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§ 102-02 Compensation of Registered Design Professionals in Accordance With § 28-216.6 of the Administrative Code.
In accordance with the provisions of Administrative Code § 28-216.6, registered design professionals appointed by a recognized professional organization to act on any survey or appointed to resolve disagreement between surveyors shall each be paid the sum of one hundred dollars.
(a) Potentially compromised. For the purposes of this section, "potentially compromised" means a building or structure that:
(1) has had an open roof for sixty days or longer,
(2) has been shored and braced or repaired pursuant to an emergency declaration issued by the commissioner pursuant to Article 215 of Title 28 of the Administrative Code,
(3) has been subject to a precept as a compromised structure under Article 216 of Title 28 of the Administrative Code,
(4) may have suffered structural damage by fire or by partial collapse of floors, interior or exterior walls or other cause as determined by the commissioner.
(b) Inspections.
(1) Initial inspections. Beginning September 1, 2013, the owner of a building or structure that has become potentially compromised must have a structural condition inspection of such building or structure. The inspection must be performed by a registered design professional within sixty days from the date that the building or structure becomes potentially compromised. The design professional must file a report as described in subdivision d of this section with the department within thirty days after the date of the inspection.
(2) Periodic inspections. After the initial inspection and filing of the report, structural condition inspections must be performed and reports as described in subdivision d of this section must be filed annually, unless otherwise specified by the department. The periodic inspections must continue until a certification is filed with the department by the registered design professional stating that the building or structure is no longer potentially compromised and the department has audited the certification to ensure its accuracy.
(c) Notifications to the department.
(1) Department notification by owner. An owner of a building or structure must notify the department in writing that such building or structure has become potentially compromised immediately after such owner knows or should have known of the condition.
(2) Department notification by registered design professional. If a structural condition inspection reveals that there is an immediate risk to the public or property due to a violation of any applicable law or rule or any unsafe condition, the registered design professional must immediately notify the department and the owner by both calling 311 and in writing.
(d) Report. The registered design professional must sign, seal, and submit to the department the report of the inspection required by § 28-217.1 of the Administrative Code and subdivision b of this section. The registered design professional must also submit a filing fee as specified in 1 RCNY § 101-03, and must send a copy of the report to the owner. The report must include, but need not be limited to, the following information:
(1) the address of the property;
(2) the block and lot of the property;
(3) the owner's name and contact information, including an address for the receipt of notifications and service of process;
(4) the registered design professional's name and contact information, including an address for the receipt of notifications and service of process;
(5) the date of inspection or inspections;
(6) detailed description and location of the structural damage found;
(7) a comprehensive analysis of the structural condition of the building or structure as a result of the structural damage, based on probes and calculations;
(8) photographs of the condition;
(9) 8 1/2" × 11" sketches of the property showing its relationship to the adjacent properties;
(10) schematically sketched floor plans, sections and elevations of the building and adjacent buildings, roof to foundation, with notes relating to the existing description of the property;
(11) at least two different photographs of each of the following: street facades, side facades, rear facades, the roof and the condition of the interior of the property;
(12) a statement that the owner received the report;
(13) an estimate of how long the building will remain stable;
(14) a proposed schedule for monitoring and repairing the condition;
(15) 8 1/2" x 11" sketches showing the work required to stabilize the property, such as shoring and bracing and/or partial demolition; and
(16) any additional information requested by the commissioner.
(e) Final report. After the condition that caused the building or structure to be potentially compromised has been repaired, the registered design professional must submit to the department a signed and sealed report certifying that the building or structure is no longer potentially compromised.
(f) Civil penalties. In addition to any other penalties authorized by law, failure to file a report pursuant to the requirements of section 28-217.1 and this section will result in a civil penalty of $3,000 for each violation of such section, payable to the department.
(Amended City Record 7/5/2019, eff. 8/4/2019)
(a) Payment of civil penalty for work without a permit or violation of a stop work order. Except as otherwise provided in this section, payment of the civil penalty is required before:
(1) Issuance of a permit for work in a particular space when work was performed without a permit in such space and the penalty for such unpermitted work has not been paid.
(2) Renewal of a permit for work performed after the expiration of a permit when the penalty for such unpermitted work has not been paid.
(3) Acceptance of a certificate of correction for a violation issued for work without a permit, even if removal of such work occurred or is required and the removal does not require a permit.
(4) Rescission of a stop work order.
(b) Assessment of civil penalty for work without a permit. The civil penalty for work without a permit is assessed as follows:
(1) The civil penalty is based on occupancy status as shown on the Certificate of Occupancy or other Department records.
(2) Pursuant to § 28-213.1.1 of the Administrative Code, the penalty for work performed without a permit on a one-family or two-family dwelling (which includes inside a residential condominium or cooperative unit) is the greater of six times the amount of the current fee payable for the permit, but not more than $10,000, or $600. Where only part of the work has been performed without a permit, the Department will reduce the penalty proportionately according to the amount of work still to be performed at the time the Department issues a permit but not to an amount less than $600 or more than $10,000.
(3) Pursuant to § 28-213.1.2 of the Administrative Code, the penalty for work performed without a permit on a building other than a one-family or two-family dwelling (which includes work on any common area of a condominium or cooperative building) is the greater of twenty-one times the amount of the current fee payable for the permit, but not more than $15,000, or $6,000. Where only part of the work has been performed without a permit, the Department will reduce the penalty proportionately according to the amount of work still to be performed at the time the Department issues a permit but not to an amount less than $6,000 or more than $15,000.
(4) Expired permits or working without an after-hours variance. The penalty for work performed after the expiration of a permit for such work or for work performed after hours without a variance permit is $600 when such unpermitted work is performed on a one-family or two-family dwelling or $6,000 when such unpermitted work is performed on a building other than a one-family or two-family dwelling.
(5) Removal of illegal work. If work that was performed without a permit is removed, the penalty for the unpermitted work is $600 when performed on a one-family or two-family dwelling or $6,000 when performed on a building other than a one-family or two-family dwelling, even if the removal did not require a permit.
(6) Fee-exempt properties. When unpermitted work is performed on properties not subject to permit fees pursuant to § 28-112.1 of the Administrative Code, the penalty for such unpermitted work is $600 when performed on a one-family or two-family dwelling or $6,000 when performed on a building other than a one-family or two-family dwelling.
(7) Legalization of completed work. If work has been performed without a permit and an applicant seeks a permit for the unpermitted work before a notice of violation is issued, the penalty for such unpermitted work is $600 when performed on a one-family or two-family dwelling or $6,000 when performed on a building other than a one-family or two-family dwelling.
(8) Pursuant to § 28-213.6 of the Administrative Code, within one (1) year after the Department imposes a penalty for work without a permit against (i) a building or (ii) a part thereof (if the owner of such part is not the owner of the building), the civil penalty for any subsequent violation related to work without a permit on the building, or a part thereof, is two (2) times the penalty that would otherwise apply for such violation, not to exceed the maximum allowable penalty.
(c) Override of civil penalty for work without a permit. If an applicant has an outstanding violation for unpermitted work and seeks a permit for work in a space not related to the violation, the Department may issue a permit for work in the space not related to the violation. Any permit that is granted pursuant to this subdivision will not affect the outstanding violation or any civil penalty assessed for the unpermitted work.
(d) Waiver of civil penalty for work without a permit. Notwithstanding any penalty waiver, a permit must be obtained for the unpermitted work. The Department may waive a civil penalty for work without a permit in the following instances:
(1) Where an owner is a subsequent bona fide purchaser and the previous owner performed the unpermitted work, whether or not the subsequent bona fide purchaser received notice of the violation. The Department requires the following supporting documentation:
(i) Copy of the deed;
(ii) Notarized affidavit stating that there is no relationship between the previous owner and the subsequent bona fide purchaser. If the subsequent bona fide purchaser is an entity, the affidavit must be on the entity's letterhead and signed by the owner or an officer of the entity. The affidavit must include:
(A) The name of the subsequent bona fide purchaser;
(B) The location of the property;
(C) A statement that the subsequent bona fide purchaser did not receive the property as a gift;
(D) A statement that the subsequent bona fide purchaser had no interest or relationship with the prior owner at the time of purchase; and
(E) A statement that the subsequent bona fide purchaser is not acting in any way for the benefit of the prior owner.
(2) Where a violation for working without a permit has been dismissed.
(3) Where the Department of Housing Preservation and Development (HPD) or another agency performed emergency work as directed by the Commissioner pursuant to § 28-215.1 of the Administrative Code or where HPD or another agency performed work on unsafe buildings in accordance with § 28-216.8 of the Administrative Code.
(4) Where emergency work is performed without a permit, except for emergency work described in paragraph (3) of this subdivision, and an application for the work is filed with the Department within two business days after commencement of the work.
(5) Where a fence, scaffold or other temporary construction equipment, excluding sidewalk sheds, was installed with a valid permit and the permit has expired.
(6) Where a permit (other than for temporary construction equipment) expired and no work was performed after the permit's expiration.
(7) Where the city, state, or federal government or other government entity or public authority owns the property where the unpermitted work occurred.
(8) Where HPD third-party transfers occur after a court issues a foreclosure judgment allowing the City to transfer title of the foreclosed property to a new owner. The new owner must provide a letter from HPD stating that a third-party transfer occurred and that the Department must waive any penalties accrued before the closing date of the transfer.
(9) Multiple violations. Upon payment of the civil penalty and acceptance of a Certificate of Correction for unpermitted work for which multiple notices of violation have been issued, any outstanding civil penalties for the same unpermitted work at the same location will be waived.
(10) Where an owner of a business that employs fewer than one hundred employees (small business) has been issued a violation for unpermitted work and all of the following conditions are met:
(i) The violation for which the waiver is requested was not issued for a sidewalk shed installed without a permit or a sidewalk shed installed with a valid permit and the permit has expired;
(ii) The applicant demonstrates, in a form and manner determined by the Department, that the individual or entity requesting the waiver is the owner of the small business;
(iii) The business provides goods or services onsite;
(iv) The work without a permit violation was issued on or after November 20, 2022;
(v) The applicant demonstrates, in a form and manner determined the by the Department, that the space in which the unpermitted work was performed is occupied exclusively by the small business;
(vi) A small business waiver was not previously granted to the small business owner for unpermitted work performed on behalf of or for the benefit of such business; and
(vii) The sole or primary purpose of the business is not filing representative or expeditor services, real estate, real estate development, property management, construction or other related services as determined by the Department.
(e) Waiver of civil penalty for failure to comply with a stop work order. The Department may waive a civil penalty for failure to comply with a stop work order in the following instances:
(1) Where the Commissioner determines that a stop work order has not been violated.
(2) Where a violation for failure to comply with a stop work order has been dismissed.
(f) Request for override, reduction, or waiver of a civil penalty.
(1) Any request for an override, reduction or waiver of a civil penalty must be in writing in a form and manner determined by the Department. In addition, the applicant must submit any supporting documentation required by the Department or by paragraph (5) of this subdivision.
(2) The Department will review the application and issue a determination.
(3) An applicant may appeal the determination to the Commissioner of the borough (Borough Commissioner) in which the property is located or such Commissioner's designee.
(4) An applicant may appeal the Borough Commissioner's or his or her designee's determination by submitting it to the Borough Commissioner's office, where it will be forwarded to the Department's Associate Commissioner for Borough Operations or to the Associate Commissioner's designee. These final appeals must be submitted within 30 days from the date of the Borough Commissioner's or his or her designee's determination.
(5) Burden of proof and acceptable forms of supporting documentation.
(i) The burden of proof is on the applicant to show that a civil penalty should be overridden, reduced, or waived.
(ii) Supporting documentation for a request for an override of a penalty must consist of the following:
(A) A copy of approved plans;
(B) A completed job application; and
(C) A copy of the relevant violation and a dated color photograph of the area of the work at issue showing the current work area is unrelated to the violation;
(iii) Supporting documentation for a request for a reduction in a penalty must consist of:
(A) Affidavits from contractors or building supply warehouses concerning the unpermitted work at issue;
(B) A copy of the violation(s); and
(C) Any other documents required by the Commissioner.
(iv) Supporting documentation for a request for a waiver of the penalty must consist of a copy of the relevant violation and the following documents:
(A) For emergency work performed without a permit, a copy of the work application filed within two business days after commencement of the unpermitted emergency work;
(B) For a violation that has been dismissed, proof of dismissal;
(C) For subsequent bona fide purchasers claiming that unpermitted work was performed by a previous owner, the documents required as stated in subdivision (d) of this section; and
(D) Any other documents required by the Commissioner.
(v) Effect of inconsistent or incomplete documentation. If the information provided in the request for an override, reduction or waiver of a civil penalty or supporting documentation contradicts the description of work completed as stated on the violation, or if the request or supporting documentation is incomplete, the request for an override, reduction or waiver of the penalty may be denied.
(vi) The Commissioner may reject incomplete or illegible documents. The Commissioner reserves the right to audit all submissions.
(g) Refunds. If the civil penalty for performing unpermitted work is paid and the underlying violation is subsequently dismissed for any reason, the applicant will be eligible for a refund of the civil penalty payment upon submitting proof of dismissal and payment of the violation.
(Amended City Record 1/16/2019, eff. 2/15/2019; amended City Record 2/3/2021, eff. 3/5/2021; amended City Record 10/21/2022, eff. 11/20/2022; amended City Record 7/27/2023, eff. 8/26/2023; amended City Record 9/26/2024, eff. 10/26/2024)
(a) Penalty amount. Pursuant to § 28-219.1 of the Administrative Code, and in addition to any penalties otherwise authorized by Article 202 of Chapter 2 of Title 28 of the Administrative Code and the rules of the department, whenever any person fails to submit certification of correction of an immediately hazardous violation that was issued at a construction site and poses a threat of imminent danger to public safety or property, a penalty of $5,000 shall be paid to the department.
Exception: This penalty does not apply to one- to four-family dwellings.
(b) Issuance of permits or certificates of occupancy; rescission of stop work order; approval of Certificates of Correction. No permit or certificate of occupancy shall be issued, no stop work order may be rescinded, nor shall any Certificate of Correction for the immediately hazardous violation giving rise to the civil penalty be approved at the property until such penalty is paid to the department. Failure to pay such penalty shall not prevent the issuance of a permit for work to be performed pursuant to Articles 215 or 216 of Chapter 2 of Title 28 of the Administrative Code.
(c) Process.
(1) Where the department determines that a Certificate of Correction of the underlying immediately hazardous violation that is returnable to the Environmental Control Board / Office of Administrative Trials and Hearings (ECB / OATH) has not been submitted as provided in § 28-219.1 of the Administrative Code, the department will send a notice of the civil penalty pursuant to this section to the owner of the property at which the immediately hazardous violation occurred and, if the owner is not the respondent named in the notice of violation for the underlying immediately hazardous violation, to such respondent. The notice will indicate the manner in which a challenge to the penalty may be made in accordance with this subdivision and that the penalty will be imposed unless the department receives such a challenge within 30 days after the date of such notice. The notice will include the bases on which such a challenge may be made. The department will send the notice by regular mail.
(2) A challenge to the penalty may be made by the owner and/or the respondent named in the ECB / OATH notice of violation for the immediately hazardous violation. Such challenge must be made in a form and manner as set forth on the web site of the department.
(3) The basis for such a challenge must be one of the following:
(i) the immediately hazardous ECB / OATH violation was dismissed,
(ii) the immediately hazardous ECB / OATH violation was downgraded to a major or lesser violation,
(iii) an acceptable Certificate of Correction for the immediately hazardous violation was submitted to the department within 30 days after the date of the notice sent pursuant to paragraph (1) of this subdivision; or
(iv) the immediately hazardous violation was issued on or after May 15, 2022 at a construction site for a one- to four-family dwelling.
(4) The department will review any documents or evidence submitted by the person challenging the penalty and will mail or email notice of its determination to such person. If the challenge is denied, the penalty amount will be imposed 10 days after the date of such notice. The determination shall be the final determination of the department for purposes of review pursuant to article 78 of the civil practice law and rules.
(Added City Record 9/3/2020, eff. 10/3/2020; amended City Record 11/18/2024, eff. 12/18/2024)
Owners of one- and two-family homes who have not received any prior violations at the property will have an opportunity to correct certain violating conditions prior to receiving a notice of violation and associated penalties.
(a) Applicability. The homeowner resolution program applies to owners of existing one- and two-family homes, whether or not they occupy those homes, where prior Department notices of violations returnable to the Environmental Control Board / Office of Administrative Trials and Hearings (ECB / OATH) have not been issued at the property within the past five years, whether or not the current owner owned the property during those five years.
(b) Eligible violations. This program covers violations classified as Class 1, Class 2 or Class 3 in subdivision (k) of 1 RCNY § 102-01. Multiple violating conditions observed on the same date are considered as one request for corrective action. Any repeated instance of the same violating condition is ineligible for this program and will result in the issuance of a notice of violation.
Exceptions. This section does not apply to Class 1 violations for illegal conversions as described in § 28-210.1 of the Administrative Code, Class 1 violations that result in the issuance of a Stop Work Order or a Vacate Order and Class 1 violations that lead to death or serious injury.
(c) Request for corrective action. Where a violating condition is observed at a property that is part of this program, the commissioner will issue a request for corrective action, giving the owner 60 days to correct the condition. In order to resolve a request for corrective action, the owner must correct the condition and submit acceptable proof of correction to the Department within such 60 days. The Department may perform an inspection upon receiving such proof of correction in order to verify that such conditions have been corrected.
(d) Failure to correct condition. At the expiration of the 60-day correction grace period, a notice of violation returnable to ECB / OATH based on the conditions observed and documented on the request for corrective action will be issued to the owner for each condition for which correction has not been verified as described in subdivision (c).
(e) Fee. The owner will be charged a fee for any reinspection made necessary by a failure to respond to a request for corrective action, as provided in 1 RCNY § 101-03.
(f) Removal from program. An owner who receives a notice of violation returnable to ECB / OATH after failing to correct the violating condition within the provided timeframe in the request for corrective action is no longer eligible for this program. The violating condition must still be corrected and any applicable penalty associated with any such notice of violation issued must be paid.
(Added City Record 7/14/2021, eff. 8/13/2021; amended City Record 11/18/2024, eff. 12/18/2024)
Subchapter C: Maintenance of Buildings
(a) Scope. This rule implements Article 303 of Title 28 of the New York City Administrative Code ("Administrative Code") by specifying the low pressure boiler annual inspection requirements, the processes through which the department shall regulate the filings of low pressure boiler annual inspection reports and shall issue penalties and waivers for failure to file and/or late filing, and the penalties for failure to file and/or untimely filing of a written notice of removal or disconnection of a low pressure boiler.
(b) References. See §§ 28-201.2.2, 28-202.1 and Article 303 of Title 28 of the Administrative Code and 1 RCNY § 101-07.
(c) Definitions. For the purposes of this section, the following terms shall have the following meanings:
(1) Filing deadline. For the low pressure boiler annual inspection report or any part of that report, fourteen (14) days from the inspection date.
(2) First test. An inspection of a newly installed or replaced boiler required for the department to approve its use and operation.
(3) Inspection cycle. January 1st through December 31st of the calendar year for which the report is being submitted. Annual inspections must be at least six (6) months apart.
(4) Late filing. An inspection report or any part of that report filed after the fourteen (14) day filing deadline but in no event later than January 14th of the calendar year immediately following the inspection cycle.
(5) Owner. Any person, agent, firm, partnership, corporation or other legal entity having a legal or equitable interest in, or control of, the premises and/or boiler.
(6) Qualified boiler inspector. A qualified boiler inspector as defined in 1 RCNY § 101-07.
(7) Removal or disconnection. Removal or discontinuance, pursuant to § 28-303.9 of the Administrative Code.
(8) Small business. A business that employs fewer than one hundred persons and provides goods or services onsite.
(9) Waiver. Removal of the obligation to pay a penalty associated with a violation. A waiver does not result in dismissal of the violation.
(d) Inspection and report filing. The owner shall be responsible for hiring a qualified boiler inspector to conduct inspections and file low pressure boiler annual inspection reports pursuant to Article 303 of Title 28 of the Administrative Code and in accordance with the following provisions:
(1) Low pressure boiler annual inspection reports must be submitted for each inspection cycle on such forms and in such manner as required by the department. The report must include:
(i) An inspection report for each boiler identifying the qualified boiler inspector or inspection agency;
(ii) An affirmation of correction that identified defects that have been corrected, if applicable; and
(iii) The filing fee as provided in subdivision (h).
(2) If an inspection reveals any dangerous condition in a boiler that threatens life or safety and that requires an immediate shut down of the boiler, the inspector must immediately notify the department's boiler division of the condition via email at the address provided on the department's website, www.nyc.gov/buildings. Notification of an unregistered boiler must be made by filing a report electronically in a form and manner required by the department.
(3) The filing is deemed accepted upon payment of the fee(s) and any civil penalties due. If the payment is not honored, the filing will be deemed invalid and the owner may receive a violation for failure to file and be subject to all applicable penalties as set forth in subdivision (f).
(e) Acceptance of filings. Inspection reports filed after the fourteen (14) day filing deadline but on or before January 14th of the calendar year immediately following the inspection cycle will be considered late filings and will be subject to the appropriate civil penalties as set forth in subdivision (f) of this section. Reports filed after such late filing period will be considered expired. In such cases, owners will be subject to the appropriate civil penalties for failure to file an inspection report, as set forth in subdivision (f) of this section, and the department will require a new inspection to be performed for the current inspection cycle and a new report filed in accordance with this section.
(f) Civil penalties, low pressure boiler annual inspection report and affirmation of correction.
(1) Failure to file. An owner who fails to file the low pressure boiler annual inspection report or any part thereof for each boiler, pursuant to Article 303 of Title 28 of the Administrative Code and this section, shall be liable for a civil penalty of not less than one thousand dollars ($1,000.00) per boiler. A low pressure boiler annual inspection report not filed within the late filing period shall be deemed expired and shall not be accepted by the department.
(2) Late filing. An owner who submits a late filing, but who provides proof that the inspection took place within the inspection cycle for which the report was due, shall be liable for a civil penalty of not less than fifty dollars ($50.00) per month, per boiler, commencing on the day following the filing deadline and ending on the date of submission of a complete report, including a late filing of the affirmation of correction. The total penalty shall not exceed six hundred dollars ($600.00) per boiler. For the purposes of this paragraph, "proof" shall mean a copy of the filed inspection report from the qualified boiler inspector who conducted the inspection indicating that the inspection was completed within the inspection cycle for which the report was due.
(3) Failure to file the affirmation of correction. An owner who fails to correct the defects within the applicable time after the inspection and to file the affirmation of correction by the date the affirmation was due, stating that all defects found during the inspection have been corrected pursuant to § 28-303.5 of the Administrative Code shall be liable for a civil penalty of one thousand dollars ($1,000.00) per boiler.
(4) Challenge of civil penalty. An owner may challenge the imposition of any civil penalty authorized to be imposed pursuant to this subdivision by providing written proof of a timely and complete inspection and filing to the department. Challenges shall be made in writing within thirty (30) days from the date of service of the violation by the department and sent to the office/unit of the department that issued the violation. The decision to dismiss or uphold the penalty shall be at the sole discretion of the department. Examples of such proof shall include, but are not limited to, the following:
(i) A copy of the boiler inspection report for the inspection performed during the applicable inspection cycle and a copy of the front and back of the canceled check or money order to the department for the boiler inspection report fee or proof of electronic payment of such fee; or
(ii) The department-assigned transmittal number for the electronic disk filing report or DOB NOW tracking number.
(5) Extension of the filing deadline. An owner may request an extension of the filing deadline in order to correct low pressure boiler defects and file an affirmation of correction stating that identified defects have been corrected in accordance with Article 303 of Title 28 of the Administrative Code, by submitting proof that the request is based on extraordinary circumstances and/or that the delay in correction is beyond the owner's control, not including financial or administrative hardship. The request shall be made prior to the expiration of the filing deadline, submitted with the filing fee and shall be made on such forms and in such manner as required by the commissioner.
(6) Waiver of penalties. An owner may request a waiver of penalties assessed for violation of Article 303 of Title 28 of the Administrative Code and/or related rules enforced by the department. Requests shall be made in writing and submitted with the filing fee.
(i) Owner status.
(A) New owner. A new owner may be granted a waiver of penalties contingent upon the department's acceptance of the owner's proof that transfer of ownership to the new owner occurred after penalties were incurred. Proof includes a recorded deed evidencing transfer of ownership to the current owner after penalties were incurred, as well as any other documentation requested by the Department.
(B) Government ownership. An owner may be granted a waiver of penalties upon submission of official documentation from a government entity affirming that the premises was owned in its entirety by the entity during the period for which a waiver is requested.
(C) Bankruptcy. An owner may be granted a waiver of penalties upon submission of a copy of a bankruptcy petition and a decision from the bankruptcy court.
(D) Small business. An owner of a small business may be granted a one-time waiver of the civil penalty for a violation issued for failure to file an annual boiler inspection report where all of the following conditions are met:
1. The applicant demonstrates, in a form and manner determined by the Department, that the individual or entity requesting the waiver is the owner of the small business;
2. The failure to file for which the violation was issued occurred on or after November 20, 2022;
3. The applicant demonstrates, in a form and manner determined by the Department, that the owner of the small business owns or has responsibility for the boiler and such boiler exclusively serves the space occupied by the small business;
4. A small business waiver was not previously granted to the small business owner for any boiler at the subject building that is owned by the small business or for which the small business is responsible;
5. A small business waiver was not previously granted to any small business for the boiler for which the waiver is being requested; and
6. The sole or primary purpose of the business is not filing representative or expeditor services, real estate, real estate development, property management, construction or other related services as determined by the Department.
(ii) Device status. An owner may be granted a waiver of penalties contingent upon the department's acceptance of proof of the following:
(A) Removed or disconnected. That the low pressure boiler was removed from the building or disconnected prior to the inspection cycle for which the report was due. In the event that proof of removal or disconnection has not yet been entered into the department's database at the time of the request for a waiver, the owner shall submit to the department a copy of the submission for removal or disconnection of the boiler.
(B) New or replaced. That the first test was performed during the inspection cycle for which the report was due.
(C) Work in progress. That there is work in progress for the replacement or installation of a new boiler or burner or a major renovation requiring that the boiler or burner be deactivated during the work. For the purposes of this subparagraph, "proof" means the filing of a boiler application including a projected date of completion of work. Upon completion of such work, a new inspection and test report must be filed in accordance with this section.
(iii) Building status. An owner may be granted a waiver of penalties contingent upon the department's confirmation of the following:
(A) Demolished. That the full demolition of the building occurred prior to the inspection cycle for which the report was due and that such demolition was signed off by the department or that a new building permit has been issued for the property.
(B) Sealed or vacated. That the building was ordered to be sealed or vacated by a government agency (e.g. Department of Buildings, Department of Housing Preservation and Development, Fire Department of New York or Office of Emergency Management) or by court order prior to the expiration of the inspection cycle for which the report was due.
(g) Civil penalties, written notice of removal or disconnection of a low pressure boiler. Failure to file a written notice of removal or disconnection with the filing fee in accordance with § 28-303.9 of the Administrative Code, or filing such notice more than thirty (30) days after the date of the removal or disconnection of a low pressure boiler shall be deemed a lesser violation and shall subject the owner to penalties as set forth in this subdivision.
(1) Failure to file. An owner who fails to file such notice by thirty (30) days after the end of the inspection cycle shall be liable for a civil penalty of not less than one thousand dollars ($1,000) per boiler.
(2) Untimely filing. An owner who files such notice more than thirty (30) days after the date of removal or disconnection, but by thirty (30) days after the end of the inspection cycle may submit an untimely filing and shall be liable for a civil penalty of not less than fifty dollars ($50.00) per month, per boiler, commencing on the day following the date the notice was due and ending on the date of submission of the notice. The total penalty shall not exceed five hundred dollars ($500.00) per boiler.
(3) Challenge of civil penalty. An owner may challenge the imposition of any civil penalty authorized to be imposed pursuant to this subdivision by providing proof of a timely filing to the department. Challenges shall be made in writing within thirty (30) days from the date of service of the violation by the department and sent to the office/unit of the department that issued the violation. The decision to dismiss or uphold the penalty shall be at the sole discretion of the department. An example of such proof shall include, but is not limited to, the following: a stamped and dated copy of the submission for removal or disconnection of the boiler filed with the department, which may be supported by a copy of the front and back of a canceled check(s) to the department for the filing fee or proof of electronic payment of such fee.
(h) Fees. Fees for filings related to boilers shall be as set forth in 1 RCNY § 101-03.
(Amended City Record 12/16/2021, eff. 1/15/2022; amended City Record 10/21/2022, eff. 11/20/2022; amended City Record 9/26/2024, eff. 10/26/2024)
(a) Scope. This rule implements Article 304 of Title 28 of the New York City Administrative Code ("Administrative Code") by specifying the periodic elevator inspection and testing requirements to be conducted by an approved elevator agency on behalf of the owner and the processes through which the department shall regulate the filings of elevator inspection and test reports and elevator affirmations of correction and issue penalties and waivers for failure to file and/or late and untimely filing.
(b) References. See Sections 28-201.2.2, 28-202.1 and Article 304 of Title 28 of the Administrative Code.
(c) Definitions. For the purposes of this rule, the following terms shall have the following meanings:
(1) Approved elevator agency. An elevator agency as defined in § 28-401.3 of the Administrative Code, including its directors and insp© who are licensed pursuant to Articles 421 and 422 of Title 28 of the Administrative Code.
(2) Certificate of compliance. A certificate issued by the department authorizing the operation of an elevator following the satisfactory report of an inspection and test.
(3) Elevator. For the purposes of this rule, such term shall include elevators, escalators, moving walkways, material lifts, vertical reciprocating conveyors ("VRC"), dumbwaiters and other conveying systems.
(4) Filing deadline. For category 1, 3, and 5 test reports, twenty-one (21) days from the date of the test. For periodic inspection reports, fourteen (14) days from the date of the inspection.
(5) Inspection and test cycle.
(i) Category 1. Except as otherwise provided by the commissioner, January first through December thirty-first of each year.
(ii) Category 3. Except as otherwise provided by the commissioner, within three (3) years from the month of issuance of a certificate of compliance for a new elevator or within three (3) years from the month of the most recent category 3 periodic inspection and test performed on an existing elevator.
(iii) Category 5. Except as otherwise provided by the commissioner, within five (5) years from the month of issuance of a certificate of compliance for a new elevator or within five (5) years from the month of the most recent category 5 periodic inspection and test performed on an existing elevator.
(iv) Periodic inspection. Except as otherwise provided by the commissioner, January first through December thirty-first of each year at a minimum of three months from the date of any Category 1 testing or previous periodic inspection. Initial periodic inspections on new installations must be performed in the calendar year following the final acceptance test. For private residence elevators, the periodic inspection and category testing may be performed on the same date.
(6) Late filing. An inspection and test report that is filed after the filing deadline.
(7) Owner. Any person, agent, firm, partnership, corporation or other legal entity having a legal or equitable interest in, or control of the premises and/or elevator.
(8) Periodic inspection and test. For the purposes of this rule, such term shall mean an elevator inspection and test to be conducted in accordance with Table N 1 of Appendix K of the New York City Building Code ("Building Code") and this section by an approved elevator agency on behalf of the owner.
(9) Waiver. Removal of the obligation to pay a penalty associated with a violation. A waiver does not result in dismissal of the underlying violation.
(d) Inspection and tests, reports and filing requirements. Periodic elevator inspections and tests conducted by approved elevator agencies on behalf of the owner and reports filed by such agency or owner shall comply with Article 304 of Title 28 of the Administrative Code and the following:
(1) Category 1, 3 and/or 5 tests and periodic inspections shall be conducted during the inspection and test cycle.
(2) Category 1, 3 and/or 5 test reports and periodic inspection reports shall be submitted on forms supplied by the department and in such a manner as required by the commissioner by the filing deadline.
(3) Test reports must be filed with the filing fee as provided in subdivision (l).
(4) The filing is deemed accepted upon payment of the fee(s) and any civil penalties due. If the payment is not honored, the filing will be deemed invalid and the owner may receive a violation for failure to file and be subject to all applicable penalties as set forth in subdivisions (h) and (i).
(5) Periodic inspection reports for private elevators need not be filed with the department but must be kept for six (6) years and made available to the department upon request.
(e) Correction of defects and affirmation of correction filing requirements. In accordance with § 28-304.6.6 of the Administrative Code, all defects found on a category test or a periodic inspection shall be corrected within ninety (90) days of the inspection or test conducted by an approved elevator agency, with the exception of all hazardous conditions and defects related to firefighters' Phase I emergency recall operations or Phase II emergency in-car operation as required by section 3003.2 of the New York City Building Code, which shall be corrected immediately. Within fourteen (14) days of the date of correction, an affirmation of correction stating that all found and reported defects have been corrected shall be filed with the department on such forms and in such a manner as prescribed by the commissioner. Failure to comply with this subdivision shall be deemed a major violation.
(f) Acceptance of filings. Late filings of inspection and test reports and/or untimely filings of affirmations of correction shall be accepted by the department as filed upon payment of the appropriate civil penalties as set forth in subdivisions (h) and (i) of this section, if filed within the timeframes set forth in subdivisions (h) and (i) of this section. Reports and affirmations filed after such timeframe shall be deemed expired. In such cases, the appropriate civil penalties shall be paid, a new inspection and test shall be performed for the current inspection and test cycle and a new report filed in accordance with this section.
(g) Test notifications. In accordance with § 28-304.6.1.1 of Title 28 of the Administrative Code, the department shall be notified by an approved elevator agency on behalf of the owner at least five (5) calendar days prior to the category 1 (escalators only), 3 and/or 5 testing to be conducted by such approved elevator agency. The commissioner may require that such agency provide five- (5) calendar day notifications to the department's Elevator Division for all periodic inspections if he or she deems it necessary.
(h) Civil penalties – owners of buildings that contain (1) or two (2) single residential units.
(1) Failure to file the test report. An owner who fails to file the category 1, 3 and/or 5 test report for each elevator by twenty-one (21) days after the end of the inspection and test cycle, pursuant to Article 304 of Title 28 of the Administrative Code and this section, shall be liable for a civil penalty of one thousand dollars ($1,000.00) per elevator.
(2) Late filing of the test report. An owner who submits a late filing, but who provides proof that the test took place within the period for which the report was due, shall be liable for a civil penalty of fifty dollars ($50.00) per month, per elevator, commencing on the day following the filing deadline and ending on the date of submission of a test report. The total penalty shall not exceed six hundred dollars ($600.00) per elevator. For the purposes of this paragraph, "proof" shall mean a copy of the elevator test report for the test conducted during the applicable period and, if applicable, a copy of the front and back of a canceled check(s) to the department for the filing fee or proof of electronic payment of such fee.
(3) Failure to file the affirmation of correction. An owner who fails to correct the defects within the applicable time after the test and to file the affirmation of correction by the date the affirmation was due, stating that all defects found and indicated on the test report have been corrected pursuant to § 28-304.6.6 of the Administrative Code and subdivision (e) of this section, shall be liable for a civil penalty of one thousand dollars ($1,000.00) per elevator, except that this penalty will not be imposed for affirmations due with respect to defects identified during the 2022 and 2023 test cycles, provided that such affirmations were submitted by April 14, 2023 or April 14, 2024, respectively.
(4) Untimely filing of the affirmation of correction. An owner who fails to correct the defects within the applicable time after the inspection and test and to file such affirmation within fourteen (14) days from the date of correction in accordance with subdivision (e) of this section, shall be liable for a civil penalty of fifty dollars ($50.00) per month, per elevator, commencing on the day following the date the affirmation was due and ending on the date of submission of the affirmation. The total penalty shall not exceed six hundred dollars ($600.00) per elevator.
(5) Extension of the filing deadline. An owner may request an extension of the filing deadline in order to correct defects found during category testing and to file an affirmation of correction stating that identified defects have been corrected in accordance with Article 304 of Title 28 of the Administrative Code by submitting proof that the request is based on extraordinary circumstances and/or that the delay in correction is beyond the owner's control, not including financial or administrative hardship. The request must be made prior to the expiration of the filing deadline, submitted with the filing fee and made on such forms and in such manner as required by the commissioner.
(i) Civil penalties – owners of commercial buildings, mixed use buildings or buildings that contain more than two (2) residential units.
(1) Failure to file the inspection and test report. An owner who fails to file a category 1 test report for each elevator on or by twenty-one (21) days after the end of the inspection and test cycle, pursuant to Article 304 of Title 28 of the Administrative Code and this section, shall be liable for a civil penalty of three thousand dollars ($3000.00) per elevator. An owner who fails to file a category 3 or 5 test report for each elevator on or by twenty-one (21) days after the end of the inspection and test cycle, pursuant to Article 304 of Title 28 of the Administrative Code and this section, shall be liable for a civil penalty of five thousand dollars ($5000.00) per elevator. An owner who fails to file the periodic inspection report for each elevator on or by fourteen (14) days after the end of the inspection and test cycle, pursuant to Article 304 of Title 28 of the Administrative Code and this section, shall be liable for a civil penalty of three thousand dollars ($3000.00) per elevator.
(2) Late filing of the inspection and test report. An owner who submits a category 1 late filing or periodic inspection late filing, but who provides proof that the inspection and test took place within the period for which the report was due, shall be liable for a civil penalty of one hundred and fifty dollars ($150.00) per month, per elevator, commencing on the day following the filing deadline and ending on the date of submission of a complete report. The total penalty shall not exceed one thousand eight hundred dollars ($1800.00) per elevator. An owner who submits a category 3 or 5 late filing, but who provides proof that the inspection and test took place within the period for which the report was due, shall be liable for a civil penalty of two hundred and fifty dollars ($250.00) per month, per elevator, commencing on the day following the filing deadline and ending on the date of submission of a complete report. The total penalty shall not exceed three thousand dollars ($3000.00) per elevator. For the purposes of this paragraph, "proof" shall mean a copy of the elevator inspection and test report for the inspection and test conducted during the applicable period and, if applicable, a copy of the front and back of a canceled check(s) to the department for an elevator inspection/test report fee or proof of electronic payment of such fee.
(3) Failure to file the affirmation of correction. An owner who fails to correct the defects within the applicable time after the inspection and test and to file the affirmation of correction by the date the affirmation was due, stating that all defects found during the inspection and test and indicated on the report have been corrected pursuant to § 28-304.6.6 of the Administrative Code and subdivision (e) of this section, shall be liable for a civil penalty of three thousand dollars ($3000.00) per elevator, except that this penalty will not be imposed for affirmations due with respect to defects identified during the 2022 and 2023 inspection and test cycles, provided that such affirmations were submitted by April 14, 2023 or April 14, 2024, respectively.
(4) Untimely filing of the affirmation of correction. An owner who fails to correct the defects within the applicable time after the inspection and test and to file such affirmation within fourteen (14) days from the date of correction in accordance with subdivision (e) of this section, shall be liable for a civil penalty of one hundred and fifty dollars ($150.00) per month, per elevator, commencing on the day following the date the affirmation was due and ending on the date of submission of the affirmation. The total penalty shall not exceed one thousand eight hundred dollars ($1,800.00) per elevator.
(5) Extension of the filing deadline. An owner may request an extension of the filing deadline in order to correct defects found during category testing and to file an affirmation of correction stating that identified defects have been corrected in accordance with Article 304 of Title 28 of the Administrative Code by submitting proof that the request is based on extraordinary circumstances and/or that the delay in correction is beyond the owner's control, not including financial or administrative hardship. The request must be made prior to the expiration of the filing deadline, submitted with the filing fee and made on such forms and in such manner as required by the commissioner.
(j) Challenge of a civil penalty. An owner may challenge the imposition of any civil penalty authorized to be imposed pursuant to this section by providing written proof of a timely and complete inspection and test and filing and/or correction of defects and filing to the department. Examples of such proof shall include, but are not limited to a copy of the elevator inspection/test report for the inspection and test conducted during the applicable period and, if applicable, a copy of the front and back of a canceled check(s) to the department for an elevator inspection and test report fee or proof of electronic payment of such fee. Challenges shall be made in writing within thirty (30) calendar days from the date of service of the violation by the department and sent to the office/unit of the department that issued the violation. The decision to dismiss or uphold the penalty shall be at the sole discretion of the department.
(k) Waiver of penalties. An owner may request a waiver of penalties assessed for violation of Article 304 of Title 28 of the Administrative Code, and/or related rules enforced by the department. Requests shall be made in writing and submitted with the filing fee.
(1) Owner status.
(i) New owner. A new owner may be granted a waiver of penalties contingent upon the department's acceptance of the owner's proof that transfer of ownership to the new owner occurred after penalties were incurred. Proof includes a recorded deed evidencing transfer of ownership to the current owner after penalties were incurred, as well as any other documentation requested by the Department.
(ii) Government ownership. An owner may be granted a waiver of penalties upon submission of official documentation from a government entity affirming that the premises was owned in its entirety by the entity during the period for which a waiver is requested.
(iii) Bankruptcy. An owner may be granted a waiver of penalties upon submission of a copy of a bankruptcy petition and a decision from the bankruptcy court.
(2) Device status. An owner may be granted a waiver of penalties contingent upon the department's acceptance of proof of the following:
(i) Removed or dismantled. That a permit was issued by the department for the removal or dismantling of the elevator(s) and that there was department sign-off, indicating that the elevator was removed or dismantled prior to the inspection and test cycle for which the report was due.
(ii) New or replaced. That a certificate of compliance was issued by the department as part of a new installation during the inspection and test cycle for which the report was due.
(iii) Work in progress. That there is work in progress for the replacement or installation of a new elevator or a major renovation requiring that the elevator be deactivated during the work. For the purposes of this subparagraph, "proof" shall mean the filing of an elevator application including a projected date of completion of work. Upon completion of such work, a new category 1 test report shall be filed in accordance with this section.
(3) Building status. An owner may be granted a waiver of penalties contingent upon the department's confirmation of the following:
(i) Demolished. That the full demolition of the building occurred prior to the inspection and test cycle for which the report was due and that such demolition was signed off by the department or that a new building permit has been issued for the property.
(ii) Sealed or vacated. That the building was ordered to be sealed or vacated by a government agency (i.e. DOB, HPD, FDNY or OEM) or by court order prior to the expiration of the inspection and test cycle for which the report was due.
(l) Fees. Fees for filings related to elevators shall be as set forth in 1 RCNY § 101-03.
(Amended City Record 12/16/2021, eff. 1/15/2022; amended City Record 4/2/2024, eff. 5/2/2024)
The provisions of American Society of Mechanical Engineers ("ASME") A17.3-2002 shall apply to elevators and escalators built in accordance with the 1968, or any previous edition, of the Building Code of the City of New York except as modified in accordance with 1 RCNY § 3610-01.
(a) Definitions. For the purposes of this section, the following terms have the following meanings.
Acceptable report. A technical examination report filed by a Qualified Exterior Wall Inspector that meets the requirements of the Administrative Code and this rule as determined and approved by the Department.
Amended report. A technical examination report filed by a Qualified Exterior Wall Inspector who certifies that the unsafe conditions reported in the initial report have been repaired and that no unsafe conditions exist at the building.
Appurtenance. An exterior wall element including, but not limited to, fire escapes, exterior fixtures, ladders to rooftops, flagpoles, signs, parapets, railings, copings, guard rails, window frames (including hardware and lites), balcony and terrace enclosures, including greenhouses or solariums, window guards, window air conditioners, flower boxes, satellite dishes, antennae, cell phone towers, and any equipment attached to or protruding from the facade.
Cavity wall construction. An exterior wall system consisting of an exterior veneer with a backup wall whereby the exterior veneer relies on a grid of metal ties to the backup wall for lateral stability. The two layers of wall are separated by an air cavity which may or may not be filled with insulation.
Critical examination. An examination conducted to review the exterior of a building and all parts thereof to determine whether the exterior walls (facades) and the appurtenances are either safe, unsafe, or safe with a repair and maintenance program (SWARMP) and whether, in the judgment of a Qualified Exterior Wall Inspector, they require remedial work.
Filed report. A report shall be deemed filed with the Department when it has been received by the Department. The filed report must be completed in accordance with the provisions of paragraph (3) of subdivision (c) of this section.
Filing window. The two-year period during which a report for a particular building may be filed without penalty.
Public right-of-way. A public street, avenue, sidewalk, roadway or any other public place or public way.
Qualified Exterior Wall Inspector (hereinafter "QEWI"). A qualified exterior wall inspector as defined in 1 RCNY § 101-07.
Report filing cycle. The five-year time interval established by the Commissioner for the filing of each successive report for each successive critical examination of every building subject to the requirements of Article 302 of Title 28 of the Administrative Code.
Safe condition. A condition of a building wall, any appurtenances thereto or any part thereof not requiring repair or maintenance to sustain the structural integrity of the exterior of the building and that will not become unsafe during the next five years.
Safe with a repair and maintenance program (hereinafter "SWARMP"). A condition of a building wall, any appurtenances thereto or any part thereof that is safe at the time of inspection, but requires repairs or maintenance during the next five years, but not less than one year, in order to prevent its deterioration into an unsafe condition during that five-year period.
Staggered inspection cycle. The separate time intervals for filing reports of critical examinations as determined by the last digit of the building's block number, beginning February 21, 2010, and continuing thereafter for each subsequent report filing cycle.
Subsequent report. A technical examination report that is filed by a QEWI after an acceptable report in order to change the status of the building for that report filing cycle to reflect changed conditions or the recommended time frame for repairs of SWARMP or unsafe conditions.
Unsafe condition. A condition of a building wall, any appurtenances thereto, or any part thereof that is hazardous to persons or property and requires repair within one (1) year of completion of critical examinations. In addition, any condition that was reported as SWARMP in a previous report and that is not corrected at the time of the current inspection must be reported as an unsafe condition.
(b) Responsibilities of qualified exterior wall inspectors.
(1) A QEWI must conduct critical examinations and file reports in accordance with this section and Article 302 of Title 28 of the Administrative Code.
(2) A QEWI must maintain records of inspections and tests for at least six years and must make such records available to the Department upon request.
(3) A QEWI must maintain insurance coverage as set forth in paragraph (7) of subdivision (b) of 1 RCNY § 101-07. Copies of such insurance policies must be made available to the Department upon request.
(c) Critical examinations.
(1) Periodic inspection requirements. In order to maintain a building's exterior walls and appurtenances in a safe condition, and in accordance with Article 302 of Title 28 of the Administrative Code, a critical examination of all parts of all exterior walls and any appurtenances of all existing buildings greater than six stories in height or buildings hereafter erected that are greater than six stories in height, except for those parts of any exterior wall that are less than twelve inches (305 millimeters) from the exterior wall of an adjacent building, must be conducted at periodic intervals.
(2) Inspection procedures.
(i) Before any exterior wall for any building is critically examined, the QEWI retained by or on behalf of the owner of the building must carefully review the most recent report and any available previous reports. The Department will maintain a file of such reports submitted in conformance with Article 302 of Title 28 of the New York City Administrative Code, and furnish copies upon payment of fees set forth in the rules of the Department.
(ii) Examination of a building's exterior walls and appurtenances thereof pursuant to § 28-302.2 of the Administrative Code must be performed by or under the direct supervision of a QEWI retained by the owner of the building or his or her representative.
(iii) The QEWI must design an inspection program for the specific building to be inspected, which must include, but not be limited to, the methods to be employed in the examination. The inspection program shall be based on considerations of the type of construction of the building's envelope, age of the material components, the facade's specific exposure to environmental conditions and the presence of specific details and appurtenances. Consideration shall be given to the facade's history of maintenance and repairs as described in previous reports and submittals to the Department. Architects, engineers, individuals with a bachelor's degree in architecture or engineering and three (3) years of relevant FISP inspection experience, or individuals with five (5) years of relevant FISP inspection experience working under the QEWI's direct supervision, may be delegated to perform selected inspection tasks.
(iv) The methods used to examine the building must permit a complete inspection of same. Except as herein required, the use of a scaffold or other observation platform is preferred, but the QEWI may use other methods of inspection as he/she deems appropriate. Physical examinations from scaffolding or other observation platform ("close-up inspections") must be performed at intervals of not more than 60'-0", with the minimum number of physical examinations per total length of facade elevation noted in the table below. If the building does not front a public right-of-way, physical examinations are to be performed at a representative sample of the facade elevations with a minimum of one examination per building. All physical examinations shall occur along a path from grade to top of an exterior wall fronting each public right-of-way, using at least one scaffold drop or other observation platform configuration, including all exterior wall setbacks. The QEWI shall determine the most deleterious locations and perform physical examinations at those locations. The use of drones, high resolution photography, non-destructive testing, or other similar methods does not eliminate the requirements for close-up inspections.
Length of Facade Elevation Fronting Public Right-of-Way (L) | Minimum # of Physical Examinations |
Length of Facade Elevation Fronting Public Right-of-Way (L) | Minimum # of Physical Examinations |
L < 60'-0" | 1 |
60'-0" ≤ L < 120'-0" | 2 |
120'-0" ≤ L < 180'-0" | 3 |
180'-0" ≤ L < 240'-0" | 4 |
240'-0" ≤ L < 300'-0" | 5 |
300'-0" ≤ L < 360'-0" | 6 |
For every additional 60'-0" of length of facade, one additional close-up inspection is required. | |
(v) The known history of the building, the nature of the materials used and the conditions observed will dictate the extent of the critical examination. The QEWI must apply a professional standard of care to assess the building's condition and the individual building systems that comprise the facades, including splitting or fracturing of terra cotta on buildings, cracking of masonry and brick work in brick faced buildings, mortar and other joint materials, loosening or corrosion of metal anchors and supports, water entry or flow within cavities, mineral build-up, coping materials, movement of lintel/shelf angles, and must ascertain the cause of these and such other conditions detected. The QEWI must order any special or additional inspections and/or tests, including sounding procedures, that may be required to support investigations and to determine the causes of any defects. Starting with the ninth cycle, probes must be performed on all cavity wall construction, and, at a minimum, during every subsequent odd-numbered cycle. The QEWI shall determine the location of the probes, which shall be in areas not previously renovated. At a minimum, a single probe must be completed along each required close-up inspection interval. The QEWI must ensure that the number and size of the probes are sufficient to report the presence, condition, and spacing of wall ties. The removal of portions of the facade in order to facilitate the performance of tests may require a permit from the Landmarks Preservation Commission.
Exceptions: The requirement for probes may be waived in the following cases:
1. When a repair campaign addressing cavity wall ties has been completed within ten (10) years of the filing deadline and the owner or QEWI provides proof of such repair including, but not limited to, photographs, special inspection reports, and construction documents, which must be submitted and found acceptable by the Department.
2. When the first Temporary Certificate of Occupancy or Certificate of Occupancy for a new building was issued within ten (10) years of the filing deadline and the owner or QEWI provides evidence of tie installation including, but not limited to, photographs, special inspection reports, and construction documents, which must be submitted and found acceptable by the Department.
3. Where a QEWI proposes an alternate method of determining tie condition and spacing, which must be submitted and found acceptable by the Department.
(vi) Photographs must be taken and/or sketches made during the course of the Critical Examination to properly document the location of all conditions observed that are either unsafe or SWARMP.
(vii) Upon discovery of any unsafe condition, the QEWI must immediately notify the Department and the owner of the building. The QEWI must identify the location of any unsafe condition, advise the owner on the appropriate protective measures to be taken, and include the recommended type and location of public protection in the notification to the Department.
(viii) Completion of a critical examination means that the QEWI has conducted a final physical inspection to determine that the building conditions as described in the report are consistent with the actual conditions. Such final inspection must, at a minimum, include an actual visual examination and a walk around with binoculars or other inspectorial equipment. A drive-by inspection is not acceptable.
(3) Report requirements.
(i) The QEWI must file with the Department a written report describing the result of the critical examination, clearly documenting all conditions noted during the inspection and stating that the inspection was performed and completed in accordance with the Administrative Code and this rule. A separate acceptable report must be prepared and filed for each building with a control number, as provided by the Department, even if it shares a Block and Lot number with other structures. The QEWI must also submit a copy of the report to the owner of the building.
(ii) Technical information in the report must adhere to and follow the sequence and the labeling of the report requirements as listed in subparagraph (iii) of this paragraph, and must be provided on such forms and in such format as the Department requires. Additional information may be provided. If a requirement is not applicable, this must be indicated on the report.
(iii) The report must include an executive overview that consists of a summary of findings and recommendations, a concise statement of the scope of the inspection and findings, the conclusions and recommendations and a determination as to whether the building is categorized as "safe," "SWARMP," or "unsafe." The report must also include, but not be limited to:
(A) The address, any a.k.a. addresses, Block and Lot number, the Building Identification Number ("BIN"), the landmark status of the building, and the location from the nearest cross street;
(B) The name, mailing address and telephone number of the owner of the building, or, if the owner is not an individual, the name, mailing address, telephone number, position/title of a principal of the owner;
(C) A description of the building, including the number of stories, height, plan dimensions, Certificate of Occupancy number if available, usage, and age and type of exterior wall construction, specifying all materials present in the exterior wall;
(D) A detailed description of any distress, settlements, repairs, or revisions to exterior enclosures since the previous report, including, but not limited to, settlement, splitting or fracturing, displacement, bulging, cracking of any exterior wall elements, loosening of metal anchors and supports, water entry, movement of lintel or shelf angles, or other defects or changes;
(E) A detailed description of the procedures used in making the critical examination;
(F) The following information:
1. The extent and location of all physical examinations performed, including odd-numbered cycle cavity wall probes;
2. The names, addresses, telephone numbers, and license or registration numbers for riggers, contractors, and consultants involved in the critical examination;
3. A location diagram of a discernable scale and with a north arrow, indicating the main entrance, dimensions of the length of each facade elevation, including all setbacks and returns, and nearest cross street and locations and dates of close-up inspections;
4. Dates of the start and completion of the critical examination; and
5. Dated photo documentation of the QEWI and/or his or her employees performing physical ("close-up") inspections.
(G) A description, classification, and mapping of each significant condition observed, including deterioration and any movement detected and the apparent water-tightness of the exterior surfaces. The description must also include a list of all exterior appurtenances and their condition. Each condition must be classified as safe, unsafe or SWARMP. If the building is classified as unsafe or SWARMP, the report must include the locations and descriptions of all unsafe or SWARMP conditions. If unsafe conditions are noted, the report must recommend the type and location of public protection. Photographs must be labeled and the report must include key plans, key elevations and locator drawings documenting these conditions. Guards and railings, including, but not limited to, balconies, must be inspected to ensure that their components (balusters, intermediate railings and panel fillers) are positively secured against movement (e.g. by welds, bolts or screws). If any guard or railing, balcony enclosure, or greenhouse structure is found not to be positively secured, the condition is classified as unsafe and must be made safe pursuant to the requirements of paragraph (5) of subdivision (c) of this section.
(H) An analysis of the causes of the conditions reported as unsafe or SWARMP;
(I) A detailed status report of maintenance work performed up to the date of submission of the report and the maintenance plan implemented for building facades;
(J) A comparison of currently observed conditions with conditions observed during the previous report filing cycle examinations, including the status of the repairs or maintenance performed with respect to the prior conditions. The following must be included and discussed:
1. Work permit numbers relating to facade repairs, including permits for sheds;
2. Job numbers, status and sign-off dates for any facade related jobs, where applicable; and
3. Violation numbers of any open Environmental Control Board ("ECB") facade violations and the status of the repairs of the conditions cited in the ECB violations;
(K) Recommendations for repairs or maintenance of SWARMP and unsafe conditions, including:
1. If a building is categorized as SWARMP:
A. The recommended time frame for such repairs or maintenance to be performed, which must indicate the date by which the work must be performed (MM/DD/YYYY) to prevent the conditions from becoming unsafe and not the date on which work is planned or scheduled;
B. Time frames of less than one (1) year, "ASAP," or "immediately," shall not be accepted.
2. If a building is categorized as unsafe :
A. The QEWI must provide a recommended time frame for repairs to be performed to bring the building to SWARMP or safe status, and must indicate the date by which the work will be completed (MM/DD/YYYY);
B. Time frames of more than five (5) years will not be accepted.
(L) A list and description of the work permits required to accomplish the necessary work. If no work permits will be required, the reason must be indicated;
(M) All photographs must be color, clearly legible, dated, and high resolution. Digital photos must be a minimum of 800 x 600 pixels. Photographs must be arranged into PDF uploads of no larger than 11" x 17". The following photos must be submitted:
1. Elevation photos. Color photographs of the primary house number and at least one view of the entire street front elevation for all reports regardless of the building's filing condition.
2. Detailed condition photos. Color photographs of specific conditions must be clearly labeled and indicate the status designation. Detailed conditions must be located on the mapping of the building's facade required by item G of this subparagraph (iii).
A. All SWARMP and unsafe must be catalogued.
B. If building status is safe, submit a minimum of three typical conditions.
3. Cavity wall probe photos. Color photographs of the following items:
A. each probe opening showing the location and size of the probes;
B. the interior of the probe showing the cross section of the wall;
C. the measurement of the spacing of the wall ties;
D. a close-up of the wall tie type and installation;
E. any other condition that indicates the soundness of the wall ties and cavity wall;
F. condition of relieving angle, including flashing and connection; and
G. condition of substrate.
(N) The classification of the building for the current report filing cycle, as determined by the following guidelines:
1. If there are no unsafe conditions and no conditions that are SWARMP, then the building shall be classified as safe;
2. If there is at least one unsafe condition, then the building shall be classified as unsafe.
3. If there is at least one condition that is SWARMP and there are no unsafe conditions, then the building shall be classified as SWARMP. A report may not be filed describing the same condition at the same location as SWARMP for two consecutive report filing cycles. The QEWI must certify that all of the conditions identified in the previous report as requiring repair have been corrected or the building shall be classified as unsafe;
(O) The seal and signature of the QEWI under whose direct supervision the critical examination was performed.
(4) Report filing requirements.
(i) The requirements of this rule apply to all buildings with exterior walls or parts thereof that are greater than six stories, regardless of the information in the Certificate of Occupancy. For buildings that contain six (6) stories above grade plane plus a cellar, where more than half the height of that cellar as measured at any individual exterior wall is above the adjacent ground level, including but not limited to areaways, yards, and ramps, all walls of such building shall be subject to facade inspection. Conditions requiring facade inspections may also include other structures that add to the height of the building as per section BC 504. The Commissioner shall determine which additional buildings and/or parts thereof are required to file in accordance with this rule.
(ii) Buildings required to file a report must do so at least once during each five-year report filing cycle established by the Department.
(iii) An acceptable report must be filed within the applicable two-year filing window to avoid a late filing penalty.
(iv) The report must be submitted to the Department along with a filing fee as specified in the rules of the Department.
(v) Staggered inspection cycle: For every five-year report filing cycle, an acceptable report is due in accordance with the following filing windows:
(A) For buildings located within a block ending with the number four (4), five (5), six (6), or nine (9), an acceptable report must be filed within the two-year filing window starting February 21 of years ending in zero (0) and five (5) and ending February 21 of years ending in two (2) and seven (7).
(B) For buildings located within a block ending with the number zero (0), seven (7), or eight (8), an acceptable report must be filed within the two-year filing window starting February 21 of years ending in one (1) and six (6) and ending February 21 of years ending in three (3) and eight (8).
(C) For buildings located within a block ending with the number one (1), two (2), or three (3), an acceptable report must be filed within the two-year filing window starting February 21 of years ending in two (2) and seven (7) and ending February 21 of years ending in four (4) and nine (9).
Exception: Starting in Cycle 10, owners whose buildings have their most recent status as "No Report Filed" may file a report prior to the start of their designated filing window provided that all applicable civil penalties set out in subdivision (d) of this section are paid at the time of filing.
(vi) Initial reports for new buildings greater than six stories in height must be filed as follows:
(A) The report must be filed five years from the date the first Temporary Certificate of Occupancy or Certificate of Occupancy was issued, if that five year date falls within the applicable filing window according to the last digit of the building's block number as provided in subparagraph (v) or (vi) of this paragraph; or
(B) If five years from the date the first Temporary Certificate of Occupancy or Certificate of Occupancy was issued falls outside the applicable filing window according to the last digit of the building's block number as provided in subparagraph (v) of this paragraph, then the initial report must be filed within the applicable two-year filing window for the next five-year cycle.
(vii) If contiguous zoning lots under single ownership or management contain multiple buildings that are considered one complex where at least two buildings of more than six stories in height fall into different filing windows as described above in items (A), (B) and (C) of subparagraph (v) of this paragraph, the owner or management must choose one of the following report filing options:
(A) An acceptable report for each building to which this rule applies may be filed separately according to the filing window corresponding to the last digit of that individual building's block number; or
(B) The owner or his or her representative may choose one of the applicable filing windows and file a report for all of the buildings within that filing window, regardless of that building's individual filing window. The owner or his or her representative must inform the Department 180 days prior to the end of the assigned filing window if this option is chosen. If an owner or representative chooses this option, the owner or representative must continue to file under this same filing window for the duration of the owner's ownership of the property.
(viii) A report must be filed within sixty (60) days of the date on which the QEWI completed the critical examination (final inspection date), as defined in subparagraph (viii) of paragraph (2) of subdivision (c) of this section. Failure to file a report within sixty (60) days of the completed critical examination requires a new critical examination.
(ix) A report may not be filed more than one (1) year after completion of the close-up inspection.
(x) If the report is not acceptable and is rejected by the Department, a revised report must be filed within forty-five (45) days of the date of the Department's rejection, after which the original file date will no longer be valid. If the report is not acceptable after two (2) rejections, a new initial filing fee as specified in the rules of the Department is required. Failure to submit a revised report addressing the Department's objections within one (1) year of the initial filing requires a new critical examination, including a new close-up inspection.
(xi) A subsequent report indicating revised conditions may be filed within a five-year report filing cycle to change a building's filing status for that cycle.
(5) Unsafe conditions.
(i) Upon filing a report of an unsafe condition with the Department, the owner of the building, his or her agent, or the person in charge of the building must immediately commence such repairs or reinforcements and any other appropriate measures such as erecting sidewalk sheds, fences, and safety netting as may be required to secure the safety of the public and to make the building's walls and appurtenances conform to the provisions of the Administrative Code.
(ii) All unsafe conditions must be corrected within ninety (90) days from the submission of the critical examination report.
(iii) If, due to the scope of the repairs, the unsafe conditions cannot be corrected within the required 90 days, the QEWI must recommend a timeframe for repairs as noted in item (K) of subparagraph (iii) of paragraph (3) of subdivision (c). The owner of the building is responsible for ensuring that the conditions described in the critical examination report as unsafe are corrected and all actions recommended by the QEWI are completed within this timeframe. The owner must notify the Department of any deviation from the timeframe to make corrections as specified in QEWI's report. The subsequent report must include supporting documents from the QEWI justifying the request for a new time frame.
(iv) Within two weeks after repairs to correct the unsafe condition have been completed, the QEWI must inspect the premises. The QEWI must promptly file with the Department a detailed amended report stating the revised report status of the building, along with a filing fee as specified in the rules of the Department and the owner must obtain permit sign-offs as appropriate. If the report is not acceptable and is rejected by the Department, a revised report must be filed within forty-five (45) days of the date of the Department's rejection. If the report is not acceptable after two (2) rejections, a new amended filing fee as specified in the rules of the Department is required. Sheds or other protective measures must remain in place until an amended report is accepted; however, the QEWI may request permission for the removal of the shed upon submission of a signed and sealed statement certifying that an inspection was conducted, the conditions were corrected and the shed is no longer required. Permission to remove the shed may be granted in the Commissioner's sole discretion.
(v) The Commissioner may grant an extension of up to ninety (90) days to complete the repairs required to remove an unsafe condition upon receipt and review of an initial extension application submitted by the QEWI, together with:
(A) Notice that the premises have been secured for public safety by means of a shed, fence, or other appropriate measures as may be required;
(B) A copy of the contract indicating scope of work to remedy unsafe conditions;
(C) The QEWI's estimate of length of time required for repairs;
(D) A statement of all applicable permit requirements;
(E) A notarized affidavit by the owner of the building that work will be completed within the time of the QEWI's stated estimate; and
(F) A fee as specified in the rules of the Department.
Note: Financial considerations shall not be accepted as a reason for granting an extension.
(vi) A further extension will be considered only upon receipt and review of a further extension application, together with notice of:
(A) An unforeseen delay (e.g., weather, labor strike) affecting the substantially completed work; or
(B) Unforeseen circumstances (e.g., fire, building collapse); or
(C) The nature of the hazard that requires more than ninety (90) days to remedy (e.g., new wall to be built); or
(D) Progress photos showing current facade repairs.
Note: Financial considerations shall not be accepted as a reason for granting an extension.
(6) Conditions that are safe with a repair and maintenance program (SWARMP).
(i) The owner of the building is responsible for ensuring that the conditions described in the critical examination report as SWARMP are corrected and all actions recommended by the QEWI are completed within the time frame recommended by the QEWI, and are not left to deteriorate into unsafe conditions. It is the owner's responsibility to notify the Department of any deviation from the timeframe to make corrections as specified in the QEWI's report. The subsequent report must include supporting documents from the QEWI justifying the request for a new time frame.
(ii) A report may not be filed describing the same condition and pertaining to the same location on the building as SWARMP for two consecutive report filing cycles.
(iii) The QEWI must certify the correction of each condition reported as requiring repair in the previous report filing cycle, report conditions that were reported as SWARMP in the previous report filing cycle as unsafe if not corrected at the time of the current inspection, or report corrections that were made in the previous cycle as unsafe if they need further or repeated repair at the time of the current cycle.
(d) Civil penalties.
(1) Failure to file. An owner who fails to file the required acceptable inspection report shall be liable for a civil penalty of five thousand dollars ($5,000) per year immediately after the end of the applicable filing window.
(2) Late filing. In addition to the penalty for failure to file, an owner who submits a late filing shall be liable for a civil penalty of one thousand dollars ($1,000.00) per month, commencing on the day following the filing deadline of the assigned filing window period and ending on the filing date of an acceptable initial report.
(3) In addition to the penalties provided in this section, an owner who fails to correct an unsafe condition shall be liable for a civil penalty as detailed in the table below, until the unsafe condition is corrected. Unless the Commissioner grants an extension of time to complete repairs pursuant to this section, the penalties will be incurred as detailed in the table below. This penalty shall be imposed until receipt of an acceptable amended report by the Department indicating the unsafe conditions were corrected, the sidewalk shed has been removed and the associated permits are signed off with the Department, including shed permits, or an extension of time is granted by the Commissioner.
Base penalty | Plus | |
Year 1 | $1,000/month | NA |
Year 2 | $1,000/month | $10 / linear foot (l.f.) of shed / month |
Year 3 | $1,000/month | $20 / l.f. shed / month |
Year 4 | $1,000/month | $30 / l.f. shed / month |
Year 5 | $1,000/month | $40 / l.f. shed / month |
(4) Failure to correct SWARMP conditions. An owner who fails to correct a SWARMP condition reported as requiring repair in the previous report filing cycle and subsequently files the condition as unsafe shall be liable for a civil penalty of two thousand dollars ($2,000).
(5) Challenge of civil penalty.
(i) An owner may challenge the imposition of any civil penalty authorized to be imposed pursuant to this subdivision by providing proof of compliance. Examples of such proof must include, but are not limited to, a copy of an acceptable initial report, a copy of the acceptable amended report, copies of approved extension of time requests while work was/is in progress or written proof from a QEWI that the unsafe conditions observed at the building were corrected and the violation was dismissed.
(ii) Challenges must be made in writing within thirty (30) days from the date of service of the violation by the Department and sent to the office/unit of the Department that issued the violation. The decision to dismiss or uphold the penalty shall be at the sole discretion of the Department.
(e) Full or partial penalty waivers; eligibility and evidentiary requirements. Owners may request a full or partial waiver of penalties assessed for violation of Article 302 of Title 28 of the Administrative Code, the New York City Building Code and/or rules enforced by the Department. Requests must be made in writing and must meet eligibility and evidentiary requirements as follows:
(1) Owner status.
(i) A new owner requesting a waiver due to change in ownership must submit proof of a recorded deed evidencing transfer of ownership to the current owner after penalties were incurred, as well as any other documentation requested by the Department, and only in one of the following circumstances:
(A) A new owner of a property previously owned by a government entity requesting a waiver due to change in ownership must submit official documentation from the government entity affirming that the premises was entirely owned by the government entity during the period for which a waiver is requested.
(B) A new owner who receives a notice of violation for failure to comply with the requirements of this section or Article 302 of Title 28 of the Administrative Code that was issued to the property after the transfer of ownership must submit a recorded deed showing the date that the property was acquired or transferred. The waiver period shall be from the date of the deed to the date of the violation issuance.
(ii) An owner may be granted a waiver of penalties upon submission of a copy of an order signed by a bankruptcy court judge.
(iii) If a state of emergency is declared that prevents an owner from conducting an inspection, filing a report or correcting unsafe conditions, an owner may be granted a waiver of penalties.
(2) Building status. An owner requesting a waiver because the building was demolished must submit city or departmental records evidencing the demolition of the building prior to the filing deadline.
(f) Posting of conditions certificate. A conditions certificate issued by the Commissioner must be posted in a frame with a transparent cover in the lobby or vestibule of the subject building within thirty (30) days of issuance. The certificate must indicate the most recent condition of the building's exterior walls and appurtenances.
(Amended City Record 1/21/2020, eff. 2/20/2020; amended City Record 10/13/2021, eff. 11/12/2021)
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