§ 11-12 Additional Audits and Demands for Records.
RCNY § 11-12
(a)Upon the issuance by the department of a demand for records to determine compliance with the requirements of Article 14 of the Housing Maintenance Code, the department may require that an owner submit to it records required to be kept by such owner pursuant to Article 14 of the Housing Maintenance Code and these rules. The department may make such demands and perform such audits at any time, and, in addition, shall perform such audits for a minimum of 200 buildings each fiscal year. Such records must be submitted to the department within 45 days of written demand for such records by the department, or within such other time period not less than 45 days as shall be stated in writing to the owner, in the discretion of the department.
(b)The department may select the buildings required to be audited each fiscal year pursuant to subdivision (a) of this section using the following criteria, which shall include, but need not be limited to: (1) buildings with peeling lead-based paint violations issued pursuant to § 27-2056.6 of the Administrative Code as a result of a positive XRF test; (2) buildings with violations that have been issued for other indicators of deteriorated subsurfaces including, but not limited to, mold and leaks; and (3) buildings with violations that have been issued pursuant to § 27-2056.8. The buildings selected may be subject to further selection criteria including building size, date of issuance of violations, percentage of units with housing maintenance code violations, and location. Further, in selecting buildings for audit from those buildings with violations identified within this subdivision, the department may consider the number of such violations and data on the prevalence of elevated blood lead levels in certain geographic areas identified by the department of health and mental hygiene.
(c)The department may undertake an inspection, and any enforcement action authorized by law, where an owner refuses or fails to produce the records required by the department pursuant to its audit demand or pursuant to any other proper order.
(d)Documentation Required under Records Audits and other Demands for Records. The documents that may be required to be submitted to the department for each year for any audit as specified by the department or pursuant to a demand for records issued for a violation of §§ 27-2056.6, 27-2056.6.1, 27-2056.8 or any other applicable provision of Article 14 of the Housing Maintenance Code are set forth in subdivisions (e) through (i) of this section. The department may make available on its website the forms or affidavits required for such submissions. If a new owner has acquired the building within the required audit period, and the documentation required to be kept was not provided to the new owner by the previous owner, the new owner must provide the required documentation for the actual years of ownership and an additional affidavit of missing records for the remaining period of time covering the audit period, accompanied by a copy of the deed of ownership.
(e)Audit or Demand for Records of Annual Notice Distribution and Investigation. Pursuant to subdivision (d) of this section, the owner must provide: (1) Proof of delivery to the occupant of each dwelling unit of the annual notice required to be provided by 28 RCNY § 11-03(b), including: (i) An affidavit of Delivery/Email/Mail from the owner providing the following information: Complete owner’s name, address, contact information, and date of the affidavit; name of the owner’s representative who performed the delivery/mailing/emailing on behalf of the owner of the annual notice required to be provided by 28 RCNY § 11-03(b); and a sample copy of such annual notice in English and Spanish that was delivered/mailed/ emailed to occupants of the owner’s building; (ii) A complete list of recipient dwelling units with the building address, each dwelling unit number and the date of delivery to each dwelling unit or the date of the email/mail notice sent to each dwelling unit; and (iii) Whenever applicable, a complete list of any dwelling units and common areas in the building for which there is a lead exemption obtained from the department that is in effect during the audit period; and a complete list of owner/shareholder-occupied cooperative or condominium dwelling units during the audit period, where the owner was not required to provide such annual notice to such owner/shareholder. Any such lists must be signed by the owner.
(2)Annual notice response received from the occupant of each dwelling unit, including: (i) A list of the dwelling units that received the annual notice required to be provided by 28 RCNY § 11-03(b), with an indication of whether each dwelling unit responded and, if so, the substance of such response, including whether a child under six resides in such dwelling unit, based on either the occupant’s verbal or written response or the owner’s inspection/knowledge; (ii) Copies of the completed and returned annual notices, where received. Such annual notice must have the building address, dwelling unit number, and occupant’s name, signature and date, where received; and (iii) For those dwelling units that did not respond to such annual notice, the date when access was attempted to confirm whether a child under six resides in such therein or an indication that the owner had knowledge of a dwelling unit in which a child under six resides; and proof of providing written notice by certified or registered mail or by first class mail with proof of mailing of the need to access the unit; and a copy of the notice sent by the owner to the department of health and mental hygiene regarding failure to access any particular dwelling unit.
(3)Annual investigation reports conducted pursuant to responses by occupants to annual notices required to be provided by 28 RCNY § 11-03(b), including: (i) An affidavit stating that access was gained to conduct the visual inspection of the dwelling unit, that the inspection was conducted, the person who conducted such inspection, the date of inspection, and the dwelling unit number; and (ii) For dwelling units that were inspected, the owner must provide copies of the inspection report including a statement of whether there was or was not peeling paint on all visually inspected components or similar documentation. The owner may use a sample form made available by the department for documentation of owner investigations, or a substantially similar form containing the same information to provide a report of surface-by-surface, individual paint-containing building component investigation, including walls, chewable surfaces, deteriorated subsurfaces, friction surfaces and impact surfaces in every room, including interiors of closets and cabinets; (iii) On and after August 1, 2025, records of any x-ray fluorescence analysis conducted pursuant to subdivision a-1 of § 27-2056.4 of the Administrative Code and subdivision (b) of 28 RCNY § 11-04; and (iv) If access was not gained to a dwelling unit, an affidavit stating the dates that an attempt was made to gain access, including the date the owner provided written notice of the need for access by certified or registered mail or by first class mail with proof of mailing. For such units, the owner must also provide copies of the written notice to the occupant informing the occupant of the need to access the unit or similar documentation and a record regarding access attempts and the reasons for failure of access as set forth in subdivision (b) of 28 RCNY § 11-04.
(f)Audit or Demand for Records of Work Performed to Correct Lead Based Paint Hazard Violations. For currently open and uncertified violations in the period, the owner must submit: (1) An affidavit AF-5; (2) An affidavit made by an EPA-certified abatement firm’s authorized agent or individual who performed the work to correct the lead-based paint hazard violation(s) stating that the work was performed in accordance with § 27-2056.11 of Article 14 of the Housing Maintenance Code and 28 RCNY § 11-06; the start and completion date of the work; and the address and contact information (phone or fax) for the EPA-certified abatement firm that completed the work; (3) A copy of the EPA certification for the EPA-certified abatement firm that performed the work to correct the lead-based paint hazard violation(s); (4) A copy of the State-certified laboratory analysis of all surface dust samples taken which indicates the method of preparation and analysis of the samples; (5) An affidavit from the individual who took the surface dust sample, verifying the date the sample was taken and indicating the address and dwelling unit where the sample was taken; and (6) A copy of the Certificate of Training of the individual who took surface dust samples that is valid for the period when the dust samples were taken.
(g)Audit or Demand for Records of Non-violation Work that Disturbed Lead Based Paint or Paint of Unknown Lead Content. Upon a request by the department pursuant to subdivision (b) of this section, an owner must submit an affidavit that no non-violation work on such painted surfaces in apartments with children under six at the time of the repair was completed in the audit request period, or submit the following documents: (1) Records for all non-violation work that disturbed lead-based paint or paint of unknown lead content on a surface greater than two square feet per room, in a dwelling unit where a child under six years of age resides, or in the common areas of the building, including documentation of the work practices used. Such records shall include: (i) All documentation required under 28 RCNY § 11-06(c); (ii) A copy of all licenses and training certificates, required for the firms and personnel who performed the work; (iii) An affidavit made by an EPA-certified abatement or EPA-certified renovation firm’s authorized agent or individual who performed the work stating that the work was performed in accordance with § 27-2056.11 of Article 14 of the Housing Maintenance Code and 28 RCNY § 11-06, including the start and completion date of the work, and the address and contact information (phone or fax) for such firm; (iv) A copy of the certification for such firm; (v) The location of the work performed in each room, including a description of such work or invoices for payment for such work; (vi) A copy of the State-certified laboratory analysis of all surface dust samples taken which indicates the method of preparation and analysis of the samples; (vii) An affidavit from the individual who took the surface dust samples, verifying the date the sample was taken and indicating the address/dwelling unit where the sample was taken; (viii) A copy of the Certificate of Training of the individual who took surface dust samples that is valid for the period when the dust samples were taken; and (ix) Checklists completed when and/if occupants were allowed temporary access to a work area.
(h)Audit or Demand for Records of Work Performed at Turnover of any Dwelling Unit or Prior to Turnover in Dwelling Units Occupied by a Child of Applicable Age. Upon an audit of turnover of a dwelling unit, the owner must provide: (1) An affidavit listing any dwelling units that have turned over in the audit period, which must include the dates that the dwelling unit was vacated and reoccupied; and (2) (i) Where no work was necessary to comply with the requirements for turnover of any dwelling unit: An affidavit stating that the dwelling unit: (A) has a lead free exemption from HPD; (B) has no painted friction surfaces and the floor, window sills and window wells are smooth and cleanable such that no turnover work or clearance activity was required; or (C) was XRF tested by a EPA-certified risk assessor or lead inspector and no painted surfaces tested positive for lead-based paint, with a copy of the results of the XRF test and an affidavit from the risk assessor or lead inspector; or (ii) Where work was necessary to comply with the requirements for turnover of the dwelling unit: (A) The name, address, and telephone number of the EPA-certified abatement or EPA-certified renovation firm that performed the work; (B) A copy of all licenses and training certificates required for the firms and personnel who performed work; (C) A sworn statement made by the EPA-certified abatement firm’s or EPA-certified renovation firm’s authorized agent or individual who performed the work on behalf of such firm stating that the work was performed in accordance with § 27-2056.11(a)(3) of Article 14 of the Housing Maintenance Code and 28 RCNY § 11-06, and the start and completion date of the work; (D) A copy of the certification for such firm; (E) The location of the work performed in each room, including a description of such work and components or parts of the dwelling unit that were replaced, or the invoices for payment for such work; (F) A copy of the State-certified laboratory analysis of all surface dust samples taken which indicates the method of preparation and analysis of the samples; (G) An affidavit from the individual who took the surface dust sample, verifying the date that the sample was taken and stating the address and dwelling unit where the sample was taken; (H) A copy of the Certificate of Training of the individual who took surface dust samples that is valid for the period when the dust samples were taken; and (I) On and after August 1, 2025, records of any x-ray fluorescence analysis conducted pursuant to subdivision (a-1) of § 27-2056.4 of the Administrative Code and subdivision (b) of 28 RCNY § 11-04.
(i)Audit or Demand for Records of Investigation for the Presence of Lead-Based Paint pursuant to Administrative Code§ 27-2056.4(a-1). Upon an audit of the investigation required under administrative code § 27-2056.4(a-1), the owner must provide: (1) Identification of each dwelling unit and common area that was investigated; (2) Whether a child of applicable age resided in the dwelling unit and, if so, the date such child first came to reside in such unit; (3) Date of the investigation; (4) Documentation identifying the firm and individuals who performed the investigation pursuant to Administrative Code § 27-2056.4(a-1), including copies of certifications of such firm and individuals pursuant to section 745.226 of title 40 of the code of federal regulations; (5) Testing results from the investigation pursuant to Administrative Code § 27-2056.4(a-1) and 28 RCNY § 11-04(b); and (6) Identification of any dwelling units in the building that have been granted an exemption by the department pursuant to 28 RCNY § 11-08.
(j)Dismissal of Record Keeping Violations. Notwithstanding any other provision of law, a violation issued to an owner of a multiple dwelling pursuant to § 27-2056.4, § 27-2056.7, or § 27-2056.17 of the Administrative Code, which require keeping or producing records for 10 years, shall be dismissed as having been corrected if the owner submits: (1) a record production order dismissal request form for such violation with the required consecutive10 years of records, including records for the year in which the owner is submitting the dismissal request; or (2) the appropriate violation dismissal request form for such violation with documentation demonstrating that the owner has kept the required records for a period of at least 3 consecutive years, including such records for the year in which the owner is submitting the dismissal request, and upon notification from the department that such submitted documentation is sufficient, a payment of $1,000 for each year of the 10 years that the owner does not submit documentation. (Added City Record 11/8/2019, eff. 12/8/2019; amended City Record 9/8/2020, eff. 10/8/2020; amended City Record 1/11/2021, eff. 2/10/2021; amended City Record 2/14/2025, eff. 3/16/2025)
