Abatement Forms & Filing Instructions

Asbestos Assessment Report (ACP-5 Form)

Building owners are responsible for having a DEP-certified asbestos investigator perform an asbestos survey to determine if asbestos-containing material (ACM) will be disturbed during the course of work on their building. If the investigator determines that the building (or portion thereof) affected by the work is free ACM, the ACM present will not be disturbed by the work, or the amount of ACM to be abated constitutes a minor project, they must complete, sign, and seal an Asbestos Assessment Report (ACP-5 Form) and submit it to DEP in accordance with 15 RCNY § 1-22(b)(1) (refer to 15 RCNY § 1-23(b)(1–3) for a list of exempt activities).

Full Demolition DEP-DOB Service Notice

The Department of Buildings (DOB) will only issue a full demolition permit based on an Asbestos Assessment Report (ACP-5 Form) issued by a DEP-certified asbestos investigator with box 8d checked (which indicates that the entire building is free of asbestos containing material). The Asbestos Project Completion (ACP-21 Form) or Asbestos Project Conditional Completion (ACP-20 Form) will not be accepted as the basis for issuing a full building demolition permit. The only exceptions are a concurrent demolition and Abestos Technical Review Unit (A-TRU) permitted project, immediate emergency demolition, or emergency demolition.

ACP-5 Form Filing Instructions

The Statement of Agreement for filing ACP-5 Forms must have original signatures, dates and seal. If you are an employee of a company that has a New York State Department of Labor Asbestos Handling License number, you will be required to submit a letter of authorization from the company together with your forms. The form can either be mailed or hand delivered. Once the form is accepted, we will notify you via email and provide a temporary password with the link where you will electronically file your ACP-5 Form.

• Download the Statement of Agreement for Filing Paperless ACP-5 Forms
• Login to ARTS for the ACP-5 Form

Asbestos Project Notification (ACP-7 Form)

An asbestos project is defined as any form of work that will disturb more than 25 linear feet or more than 10 square feet of asbestos-containing material. When the work to be performed constitutes an asbestos project, the building owner or authorized agent must submit an asbestos project notification (ACP-7 Form) in ARTS at least one week in advance of the start of the work along with the associated filing fee (refer to 15 RCNY § 1-25). An ACP-7 Form is valid for one year from the original date of filing.

Modification of or deviation from the information provided in the ACP-7 Form must be immediately reported using the ACP-8 Form.

*If a Building Owner’s Authorization Letter is required, it must have the owner’s signature and date.

Login to ARTS for the ACP-7 Form

ACP-7 Form Filing Instructions

Asbestos Technical Review Unit Screening of ACP-7 Forms

The Asbestos Techinical Review Unit (A-TRU) permit ensures that workplace safety plans and tenant protection plans are prepared by a registered design professional and approved by DEP prior to initiating asbestos abatement activities.

In questions 28 and 29 on the ACP-7 Form, DEP screens the applications for key words associated with the “A-TRU Triggers.” These are the most common words that trigger a clarification to confirm whether an A-TRU permit is required:

Section of Floor	Building Component
Corridor	Ceiling
Entire Floor	Columns
Foyer	Elevator Door
Ground Floor	Exit Door
Lobby	Fire Alarm System Component
Passageway	Fire Dampers
Stairwell Landing	Fire Door
Stairs	Fire Escape
Vestibule	Fire Stopping Materials
	Riser (clarify if exposed or concealed)

When an A-TRU permit is required, please review the filing instructions:

• Download the A-TRU Filing Procedures for Complex Abatement/Alteration Projects (DEP-DOB Variance Service Notice)
• Download the A-TRU Workplace Safety Plan Minimum Requirements (Department of Buildings Service Notice)
• Download the DOB Special Inspection License Requirements (Department of Buildings Service Notice)

Requirements for General Emergency Notifications

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. When such an emergency asbestos project occurs, an emergency notification must be submitted through the ARTS-E File system. If the applicant does not have a valid ARTS E-File account, immediate telephone notification shall be made to 311 and include:

1. Name, affiliation and telephone number of caller;
2. Nature of the emergency;
3. Scope of asbestos work to be performed and the quantity and location 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;
6. Starting and projected completion dates; and
7. Such other factors as the department may determine are relevant for that project.

You must upload a site-specific emergency scope of work on the contractor’s letterhead and an Owners letter describing the nature of the emergency.

In accordance with § 1-27 (c) Applicant must convert the emergency notification to an Asbestos Project Notification ( ACP-7 Form) through ARTS E-File as soon as possible, but no later than 48 hours after the project begins.

Filing Procedures for Emergency Demolitions

For demolitions ordered by the NYC Department of Buildings (DOB) Immediate Emergency Declaration (IED), Emergency Declaration (ED), Unsafe Building (UB) Violation or Building Owners Condemnation Letter:

1. File an Emergency Project in ARTS and insert “Controlled Demolition” as the “Method of Abatement”
2. Upload the DOB Immediate Emergency Declaration IED/ED/UB/Condemnation Letter
3. Prepare and upload a detailed site-specific scope of work
4. All asbestos project notifications for controlled demolition must also be submitted to the applicable federal (USEPA NESHAPS) and state (NYSDOL) agencies

Download the Emergency Demolitions Filing Procedures (DEP-DOB Service Notice) for additional information.

Asbestos Project Monitor’s Report (ACP-15 Form)

Within 21 days of project completion (including the successful clearance air monitoring), an Asbestos Project Monitor’s Report (ACP-15 Form) must be submitted in ARTS. This report must be based on an inspection performed after the completion of all steps listed in §1-112(m) Additional Clean-up Procedures (Final) of Chapter 1, Title 15 of the Rules of the City of New York. 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.

Asbestos Project Amendment for ACP-7 Form (ACP-8 Form)

A modification of or deviation from the information provided in an ACP-7 Form must be reported immediately in ARTS if the change refers to the asbestos abatement contractor, air monitoring firm, amount of asbestos-containing materials to be disturbed, the dates of the project, or the project location.

*If a Building Owner’s Authorization Letter is required, it must have the owner’s signature and date.

Login to ARTS for the ACP-8 Form

ACP-8 Form Filing Information

1. An ACP-7 Form may be modified no more than twice
2. A modification is valid when received prior to the previously filed date of completion on the ACP-7 Form
3. A “start date” change must be received by the original start date on the ACP-7 Form. If the modification is received after the start date, you must submit a new ACP-7 Form in ARTS
4. ACP-8 Form—QUESTION 5: “Will this additional asbestos abatement include a different or new location (floor) and /or new trigger?” (ACP-7 Form, questions 28 and 29)
1. If you answer “YES”: STOP and DO NOT PROCEED. A new ACP-7 Form and Asbestos Technical Review Unit (A-TRU) application is required
2. If you answer “NO”: Proceed to submit the ACP-8 Form
5. A-TRU Screening of ACP-8 Forms: DEP screens applications for key words associated with the “A-TRU Triggers” (from questions 28–29 on the ACP-7 Form). These are the most common words that trigger a clarification by DEP to confirm whether an A-TRU permit is required:
   

   Section of Floor	Building Component
   Corridor	Ceiling
   Entire Floor	Columns
   Foyer	Elevator Door
   Ground Floor	Exit Door
   Lobby	Fire Alarm System Component
   Passageway	Fire Dampers
   Stairwell Landing	Fire Door
   Stairs	Fire Escape
   Vestibule	Fire Stopping Materials
   	Riser (clarify if exposed or concealed)

6. When an A-TRU permit is required, please review the filing instructions:
   
   • Download the A-TRU Filing Procedures for Complex Abatement/Alteration Projects (DEP-DOB Variance Service Notice)
   • Download the A-TRU Workplace Safety Plan Minimum Requirements (Department of Buildings Service Notice)

Asbestos Variance Application (ACP-9 Form)

This form must be submitted by a New York State Department of Labor Asbestos Project Designer who has been authorized by the building owner or authorized agent.

Applications for any Variance from Asbestos Control Program Rules or Part 56 of Title 12 of New York Codes, Rules and Regulations (Subpart 56-4 through 56-17) must be submitted in ARTS at least two weeks prior to commencement of work.

Work involving a variance may not commence prior to receiving application approval.

An approved variance, except for a variance from Title 15, Chapter 1 Rules of the City of New York § 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.

*Updated variance attachments are available in ARTS starting July 13, 2020.

Login to ARTS for the ACP-9 Form

ACP-9 Form Filing Instructions

Required Documents for General Variance Applications

1. Building Owners Authorization Letter: Must have the owner’s signature and be dated prior to/on the day the ACP-9 Form is filed.
2. Variance Application (ACP-9 form): Must be prepared and submitted by the authorized NYSDOL certified Asbestos Project Designer.
3. Proposed Method of Work (Variance Proposal) and Layout Drawing: Must be prepared and uploaded in ARTS by the same authorized Asbestos Project Designer who acknowledged the ACP-9 application.

Recommended Variance Proposal Format

Proposed Method of Work (Variance Proposal Letter) should include the following:

1. Date of submission
2. Letter to be addressed to:
   Mr. Carlstien Lutchmedial, Director
   NYCDEP Asbestos Control Program
   59-17 Junction Blvd.
   8^th floor
   Flushing, NY 11373
3. Premise address(floors involved), Borough, NY, Zip code
4. A-TRU# (when available)
5. Sections of the Rule from which relief is requested: List subsection #s
6. Identify the hardship as to why each section cannot be complied with
7. Identify the location, type, and quantity of the asbestos containing material affected by the variance
8. Identify alternate procedures for each section proposed by the project designer
9. Justification for regulatory relief can be provided in table form:

   Asbestos Control Program section # and Text	Variance Justification	Alternate method	DEP Variance Attachment employed
   § 1-82(a) worker decontamination unit shall be located outside the work area	There is not enough space to install the worker decontamination unit directly outside the work area on this floor	Provide a detailed description that matches the layout drawing	Attachment R

10. Include Project Designer Name, Signature, NYSDOL cert #
11. Pages should be numbered
12. Identify any attachments to the proposal (DEP variance attachments, layout drawing, manufacturer specifications (when requested), copy of previous V2 issued for similar variance requests)
13. Photographs maybe requested as an additional document by the reviewer

Layout Drawing should include the following:

1. Insert title block and include premise address
2. Identify Owner, Abatement Contractor, Project Designer and Air Monitor
3. Insert A-TRU # (when available)
4. Insert a Legend to identify type of asbestos containing material being removed with different hatching
5. Include a separate drawing for each floor
6. Identify location, type, and quantity of each asbestos containing material on each drawing
7. Identify locations of waste and worker decontamination units (attached or remote)
8. Identify location of airlocks
9. Identify location of remote holding areas (when applicable)
10. Identify work area boundary for each floor
11. Include Project Designer Name, Signature, NYSDOL cert #
12. Date of Drawing (original) and Date of Revised drawing (when applicable)
13. Review the layout drawing carefully to make sure it matches the variance proposal prior to submission

Response to Objections (Incorrect/Invalid Document)

1. Revised Proposed Method of Work and/or the Layout Drawing must identify the revisions made by bubble/highlight and insert a new date reflecting the revision date.
2. Insert new subsections in Variance Details and additional Variance Attachments when applicable.
3. Update ACP-9 form when new/additional sections are added or modified to reflect the changes.

Required Documents for 1-22(b) Variances

1. Building Owners Authorization Letter (1-22b)—Must have owners signature and be dated prior to/or on the same day the ACP-9 Form is filed
2. Hardship Letter
1. Must have a detailed description from the owner on reasons for hardship
2. Must be signed and dated
3. Phasing Letter—Needs to be specific in conjunction with project scope
1. Must explain how work is being separated
2. Must be detailed by floor
3. Must detail the work of the general contractor versus the abatement contractor
4. Must show a 25 foot buffer zone on floor or facade elevation
5. Must detail building occupancy during abatement (occupancy meaning non-abatement workers/ non-construction workers)
6. Must have the approved NYC Department of Buildings (DOB) job application number
7. Must show the number of ACP-20 Form(s) or ACP-21 Form(s) required
4. Phasing Plan
1. Must have diagrammatic plans only, no Department of Buildings approved plans will be accepted
2. Must show abatement location(s) with a legend
3. Must show the building occupancy during different phases
4. Must show the location of worker/waste decontamination enclosure system(s)

New York City Department of Buildings (DOB) Special Note

In accordance with §3307.6.2 of the 2014 New York City Building Code, applicants should be prepared to provide verification of approved/permitted sidewalk shed for the following applications:

• Façade and/or full/partial demolition
• Lintel and/or window replacement
• Roof work not restricted to the roof and also involving the parapet

ACP-5 requirement for work areas listed on the PW1 Form which are not listed on the ACP-7 Form

Prior to a V5 being issued, an ACP-5 will be required for all areas within DOB applications not included in the location section of the ACP-7 Form, filed in conjunction with the proposed variance. An ACP-5 must verify that any additional work areas permitted within the DOB application submitted, and not included within the scheduled abatement project have been tested for the presence of ACM with the required result of “No ACM present” or “ACM is present and will not be disturbed during the proposed construction activity.”

Asbestos Technical Review Unit Simultaneous Full/Partial Demolition and Abatement Procedure

As per Asbestos Rules and Regulations, Title 15, Chapter 1 of the Rules of the City of New York, simultaneous abatement and full/partial demolition projects require an approved Asbestos Technical Review Unit (A-TRU) permit and 1-22(b) variance prior to the start of demolition/abatement. Abating an entire building prior to the start of demolition may pose an undue hardship to a complex or multi-phased project. This allows applicants the flexibility to phase the project so that a Department of Buildings permit can be issued before the completion of abatement activities with the following mandated stipulations:

1. A restricted area must be established using warning tape extending at least 25 feet from the affected areas to the nearest non-abatement demolition procedure.
2. The building must be vacated prior to the start of abatement activities
3. The Work Place Safety Plan will not be approved unless it provides a buffer of four floors or an adequate buffer as determined by the commissioner between the abatement and the demolition or floor removal work
4. A maximum of two floors may be demolished simultaneously during the demolition procedure
5. The Work Place Safety Plan must provide a detailed phasing of demolition/abatement in addition to mitigation measures to maintain required egress, fire safety and building life safety systems during combined demo/abatement

The A-TRU will also review the corresponding 1-22(b) variance application to permit the corresponding Department of Buildings Full Demolition application prior to the completion of abatement.

Asbestos Work Permit (ATRU) Filing Instructions

When any of the triggers indicate a YES answer in the Project Details questions 27, 28 and / or 29 on the ACP-7 form, an ATRU Permit is required. A Registered Design Professional (RDP) who has been authorized by the building owner or authorized agent must prepare a Work Place Safety Plan (WPSP) which is submitted by the applicant through ARTS. The WPSP undergoes a thorough review process by the Asbestos Technical Review Unit (ATRU) which is comprised of two Department of Buildings (DOB) examiners and two DEP technical reviewers. To expedite the review and approval process, it is strongly suggested to submit the WPSP at least two weeks prior to commencement of work and review and meet the WPSP filing requirements listed below.

Work involving an ATRU Permit may not commence prior to receiving application approval.

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Work Place Safety Plan (WPSP) Filing Instructions

New York City Department of Environmental Protection (DEP) Requirements

1. WPSP Cover Page
2. WPSP Notes: Title block must include premise address; Building Owner; Abatement Contractor; Registered Design Professional; and Air Monitor; Date; RDP Name and Seal; Drawing and Version #
3. WPSP Details Page
4. WPSP Project Summary Scope of Work; NYCDOB Notes; NYCDEP Notes; Required Inspections; General Notes; Mitigation Procedures; Building classification; and Sheet Index
5. WPSP Sheets: A separate sheet for each floor must include: Work Area boundary; ACM type, quantity and specific location; Worker and Waste Decontamination Unit location; Remote holding areas and Airlocks (when applicable)
6. Include Registered Design Professional Name, Signature and Seal
7. Date of Drawing (original) and Date of Revised drawing (when applicable)
8. WPSP drawing should be consistent with any procedural variance or §1-22b variance plans

New York City Department of Buildings (DOB) Requirements

Work Place Safety Plan must include minimum information listed below:

• a) Floor plan(s), signed by a NYS registered architect or professional engineer, indicating the locations of all abatement containment areas in the building, including personnel and waste decontamination enclosure system(s);
• b) Floor plan(s) produced by a registered architect or professional engineer indicating the locations of any obstructed required exits and all temporary mitigating measures to be undertaken for the duration of the Asbestos Work Permit. These plans may also include alternate egress path(s) that will satisfy the applicable code requirements for maximum travel distances, the minimum number of exits per floor, exit widths and required signage and lighting. This is in keeping with 2014 Building Code, which provides an exception for the maintenance of regular means of egress where there are approved temporary means of egress systems and facilities;
• c) Tenant Protection Plan as required by Chapter 1 of Title 28 of the Administrative Code where the abatement work is in a building where any dwelling unit is occupied for the duration of the Asbestos Work Permit;
• d) Description in narrative form of any measures taken to mitigate compromised fire protection systems or means of egress. Such descriptions may include surveillance by a fire watch and an emergency action plan which sets forth the circumstances and procedures for the sheltering in place, in-building relocation, partial evacuation.

Asbestos Technical Review Unit Simultaneous Full/Partial Demolition and Abatement Procedure

As per Asbestos Rules and Regulations, Title 15, Chapter 1 of the Rules of the City of New York, simultaneous abatement and full/partial demolition projects require an approved Asbestos Technical Review Unit (A-TRU) permit and §1-22(b) variance prior to the start of demolition/abatement. Abating an entire building prior to the start of demolition may pose an undue hardship to a complex or multi-phased project. This allows applicants the flexibility to phase the project so that a Department of Buildings permit can be issued before the completion of abatement activities with the following mandated stipulations:

• a. A restricted area must be established using warning tape extending at least 25 feet from the affected areas to the nearest non-abatement demolition procedure.
• b. The building must be vacated prior to the start of abatement activities
• c. The Work Place Safety Plan will not be approved unless it provides a buffer of four floors or an adequate buffer as determined by the commissioner between the abatement and the demolition or floor removal work
• d. A maximum of two floors may be demolished simultaneously during the demolition procedure
• e. The Work Place Safety Plan must provide a detailed phasing of demolition/abatement in addition to mitigation measures to maintain required egress, fire safety and building life safety systems during combined demo/abatement

The A-TRU will also review the corresponding 1-22(b) variance application to permit the corresponding Department of Buildings Full Demolition application prior to the completion of abatement.

Amendment of Approved WPSP

When there is a change to the approved WPSP that will not alter the previously approved WPSP “building life safety systems” a revised WPSP will be accepted by DEP. Revised WPSP’s are routinely submitted as a result of: (1) an asbestos project amendment (ACP-8 form) to add ACM or (2) a scope change. Applicant must follow the procedures below:

• (a) ACP-8 submission: When the amount of ACM is being added, the applicant submits an Asbestos Project Amendment (ACP-8 form) and uploads the revised WPSP and the RDP Self-Certification letter.
• (b) Scope / phasing change or relocation of decontamination systems: When there is a change in the phasing or scope and/or the location of the decontamination unit the applicant must submit an email to artsfeedback@dep.nyc.gov to process the revised WPSP.

Required Documents:

1. RDP Self-certification letter must include:
• a. Date and statement “changes will not adversely affect previously approved WPSP “building life safety systems”
• b. Identify specific changes and reference the WPSP sheet number(s)
• c. RDP signature and seal
2. Revised WPSP must include:
• a. Clearly bubble the revision on the revised WPSP Notes / Summary page and the individual sheet where a change has occurred
• b. Indicate revision date on the drawing, RDP signed and seal

DEP Acceptance Procedures for Revised WPSP:

Subsequent to the DEP’s review and acceptance of the Revised WPSP associated with an ACP-8 filing, the Revised WPSP’s will be viewable in the ARTS E-file project folder with the RECEIVED watermark. For Revised WPSP’s not associated with an ACP-8 form (see (b) above), DEP will issue a DEP ACP TRU Accepted Stamp on the front page of the Revised Work Place Safety Plan and will upload the RDP letter and Revised WPSP in the ARTS E-file project folder. The ARTS Administrator will then send a confirmation email to the applicant.

Applicant must print and post the Revised WPSP at the worksite, as well as all other required project documents.

When there is a change to the approved WPSP that will alter the previously approved WPSP “building life safety systems” a revised WPSP will not be accepted. A new ACP-7 and WPSP must be submitted for the project. When the submission of an asbestos project amendment (ACP-8 form) results in the deletion of ACM from the ACP-7 form a revised WPSP is not required to be submitted.