§ 10-02 Scope of Rule.

   (a)   The requirements of this chapter apply to certifications, exemptions, and waivers pursuant to Administrative Code §§ 28-107.1 et seq., Administrative Code § 27-2093, Zoning Resolution § 96-110, Zoning Resolution § 93-90, Zoning Resolution § 98-70, Zoning Resolution § 23-013, and any subsequently enacted provision of the Administrative Code or Zoning Resolution which authorizes HPD to make determinations concerning certifications, exemptions, or waivers.

   (b)   With regard to single room occupancy multiple dwellings:

      (1)   A certification shall be required where mandated pursuant to Administrative Code §§ 28-107.1 et seq. and Administrative Code § 27-2093; provided, however, that a certification shall not be required pursuant to Administrative Code § 28-107.3(4) for repairs, replacement, modification, or partial demolition work that is the minimum required to be performed to address conditions for rescission of a vacate order issued by HPD or DOB in a building.

      (2)   Except as otherwise provided in paragraph (1) of this subdivision, in accordance with the authority of the Commissioner pursuant to Administrative Code § 28-107.3(4) to prescribe by regulation other types of alteration work, a certification shall be required where the application and plans filed with DOB seek to:

         (i)   increase or decrease the number of dwelling units;

         (ii)   alter the layout, configuration or location of any portion of a dwelling unit;

         (iii)   increase or decrease the number of residential kitchens or residential bathrooms;

         (iv)   alter the layout, configuration or location of any portion of a residential kitchen or residential bathroom;

         (v)   demolish or change the use or occupancy of any dwelling unit and/or any portion of the building serving the dwelling units.

      (3)   Where the application and the accompanying plans submitted to DOB do not provide for any changes described in paragraph (2) of this subdivision, or where the application is for work described in paragraph (1) of this subdivision, a certification shall not be required pursuant to Administrative Code § 28-107.3(4), but may be required pursuant to other provisions of Administrative Code §§ 28-107.1 et seq. or pursuant to the Zoning Resolution.

   (c)   With regard to properties located in the Special Clinton District defined in Article XI, Chapter 6 of the Zoning Resolution (§§ 96-00 et seq.), a certification shall be required where mandated pursuant to the terms of such Article and Zoning Resolution § 96-110; provided, however, that subject to compliance with the applicable zoning provisions, a certification shall not be required for repairs, replacement, modification or partial demolition work that is the minimum required to be performed to address conditions for rescission of a vacate order issued by HPD or DOB in a building.

   (d)   With regard to multiple dwellings located in the anti-harassment area defined in Zoning Resolution § 93-90 (Hudson Yards/Garment Center), a certification shall be required where mandated pursuant to the terms of such section; provided, however, that subject to compliance with the applicable zoning regulations, a certification shall not be required for repairs, replacement, modification or partial demolition work that is the minimum required to be performed to address conditions for rescission of a vacate order issued by HPD or DOB in a building.

   (e)   With regard to multiple dwellings located in the anti-harassment area defined in Zoning Resolution § 23-013 (Greenpoint-Williamsburg), a certification shall be required where mandated pursuant to the terms of such section and New York City Zoning Resolution § 93-90; provided, however, that subject to compliance with the applicable zoning provisions, a certification shall not be required for repairs, replacement, modification or partial demolition work that is the minimum required to be performed to address conditions for rescission of a vacate order issued by HPD or DOB in a building.

   (f)   With regard to multiple dwellings located in the anti-harassment area defined in Zoning Resolution § 98-70 (West Chelsea), a certification shall be required where mandated pursuant to the terms of such section and New York City Zoning Resolution § 93-90; provided, however, that subject to compliance with the applicable zoning provisions, a certification shall not be required for repairs, replacement, modification or partial demolition work that is the minimum required to be performed to address conditions for rescission of a vacate order issued by HPD or DOB in a building.

(Amended City Record 9/14/2021, eff. 10/14/2021)

§ 10-03 Application.

   (a)   An application shall contain such information, in such form, as HPD shall require.

   (b)   An application shall be executed by an applicant. If the applicant is not an access authorizer, the application shall also be executed by an access authorizer.

   (c)   An application may be submitted to HPD (i) by hand delivery on business days, during such hours and in such location as HPD shall determine, (ii) by mail, or (iii) by private courier.

   (d)   The submission of any application shall be accompanied by certified check, bank check, or money order in the amount of the fee made payable to New York City Department of Finance.

   (e)   Following the submission of an application, HPD may request any additional information that HPD determines is relevant to the certification. If HPD sends a written request for additional information to the applicant by regular or certified mail at the address of the applicant set forth in the application, and HPD does not receive such additional information within thirty days following the mailing of such request, HPD may (i) reject the application, or (ii) review the application without such information and draw a negative inference with respect to the missing information.

   (f)   An application shall be deemed to be complete when the completed application, the fee, and the necessary supporting documentation have been received and acknowledged as sufficient by HPD.

   (g)   If HPD determines at any time that an application contains a material misstatement of fact, HPD may reject such application and bar the submission of a new application for a period not to exceed three years.

   (h)   HPD may refuse to accept, or to act upon, an application for a certification pursuant to the Zoning Resolution where HPD finds at any time that (i) taxes, water and sewer charges, emergency repair program charges, or other municipal charges remain unpaid with respect to the multiple dwelling, (ii) the multiple dwelling has been altered either without proper permits from DOB or in a way that conflicts with the certificate of occupancy for the multiple dwelling (or, where there is no certificate of occupancy, any record of HPD indicating the lawful configuration of the multiple dwelling) and such unlawful alteration remains uncorrected; or (iii) HPD has previously denied an application pursuant to the Zoning Resolution.

   (i)   If any information stated in an application changes at any time before HPD makes a final determination, the applicant shall promptly update the application with such new information and submit it to HPD. If such changed information includes any facts that would render the original applicant ineligible to submit the application, HPD may require that the amended application be executed by an individual who is at that time eligible to submit the application.

§ 10-04 Investigation.

   (a)   Except as otherwise provided in these rules, HPD shall conduct an investigation of each application for a certification.

   (b)   HPD shall publish a notice in The City Record and such other publications as HPD shall determine seeking public comment regarding whether there has been harassment of the lawful occupants of the property during the inquiry period.

   (c)   HPD shall send notices to the local Community Board and such other organizations as HPD shall determine seeking comments on any application for a certification.

§ 10-05 Initial Determination.

   (a)   Upon the completion of the investigation of an application for a certification, HPD shall either (i) reject such application as provided in 28 RCNY § 10-03, (ii) determine that there is not reasonable cause to believe that harassment occurred during the inquiry period at the property, (iii) determine that there is reasonable cause to believe that harassment occurred during the inquiry period at the property, or (iv) determine that DHCR or a court having jurisdiction has found that there has been harassment, unlawful eviction, or arson at the property during the inquiry period.

   (b)   If HPD rejects an application as provided in 28 RCNY § 10-03, HPD shall send written notice of such determination to the applicant.

   (c)   If HPD determines that there is not reasonable cause to believe that harassment occurred during the inquiry period at the property, HPD shall (i) send written notice of such determination to the applicant, and (ii) grant the certification in accordance with the terms of 28 RCNY § 10-08.

   (d)   If HPD determines that there is reasonable cause to believe that harassment occurred during the inquiry period at the property, HPD shall send written notice of such determination to the applicant and shall comply with the procedures set forth in 28 RCNY §§ 10-06 and 10-07.

   (e)   If HPD determines that DHCR or a court having jurisdiction has found that there has been harassment, unlawful eviction, or arson at the property during the inquiry period, HPD may deny the certification without a hearing and issue a final determination in accordance with 28 RCNY § 10-07. In such event, HPD may combine the initial determination pursuant to this section and the final determination pursuant to 28 RCNY § 10-07 into a single document.

§ 10-06 Hearing.

   (a)   When HPD has determined in accordance with 28 RCNY § 10-05(d) that there is reasonable cause to believe that harassment occurred at the property during the inquiry period, HPD shall schedule a hearing before the Office of Administrative Trials and Hearings at which the applicant will have an opportunity to challenge such determination.

   (b)   HPD shall serve a notice of hearing by regular mail upon the applicant and any other individual or entity as determined by HPD. Such notice shall state the date, time, and location of hearing and shall inform the applicant that he or she may be represented by counsel and may present witnesses and other evidence.

   (c)   Upon conclusion of such hearing, the hearing officer shall make a report and recommendation to the Commissioner whether an application should be granted or denied.

   (d)   Notwithstanding anything to the contrary in this section or these rules, an applicant may waive its right to a hearing before the Office of Administrative Trials and Hearings.

§ 10-07 Final Determination.

   (a)   When HPD has determined in accordance with 28 RCNY § 10-05(d) that there is reasonable cause to believe that harassment occurred at the property during the inquiry period and a hearing has been held before the Office of Administrative Trials and Hearings in accordance with 28 RCNY § 10-06, the Commissioner shall review the report and recommendation of the hearing officer and make a final determination to grant or deny the application.

   (b)   When HPD has determined in accordance with 28 RCNY § 10-05(d) that there is reasonable cause to believe that harassment occurred at the property during the inquiry period and the applicant has waived its right to a hearing before the Office of Administrative Trials and Hearings in accordance with 28 RCNY § 10-06(d), the Commissioner shall make a final determination to grant or deny the application.

   (c)   When HPD has determined in accordance with 28 RCNY § 10-05(e) that DHCR or a court having jurisdiction has found that there has been harassment, unlawful eviction, or arson at the property during the inquiry period, the Commissioner shall make a final determination to grant or deny the application. In such event, HPD may combine the initial determination pursuant to 28 RCNY § 10-05 and the final determination pursuant to this section into a single document.

   (d)   HPD shall provide the applicant with written notice of the final determination.