§ 103-02 Elevator Inspections and Tests, Filing Requirements, Penalties and Waivers.
RCNY § 103-02
(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.
(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.
(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.
(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)
