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Title 1: Department of Buildings
Chapter 1: Material and Equipment Application Procedures [Repealed]
Chapter 2: Boiler Inspections [Repealed]
Chapter 3: Vacant and Unguarded Buildings
Chapter 4: Certificates of Occupancy, Live Loads and Occupancy Loads
Chapter 5: Concrete
Chapter 6: Cranes [Repealed]
Chapter 7: Installation and Maintenance of Vent Damper Devices in Existing Boilers and Furnaces [Repealed]
Chapter 8: Demolition [Repealed]
Chapter 9: Rigging Operations [Repealed]
Chapter 10: Drums for Derrick Load and Boom Hoists
Chapter 11: Elevators, Escalators, Personnel Hoists and Moving Walks
Chapter 12: Emergency Power Systems [Repealed]
Chapter 13: Adjudications [Repealed]
Chapter 14: Fees [Repealed]
Chapter 15: Fire Protection
Chapter 16: Inspection of Existing Structures During Construction Operations
Chapter 17: Testing Laboratories and Testing Services
Chapter 18: Resistance to Progressive Collapse Under Extreme Local Loads
Chapter 19: Master Plumbers and Licensed Fire Suppression Piping Contractors
Chapter 20: Piping Systems
Chapter 21: Plans
Chapter 22: Pressure Tanks
Chapter 23: Noncommercial Greenhouses
Chapter 24: Refuse Chutes and Refuse Rooms
Chapter 25: Climber and Tower Crane Riggers [Repealed]
Chapter 26: Safety of Public and Property During Construction Operations. [Repealed]
Chapter 27: Signs
Chapter 28: Smoke Detecting Devices and Systems and Carbon Monoxide Detecting Devices and Systems [Repealed]
Chapter 29: Sprinkler Systems
Chapter 30: Storage of Certain Waste Materials
Chapter 31: Suspension, Revocation Or Limitation of Registration [Repealed]
Chapter 32: Walls [Repealed]
Chapter 33: Exemptions from Civil Penalties [Repealed]
Chapter 34: Electrical Code Rules
Chapter 35: Electrical Inspection
Chapter 36: Electrical Contractors
Chapter 37: Reference Standards [Repealed]
Chapter 38: Ventilation
Chapter 39: Cooling Towers and Evaporative Condensers
Chapter 40: Installation and Maintenance of Gas-Fueled Water and Space Heaters in All Portions of Dwellings Used or Occupied for Living Purposes
Chapter 41: Venting of Gas Water Heaters and Other Gas Appliances In Multiple Dwellings
Chapter 42: Entrance Doors, Locks and Intercommunication Systems
Chapter 43: Installation of Security Items in Multiple Dwellings
Chapter 44: Exemptions from Filing Requirements [Repealed]
Chapter 45: Building Permit Application Procedures
Chapter 46: Authorized Representatives
Chapter 47: Licensed Oil-Burning Equipment Installers
Chapter 48: Construction Superintendents [Repealed]
Chapter 49: Outdoor Signs
Chapter 50: Distributed Energy Resource Standards
Chapter 51: Dormitories
Chapter 52: Notification to the Department of Commencement of Work Pursuant to an Earthwork Permit
Chapter 100: [Administration; Enforcement; Maintenance of Buildings; Licensing; Miscellaneous Provisions]
Subchapter A: Administration
Subchapter B: Enforcement
Subchapter C: Maintenance of Buildings
Subchapter D: Licensing and Registration of Businesses, Trades and Occupations Engaged in Building Work
Subchapter E: Miscellaneous Provisions
Chapter 300: Use and Occupancy Classification
Chapter 400: Special Detailed Requirements Based on Use and Occupancy [Repealed]
Chapter 900: Fire Protection Systems
Chapter 1000: Means of Egress
Chapter 1100: Accessibility
Chapter 3000: Elevators and Conveying Systems
Chapter 3300: Safeguards During Construction and Demolition
Chapter 3500: Referenced Standards
Chapter 3600: Appendices
Chapter 4000: Electrical Code
Chapter 5000: New York City Energy Conservation Code
Chapter 6000: Fuel Gas Code
Chapter 7000: Mechanical Code
Chapter 8000: New York City Plumbing Code
Chapter 9000: Zoning
Title 2: Board of Standards and Appeals
Title 3: Fire Department
Title 6: Department of Consumer and Worker Protection
Title 9: Procurement Policy Board Rules
Title 12: Franchise and Concession Review Committee
Title 15: Department of Environmental Protection
Title 16: Department of Sanitation
Title 17: Business Integrity Commission
Title 19: Department of Finance
Title 20: Tax Appeals Tribunal
Title 21: Tax Commission
Title 22: Banking Commission
Title 24: Department of Health and Mental Hygiene
Title 25: Department of Mental Health and Retardation [Repealed]
Title 28: Housing Preservation and Development
Title 29: Loft Board
Title 30: Rent Guidelines Board
Title 31: Mayor's Office of Homelessness and Single Room Occupancy
Title 34: Department of Transportation
Title 35: Taxi and Limousine Commission
Title 38: Police Department
Title 38-A: Civilian Complaint Review Board
Title 39: Department of Correction
Title 40: Board of Correction
Title 41: Department of Juvenile Justice
Title 42: Department of Probation
Title 43: Mayor
Title 44: Comptroller
Title 45: Borough Presidents
Title 46: Law Department
Title 47: Commission on Human Rights
Title 48: Office of Administrative Trials and Hearings (OATH)
Title 49: Department of Records and Information Services
Title 50: Community Assistance Unit
Title 51: City Clerk
Title 52: Campaign Finance Board*
Title 53: Conflicts of Interest Board
Title 55: Department of Citywide Administrative Services
Title 56: Department of Parks and Recreation
Title 57: Art Commission
Title 58: Department of Cultural Affairs
Title 60: Civil Service Commission
Title 61: Office of Collective Bargaining
Title 62: City Planning
Title 63: Landmarks Preservation Commission
Title 66: Department of Small Business Services
Title 67: Department of Information Technology and Telecommunications
Title 68: Human Resources Administration
Title 69: Department of Aging
Title 70: In Rem Foreclosure Release Board
Title 71: Voter Assistance Commission
Title 72: Office of Emergency Management
Title 73: Civic Engagement Commission
Title 74: Community Hiring
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§ 102-05 Penalty for Failure to Certify Correction of Certain Immediately Hazardous Violations.
   (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)
§ 102-06 Homeowner Resolution Program.
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
§ 103-01 Low Pressure Boiler Inspection and Filing Requirements, Penalties and Waivers.
   (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)
§ 103-02 Elevator Inspections and Tests, Filing Requirements, Penalties and Waivers.
   (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)
§ 103-03 Existing Elevators and Escalators.
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.
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