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(a) A registered owner or registered officer or director of a corporate owner, a registered managing agent of a multiple dwelling erected prior to January first, nineteen hundred sixty, an authorized representative of a governmental agency as approved by the department, or, where title to such multiple dwelling is held by a cooperative housing corporation or the units in such multiple dwelling are owned as condominium units, a representative of the corporation or the condominium board of managers may apply to the department, in writing, for a lead free or a lead safe exemption of the application of the presumption established under Article 14 of the Housing Maintenance Code and 28 RCNY § 11-07 with respect to such multiple dwelling or any part thereof, provided further, that where title to such multiple dwelling is held by a cooperative housing corporation or the units in such multiple dwelling are owned as condominium units, the shareholder of record on the proprietary lease or the owner of record of such condominium unit, as is applicable, may apply to the department for such exemption for his or her individual unit where such presumption is or may become applicable.
(b) (1) Lead Free Exemption. A lead free exemption will be granted where such owner or such other person specified in subdivision (a) of this section submits a written determination made by a lead-based paint inspector or risk assessor certified pursuant to subparts L and Q of 40 C.F.R. Part 745 or successor provisions, and in accordance with 40 C.F.R. § 745.227(b), or Chapter 7 of the department of housing and urban development's Guidelines for Evaluation and Control of Lead-Based Paint Hazards in Housing (2012), that each tested surface and component in each dwelling unit in such multiple dwelling or in the individual dwelling unit, if applying for an exemption of a particular dwelling unit in such multiple dwelling, or in a common area of a multiple dwelling, (i) is free of lead-based paint, in accordance with the applicable definition for lead-based paint established in 28 RCNY § 11-01(t) and § 27-2056.2(7) of Article 14 of the Housing Maintenance Code, or (ii) has been made free of lead-based paint through the complete removal of lead-based paint from any surface or component, or the removal or replacement of any surface or component that may have contained lead-based paint. In applying for a lead free exemption, such owner or other specified person shall confirm in the exemption application that, to the best of his or her knowledge, no surfaces in the dwelling unit, dwelling, or common area for which the exemption is sought that contain paint have been encapsulated or contained. X-ray fluorescent analyzer (XRF) readings submitted at 0.5 milligrams of lead per square centimeter that are inconclusive in accordance with the performance characteristic sheet will be presumed to contain lead-based paint unless the application contains a laboratory analysis of a paint chip sample of the surface from which the 0.5 XRF reading was taken that is negative for lead-based paint.
(2) Lead Safe Exemption. A lead safe exemption will be granted where the owner or such other person specified in subdivision (a) of this section submits a written determination made by a lead-based paint inspector or risk assessor certified pursuant to subparts L and Q of 40 C.F.R. Part 745 or successor provisions, and in accordance with 40 C.F.R. § 745.227(b), or Chapter 7 of the department of housing and urban development's Guidelines for Evaluation and Control of Lead-Based Paint Hazards in Housing (2012), that lead-based paint, in accordance with the applicable definition for lead-based paint established in 28 RCNY § 11-01(t) and § 27-2056.2(7) of Article 14 of the Housing Maintenance Code, on each surface and component (i) in each dwelling unit from which lead-based paint was not fully removed or replaced, or (ii) in each dwelling unit in a property if the exemption is based upon the appropriate sampling combination of components and surfaces in each unit, or (iii) in a common area of a multiple dwelling, has been contained so that each surface tested is negative for such lead-based paint or has been encapsulated. For purposes of this section, the term "contained" shall mean that every surface containing lead-based paint has been temporarily covered, enclosed and sealed with sheetrock or similar durable construction material to eliminate gaps which may allow access to or dispersion of dust or other matter from the underlying surface. XRF readings submitted at 0.5 milligrams of lead per square centimeter that are inconclusive in accordance with the performance characteristic sheet will be presumed to contain lead-based paint unless the application contains a laboratory analysis of a paint chip sample of the surface from which the 0.5 XRF reading was taken that is negative for lead-based paint.
(3) For purposes of an application for an exemption pursuant to paragraphs (1) or (2) of this subdivision, where surfaces or components within the dwelling unit can be demonstrated by the owner, to the satisfaction of the department, to have a common construction and painting history, the lead-based paint inspector or risk assessor performing such testing may test a sample of the surfaces and components having such common construction and painting history within the dwelling unit or common area to make such determination, in accordance with 40 C.F.R. § 745.227(b), or Chapter 7 of the department of housing and urban development's Guidelines for Evaluation and Control of Lead-Based Paint Hazards in Housing (2012) Lead Based Paint Inspection, V. Inspections in Multi-family Housing, Table 7-3, Number of Units to be tested in Multi-family Building or Developments. In the absence of such documentation by the owner, or visual inspection by the certified individual, the certified individual must test each dwelling unit in order to provide the required certification. In addition, a list of any building components that would reasonably be expected to contain paint that have not been tested, and the reason that such building component has not been tested, must be included in the exemption application submission, along with a sketch or sketches of the rooms tested that is consistent with the XRF report of testing locations.
(c) For any surface within a dwelling unit or dwelling or common area where encapsulation or containment has been applied to a surface for the purpose of qualifying such dwelling unit or dwelling or common area for a lead safe exemption under this section, in addition to the information required to be provided to the department pursuant to subdivision (d) of this section, such application shall include: the location of each surface that has been encapsulated or contained; the name of the encapsulant that has been used, which adheres to the standards for encapsulants issued by the American Society for Testing and Materials (ASTM International) or is approved by the New York state department of health or by another federal or state agency or jurisdiction which the department has designated as acceptable; and a statement by the person who applied such encapsulant, who shall be certified to perform abatement pursuant to 40 C.F.R. part 745 or successor provisions, that it has been applied in accordance with the manufacturer's instructions. The surfaces to which such encapsulants are applied or on which containments are used shall be subject to periodic monitoring by the owner for a period of 20 years or the life of the surface or component, whichever is longer, to ensure that they remain undamaged and intact, provided further, that the owner of such dwelling unit or dwelling shall submit to the department and comply with a plan for periodic monitoring of such encapsulated or contained surfaces in accordance with Chapters 12 and 13 of the department of housing and urban development's Guidelines for Evaluation and Control of Lead-Based Paint Hazards in Housing (2012), and shall keep records of monitoring of such encapsulated and contained surfaces for a period of at least ten years which shall be produced by the owner upon request by the department.
(d) In addition to the information required by subdivision (c) of this section, where applicable, an application for a lead free or lead safe exemption shall include: the address of the multiple dwelling; the number of units; the dates, if known, when substantial alterations, where applicable, were made to the dwelling unit(s) and a description of the work performed; the date of the inspection resulting in the determination that the dwelling unit or multiple dwelling, common area or other part thereof is lead free or lead safe; and a copy of the inspection report. Such inspection report shall contain a description of the surfaces tested and the results of such testing. Such application shall also include a copy of the certificate of training of the person who performed such testing. The department may also require additional information and affidavits to be submitted with the application for exemption as provided in such application form.
(e) (1) Upon submission of a complete application for exemption to the department, such multiple dwelling or common area or other part thereof, or dwelling unit, the department shall review such application and notify the applicant whether the multiple dwelling, or common area or other part thereof, or dwelling unit, has been granted a lead safe or lead free exemption from application of the presumption established under Article 14 of the Housing Maintenance Code and 28 RCNY § 11-07.
(2) (i) The department may revoke a lead safe exemption granted pursuant to this section where the department determines, after inspection, that a surface in any dwelling unit for which lead-based paint was contained or to which an encapsulant was applied is no longer intact or sealed.
(ii) The department may revoke a lead safe or lead free exemption upon failure by an owner to provide records related to encapsulation or containment monitoring as requested by the Department.
(3) The department shall revoke a lead safe or lead free exemption upon the:
(i) issuance of a denial of a rebuttal of a lead-based paint violation based upon the presumption of lead paint for such dwelling unit filed pursuant to subdivision a of § 27-2056.5 where the department finds that lead-based paint was present on a surface that was subject to such exemption,
(ii) issuance of a lead-based paint violation based upon testing by the department for such dwelling unit,
(iii) issuance of an order to abate lead-based paint hazards or unsafe lead-based paint by the department of health and mental hygiene,
(iv) issuance of a denial of an objection to such a commissioner's order to abate filed pursuant to 24 RCNY Health Code § 173.13, or
(v) issuance of a determination that the exemption was based upon fraud, mistake, or misrepresentation.
(4) For exemptions that were approved prior to December 1, 2021 pursuant to the definition of lead-based paint in paragraph (a) of subdivision (7) of § 27-2056.2 of Article 14 of the Housing Maintenance Code and subdivision (t)(1) of 28 RCNY § 11-01, a lead free or lead safe exemption shall be deemed revoked upon the turnover of a dwelling unit on or after December 1, 2021. Owners may continue to submit applications for exemptions using such definition of lead-based paint, provided that (i) the testing for lead-based paint was conducted prior to December 1, 2021, (ii) the complete application for exemption is submitted to the department on or before March 1, 2022 and (iii) there was or will be no turnover of the unit between December 1, 2021 and March 1, 2022. Exemptions that are granted using such definition of lead-based paint shall be deemed revoked upon the turnover of a dwelling unit after December 1, 2021.
(5) The department shall provide written notification to the owner upon making a determination to revoke a lead safe or lead free exemption, and such multiple dwelling or part thereof, or dwelling unit shall be subject to all applicable provisions of Article 14 of the Housing Maintenance Code.
(6) Absent fraud, mistake or misrepresentation in the initial application, an owner may reapply for the lead safe exemption by showing that the surface for which the lead-based paint was no longer contained or encapsulated has been repaired and resealed, and that the surfaces found to test positive for the presence of lead based paint subsequent to revocation of the lead safe exemption no longer test positive for such paint, where applicable, or have been properly encapsulated or contained. Alternatively, such owner may submit an application for a lead free exemption. The application must include testing to show that the surfaces found to test positive for the presence of lead-based paint subsequent to revocation of the lead free exemption no longer test positive for lead-based paint.
(f) (1) On or after December 1, 2021, an owner who had received any exemption prior to such date must notify the department whenever an exempted unit becomes vacant. The exemption from the presumption for such vacant unit shall be deemed revoked on the date of the vacancy, regardless of whether an owner has failed to provide the required notification, and such unit shall be subject to all of the requirements of law relating to units that are not exempt from the presumption of lead-based paint. The owner of such unit may apply for a new exemption by submitting an application as provided in this section, and the testing required pursuant to this section shall be performed using the definition of lead-based paint in effect on and after December 1, 2021.
(2) An owner may also apply for a lead free or lead safe exemption on or after November 1, 2021, and the testing required pursuant to this section shall be performed using the definition of lead-based paint in paragraph (b) of subdivision (7) of § 27-2056.2 of Article 14 of the Housing Maintenance Code and paragraph (2) of subdivision (t) of 28 RCNY § 11-01.
(Amended City Record 11/8/2019, eff. 12/8/2019; amended City Record 10/13/2021, eff. 12/1/2021*)
* Editor's note: Section 4 of the 10/13/2021 rule provides: "This rule shall take effect on December 1, 2021, provided, however, that paragraph (2) of subdivision (f) of section 11-08 of chapter 11 of title 28 of the rules of the city of New York, as amended by section three of this rule, shall be deemed to have been in effect on November 1, 2021 for purposes of submission of exemption applications."
(a) A registered owner or registered officer or director of a corporate owner or registered managing agent must submit a certification of correction of a lead-based paint hazard violation issued pursuant to § 27-2056.6 or § 27-2056.6.1 of Article 14 of the Housing Maintenance Code and these rules within five (5) days of the date set for correction in the notice of violation. Such certification must be made in writing, under oath by the registered owner, a registered officer or director of a corporate owner or by the registered managing agent and must include the following:
(1) the date that the violation was corrected, and a statement that the violation was corrected in compliance with Article 14 of the Housing Maintenance Code and 28 RCNY § 11-06;
(2) the results of laboratory tests performed by an independent laboratory certified by the state of New York for lead-contaminated dust clearance tests performed pursuant to § 27-2056.11(b) and (d) of the Housing Maintenance Code and 28 RCNY § 11-06(g)(1)(ix)(C) and (D);
(3) a copy of the certificate of training required pursuant to 28 RCNY § 11-06(b)(2)(iii) qualifying the person who performed the lead-contaminated dust clearance testing; and
(4) a sworn statement by the person or firm who performed the work necessary to correct the violation that such work was performed in accordance with the applicable provisions of § 27-2056.11 of Article 14 of the Housing Maintenance Code and the applicable provisions of 28 RCNY § 11-06; and
(5) a copy of the certification by the United States environmental protection agency of the firm that performed the work as required pursuant to 28 RCNY § 11-06(b)(2)(i).
(b) Certification of a lead-based paint hazard violation issued pursuant to § 27-2056.6 or § 27-2056.6.1 shall be rejected by the department unless the results of the laboratory tests for the required lead-contaminated dust clearance tests are submitted with the certification, and such laboratory test results comply with the standards specified in 28 RCNY § 11-06(g)(1)(ix)(D).
(c) Failure to file a certification of correction of such violation shall establish a prima facie case that such violation has not been corrected.
(Amended City Record 2/14/2025, eff. 3/16/2025)
(a) An owner may apply to the department in writing for postponement of the time to correct a lead-based paint hazard violation issued pursuant to § 27-2056.6 or § 27-2056.6.1 of Article 14 of the Housing Maintenance Code within the five days preceding the date set for correction of such violation pursuant to § 27-2115(l)(1).
(b) Grant of a postponement shall be in the sole discretion of the department, and will be limited to circumstances where a showing has been made by the owner, to the satisfaction of the department, that such owner has taken steps to correct the violation promptly but that full correction could not be completed expeditiously because of the existence of a serious technical difficulty, inability to obtain necessary materials, funds or labor, or inability to gain access to the dwelling unit or other area of the building necessary to make the required repair. An application for postponement shall contain a detailed statement by the registered owner or agent, or registered managing agent, explaining the steps taken to correct the violation promptly and the specific circumstances surrounding the inability to fully correct the violation within the time set for correction of the violation. Where an owner claims inability to gain access, such application shall include a description of the steps taken to gain access, including but not limited to providing a written notice to the tenant, delivered by certified or registered mail, informing the tenant of the necessity of access to the dwelling unit to correct the violation and the reason why access could not be gained.
(c) 1) The department shall make a determination in writing whether the postponement shall be granted or denied, and the reasons therefor. The department may include such other conditions as are deemed necessary to insure correction of the violation within the time set by the postponement. If the postponement is granted, a new date for correction shall be set, which shall not exceed fourteen days from the date set for correction in the notice of violation, provided, however, that the department may grant an additional postponement of fourteen days where the department determines that the conditions which is the subject of the violation has been stabilized.
(2) The department may grant a postponement of the time to correct a lead-based paint hazard violation in excess of the twenty-eight days provided for in paragraph (1) of this subdivision, where the department determines that the work to be done to remediate the violation includes one or more substantial capital improvements to be made in conjunction with such work, and that such improvements will significantly reduce the presence of lead-based paint in such multiple dwelling or dwelling unit, provided that the paint which is the subject of the violation is stabilized. An owner who applies for such longer postponement shall submit an application within the time period specified in subdivision (a) of this section, and shall include with such application such documentation as the department may require to make its determination, which may include, but is not limited to, written contracts for work, building permits, plans filed with the department of buildings; invoices for materials purchased; and evidence that work has commenced and substantial progress has been made.
(Amended City Record 2/14/2025, eff. 3/16/2025)
(a) Upon the issuance of a commissioner's order to abate by the commissioner of the department of health and mental hygiene pursuant to 24 RCNY Health Code § 173.13, the department shall require that an owner submit to it all records required to be kept by such owner pursuant to Article 14 of the Housing Maintenance Code and these rules. If such order to abate has been issued, such records shall be submitted to the department within 45 days of written demand for such records by the department. In all other cases, the time period for submission shall be stated in writing to the owner, and shall be in the discretion of the department, but shall be no less than 45 days.
(b) The department may undertake any inspection and enforcement actions it deems necessary under applicable law and these rules based upon its review of the records submitted by an owner pursuant to subdivision (a) of this section, or where an owner refuses or fails to produce any of the required records as required by these rules or pursuant to any proper order.
(Amended City Record 11/8/2019, eff. 12/8/2019)
(a) Upon the issuance by the department of a demand for records to determine compliance with the requirements of Article 14 of the Housing Maintenance Code, the department may require that an owner submit to it records required to be kept by such owner pursuant to Article 14 of the Housing Maintenance Code and these rules. The department may make such demands and perform such audits at any time, and, in addition, shall perform such audits for a minimum of 200 buildings each fiscal year. Such records must be submitted to the department within 45 days of written demand for such records by the department, or within such other time period not less than 45 days as shall be stated in writing to the owner, in the discretion of the department.
(b) The department may select the buildings required to be audited each fiscal year pursuant to subdivision (a) of this section using the following criteria, which shall include, but need not be limited to:
(1) buildings with peeling lead-based paint violations issued pursuant to § 27-2056.6 of the Administrative Code as a result of a positive XRF test;
(2) buildings with violations that have been issued for other indicators of deteriorated subsurfaces including, but not limited to, mold and leaks; and
(3) buildings with violations that have been issued pursuant to § 27-2056.8.
The buildings selected may be subject to further selection criteria including building size, date of issuance of violations, percentage of units with housing maintenance code violations, and location. Further, in selecting buildings for audit from those buildings with violations identified within this subdivision, the department may consider the number of such violations and data on the prevalence of elevated blood lead levels in certain geographic areas identified by the department of health and mental hygiene.
(c) The department may undertake an inspection, and any enforcement action authorized by law, where an owner refuses or fails to produce the records required by the department pursuant to its audit demand or pursuant to any other proper order.
(d) Documentation Required under Records Audits and other Demands for Records. The documents that may be required to be submitted to the department for each year for any audit as specified by the department or pursuant to a demand for records issued for a violation of §§ 27-2056.6, 27-2056.6.1, 27-2056.8 or any other applicable provision of Article 14 of the Housing Maintenance Code are set forth in subdivisions (e) through (i) of this section. The department may make available on its website the forms or affidavits required for such submissions. If a new owner has acquired the building within the required audit period, and the documentation required to be kept was not provided to the new owner by the previous owner, the new owner must provide the required documentation for the actual years of ownership and an additional affidavit of missing records for the remaining period of time covering the audit period, accompanied by a copy of the deed of ownership.
(e) Audit or Demand for Records of Annual Notice Distribution and Investigation. Pursuant to subdivision (d) of this section, the owner must provide:
(1) Proof of delivery to the occupant of each dwelling unit of the annual notice required to be provided by 28 RCNY § 11-03(b), including:
(i) An affidavit of Delivery/Email/Mail from the owner providing the following information: Complete owner’s name, address, contact information, and date of the affidavit; name of the owner’s representative who performed the delivery/mailing/emailing on behalf of the owner of the annual notice required to be provided by 28 RCNY § 11-03(b); and a sample copy of such annual notice in English and Spanish that was delivered/mailed/ emailed to occupants of the owner’s building;
(ii) A complete list of recipient dwelling units with the building address, each dwelling unit number and the date of delivery to each dwelling unit or the date of the email/mail notice sent to each dwelling unit; and
(iii) Whenever applicable, a complete list of any dwelling units and common areas in the building for which there is a lead exemption obtained from the department that is in effect during the audit period; and a complete list of owner/shareholder-occupied cooperative or condominium dwelling units during the audit period, where the owner was not required to provide such annual notice to such owner/shareholder. Any such lists must be signed by the owner.
(2) Annual notice response received from the occupant of each dwelling unit, including:
(i) A list of the dwelling units that received the annual notice required to be provided by 28 RCNY § 11-03(b), with an indication of whether each dwelling unit responded and, if so, the substance of such response, including whether a child under six resides in such dwelling unit, based on either the occupant’s verbal or written response or the owner’s inspection/knowledge;
(ii) Copies of the completed and returned annual notices, where received. Such annual notice must have the building address, dwelling unit number, and occupant’s name, signature and date, where received; and
(iii) For those dwelling units that did not respond to such annual notice, the date when access was attempted to confirm whether a child under six resides in such therein or an indication that the owner had knowledge of a dwelling unit in which a child under six resides; and proof of providing written notice by certified or registered mail or by first class mail with proof of mailing of the need to access the unit; and a copy of the notice sent by the owner to the department of health and mental hygiene regarding failure to access any particular dwelling unit.
(3) Annual investigation reports conducted pursuant to responses by occupants to annual notices required to be provided by 28 RCNY § 11-03(b), including:
(i) An affidavit stating that access was gained to conduct the visual inspection of the dwelling unit, that the inspection was conducted, the person who conducted such inspection, the date of inspection, and the dwelling unit number; and
(ii) For dwelling units that were inspected, the owner must provide copies of the inspection report including a statement of whether there was or was not peeling paint on all visually inspected components or similar documentation. The owner may use a sample form made available by the department for documentation of owner investigations, or a substantially similar form containing the same information to provide a report of surface-by-surface, individual paint-containing building component investigation, including walls, chewable surfaces, deteriorated subsurfaces, friction surfaces and impact surfaces in every room, including interiors of closets and cabinets;
(iv) If access was not gained to a dwelling unit, an affidavit stating the dates that an attempt was made to gain access, including the date the owner provided written notice of the need for access by certified or registered mail or by first class mail with proof of mailing. For such units, the owner must also provide copies of the written notice to the occupant informing the occupant of the need to access the unit or similar documentation and a record regarding access attempts and the reasons for failure of access as set forth in subdivision (b) of 28 RCNY § 11-04.
(f) Audit or Demand for Records of Work Performed to Correct Lead Based Paint Hazard Violations. For currently open and uncertified violations in the period, the owner must submit:
(1) An affidavit AF-5;
(2) An affidavit made by an EPA-certified abatement firm’s authorized agent or individual who performed the work to correct the lead-based paint hazard violation(s) stating that the work was performed in accordance with § 27-2056.11 of Article 14 of the Housing Maintenance Code and 28 RCNY § 11-06; the start and completion date of the work; and the address and contact information (phone or fax) for the EPA-certified abatement firm that completed the work;
(3) A copy of the EPA certification for the EPA-certified abatement firm that performed the work to correct the lead-based paint hazard violation(s);
(4) A copy of the State-certified laboratory analysis of all surface dust samples taken which indicates the method of preparation and analysis of the samples;
(5) An affidavit from the individual who took the surface dust sample, verifying the date the sample was taken and indicating the address and dwelling unit where the sample was taken; and
(6) A copy of the Certificate of Training of the individual who took surface dust samples that is valid for the period when the dust samples were taken.
(g) Audit or Demand for Records of Non-violation Work that Disturbed Lead Based Paint or Paint of Unknown Lead Content. Upon a request by the department pursuant to subdivision (b) of this section, an owner must submit an affidavit that no non-violation work on such painted surfaces in apartments with children under six at the time of the repair was completed in the audit request period, or submit the following documents:
(1) Records for all non-violation work that disturbed lead-based paint or paint of unknown lead content on a surface greater than two square feet per room, in a dwelling unit where a child under six years of age resides, or in the common areas of the building, including documentation of the work practices used. Such records shall include:
(i) All documentation required under 28 RCNY § 11-06(c);
(ii) A copy of all licenses and training certificates, required for the firms and personnel who performed the work;
(iii) An affidavit made by an EPA-certified abatement or EPA-certified renovation firm’s authorized agent or individual who performed the work stating that the work was performed in accordance with § 27-2056.11 of Article 14 of the Housing Maintenance Code and 28 RCNY § 11-06, including the start and completion date of the work, and the address and contact information (phone or fax) for such firm;
(iv) A copy of the certification for such firm;
(v) The location of the work performed in each room, including a description of such work or invoices for payment for such work;
(vi) A copy of the State-certified laboratory analysis of all surface dust samples taken which indicates the method of preparation and analysis of the samples;
(vii) An affidavit from the individual who took the surface dust samples, verifying the date the sample was taken and indicating the address/dwelling unit where the sample was taken;
(viii) A copy of the Certificate of Training of the individual who took surface dust samples that is valid for the period when the dust samples were taken; and
(ix) Checklists completed when and/if occupants were allowed temporary access to a work area.
(2) In addition to the documents required to be submitted by paragraph (1) of this subdivision, if the work that was performed disturbed greater than 100 square feet of lead based paint or paint of unknown lead content in a room in a dwelling unit where a child under age six resides, or involved the removal of two or more windows with lead based paint or paint of unknown lead content in such unit, the department may require the submission of the following additional documentation: A copy of the owner’s notice of commencement of work that was filed with the department of health and mental hygiene. Such notice must be signed by the owner or by a representative of the firm performing the work. Such notice must include: the name, address and telephone number of the owner of the premises in which the lead-based paint work is to be performed; the address of the building and the specific location of the lead-based paint work within the building; the name, address and telephone number of the EPA-certified abatement firm that will be responsible for performing the work; the date and time of commencement of the work, working or shift hours, and the expected date of completion; a complete description and identification of the surfaces and structures, and surface areas, subject to the work; and any changes in the information contained in such notice filed with the department of health and mental hygiene prior to commencement of work, or if work has already commenced, within 24 hours of any such change.
(h) Audit or Demand for Records of Work Performed at Turnover of any Dwelling Unit or Prior to Turnover in Dwelling Units Occupied by a Child of Applicable Age. Upon an audit of turnover of a dwelling unit, the owner must provide:
(1) An affidavit listing any dwelling units that have turned over in the audit period, which must include the dates that the dwelling unit was vacated and reoccupied; and
(2) (i) Where no work was necessary to comply with the requirements for turnover of any dwelling unit: An affidavit stating that the dwelling unit: (A) has a lead free exemption from HPD; (B) has no painted friction surfaces and the floor, window sills and window wells are smooth and cleanable such that no turnover work or clearance activity was required; or (C) was XRF tested by a EPA-certified risk assessor or lead inspector and no painted surfaces tested positive for lead-based paint, with a copy of the results of the XRF test and an affidavit from the risk assessor or lead inspector; or
(ii) Where work was necessary to comply with the requirements for turnover of the dwelling unit:
(A) The name, address, and telephone number of the EPA-certified abatement or EPA-certified renovation firm that performed the work;
(B) A copy of all licenses and training certificates required for the firms and personnel who performed work;
(C) A sworn statement made by the EPA-certified abatement firm’s or EPA-certified renovation firm’s authorized agent or individual who performed the work on behalf of such firm stating that the work was performed in accordance with § 27-2056.11(a)(3) of Article 14 of the Housing Maintenance Code and 28 RCNY § 11-06, and the start and completion date of the work;
(D) A copy of the certification for such firm;
(E) The location of the work performed in each room, including a description of such work and components or parts of the dwelling unit that were replaced, or the invoices for payment for such work;
(F) A copy of the State-certified laboratory analysis of all surface dust samples taken which indicates the method of preparation and analysis of the samples;
(G) An affidavit from the individual who took the surface dust sample, verifying the date that the sample was taken and stating the address and dwelling unit where the sample was taken;
(H) A copy of the Certificate of Training of the individual who took surface dust samples that is valid for the period when the dust samples were taken; and
(1) Identification of each dwelling unit and common area that was investigated;
(2) Whether a child of applicable age resided in the dwelling unit and, if so, the date such child first came to reside in such unit;
(3) Date of the investigation;
(4) Documentation identifying the firm and individuals who performed the investigation pursuant to Administrative Code § 27-2056.4(a-1), including copies of certifications of such firm and individuals pursuant to section 745.226 of title 40 of the code of federal regulations;
(6) Identification of any dwelling units in the building that have been granted an exemption by the department pursuant to 28 RCNY § 11-08.
(j) Dismissal of Record Keeping Violations. Notwithstanding any other provision of law, a violation issued to an owner of a multiple dwelling pursuant to § 27-2056.4, § 27-2056.7, or § 27-2056.17 of the Administrative Code, which require keeping or producing records for 10 years, shall be dismissed as having been corrected if the owner submits:
(1) a record production order dismissal request form for such violation with the required consecutive10 years of records, including records for the year in which the owner is submitting the dismissal request; or
(2) the appropriate violation dismissal request form for such violation with documentation demonstrating that the owner has kept the required records for a period of at least 3 consecutive years, including such records for the year in which the owner is submitting the dismissal request, and upon notification from the department that such submitted documentation is sufficient, a payment of $1,000 for each year of the 10 years that the owner does not submit documentation.
(Added City Record 11/8/2019, eff. 12/8/2019; amended City Record 9/8/2020, eff. 10/8/2020; amended City Record 1/11/2021, eff. 2/10/2021; amended City Record 2/14/2025, eff. 3/16/2025)
Where the department has issued a violation pursuant to Article 14 of the Housing Maintenance Code for a dwelling unit in a multiple dwelling where (i) title to such multiple dwelling is held by a cooperative housing corporation or such dwelling unit is owned as a condominium unit, and (ii) such dwelling unit is occupied by the shareholder of record on the proprietary lease for such dwelling unit or the owner of record of such condominium unit, as is applicable, or the shareholder's or record owner's family, the cooperative housing corporation or the condominium board of managers may apply to the department to have such violation reissued. Such application shall include a sworn affidavit from a representative of the cooperative housing corporation or condominium board of managers attesting to the status of such multiple dwelling as either a cooperative or condominium, and a sworn affidavit from the shareholder of record on the proprietary lease of the unit or the owner of record of the condominium unit for which the violation was issued, attesting to his or her occupancy of the unit.
(Renumbered City Record 11/8/2019, eff. 12/8/2019)
Appendix A: Lease/Commencement of Occupancy Notice for Prevention of Lead Based Paint Hazards – Inquiry Regarding Child
You are required by law to inform the owner if a child under six years of age resides or will reside in the dwelling unit (apartment) for which you are signing this lease/commencing occupancy. Beginning on January 1, 2020, the term "resides" means that a child under six routinely spends 10 or more hours per week in the dwelling unit. If such a child resides or will reside in the unit, the owner of the building is required to perform an annual visual inspection of the unit to determine the presence of lead-based paint hazards. IT IS IMPORTANT THAT YOU RETURN THIS FORM TO THE OWNER OR MANAGING AGENT OF YOUR BUILDING TO PROTECT THE HEALTH OF YOUR CHILD. If you do not respond to this notice, the owner is required to attempt to inspect your apartment to determine if a child under six years of age resides there.
If a child under six years of age does not reside in the unit now, but does come to reside in it at any time during the year, you must inform the owner in writing immediately. If a child under six years of age resides in the unit, you should also inform the owner immediately at the address below if you notice any peeling paint or deteriorated subsurfaces in the unit during the year.
Whether or not a child under age six will reside in the apartment, the owner of the building is also required to fix all lead-based paint hazards and underlying defects that may cause paint to peel, make floors, window sills and window wells smooth and cleanable, remove or cover all lead-based paint on friction surfaces of doors and door frames, and remove or cover all lead-based paint on friction surfaces of windows or install window channels or slides. This work should be performed before you move into the apartment, and the owner must properly clean the apartment after the work is completed.
Please complete this form and return one copy to the owner or his or her agent or representative when you sign the lease/commence occupancy of the unit. Keep one copy of this form for your records. You should also receive a copy of a pamphlet developed by the New York City Department of Health explaining about lead based paint hazards when you sign your lease/commence occupancy.
CHECK ONE: ____ A child under six years of age resides in the unit
____ A child under seven years of age does not reside in the unit
________________________________
(Occupant signature)
(Occupant signature)
Print occupant's name, address and apartment number:
________________________________________
________________________________________
(NOT APPLICABLE TO RENEWAL LEASE) Certification by owner: I certify that I have complied with the provisions of § 27-2056.8 of Article 14 of the Housing Maintenance Code and the rules promulgated thereunder relating to duties to be performed in vacant units, and that I have provided a copy of the New York City Department of Health and Mental Hygiene pamphlet concerning lead-based paint hazards to the occupant.
________________________________
(Owner signature)
(Owner signature)
RETURN THIS FORM TO:
Owner representative name: _________________________________
Address: _________________________________________________
OCCUPANT: KEEP ONE COPY FOR YOUR RECORDS
OWNER COPY/OCCUPANT COPY
Apendice A: Contrato/Comienzo De Ocupacion Y Medidas De Precaucion Con Los Peligros De Plomo En La Pintura – Encuesta Respecto Al Niño
Usted esta requerido por ley informarle al dueño si un niño menor de seis años de edad está viviendo o vivirá con usted en la unidad de vivienda (apartamento) para la cual usted va a firmar un contrato de ocupación. A partir del 1 de enero de 2020, el término "residir" significa que un niño menor de seis años pasa 10 horas o más por semana en la unidad de vivienda. Si tal niño empieza a residir en la unidad, el dueño del edificio esta requerido hacer una inspeción visual anualmente de la unidad para determinar la presencia peligrosa de plomo en la pintura. POR ESO ES IMPORTANTE QUE USTED LE DEVEUELVA ESTE AVISO AL DUEÑO O AGENTE AUTORIZADO DEL EDIFICIO PARA PROTEGER LA SALUD DE SU NIÑO. Si usted no informa al dueño, el dueño esta requerido inspeccionar su apartamento para descubrir si un niño menor de seis años de edad está viviendo en el apartamento.
Si un niño de seis años de edad no vive en la unidad ahora, pero viene a vivir en cualquier tiempo durante el año, usted debe de informarle al dueño por escrito inmediatamente a la dirección proveída abajo. Usted también debe de informarle al dueño por escrito si un niño menor de seis años de edad vive en la unidad y si usted observa que durante el año la pintura se deteriora o está por pelarse sobre la superficie de la unidad.
Más allá de que un niño menor de seis años resida o no en el apartamento, el dueño del edificio también debe reparar todos los peligros de pintura a base de plomo y todos los defectos subyacentes que puedan causar que la pintura se descascare, debe hacer que los pisos, los alféizares y huecos de las ventanas sean lisos y de fácil limpieza, debe quitar o cubrir toda la pintura a base de plomo en las superficies de puertas y marcos de puertas en las que haya fricción, y debe quitar o cubrir toda la pintura a base de plomo en las superficies de ventanas en las que haya fricción o instalar perfiles para ventanas o ventanas deslizantes. Este trabajo debe hacerse antes de mudarse al apartamento, y el dueño debe limpiar correctamente el apartamento una vez que se haya completado el trabajo.
Por favor de llenar este formulario y devolver una copia al dueño del edificio o al agente o representante cuando usted firme el contrato o empiece a ocupar la unidad. Mantenga una copia de este formulario para sus archivos. Al firmar su contrato de ocupación usted recibirá un panfleto hecho por el Departamento de Salud y Salud Mental de la Ciudad de Nueva York, explicando el peligro de plomo en pintura.
MARQUE UNO: ____ Vive un niño menor de seis años de edad en la unidad.
____ No vive un niño menor de seis años de edad en la unidad.
________________________________
(Firma del inquilino)
(Firma del inquilino)
Nombre del inquilino, Dirección, Apartamento:
________________________________________
________________________________________
(Esto no es aplicable para un renovamiento del contrato de alquiler.) Certificación de dueño: Yo certifico que he cumplido con la provisión de § 27-2056.8 del Artículo 14 del código y reglas de Vivienda y Mantenimiento (Housing Maintenance Code) relacionado con mis obligaciones sobre las unidades vacante, y yo le he dado al ocupante una copia del panfleto del Departamento de Salud y Salud Mental de la Ciudad de Nueva York sobre el peligro de plomo en pintura.
________________________________
((Firma del dueño)
((Firma del dueño)
DEVUELVA ESTE FORMULARIO A:
Nombre del representate del propietario: ________________________
Dirección: _________________________________________________
INQUILINO: MANTENGA UNA COPIA PARA LOS ARCHIVOS
COPIA DEL DUEÑO/COPIA DEL INQUILINO
(Amended City Record 11/8/2019, eff. 12/8/2019)
Appendix B: Annual Notice for Prevention of Lead Based Paint Hazards – Inquiry Regarding Child
You are required by law to inform the owner if a child under six years of age resides or will reside in your dwelling unit (apartment). Beginning on January 1, 2020, the term "resides" means that a child under six routinely spends 10 or more hours per week in the dwelling unit. If such a child resides or will reside in the unit, the owner of the building is required to perform an annual visual inspection of the unit to determine the presence of lead-based paint hazards. IT IS IMPORTANT THAT YOU RETURN THIS FORM TO THE OWNER OR MANAGING AGENT OF YOUR BUILDING TO PROTECT THE HEALTH OF YOUR CHILD. If you do not respond to this notice, the owner is required to attempt to inspect your apartment to determine if a child under six years of age resides there.
If a child under six years of age does not reside in the unit now, but does come to reside in it at any time during the year, you must inform the owner in writing immediately. If a child under six years of age resides in the unit you should also inform the owner immediately if you notice any peeling paint or deteriorated surfaces in the unit during the year. You may request that the owner provide you with a copy of any records required to be kept as a result of a visual inspection of your unit.
Please complete this form and return one copy to the owner or his or her agent or representative by February 15th. Keep one copy of this form for your records.
CHECK ONE: ____ A child under six years of age resides in the unit
____ A child under six years of age does not reside in the unit
________________________________
(Occupant signature)
(Occupant signature)
Print occupant's name, address and apartment number:
________________________________________
________________________________________
RETURN THIS FORM TO:
Owner representative name: _________________________________
Address: _________________________________________________
OCCUPANT: KEEP ONE COPY FOR YOUR RECORDS
OWNER COPY/OCCUPANT COPY
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