plan is in the West of Hudson watershed within a village, hamlet, village extension, or area zoned for commercial or industrial uses or in the East of Hudson watershed within a Designated Main Street Area.

   (7) For purposes of the design criteria incorporated by reference in New York State Department of Environmental Conservation General Permit GP-0-10-001, “detention time” shall mean the time runoff is detained in a stormwater management practice. It can be computed using either the center of mass method or the plug flow method.

  1. Application requirements and procedures.

   (1) An application for approval of a stormwater pollution prevention plan shall include:

      (i) The pollution prevention plan; and

      (ii) The information required in a Notice of Intent under New York State Department of Environmental Conservation SPDES General Permit No. GP-0-10-001.

   (2) When the Department notifies an applicant that an application for approval of a stormwater pollution prevention plan is complete pursuant to 15 RCNY § 18-23(d)(2) and (3), the Department shall also issue a written notification to the Stormwater Project Review Committee (“Committee”) for the Town(s) or Village in which the activity requiring preparation of the stormwater pollution prevention plan is proposed to be located, of the Department’s receipt of a complete application.

      (i) If requested by one or more members of the Committee, the Department shall submit a copy of the complete application to the Committee for its review and shall convene a meeting, in person or by telephone, of the Committee.

      (ii) The Department shall not be required to meet with or otherwise further consult with a member of the Committee concerning an application where the Committee member declines to review the application or fails to attend a meeting of the Committee convened to consider the application.

   (3) Upon completion of their review of the application, and upon a majority vote of the Committee members, including the Department’s Committee member, who reviewed the application, the Committee may recommend to the Department that an application for approval of a stormwater pollution prevention plan be approved, approved with conditions or disapproved.

      (i) If the Department’s Committee member agrees with the majority recommendation of the Committee, the Department may proceed to issue its determination to the applicant.

      (ii) If the Department’s Committee member disagrees with the majority recommendation of the Committee, the application, together with the written recommendation of the Committee, shall be submitted to the Commissioner of the Department for review and a determination. The Commissioner shall issue a written record of decision setting forth the basis for the determination and responding to any contrary written recommendations submitted by any member of the Committee.

      (iii) If the Committee fails to make a recommendation to the Department at least fifteen (15) days prior to the date the Department is required to notify an applicant in writing of its determination pursuant to 15 RCNY § 18-23(d)(5), the Department may proceed to issue its determination and the Department shall not be required by these rules and regulations to further consult with or consider the comments of the Committee or any member of the Committee.

   (4) Failure of any Committee member, other than the Department Committee member, to act in accordance with the procedures or within the time frames set forth in these rules and regulations, shall relieve the Department of any obligation to consult with or consider the comments of the Committee member. Failure of any Committee member, other than the Department Committee member, to act in accordance with the procedures or within the time frames set forth in these rules and regulations, shall not invalidate any determination issued by the Department.

   (5) A Committee may only make recommendations to the Department and shall have no authority to make decisions on behalf of the Department. For purposes of SEQRA, the Department’s determination on an application, not the Committee’s recommendation to the Department, shall be considered a final decision.

  1. Individual residential stormwater permits.

   (1) An individual residential stormwater permit is required for:

      (i) Construction of a new individual residence, not located within a subdivision, and located within the limiting distance of 100 feet of a perennial stream or wetland;

      (ii) Construction of a new individual residence located within a subdivision approved before October 16, 1995, and not prohibited by paragraph (a)(5)(ii)(b) of this section, and located within the limiting distance of 100 feet of a perennial stream or wetland; and

      (iii) Construction of an impervious surface for a driveway to serve an individual residence that obtains all discretionary approvals necessary for construction on or after March 1, 2010, located within the limiting distances of 50 feet of an intermittent stream or wetland or within 100 feet of a perennial stream, except that no individual residential stormwater permit is required if the driveway is included in an activity requiring Department approval of a stormwater pollution prevention plan.

   (2) Application requirements. An application for issuance of an individual residential stormwater permit shall include:

      (i) A plan of the proposed individual residence and/or driveway;

      (ii) A plan or map identifying the location of any watercourses, wetlands, reservoirs, reservoir stems or controlled lakes on or adjacent to the property;

      (iii) A plan showing the approximate area of site disturbance;

      (iv) A description and depiction of proposed erosion controls sufficient to prevent sedimentation of the receiving watercourse or wetland during construction. Erosion controls typically consist of sediment barriers, such as hay bales and silt fencing, and temporary stormwater diversions;

      (v) A schedule for construction, including grading and site stabilization; and

      (vi) A description and depiction of proposed stormwater best management practices designed to filter, detain, or filtrate runoff from the individual residence or driveway, thereby minimizing the post-construction increase in pollutant loading to the receiving perennial stream or wetland.

   (3) An individual residential stormwater permit issued by the Department shall expire and thereafter be null and void unless construction is completed within two (2) years of the date of issuance of the permit, or within any extended period of time approved by the Department upon good cause shown. Following expiration of the permit, the application for the individual residential stormwater permit may be resubmitted to the Department for consideration for a new permit.

§ 18-40 Miscellaneous Point Sources.

(a)  Unless otherwise permitted by the rules and regulations, a discharge, or storage which is reasonably likely to lead to a discharge into the environment (including into groundwater), from industrial facilities, including vehicle washing facilities, and which is reasonably likely to cause degradation of surface water quality or of the water supply, is prohibited. It shall be an affirmative defense under this subsection that such discharge, or storage likely to lead to a discharge, is either permitted or not prohibited under federal law, and is either permitted or not prohibited under state law.
  1. Any new point source, excluding point sources otherwise regulated pursuant to these rules and regulations, is prohibited from discharging into a reservoir or controlled lake, reservoir stem, or wetland.

§ 18-41 Solid Waste.

(a)  Siting or horizontal expansion of a junkyard or a municipal solid waste landfill, within the limiting distance of 250 feet of a watercourse or wetland, or the siting or horizontal expansion of a junkyard or a solid waste management facility within the limiting distance of 1,000 feet of a reservoir, reservoir stem or controlled lake is prohibited except for:

   (1) Recyclable handling and recovery facilities that handle non-putrescible solid waste, such as newspapers, magazines, corrugated boxes, glass, cans and plastic, but not non-putrescible solid waste such as batteries, car batteries, and waste oil;

   (2) Composting facilities for individual households for personal use; or

   (3) Expansion of the existing permitted municipal solid waste landfill located within Delaware County.

  1. Discharge of solid waste directly into any watercourse, wetland, reservoir, reservoir stem or controlled lake is prohibited. For purposes of this subdivision, solid waste includes materials that are otherwise exempt from compliance with 6 NYCRR Part 360, as described in 6 NYCRR Part 360-1.2(a)(4). This subdivision shall not apply to discharge of treated leachate in accordance with the requirements of these rules and regulations and a valid SPDES permit.
  2. Only construction and demolition debris that is recognizable uncontaminated concrete, asphalt pavement, brick, soil, stone, trees or stumps, wood chips, or yard waste may be used as fill in the watershed.
  3. All new solid waste management facilities, or altered or modified existing solid waste management facilities within the limiting distance of 300 feet of a watercourse or wetland, or within the limiting distance of 500 feet of a reservoir, reservoir stem, or controlled lake, are required to submit stormwater pollution prevention plans to the Department for review and approval, in accordance with 15 RCNY § 18-39(b)(3)(v).

§ 18-42 Agricultural Activities.

Any intentional, knowing or reckless act or omission that in the course of an agricultural activity significantly increases pollutants in the water supply is prohibited.

§ 18-43 Pesticides.

Unless otherwise permitted by these rules and regulations, the discharge or use, or storage of pesticides which is reasonably likely to lead to a discharge, of pesticides into the environment (including into groundwater), and which is reasonably likely to cause degradation of surface water quality or of the water supply, is prohibited. It shall be an affirmative defense under this subsection that such discharge, or storage likely to lead to a discharge, is either permitted or not prohibited under federal law, and is either permitted or not prohibited under state law.

§ 18-44 Fertilizers.

(a)  The requirements of this section shall not apply to the application or storage of fertilizers for:

   (1) An agricultural activity performed in compliance with State or Federal law; and

   (2) Non-commercial application by an individual on residential premises.

  1. No fertilizer activity shall be considered to be a noncomplying regulated activity.
  2. Discharge from the washing of fertilizer application equipment into any watercourse, wetland, reservoir, reservoir stem or controlled lake is prohibited.
  3. Use of water directly from a reservoir, reservoir stem or controlled lake for fertilizer make-up is prohibited.
  4. Use of water directly from a watercourse for fertilizer make-up without the use of an anti-siphon device is prohibited.
  5. Open storage of fertilizer is prohibited.

§ 18-45 Snow Disposal and Storage and Use of Winter Highway Maintenance Materials.

(a)  Whenever feasible removed snow shall not be disposed of directly into a watercourse, wetland, reservoir, reservoir stem or controlled lake. However, this subdivision shall not be construed to require an owner or operator to transport the removed snow in a vehicle for offsite disposal.
  1. No snow disposal activity shall be considered to be a noncomplying regulated activity.
  2. Commercial, industrial, governmental, or institutional entities shall be restricted to the use of the substances defined in these rules and regulations as winter highway maintenance materials and to the use of the minimum amount needed of such substances in order to protect the public safety. In determining the minimum amount needed for public safety, such entities should consider best management practices developed by the New York State Department of Transportation.
  3. (1)  Commercial, industrial, governmental, or institutional entities that store winter highway maintenance materials in quantities of 1,000 pounds or more that contain greater than eight percent chloride compounds shall store such materials in structures constructed on low permeability storage pads.

   (2) Any outdoor areas used for loading, handling or mixing of winter highway maintenance materials shall be constructed and maintained to prevent seepage and runoff from entering any watercourse, wetland, reservoir, reservoir stem or controlled lake.

  1. All commercial, industrial, governmental, or institutional entities that store winter highway maintenance materials in quantities and composition not otherwise subject to paragraph (1) of subdivision (d) of this section, shall store such materials in a manner that minimizes runoff into any watercourse, wetland, reservoir, reservoir stem, or controlled lake. Runoff may be controlled by use of control measures such as berms and covers.
  2. A winter highway maintenance material storage facility may be enlarged provided that the enlarged facility is in compliance with the storage requirements set forth in this section, and any other applicable requirements of these rules and regulations.
  3. Winter highway maintenance material storage facilities that are noncomplying regulated activities shall come into compliance with this section no later than two years from the effective date of these rules and regulations.

Subchapter D: Water Quality Standards For Reservoirs and Controlled Lakes

§ 18-48 Water Quality Standards.

(a)  The water in all reservoirs, Lake Gilead, and Lake Gleneida, shall meet the following standards of quality:

   (1) 6 NYCRR Parts 701 and 703 (standards applicable to Class AA waters), and

   (2) The New York State Department of Environmental Conservation Technical and Operational Guidance Series (TOGS) 1.1.1, Ambient Water Quality Standards and Guidance Values (October 22, 1993, Reissue Date June 1998, as modified and supplemented by the January 1999 Errata Sheet and the April 2000 and June 2004 Addenda) which lists the ambient water quality standards and guidance values for principal organic chemicals and synthetic organic chemicals.

  1. In addition, the water in source water reservoirs shall meet the following phosphorus standard:

   (1) Total phosphorus concentrations shall be equal to or less than 15 micrograms per liter.

  1. In addition, the water within 500 feet of the aqueduct effluent chamber located at a terminal reservoir (Kensico, West Branch, New Croton, Ashokan and Rondout) shall meet the following coliform standard:

   (1) Raw water fecal coliform concentrations shall be equal to or less than 20 colonies per 100 milliliters or total coliform concentration shall be equal to or less than 100 colonies per 100 milliliters in at least 90 percent of the measurements made over any consecutive six month period. For purposes of determining compliance with this paragraph, a minimum of five samples per week will be taken from each terminal reservoir. If both fecal and total coliform analyses are performed, the fecal coliform results shall take precedence over the total coliform analysis.

  1. For purposes of determining compliance with this subchapter, the Department shall take water samples from the controlled lakes and reservoirs and shall evaluate them in accordance with subdivisions (a), (b), and (c) of this section.

   (1) Where total coliform concentrations exceed the standards set forth in 6 NYCRR Parts 701 and 703, and are determined by the Department to be due to non-perennial, non-anthropogenic sources, such exceedances shall not be included in calculating whether a violation of these rules and regulations has occurred.

   (2) Where fecal coliform concentrations exceed the standards set forth in subparagraph (c) above, and are determined by the Department to be due to non-perennial, non-anthropogenic sources, such exceedances shall not be included in calculating whether a violation of these rules and regulations has occurred.

  1. The Department shall, on an annual basis, conduct a review of water quality data for the purpose of determining whether each reservoir and controlled lake meets or fails to meet the water quality standards set forth in subdivisions (a), (b), and (c) of this section, as applicable. The results of the Department’s review, together with the calculations used in arriving at the results for each reservoir, shall be published in a report which shall be made available to the public upon request.

Subchapter E: Enforcement

§ 18-51 Enforcement.

(a)  The City shall enforce the rules and regulations set forth herein, in a manner consistent with applicable Federal, State and local laws.
  1. The City may, in enforcing the rules and regulations set forth herein, exercise all of its rights and remedies under applicable Federal, State and local laws, including, but not limited to: inspecting facilities engaging in regulated activities and sources of the water supply in accordance with applicable federal and State constitutional requirements; issuing notices of violation or of intention to sue; instituting civil or criminal actions; seeking injunctive relief and legal damages; imposing penalties in accordance with Public Health Law § 1103; and entering into consent orders and agreements.
  2. Nothing contained in these rules and regulations shall be construed as limiting the City’s ability to exercise any of its rights and remedies under any other law, statute, rule, regulation, or order, including, but not limited to, the Federal Water Pollution Control Act (a/k/a the Clean Water Act), 33 U.S.C. § 1251 et seq.; the Comprehensive Environmental Response, Compensation, and Liability Act, 42 U.S.C. §§ 9601 et seq.; the Resource Conservation and Recovery Act, 42 U.S.C. §§ 6901 et seq.; the Oil Pollution Act, 33 U.S.C. §§ 2701 et seq.; Federal Insecticide, Fungicide and Rodenticide Act, 7 U.S.C. §§ 136 et seq.; Toxic Substances Control Act, 15 U.S.C. §§ 2601 et seq.; New York State Public Health Law; New York State Environmental Conservation Law; New York State Navigation Law; New York State Department of Health septic system requirements (10 NYCRR Appendix 75-A); New York State Real Property Actions and Proceedings Law; and New York State Penal Law.
  3. Upon completion of the requirements of the State Administrative Procedure Act (SAPA) and the promulgation of these rules and regulations by the New York State Department of Health as State rules and regulations, the requirements of these rules and regulations may also be enforced by the Commissioner of the New York State Department of Health.

Subchapter F: Variances

§ 18-61 Variances.

(a)  The Commissioner may, in his or her discretion, upon written application from the applicant, grant a variance from the requirements of these rules and regulations for a regulated activity and for the alteration or modification of a noncomplying regulated activity.

   (1) An application for a variance for a regulated activity or for an alteration or modification of a noncomplying regulated activity shall:

      (i) Identify the specific provision of the rules and regulations from which the variance is sought or identify the nature and extent of the alteration or modification of the noncomplying regulated activity;

      (ii) Demonstrate that the variance requested is the minimum necessary to afford relief;

      (iii) Demonstrate that the activity as proposed includes adequate mitigation measures to avoid contamination to or degradation of the water supply which are at least as protective of the water supply as the standards for regulated activities set forth in these rules and regulations; and

      (iv) Demonstrate that for the proposed use or activity for which the variance is requested, compliance with the identified provision of the rules and regulations would create a substantial hardship due to site conditions or limitations.

   (2) In granting variances the Commissioner may impose specific conditions, including evidence of financial security, time limitations and limitations on any transfer of the variance granted. In addition, the Commissioner may grant a lesser variance than that applied for.

   (3) Any proposed substantial alteration or modification of an activity that has been granted a variance under this Subchapter shall require the review and approval of the Department and shall comply with the provisions of this Subchapter.

   (4) The burden of proof for a variance shall be on the applicant.

   (5) Except for a variance granted for an alteration or modification of a noncomplying regulated activity, a grant of a variance for a regulated activity shall not be deemed to make such activity a noncomplying regulated activity under these rules and regulations.

  1. An appeal of a denial of a variance for a regulated activity or a denial of a variance for an alteration or modification of a noncomplying regulated activity may be made in the manner specified in 15 RCNY § 18-28.
  2. Failure to comply with any condition of a variance for a regulated activity, or for a variance for an alteration or modification of a noncomplying regulated activity shall be a violation of these rules and regulations. The Department shall review the terms and conditions of each variance granted at least once every five years to determine whether the terms and conditions of the variance have been complied with.
  3. Variances within coliform and phosphorus restricted basins.

   (1) The Department may grant a variance from the prohibition of locating a new wastewater treatment plant or expanding an existing wastewater treatment plant in a coliform restricted basin, or in a phosphorus restricted basin, where the Department determines that conditions in the area to be served by the new or expanded wastewater treatment plant are resulting in the release or discharge of inadequately treated sewage into the water supply, and that there is no other feasible method of correcting such release or discharge of inadequately treated sewage except to provide a variance from such prohibition. Provided, however, that in such cases, the additional treatment capacity of the new or expanded wastewater treatment plant may only be of a size sufficient to service the area identified as the source of contamination and any immediate area of concern as limited or delineated by the Department.

   (2) A request for a variance from the prohibition of expanding an existing wastewater treatment plant located in a phosphorus restricted basin which does not meet the criteria set forth in subdivision (d)(1) may be granted only if the applicant demonstrates that subsurface discharge is impossible and that every one (1) kilogram of projected increase in the phosphorus load resulting from the expansion of the existing wastewater treatment plant and accompanying non-point source runoff, is offset by two (2) kilograms of reductions in phosphorus loading within such basin provided by enhanced treatment, basin-wide phosphorus trading, and/or a watershed protection plan developed pursuant to Subchapter H.

  1. Variances Within the 60 Day Travel Time to Intake in the Croton System.

   (1) The Department may grant a variance from the prohibition set forth in 15 RCNY § 18-36(d)(2)(i) against locating a new wastewater treatment plant or expanding an existing wastewater treatment plant in the Croton System, within the 60 day travel time to intake, where the Department has made the following determinations:

      (i) One of the following situations is present:

         (a) conditions in the area to be served by the new or expanded wastewater treatment plant, including failed subsurface sewage treatment systems, are resulting in the release or discharge of inadequately treated sewage into the water supply; or

         (b) influent flow rates to an existing wastewater treatment plant exceed the permitted flow limit for the wastewater treatment plant as specified in its SPDES permit and/or the design capacity of the wastewater treatment plant and have caused, or can reasonably be expected to cause, the release of inadequately treated sewage.

      (ii) There is no other feasible method of correcting such release or discharge of inadequately treated sewage except by locating a new or expanding an existing surface-discharging wastewater treatment plant within the 60 day travel time to intake; and

      (iii) The applicant has demonstrated that there are no sources of inflow or infiltration to the sewer system of the new or expanded wastewater treatment plant, other than sources that are to be eliminated pursuant to a consent order or other commitment binding on the applicant, that can practicably be eliminated.

   (2) The applicant must demonstrate to the Department, that the total flow to the new or expanded wastewater treatment plant authorized pursuant to this subdivision will be limited as follows:

      (i) if the applicant seeks to expand a wastewater treatment plant serving a sewer district, the flow to the expanded wastewater treatment plant may include only:

         (a) flow from facilities within the sewer district that are connected to the wastewater treatment plant as of the date of the application for a variance (based on the flows reported by the wastewater treatment plant pursuant to its SPDES permit in the year preceding the application for the variance); and

         (b) flow from facilities within the sewer district that are served by subsurface sewage treatment systems as of the date of the application for a variance; and

         (c) additional flow of no more than ten percent (10%) of the average of the flows reported by the wastewater treatment plant pursuant to its SPDES permit in the year preceding the application for the variance to be allocated within the sewer district; and

         (d) reasonably anticipated flows from any area(s) outside the sewer district identified as source(s) of contamination pursuant to clause (a) of subparagraph (i) of paragraph (1) of subdivision (e) of this section.

      (ii) if the applicant seeks to expand a wastewater treatment plant without a sewer district, the flow to the expanded wastewater treatment plant may include only:

         (a) flows to the wastewater treatment plant as of the date of the application for a variance;

         (b) reasonably anticipated flows from any area(s) identified as source(s) of contamination pursuant to clause (a) of subparagraph (i) of paragraph (1) of subdivision (e) of this section.

      (iii) if the applicant seeks to construct a new wastewater treatment plant, the flow to the new wastewater treatment plant may include only reasonably anticipated flows from the area(s) identified as source(s) of contamination pursuant to clause (a) of subparagraph (i) of paragraph (1) of subdivision (e) of this section.

   (3) A new or expanded wastewater treatment plant authorized pursuant to a variance under this subdivision, and its sewer system, shall meet the following conditions:

      (i) The wastewater treatment plant shall provide sand filtration or a Department-approved alternative technology to sand filtration, disinfection, phosphorus removal, and microfiltration or a Department-approved equivalent technology to microfiltration, as required by these rules and regulations; and

      (ii) The wastewater treatment plant shall be designed, operated, and maintained to meet a total phosphorus limit of 0.1 mg/l, and the applicant shall seek to have such limit included in the wastewater treatment plant’s SPDES permit; and

      (iii) The applicant shall develop and implement a Department-approved Capacity, Management, Operation and Maintenance (CMOM) plan for the entire sewer system serving the wastewater treatment plant, and shall seek to have such plan incorporated into the wastewater treatment plant’s SPDES permit. At a minimum, such CMOM plan shall include:

         (a) a map of the entire collection system;

         (b) an assessment of the current capacity of the collection system;

         (c) a program and schedule for routine inspections and testing, and preventive operation and maintenance activities;

         (d) a list of any structural deficiencies identified in the system and a schedule for short- and long-term rehabilitation measures to address each identified deficiency;

         (e) an inflow study, and a plan and implementation schedule, to control and eliminate, to the maximum extent practicable, stormwater contributions from sources such as catch basins, downspouts, and sump pumps; and (f)  a program for training appropriate personnel on collection system operation and maintenance; and

      (iv) All wastewater pumping stations in the sewer system serving the new or expanded wastewater treatment plant, both new and existing, shall meet the alarm systems and emergency operation requirements applicable to new wastewater pumping stations as set forth in “Recommended Standards for Wastewater Facilities,” Great Lakes – Upper Mississippi River Board of State Public Health and Environmental Managers (2004); and

      (v) The applicant shall seek to have included in the wastewater treatment plant’s SPDES permit a condition providing that in the event that the SPDES permitted flow limit is violated, the owner will investigate the violation and prepare a corrective action plan.

Subchapter G: Administration and Enforcement By Local Governments

§ 18-71 Certification of Administrative Programs.

(a)  The local government of a town, city, village or county may apply to the Department, care of the Engineering Section (see 15 RCNY § 18-15), for certification of a program to administer specific provisions of these rules and regulations.
  1. A local government’s proposed program for administration of specific provisions of these rules and regulations may include processing and review of, and determinations on, applications for approval of specific regulated activities.
  2. An application for certification of a local government’s administrative program shall include the following information:

   (1) Identification of the specific substantive and procedural provisions of the rules and regulations that the local government is requesting to administer;

   (2) Number, technical expertise and experience of personnel and identification of other resources that will be dedicated to administration of the program;

   (3) Identification of funding or revenue sources for implementation of the program, including a commitment of such funding for the next fiscal year;

   (4) Identification of the specific department, unit or officials who will be designated to administer these rules and regulations;

   (5) Identification of information management capability to insure efficient administration and adequate record keeping;

   (6) Identification of applicable existing local laws and rules and regulations and plans for coordination of such laws and rules and regulations with the requirements of these rules and regulations; and

   (7) Any other information requested by the Department.

    1. The Department shall review an application for certification of an administrative program and make a preliminary determination to certify or deny certification of a program within 60 business days of receipt of such application. A determination to certify shall be based upon a finding by the Department that the resources, funding and administrative program proposed by the applicant will provide a level of efficiency and effective protection of the water supply equal to that which would otherwise be provided by the Department under these rules and regulations. Notice of the preliminary determination shall be provided in writing by the Department to the designated representative of the local government submitting the application for certification.

   (2) Within 60 business days of the Department’s preliminary certification of the administrative program, the Department and the local government shall commence negotiating and writing a draft memorandum of understanding setting forth the requirements and conditions of the program.

   (3) A governmental agency or unit of a town, city, village or county that has a program for administration and/or enforcement that has been certified by the Department pursuant to this subchapter shall be referred to as a “certified local government.”

§ 18-72 Administrative Determinations.

(a)  Each administrative program submitted by a local government under this subchapter shall contain provisions governing the extent and frequency of Department review and approval of administrative determinations made by the local government, as the Department shall agree upon.
  1. Pursuant to each administrative program submitted by a local government under this subchapter, the local government shall provide the Department (Attention: Chief, Sources Division) with a copy of each administrative determination made by such local government, at the same time that the determination is made available to the applicant.

§ 18-73 Annual Review of Administrative Programs.

(a)  The administrative program of a certified local government shall be reviewed annually by the Department. Such review shall be based upon records that demonstrate the effectiveness of the program which include objective criteria such as:

   (1) A review of determinations on applications for approval of regulated activities;

   (2) A review of the adequacy of financial, personnel and other resources for the previous year, and evidence of future commitment of adequate financial, personnel, and other resources to continue the administrative program; and

   (3) A review of such other records as the certified local government may be required to keep.

§ 18-74 Decertification or Modification of Administrative Programs.

(a)  The administrative program of a certified local government shall be continued unless decertified or modified by the Commissioner. A preliminary determination to decertify or modify shall be made at any time if the Commissioner determines that the local government's administration of any element of the program is inadequate to protect the water supply.
  1. Where the Commissioner has made a preliminary determination to decertify or modify a local government’s administrative program pursuant to subdivision (a) of this section, a notice of proposed decertification or modification, and the reasons therefor, shall be sent by certified mail, to the designated representative of the certified local government. The certified local government may, within ten business days of the sending of such notice, submit information addressing the reasons for decertification or modification stated in the notice. The Commissioner, after receipt and consideration of any information submitted by the certified local government, shall make a final determination to continue, modify, or decertify the program within thirty business days of sending of the notice of proposed decertification or modification. Upon decertification of an administrative program the administration of the rules and regulations set forth herein shall revert to the Department.
  2. A local government which has received a determination of decertification may reapply for certification after one year.

§ 18-75 Certification of Enforcement Programs.

(a)  The local government of a town, city, village or county may apply to the Department, care of the Engineering Section (see 15 RCNY § 18-15) for certification of a program to enforce specific provisions of these rules and regulations.
  1. A local government’s proposed program for enforcement of specific provisions of these rules and regulations may include the following:

   (1) Inspection of premises for potential violations of these rules and regulations and the preparation of written reports detailing the results of each such inspection; and

   (2) Issuance of notices of violation of specific provisions of these rules and reg- ulations.

  1. An application for certification of a local government’s enforcement program shall include the following information:

   (1) Identification of the specific provisions of the rules and regulations that the local government intends to enforce;

   (2) Number, technical expertise and experience of personnel and identification of other resources that will be dedicated to the enforcement program;

   (3) Identification of funding or revenue sources for implementation of the program, including a commitment of such funding for the next fiscal year;

   (4) Identification of the specific department, unit or officials who will be designated to enforce the rules and regulations;

   (5) Identification of information management capability to insure efficient administration and adequate record keeping; and

   (6) Any other information requested by the Department.

  1. The Department shall review an application for certification in accordance with the procedures set forth in subdivision (d) of 15 RCNY § 18-71. A determination to certify shall be based upon a finding by the Department that the resources, funding and enforcement program proposed by the applicant will provide a level of efficiency and effective protection of the water supply equal to that which would otherwise be provided by the Department under these rules and regulations. Any memorandum of understanding for an enforcement program shall provide that the designated enforcement personnel of the local government shall be agents of the Department for purposes of enforcement of specific provisions of these rules and regulations, and provided further, that such memorandum of understanding shall state that the Department shall retain the authority to enforce these rules and regulations in addition to any enforcement by the local government.

§ 18-76 Annual Review of Enforcement Programs.

(a)  The enforcement program of a certified local government shall be reviewed annually by the Department. Such review shall be based upon records that demonstrate the effectiveness of the program which include objective criteria, such as:

   (1) A review of notices of violation issued by the certified local government;

   (2) A review of inspection reports prepared by the certified local government;

   (3) A review of the determinations made by courts or administrative tribunals on notices of violation issued by the certified local government;

   (4) A review of compliance with notices of violation issued by the certified local government;

   (5) A review of the adequacy of financial, personnel and other resources for the previous year, and evidence of future commitment of adequate financial, personnel and other resources to continue the enforcement program in accordance with any requirements of a memorandum of understanding; and

   (6) A review of such other records as the certified local government may be required to keep in accordance with a memorandum of understanding.

§ 18-77 Decertification or Modification of Enforcement Programs.

(a)  The enforcement program of a certified local government shall be continued unless decertified or modified by the Commissioner. A preliminary determination to decertify or modify shall be made at any time if the Commissioner determines that the local government's administration of any element of the program is inadequate to protect the water supply.
  1. Where the Commissioner has made a preliminary decision to decertify or modify a local government’s enforcement program pursuant to subdivision (a) of this Section, a notice of proposed decertification or modification, and the reasons therefor, shall be sent by certified mail to the designated representative of the certified local government. The certified local government may, within ten business days of the sending of such notice, submit information addressing the reasons for decertification or modification stated in the notice. After receipt and consideration of any information submitted by the certified local government, the Commissioner shall make a final determination to continue, modify, or decertify the program within thirty business days of sending of the notice of proposed decertification or modification. Upon decertification of an enforcement program, the enforcement of the rules and regulations set forth herein shall be the sole responsibility of the Department.
  2. A local government which has received a determination of decertification may reapply for certification after one year.

§ 18-78 Consent of the City.

Nothing in this Subchapter shall be construed to allow the designated administrative or enforcement personnel of a certified local government, or any representative or attorney of a certified local government, to appear in any court proceeding or before any administrative tribunal on behalf of the City or the Department, for the purpose of enforcing violations of these rules and regulations or defending against any claim or action arising from these rules and regulations without the written consent of the City.

Subchapter H: Watershed Protection Plans

§ 18-81 Local Government Stormwater Protection Plans.

(a)  A local government of a town, village, or county in the watershed may submit to the Department for review and approval a proposed local government stormwater protection plan ("Stormwater Plan") to undertake all or some aspects of watershed protection as set forth in 15 RCNY § 18-39. The Stormwater Plan may be submitted individually by a local government or jointly with one or more adjoining local government(s) in accordance with the requirements of this Subchapter.

   (1) Within 90 days of receipt by the Department of a proposed Stormwater Plan, the Department shall review the proposed Stormwater Plan to determine whether it meets the requirements of this Section and notify the local government, in writing, whether the proposed Stormwater Plan is approved;

   (2) If the Department fails to notify the local government(s) in writing of its determination within the 90 day period set forth in paragraph (a)(i) of this subdivision, the local government(s) may notify the Department of its failure by means of certified mail, return receipt requested to the local Department representative who is responsible for processing the Stormwater Plan;

   (3) If the Department fails to notify the local government(s) within ten (10) business days of the receipt of such notice the Stormwater Plan shall be deemed approved subject to the terms and conditions set forth in the most recent submission by the local government(s).

  1. Pursuant to the terms and conditions of an approved Stormwater Plan, the Department may issue a waiver from specific provisions of 15 RCNY § 18-39, including the prohibition of construction of an impervious surface within the limiting dista