Title: Section 1001.13 - Structural and Environmental Standards

1001.13 Structural and Environmental Standards.

(a) An operator of an assisted living residence (ALR) shall comply with the following standards in addition to all applicable standards contained in sections 487.11, 488.11 and, 494.7 of Title 18 of the NYCRR.

(b) Existing Structures.                                        

(1) Definition. Existing structures are buildings:

(i) which have Part 1 approval, including architectural approval, pursuant to section 485.6 of Title 18 of the Official Compilation of Codes, Rules and Regulations of the State of New York;

(ii) for which construction commenced prior to the date of adoption of this Part; and

(iii) for which certificates of occupancy have been issued, for which occupancy has been locally approved but such building was not yet occupied as of the date of adoption of this Part, or which were licensed as an adult home or enriched housing program prior to the date of adoption of this Part.

(2) An existing structure that is not currently licensed as an enriched housing program or adult home and is seeking to be licensed as an ALR, Enhanced ALR, or Special Needs ALR shall meet all applicable structural and environmental requirements currently in effect for either an enriched housing program or an adult home, as applicable. Provided further, the Department may re-examine the adequacy of structural and environmental standards in existing structures should it be determined that codes, rules and regulations that were applicable to the structure at the time of licensure were not met.

(3) In situations where a certificate of occupancy reflecting currently applied occupancy group designation for an enriched housing program or an adult home is not available or attainable from the local authority having jurisdiction, but there is a valid certificate of occupancy in place for the building, the Department will accept an architect’s or engineer’s letter of certification signed by a registered architect (RA) or professional engineer (PE) certifying that the building under consideration meets all applicable codes, rules and regulations. Where there will be a change in the occupancy classification, the existing building shall meet all applicable codes, rules and regulations for the new proposed occupancy.

(4) In addition to meeting the requirements set forth in paragraph (2) of this subdivision, a building used by the operator of an ALR, Enhanced ALR or Special Needs ALR shall comply with the following safety features:

(i) An automatic sprinkler system throughout the building, meeting the following specifications:

(a) An ALR with five to sixteen beds shall have an automatic sprinkler system that follows the National Fire Protection Association (NFPA) 13R or NFPA 13 Codes and Standards.

(1) In Group R facilities within New York City, such facilities shall follow the New York City Building Code, notwithstanding subclauses (2) and (3) of this clause.

(2) Sprinklers cannot be substituted with heat detection, except as set forth in item (i) of subclause (3) of this clause.

(3) In R-4, Condition 2 Occupancies, attics not used for living purposes, storage, or containing fuel-fired equipment shall be protected in accordance with one of the following:

(i) protected throughout by a heat detector system arranged to activate the building fire alarm system in accordance with the New York State Uniform Fire Prevention and Building Code, as incorporated herein, and such heat detection system must be serviced annually;

(ii) constructed of noncombustible materials. A licensed professional shall demonstrate that the entire attic is constructed of noncombustible or fire-retardant-treated material;

(iii) constructed of fire-retardant-treated wood framing in compliance with the Uniform Fire Prevention and Building Code of New York State (Subchapter A of Chapter XXXIII of Title 19 of the NYCRR) or, for buildings located within New York City, with the New York City Building Code; or

(iv) The automatic sprinkler system shall be extended to provide protection throughout the attic space. The remainder of the building must be fully sprinklered in accordance with NFPA 13R or NFPA 13 Codes and Standards.

(b) An ALR with seventeen or more beds and an Enhanced ALR or Special Needs ALR of any size, and such ALRs which are located within New York City and to which the New York City Building Code applies, shall have a NFPA 13 Codes and Standards automatic sprinkler system provided throughout buildings with an Occupancy Group I fire area.

(1) Sprinklers may be substituted with automatic fire detection in attics that are of noncombustible construction with wholly noncombustible contents, provided that the attic does not contain equipment, is not used for storage, is not used as a living space, and is a concealed space with no general access. The remainder of the facility must be fully sprinklered in accordance with NFPA 13 Codes and Standards, and the fire detection system must be serviced annually. A licensed professional shall demonstrate that the entire attic is constructed of noncombustible or fire-rated material and that the fire detection system is compatible with the existing sprinkler system.

(2) Sprinklers can be omitted in rooms or areas that are of noncombustible construction with wholly noncombustible contents, where such rooms or areas are protected with an approved automatic fire detection system in accordance with the New York State Uniform Fire Prevention and Building Code or, for buildings located within the jurisdiction of New York City, in accordance with the New York City Building Code.

(ii) A supervised smoke-detection system, installed in accordance with the New York State Uniform Fire Prevention and Building Code or, for buildings located within New York City, the New York City Building Code, shall be provided throughout the building, including in all bedrooms and within attics and basements. Such automatic smoke detection systems shall utilize smoke detectors unless ambient conditions prohibit such an installation, including but not limited to conditions relating to dust and temperature. In spaces where smoke detectors cannot be utilized due to ambient conditions, approved automatic heat detectors shall be permitted. Smoke detection may be substituted with approved automatic heat detection in attics, where the remainder of the facility has a sprinkler system installed throughout, pursuant to subparagraph (i) of this paragraph, and provided that the attic is not a living space and has no general access. A waiver for heat detection substitution must be approved by the Department, and a licensed professional shall demonstrate that the chosen heat detection system is compatible with the existing sprinkler system. The heat detection system shall be serviced annually.

(iii) Fire protection notification systems shall be directly connected to the local fire department, or to a twenty-four-hour attended central station.

(iv) Handrails must be installed on both sides of all resident-use corridors and stairways.

(v) A centralized emergency call system shall be installed in all bedrooms and easily reachable from the bedside and installed in all resident-use toilet and bathing areas and easily reachable from each fixture.

(vi) Accessibility: Provisions for new construction, as set forth in subdivision (c) of this section, shall apply to all building additions to existing structures. An addition that affects the accessibility to or contains an area of a primary function shall comply with the requirements for accessibility as set forth in the New York State Uniform Fire Prevention and Building Code, as incorporated by reference herein. An area of primary function shall mean an area where a major activity conducted by the facility is intended to occur. Areas of primary function include, but are not limited to, lobbies, dining areas, and meeting rooms, but shall generally not include mechanical rooms, boiler rooms, supply storage rooms, or restrooms. Any facility that is not currently licensed or certified shall comply with current codes, rules and regulations for accessibility.

(5) A building used by the operator of an Enhanced ALR or Special Needs ALR which has a capacity of seventeen or more residents shall, in addition to all other requirements of subdivision (b) of this section, have smoke barriers to divide each floor into at least two smoke compartments, neither of which shall have corridors exceeding one hundred feet in length. For the purposes of this section, a smoke barrier means a continuous fire-rated partition or wall, extending from one exterior wall to another exterior wall, with all openings, including but not limited to doorways, protected with 45-minute fire-rated and smoke-tight doors equipped with hardware appropriate for the fire resistance rating and function of the door for the proposed location within the facility.   

(6) A building used by the operator of a Special Needs ALR, without regard to the capacity of residents, shall, in addition to all other requirements of subdivision (b) of this section, comply with the following additional environmental standards:

(i) Units shall be designed and operated as self-contained sub-units, otherwise known as household units. If operated as a portion of a residence, the unit must also provide self-contained leisure and dining room space. Support services and spaces may be located within adjacent programs or areas, and visitors and staff shall not regularly pass through a special needs unit to reach other areas of the residence.

(ii) Secure outdoor space and walkways shall be provided that will allow residents to ambulate, with or without assistive devices such as wheelchairs or walkers.

(a) Residents shall have regular access to secure outdoor areas, with appropriate supervision provided by staff.

(b) Outdoor space shall have fencing or barriers that prevent injury and elopement. Fencing shall be designed not to be easily climbable and shall be a minimum of 72 inches high.

(c) Provide lighting for evening visibility with use of direct down-light fixtures with careful consideration to control light pollution and unwanted light glare affecting adjacent dwelling units or sleeping units.

(iii) All windows shall be equipped with mechanisms to limit window openings to a maximum of four inches to prevent elopement and accidental falls.

(iv) If the facility is of Type V construction, areas designated for Special Needs ALR must be restricted to grade level or one level above grade level if the building structure exceeds one story in height.

(v) Controlled-egress systems are prohibited on required exit doors from a facility.

(vi) Units shall be equipped with a delayed-egress system on all exit and other doors leading from the facility that could be accessed by Special Needs residents, including roof areas, and leading to other areas of the facility, unless prior approval of an alternate method for the prevention of resident elopement from the unit has been obtained from the Department. For facilities within the jurisdiction of New York City Department of Buildings, delayed egress locks may be subject to special review and approval by the Commissioner of New York City Department of Buildings.

(a) Such delayed egress system shall comply with the following safety measures:

(1) A building occupant shall not be required to pass through more than two delayed egress locking systems before reaching a building exit, provided the combined delay does not exceed 30 seconds and the building is equipped throughout with an automatic sprinkler system installed in accordance with the code in effect at the time of construction.  Provided, however, that for facilities within the jurisdiction of the New York City Department of Buildings, a building occupant shall not be required to pass through more than one door equipped with a delayed egress lock before reaching a building exit.

(2) The door must unlock upon actuation of the automatic sprinkler system or automatic fire detection system.

(3) The door must unlock upon loss of power controlling the lock or mechanism.

(4) The door locks must have the capability of being unlocked by a signal from the fire command center.

(5) The initiation of an irreversible process must release the latch to open the device within 15 seconds when a force of not more than 15 pounds is applied for three seconds, or, for facilities located within the jurisdiction of the New York City Department of Buildings, when a force of not more than 15 pounds is applied for one second. Initiation of the irreversible process shall activate an audible signal in the vicinity of the door. The audible signal shall also be transmitted to the care provider’s control station or another approved, constantly-attended location. Once the door lock has been released by the application of force to the releasing device, relocking shall be by manual means only.

(6) The latch release timeframe set forth in subclause (5) of this clause may be extended to a maximum of 30 seconds if such an extended timeframe has been approved by both the local building code officer and the Department. Where the latch release will exceed the standard 15-second timeframe, the sign required under subclause (7) of this clause shall reflect the appropriate period in which the door can be opened.

(7) A sign must be provided on the door located above and within 12 inches of the release device reading: PUSH UNTIL ALARM SOUNDS. DOOR CAN BE OPENED IN 15 SECONDS. To reduce the potential for unwanted alarms, manual fire alarm boxes may be located at the care providers control stations or another approved constantly attended location. This is subject to approval from the local code authority having jurisdiction.

(8) Emergency lighting shall be provided at the door.

(9) The operator shall provide a supportive environment for residents, staff, and visitors, including but not limited to the use of self-contained units of limited size, quiet areas, and appropriate wander paths.

(10) The operator shall limit access to potentially harmful or disruptive equipment, including but not limited to fire alarms, elevators, fire extinguishers, and cooking equipment.

(11) To ensure safety for all, the operator shall consider whether to allow smoking within the program or facility. If residents are allowed to smoke, appropriate supervision and locations must be provided.

(12) The operator shall maintain site control over the building in which the program is located.

(b) The operator shall have a written policy and procedure plan approved by the Department, which details the procedures to be followed for the proper protection of residents and staff in the event of an actual or threatened emergency or disaster, which interrupts normal service. All staff shall be trained to execute the facility disaster and emergency plan. Such policy and procedure plans shall be designed appropriately for residents with dementia characteristics, which may include relying more heavily on staff training and support than resident training or practice.

(c) Where appropriate and approved by both local authorities and the Department, progressive evacuation procedures are recommended.

(d) Monthly fire drills for staff and volunteers shall be conducted at varied times during the day and night.

(c) New Structures.

(1) A new structure constructed as an ALR, Special Needs ALR or Enhanced ALR shall meet the applicable structural and environmental requirements currently in effect for a new enriched housing program or an adult home, as set forth in Parts 487 and 488 of Title 18 of the Official Compilation of Codes, Rules and Regulations of the State of New York. A new structure is defined as any building for which construction is commenced after the date of adoption of this Section.

(2) All new ALR structures shall meet the safety features set forth in paragraph (4) of subdivision (b) of this section. Enhanced ALRs and Special Needs ALRs with capacities of seventeen or more beds shall also meet the safety features set forth in paragraph (5) of subdivision (b) of this section. Special Needs ALRs, without regard to the capacity of residents, shall also meet the requirements set forth in paragraph (6) of subdivision (b) of this section.

(3) New structures, except for structures within New York City and to which the New York City Building Code applies, shall follow New York State Uniform Building Code Occupancy Group I-1, Condition 2 codes and rules. Residences with five to sixteen beds may alternatively comply with Occupancy Group R-4, Condition 2.

(4) New structures within New York City and to which the New York City Building Code applies, shall follow New York City Building Code Occupancy Group I-1 codes and rules. Residences with five to sixteen beds may alternatively comply with Occupancy Group R-2.

(5) New buildings constructed as Enhanced ALR or Special Needs ALR with capacities of seventeen or more beds and constructed with more than one story shall contain a minimum of one elevator able to support emergency medical response, including the ability to accommodate one standard stretcher and emergency responders.

(d) The following standards shall apply to all ALRs, Enhanced ALRs and Special Needs ALRs:

(1) All bedrooms shall be limited to single or double occupancy;

(2) Minimum corridor widths shall be sixty inches; and

(3) Minimum door clear widths shall be thirty-two inches to assure wheelchair accessibility.

(e) For each safety and environmental requirement set forth in subdivisions (a) through (d) of this section, an applicant for initial licensure or certification for, or an approved operator of, an ALR, Enhanced ALR or Special Needs ALR may submit to the Department a written request for Department approval of an alternate safety or environmental feature which will continue to assure resident welfare and safety. The request shall describe how the proposed alternative would meet the intended purpose of the particular safety feature. Written requests to the Department may also propose to phase in modifications that would permit the facility to meet the standards set forth in subdivisions (a) through (d) of this section over a specified period of time. The Department will review such requests on a case-by-case basis, considering the various facts and circumstances presented, consistent with all applicable laws and regulations relating to ALRs and adult care facilities, including but not limited to Part 1001 of this Title and Parts 487 and 488 of Title 18 of the New York Codes, Rules and Regulations. Facts and circumstances considered by the Department may include, but not be limited to: documentation by architects, local code enforcement and/or fire and safety officials supporting the operator’s contention that the proposed alternative will meet the intended safety goals of a particular feature; staffing availability in the event of evacuation; the proposed timeframe for the applicant to come into conformance with the specified safety features; documentation of hardship to the applicant if the safety features were to be included; the fiscal impact of adding the safety features; the compliance record of the applicant; and any other information applicants wish to submit. If an applicant seeks relief from a safety feature required under the New York State Uniform Fire Prevention and Building Code, the applicant must provide the Department with proof of a variance from that specific code requirement granted by the New York State Department of State, Division of Building Standards and Codes.

(f) Mixed-use buildings and facilities.

(1) In structures comprised of both ALRs and Independent Living Residences:

(i) occupancies shall be separated by fire rated separations and fire rated horizontal assemblies in accordance with the New York State Uniform Fire Prevention and Building Code; and

(ii) where all residents have access to the same common areas, the entire building shall also meet the requirements set forth in paragraphs (4) and (5) of subdivision (b) of this section, as well as paragraphs (2) and (3) of subdivision (d) of this section.

(2) In buildings comprised of self-contained Special Needs ALR and Independent Living Residences, where residents shall not share access to any rooms, the portion of the building containing the Independent Living Residences does not need to meet ALR environmental standards as set forth in this section.

(g) Incorporation by Reference.

(1) The following National Fire Protection Association (NFPA) Codes and Standards are hereby incorporated by reference, with the same force and effect as if fully set forth at length herein. These codes and standards are available for public inspection and copying at the Regulatory Affairs Unit, New York State Department of Health, Corning Tower, Empire State Plaza, Albany, NY 12237. The codes and standards are published by the National Fire Protection Association, and copies are also available from the National Fire Protection Association, 1 Batterymarch Park, P.O. Box 9101, Quincy, MA 02269-9101, 1-800-344-3555 or www.nfpa.org. The various codes and standards are available from the NFPA either as individual publications or as contained within the Compilation of NFPA National Fire Codes:

(i) NFPA 13, Standard for the Installation of Sprinkler Systems, 2016 edition.

(ii) NFPA 13R-16, 2016.

(2) All references in this section to the New York State Uniform Fire Prevention and Building Code refer to the 2020 New York State Uniform Fire Prevention and Building Code, which is hereby incorporated by reference, with the same force and effect as if fully set forth at length herein. This code is available for public inspection and copying at the New York State Department of State at the following address: New York State Department of State, One Commerce Plaza, 99 Washington Avenue, Albany, NY 12231-0001.  Copies may also be obtained from the publisher at the following address: International Code Council, Inc. 500 New Jersey Avenue, NW, 6th Floor Washington, DC 20001.

(3) All references in this section to the New York City Building Code refer to the 2022 New York City Construction Codes, including the Building Codes contained therein, which are hereby incorporated by reference, with the same force and effect as if fully set forth at length herein. This code is available for public inspection and copying at the New York State Department of State at the following address: New York State Department of State, One Commerce Plaza, 99 Washington Avenue, Albany, NY 12231-0001.  Copies are also viewable on the New York City Department of Building’s website at: https://www1.nyc.gov/site/buildings/codes/2022-construction-codes.page#admin.