§ 11-09 Certification of Correction of Lead-Based Paint Hazard Violation.

(a) Filing procedures. Not less than ten days prior to commencement of work that will disturb lead-based paint pursuant to § 27-2056.11(a)(2)(ii) of Article 14 of the Housing Maintenance Code, an owner shall file with the department of health and mental hygiene a notice of the commencement of the work. Such notice shall be signed by the owner or by a representative of the firm performing the work. Where work is required to be commenced in a lesser period of time than that specified herein for the filing of a notice of commencement of work, then such filing shall be made as soon as practicable but prior to the commencement of work. Such notice shall be in a form satisfactory to or prescribed by the department of health and mental hygiene and shall set forth at a minimum the following information:

(1) The name, address and telephone number of the owner of the premises in which the lead-based paint work is to be performed;

(2) The address of the building and the specific location of the lead-based paint work within the building;

(3) The name, address and telephone number of the firm who will be responsible for performing the work;

(4) The date and time of commencement of the work, working or shift hours, and the expected date of completion;

(5) A complete description and identification of the surfaces and structures, and surface areas, subject to the work; and

(6) Any changes in the information contained in the notice required by this section shall be 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.

(b) Licensing and training.

(1) Abatement. All work conducted as part of an abatement as defined in this chapter shall be performed by firms and personnel certified to perform lead-based paint activities in accordance with regulations issued by the United States environmental protection agency at subpart L of 40 C.F.R. Part 745 for the abatement of lead hazards, or successor rule.

(2) Work ordered by the department to correct a lead-based paint hazard violation in accordance with § 27-2056.11(a)(1) of Article 14 of the Housing Maintenance Code, or work performed pursuant to § 27-2056.11(a)(2)(ii) of Article 14 of the Housing Maintenance Code, shall be performed in accordance with the following requirements:

(i) Firm requirements. Firms conducting such work shall be certified to perform lead abatement by the United States environmental protection agency in accordance with subpart L of 40 C.F.R. Part 745 for the abatement of lead hazards, or successor rule.

(ii) Worker requirements. Workers conducting such work shall be trained, at a minimum, in accordance with the regulations issued by the United States department of housing and urban development at 24 C.F.R. § 35.1330(a)(4), or successor rule, or under an equivalent program approved by the department or the department of health and mental hygiene.

(iii) Clearance dust testing. No person shall perform a lead-contaminated dust clearance test pursuant to this section unless such person is a third party, who is independent of the owner and any individual or firm that performs such work. All personnel performing lead-contaminated dust clearance testing after completion of such work shall be trained, at a minimum, in accordance with regulations issued by the United States department of housing and urban development at 24 C.F.R. § 35.1340(b)(1), or successor rule, or under an equivalent program approved by the department or the department of health and mental hygiene.

(3) Work performed in accordance with § 27-2056.11(a)(2)(i) of Article 14 of the Housing Maintenance Code, shall be performed in accordance with the following requirements:

(i) Worker requirements. Workers conducting such work shall be trained under regulations issued by the United States department of housing and urban development at 24 C.F.R. § 35.1330(a)(4), or successor rule, or under an equivalent program approved by the department or the department of health and mental hygiene.

(ii) Clearance dust testing. No person shall perform a lead-contaminated dust clearance test pursuant to this section unless such person is a third party, who is independent of the owner and any individual or firm that performs such work. Personnel performing lead-contaminated dust clearance testing after completion of such work shall be trained in accordance with regulations issued by the department of housing and urban development at 24 C.F.R. § 35.1340(b)(1), or successor rule, or under an equivalent program approved by the department or the department of health and mental hygiene.

(4) Work performed in a dwelling unit upon turnover in accordance with § 27-2056.8 of Article 14 of the Housing Maintenance Code. No person shall perform a lead-contaminated dust clearance test pursuant to this paragraph unless such person is a third party, who is independent of the owner and any individual or firm that performs the work upon turnover. Personnel performing lead-contaminated dust clearance testing after completion of such work shall be trained in accordance with regulations issued by the department of housing and urban development at 24 C.F.R. § 35.1340(b)(1), or successor rule, or under an equivalent program approved by the department or the department of health and mental hygiene.

(c) Recordkeeping. An owner shall keep a record of the following information for all work performed pursuant to this section:

(1) The name, address, and telephone number of the person or entity who performed the work; the start date and completion date for the work;

(2) A copy of all licenses and training certificates, required pursuant to subdivision (b) of this section, for the firms and personnel who performed work and lead-contaminated dust clearance testing;

(3) The location of the work performed in each room including a description of such work and invoices for payment for such work;

(4) Results of lead-contaminated dust clearance tests analyzed by an independent laboratory certified by the state of New York;

(5) Checklists completed pursuant to (g)(1)(ix)(F)(f) when occupants are allowed temporary access to a work area; and

(6) Such records shall be maintained by such owner for a period of ten years from the date of completion of such work or transferred to a subsequent owner and maintained by such subsequent owner during such time period, and made available to the department upon request.

(d) Work methods.

(1) Minimizing dust dispersion. Work that disturbs lead-based paint as defined in this chapter shall be carried out in such a manner as to minimize the penetration or dispersal of lead contaminants or lead-contaminated materials from the work area to other areas of the dwelling unit and building or adjacent outdoor areas.

(2) An area designated as a clean changing area shall be segregated from the work area by a physical barrier to prevent the penetration or dispersal of lead contaminants or lead-contaminated materials from the work area to other areas of the dwelling unit and building and to prevent occupant exposure to materials containing lead.

(3) Repair of lead-based paint hazard violations may be performed by wet sanding, wet scraping, removal, enclosure, encapsulation, replacement or abatement except where otherwise specified in Article 14 of the Housing Maintenance Code or these rules.

(e) Prohibited methods. The following methods shall not be used while performing work in accordance with these rules that disturbs lead-based paint or paint of unknown lead content:

(1) Open flame burning or torching.

(2) Machine sanding or grinding without HEPA local exhaust control.

(3) Abrasive blasting or sandblasting without HEPA local exhaust control.

(4) Heat guns operating above 1,100 degrees Fahrenheit or charring the paint.

(5) Dry sanding or dry scraping.

(6) Paint stripping in a poorly ventilated space using a volatile stripper that is a hazardous substance in accordance with regulations of the United States consumer product safety commission at 16 C.F.R. § 1500.3, and/or a hazardous chemical in accordance with the United States occupational safety and health administration regulations at 29 C.F.R. §§ 1910.1200 or 1926.59, as applicable to the work.

(f) Work practices and surface finishing.

(1) All tools and materials used when disturbing paint shall be used in accordance with the manufacturer's instructions.

(2) Wet sanding, wet scraping, removal, enclosure, encapsulation, replacement, abatement and other maintenance and repair activities shall be performed using standard construction and treatment methods, and in accordance with manufacturer's instructions, where applicable.

(3) All surfaces where paint has been disturbed shall be sealed and finished with appropriate materials. Underlying surface substrates shall be dry and protected from future moisture before applying a new protective coating or paint, and all paints and coatings shall be applied in accordance with the manufacturer's recommendations.

(g) Occupant protection.

(1) Work ordered by the Department to correct a lead-based paint hazard violation in accordance with § 27-2056.11(a)(1) of Article 14 of the Housing Maintenance Code, or work performed pursuant to § 27-2056.11(a)(2)(ii) of Article 14 of the Housing Maintenance Code.

(i) Postings. The following information shall be conspicuously posted no later than twenty-four hours prior to beginning work and shall remain in place until the work area has been cleared for re-occupancy:

(A) Notice of commencement of work information submitted to the department of health and mental hygiene pursuant to § 27-2056.11(a)(2)(ii) of Article 14 of the Housing Maintenance Code. Such information shall be posted at the entrance to the dwelling and at the entrance to the dwelling unit.

(B) A warning sign of at least 8 1/2" by 11" with letters at least one inch high, reading as follows: WARNING: LEAD WORK AREA – POISON – NO SMOKING OR EATING. Such information shall be posted adjacent to the work area.

(iii) Sealing vents. Forced-air systems within the room where work that disturbs lead-based paint is occurring shall be turned off and covered with two layers of six-mil polyethylene sheeting and waterproof tape to prevent lead contamination and lead dispersal to other areas.

(iv) Affixing doorway entrance flap. After all moveable objects have been removed, the work area shall be sealed off from non-work areas by taping with waterproof tape, two layers of disposable, six-mil polyethylene sheeting over every entrance or doorway to the work area, as follows: To deter the dispersal of lead dust one sheet shall be taped along all sides of the doorway and a slit shall be cut down the middle of the sheeting, leaving intact at least six inches of sheeting on the top and six inches of sheeting on the bottom of the doorway. A second sheet of polyethylene large enough to cover the doorway, shall be attached to the top of the doorway in the room or area where work is being conducted and shall act as a flap opening into the work area.

(v) Covering floors. The floor of the work area shall be covered with at least two sheets of disposable six-mil polyethylene sheeting. Such sheeting shall be taped together with waterproof tape, and taped to the bottom of the walls or baseboard, so as to form a continuous barrier to the penetration of dust to the floor. The furniture and non-moveable furnishings, such as counters, cabinets, and radiators in the work area shall be removed or covered with such taped sheeting.

(vi) Sealing openings. All openings, including windows, except those required to be open for ventilation, not sealed off or covered in accordance with subdivision (g)(1)(iii) of the section, shall be sealed with two layers of six-mil polyethylene sheeting and waterproof tape to prevent the penetration or dispersal of lead contaminants or lead-contaminated material.

(vii) Instructing occupants. Occupants shall be instructed by the owner and contractor to avoid entering the work area until final clearance levels have been achieved.

(viii) Hazardous materials. All paints, thinners, solvents, chemical strippers or other flammable materials shall be delivered to the building and maintained during the course of the work in their original containers bearing the manufacturer's labels, and all material safety data sheets, as may be required by law, shall be on-site and shall be made available upon request to the occupants of the dwelling unit.

(ix) Clean-up and lead-contaminated dust clearance testing procedures.

(A) Daily clean-up. At the completion of work each day, the work area shall be thoroughly wet-mopped or HEPA-vacuumed. No polyethylene sheeting, drop cloths, or other materials that are potentially hazardous to young children or infants shall be accessible outside the work area. In addition, any work area and other adjoining area exposed to lead or lead-contaminated materials shall be cleaned as follows:

(a) Large debris. Large demolition-type debris (e.g., door, windows, trim) shall be wrapped in six-mil polyethylene, sealed with waterproof tape, and moved to the area designated for trash storage on the property to be properly disposed of in a lawful manner.

(b) Small debris. Small debris shall be HEPA-vacuumed or wet swept and collected. Before wet sweeping occurs, the affected surfaces shall be sprayed with a fine mist of water to keep surface dust from becoming airborne. Dry sweeping is prohibited. The swept debris and all disposable clothing and equipment shall be placed in double four-mil or single six-mil plastic bags which shall be sealed and stored with other contaminated debris in the work area and shall be properly disposed of in a lawful manner.

(c) Clean-up adjacent to the work area. On a daily basis, as well as during final clean-up, the area adjacent and exterior to the work area shall be examined visually to ensure that no lead debris has escaped containment. Any such debris shall be wet swept and HEPA-vacuumed, collected and disposed of as described above.

(d) Supply storage. Upon finishing work for the day, all rags, cloths and other supplies used in conjunction with chemical strippers or other flammable materials, or materials contaminated with lead dust or paint shall be stored at the end of each work day in sealed containers or removed from the premises, in a lawful manner.

(B) Final clean-up. Final cleaning shall be performed as follows, in the following sequence:

(a) The final cleaning process shall start no sooner than one (1) hour after lead-based paint disturbance activities have been completed, but before repainting, if necessary.

(b) First, all polyethylene sheeting shall be sprayed with water mist and swept prior to removal. Polyethylene sheeting shall be removed by starting with upper-level polyethylene, such as that on windows, cabinets and counters, folding the corners, ends to the middle, and placing in double four-mil or single six-mil plastic bags. Plastic bags shall be sealed and properly disposed of in a lawful manner.

(c) Second, all surfaces in the work area shall be HEPA-vacuumed. Vacuuming shall begin with ceilings and proceed down the walls to the floors and include furniture and carpets.

(d) Third, all surfaces in the work area shall be washed with a detergent solution. Washing shall begin with the ceiling and proceed down the walls to the floor. Wash water shall be properly disposed of in a lawful manner.

(e) Fourth, all surfaces exposed to lead dust generated by the lead-based paint disturbance process shall be HEPA-vacuumed again. Vacuuming shall begin with ceilings and proceed down the walls to the floors and include furniture and carpets.

(f) Fifth, all surfaces shall be inspected to ensure that all surfaces have been cleaned and all visible dust and debris have been removed. If all visible dust and debris have not been removed, affected surfaces shall be re-cleaned.

(C) Final inspection. After final clean-up, and re-painting if necessary, has been completed, a final inspection shall be made by a third party retained by the owner who is independent of the owner and the contractor. The final clearance evaluation shall include a visual inspection and lead-contaminated dust clearance testing. Three wipe samples shall be collected and tested from each room or area where work has been conducted; one wipe sample contaminated dust clearance samples shall be collected and tested from the floor in rooms or areas immediately adjacent to the work area.

(D) Clearance for re-occupancy.

(a) Lead-contaminated dust levels in excess of the following constitute contamination and require repetition of the clean-up and testing process in all areas where such levels are found. Areas where every lead-contaminated dust sample result is below the following levels may be cleared for re-occupancy:

Floors:	10 micrograms of lead per square foot.
Window Sills:	50 micrograms of lead per square foot.
Window Wells:	100 micrograms of lead per square foot.

(b) Only upon receipt of laboratory test results showing that the above dust lead levels are not exceeded in the dwelling may the work area be cleared for permanent re-occupancy. However, temporary access to work areas may be allowed, provided that clean-up is completed and dust test samples have been collected in compliance with this section. The owner shall provide all lead-contaminated dust clearance test results to the occupants of the dwelling or dwelling unit.

(c) On and after June 1, 2021, lead contaminated dust levels in excess of the following constitute contamination and require repetition of the clean-up and testing process in all areas where such levels are found, unless the board of health adopts more stringent standards in accordance with local law:

Floors:	5 micrograms of lead per square foot.
Window Sills:	40 micrograms of lead per square foot.
Window Wells:	100 micrograms of lead per square foot.

(E) Relocation.

(a) An owner must request that an occupant temporarily relocate from a unit pending completion of work where it appears that work cannot be performed safely with occupants in residence. Such owner must offer a suitable, decent, safe and similarly accessible dwelling unit that does not have lead-based paint hazards to such occupants for temporary relocation. Unreasonable refusal by such occupants to relocate pursuant to such offer shall constitute a refusal of access under Housing Maintenance Code §§ 27-2009 and 27-2056.4(b), and, where applicable, 9 NYCRR § 2524.3(e). Relocation shall not be required provided that work can be done safely with occupants in residence, and provided further that at the end of each day of work, the work area is properly cleaned as specified in subdivision (g)(1)(ix)(A) of this section; occupants have safe access to areas adequate for sleeping; occupants have bathroom and kitchen facilities available to them; occupants have safe access to entry/egress pathways; and the work does not create other safety hazards (e.g., exposed electrical wiring or holes in the floor).

(b) Where compliance with § 27-2056.8 of the Administrative Code would necessitate that an occupant of a dwelling unit where a child under age six resides temporarily relocate from the dwelling unit in accordance with the safe work practices in this section, and the occupant of such dwelling unit refuses to relocate, the owner shall be exempt from such compliance with § 27-2056.8 upon approval by the department of documentation demonstrating the owner’s good faith effort to perform the required work and to show the occupant’s refusal to relocate. Such exemption shall remain in effect until the dwelling unit is vacated by the previous occupant and turned over to a new occupant. Upon approval of such exemption, the department shall dismiss any violation of § 27-2056.8 which was the basis for the owner’s request for the exemption, or which was issued after the exemption was granted and prior to the dwelling being turned over to a new occupant.

(c) An owner must submit the following documentation to apply for an exemption from compliance with § 27-2056.8: (1) a copy of the notice to the tenant explaining the scope of work required to be done, the reasons that temporary relocation is necessary, and an offer of a suitable, decent, safe and similarly accessible dwelling unit; (2) a document detailing the scope of all work required to be done in the dwelling unit to comply with the requirements of § 27-2056.8; (3) the reasons that the work cannot be done without the occupant temporarily relocating from the dwelling unit, including, but not limited to, why the owner cannot provide safe temporary access to the work area as required under clause F of subparagraph ix of paragraph I of subdivision g of 28 RCNY § 11-06; (4) the offer of a suitable, decent, safe and similarly accessible dwelling unit that the owner conveyed to the occupant for temporary relocation; and (5) a document, signed by the occupant, refusing to temporarily relocate from the unit so that the work described in the scope of work can be performed, or, if the tenant has refused to relocate and has refused to sign such document, an affidavit from the owner regarding such occupant’s refusal, including the date and time of the owner’s good faith effort to contact the occupant.

(F) Temporary access to the work area when occupants not relocated. When occupants are not relocated, temporary access may be allowed to areas in which work is in progress after work has ceased for the day, provided that at the end of each work day:

(a) Any work area to be accessed is properly cleaned as specified in the daily clean-up requirements of subdivision (g)(1)(ix)(B)(b) through (d) and (f);

(b) There are no safety hazards (including, but not limited to, exposed electric wiring or holes in the floor) or covered vents;

(d) Floors in the work area are re-covered with a non-skid floor covering securely taped to the floor;

(e) Work areas are prepared in accordance with the requirements above when work recommences; and

(f) At the end of each workday, and before access is permitted, a checklist indicating compliance with these conditions is completed and signed by the person responsible for overseeing the work. No person shall make a false, untrue or misleading statement or forge the signature of another person on any document or record required to be prepared pursuant to these rules.

(g) Temporary access in accordance with these provisions may be allowed for no longer than five days. If work has not resumed within five days, temporary access may continue only if the person responsible for overseeing the work has repeated the actions required by clauses (a) through (f) of this subparagraph (F).

Nothing herein shall extend the time for compliance with any violation issued pursuant to Article 14 of the Housing Maintenance Code.

(2) Work performed in accordance with § 27-2056.11(a)(2)(i) of Article 14 of the Housing Maintenance Code that disturbs lead-based paint.

(i) Postings. A warning sign shall be posted in accordance with subdivision (g)(1)(i)(B) of this section and caution tape shall be placed across the entrance to the work area.

(ii) Pre-cleaning and protecting moveable items. All floors, moveable furniture, draperies, carpets, or other objects in the work area shall be HEPA-vacuumed or washed; all moveable items shall then be moved out of the work area or otherwise covered with polyethylene plastic or equivalent sheeting. All plastic or equivalent sheeting used during the performance of the work shall be of sufficient thickness and durability to prevent tearing during the performance of the work. Such sheeting shall be of sufficient length and width to prevent dust and other debris generated by the work from spreading to areas unprotected by such sheeting. Such sheeting must be adequately secured to prevent movement of the sheeting during the performance of the work.

(iii) Covering floors. The floor of the work area shall be covered with polyethylene plastic or equivalent sheeting. All plastic or equivalent sheeting used during the performance of the work shall be of sufficient thickness and durability to prevent tearing during the performance of the work. Such sheeting shall be of sufficient length and width to prevent dust and other debris generated by the work from spreading to areas unprotected by such sheeting. Such sheeting must be adequately secured to prevent movement of the sheeting during the performance of the work. Multiple layers of polyethylene sheeting shall be used as needed to prevent dust from contaminating the floor.

(iv) Sealing openings. Where applicable, forced air systems in the work area shall be turned off and any openings in the work area shall be sealed with polyethylene or equivalent sheeting to prevent the penetration or dispersal of lead contaminants or lead-contaminated material.

(v) Instructing occupants. Occupants shall be instructed by the owner and contractor to avoid entering the work area until final clean up has been completed.

(vi) Hazardous materials. All paints, thinners, solvents, chemical strippers or other flammable materials shall be delivered to the building and maintained during the course of the work in their original containers bearing the manufacturer's labels, and all material safety data sheets, as may be required by law, shall be on-site and shall be made available upon request to the occupants of the dwelling unit.

(vii) Clean-up and lead-contaminated dust clearance testing shall be conducted in accordance with subdivision (g)(1)(ix) of this section.

(viii) Relocation and temporary access to work areas when occupants are not relocated, where provided, shall be performed in accordance with (g)(1)(ix)(E) and (F) of this section.

(3) Work performed in a vacant dwelling unit on turnover in accordance with § 27-2056.8 of Article 14 of the Housing Maintenance Code.

(i) Preparation. The procedures described in subdivision (g)(2)(i) - (iv) of this section must be followed, unless the work is being performed during occupancy where a child under age six resides.

(ii) Clean-up. At the completion of work, the work area must be thoroughly wet-mopped or HEPA-vacuumed and a visual examination must be conducted in the work area and the area adjacent and exterior to the work area. Any noted lead-contaminated dust or debris must be wet-mopped or HPEA-vacuumed. All rags, cloths and other supplies used in conjunction with chemical strippers or other flammable materials, or materials contaminated with lead dust or paint must be stored at the end of each work day in sealed containers or removed from the premises, in a lawful manner.

(iii) Lead-contaminated dust clearance testing. Lead-contaminated dust clearance testing must be conducted in accordance with subdivision (g)(1)(ix)(C) - (D) of this section.

(Amended City Record 11/8/2019, eff. 12/8/2019; amended City Record 2/14/2025, eff. 3/16/2025)

§ 11-07 Presumption.

(a) In any multiple dwelling erected prior to January first, nineteen hundred sixty, it shall be presumed that the paint or other similar surface-coating material in any dwelling unit where a child of applicable age resides or in the common areas of such multiple dwelling is lead-based paint.

(b) For purposes of the definition of lead-based paint set forth in § 27-2056.2(7)(b) of Article 14 of the Housing Maintenance Code and subdivision (t)(2) of 28 RCNY § 11-01, if such paint or other similar surface-coating material in a multiple dwelling erected prior to January 1, 1960 where a child of applicable age resides or in the common areas of such multiple dwelling, has not been tested by an x-ray fluorescence analyzer (XRF) and measured to be negative for lead-based paint in accordance with the performance characteristic sheet (PCS), or has been tested by an XRF and such test result is inconclusive in accordance with such PCS, and a laboratory analysis of a paint chip sample has not been performed, such paint is lead-based paint.

(c) (1) The presumption established in this section may only be rebutted as provided in paragraph (2) of this subdivision by the registered owner, registered officer or director of a corporate owner or by a registered managing agent of such multiple dwelling by submitting to the department:

(i) a sworn written statement, supported by XRF lead-based paint testing results, including a description of the testing methodology and manufacturer and model of instrument used to perform such testing or laboratory tests of paint chip samples;

(ii) a sworn written statement by the person who performed the testing or paint chip sampling if performed by an employee or agent of the owner which shall include a copy of the certificate of training as a certified lead-based paint inspector or risk assessor as provided in subdivision (d) of this section;

(iii) a copy of the inspection report provided by the person who performed the testing or paint chip sampling which shall include a description of the surfaces in each room where such testing or paint chip sampling was performed; and

(iv) a copy of the results of such testing or such laboratory tests of paint chip samples performed by an independent laboratory certified by the state of New York where such paint chip sampling has been performed.

(2) Such written statement and all supporting documentation shall be submitted to the department not later than the date set for correction in the notice of violation in accordance with paragraph (1) of this subdivision, and may only be submitted to rebut the presumption where the department has not performed an XRF test prior to issuing such violation or where the department has performed an XRF test with a result classified as inconclusive for lead-based paint in accordance with the PCS.

(3) The department shall notify the registered owner, registered officer or director of a corporate owner or registered managing agent of such multiple dwelling of its determination in writing.

(d) Where x-ray fluorescence (XRF) testing or laboratory sampling is performed to rebut the presumption established in this section, the performance of such testing or sampling shall be 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. Laboratory analysis for paint chip samples shall be permitted only where XRF tests fall within the inconclusive zone for the particular XRF machine or where the configuration of the surface or component to be tested is such that an XRF machine cannot accurately measure the lead content of such surface or component. Laboratory tests of paint chip samples, where performed, shall be reported in mg/cm 2 , unless the surface area of a paint chip sample cannot be accurately measured, or if an accurately measured paint chip sample cannot be removed, in which circumstance the laboratory test may be reported in percent by weight as provided in such applicable lead-based paint definition. Where paint chip sampling has been performed, the sworn written statement by the person who performed the testing shall include a statement that such sampling was done in accordance with 40 C.F.R. § 745.227 or successor provisions.

(e) Testing performed to rebut the presumption may only be performed by a person who has been certified as a lead-based paint inspector or risk assessor in accordance with subparts L and Q of 40 C.F.R. Part 745 or successor provisions and such testing shall be performed in accordance with 40 C.F.R. § 745.227(a) and (b) or successor provisions.

(Amended City Record 11/8/2019, eff. 12/8/2019; amended City Record 10/13/2021, eff. 12/1/2021)

§ 11-08 Exemption from Presumption – Lead Free and Lead Safe.

(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."

§ 11-09 Certification of Correction of Lead-Based Paint Hazard Violation.

(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)

§ 11-10 Postponements.

(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)

§ 11-11 Audit and Inspection by the Department.

(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)

§ 11-12 Additional Audits and Demands for Records.

(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;

(iii) On and after August 1, 2025, records of any x-ray fluorescence analysis conducted pursuant to subdivision a-1 of § 27-2056.4 of the Administrative Code and subdivision (b) of 28 RCNY § 11-04; and

(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

(I) On and after August 1, 2025, records of any x-ray fluorescence analysis conducted pursuant to subdivision (a-1) of § 27-2056.4 of the Administrative Code and subdivision (b) of 28 RCNY § 11-04.

(i) Audit or Demand for Records of Investigation for the Presence of Lead-Based Paint pursuant to Administrative Code§ 27-2056.4(a-1). Upon an audit of the investigation required under administrative code § 27-2056.4(a-1), the owner must provide:

(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;

(5) Testing results from the investigation pursuant to Administrative Code § 27-2056.4(a-1) and 28 RCNY § 11-04(b); and

(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)

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