Elevator Violations Frequently Asked Questions


  1. Why did I receive a notice of an elevator violation?
  2. How do I find out how much I owe and pay the violation?
  3. Once payment is made, how does it get dismissed?
  4. Is there a deadline to pay the violation?
  5. Can I get the violation waived?
  6. What documents do I need to upload with my waiver request?
  7. I am a new owner and didn’t own the property at the time of violation. Can the violation be waived?
  8. Can I request a waiver if the device I received a violation for was removed, dismantled, new, replaced or work was in progress?
  9. I received a violation for a device that was located at a property that was demolished. How do I get the violation waived?
  10. If I need more assistance with submitting an elevator violation payment or waiver, who do I contact?
  11. I filed an elevator inspection report but I received a violation. How do I get the violation removed?
  12. How do I find out if my property has an open work without a permit, failure to maintain or cease use elevator violation?
  13. How do I correct a work without a permit, failure to maintain or cease use elevator violation?
  14. How do I correct an Elevator PVT Violation?

 

  1. Why did I receive a notice of an elevator violation?

    Department of Buildings records indicate that an approved elevator inspection agency did not submit a required Category 1(CAT1) or Category 5 (CAT5) inspection/test report.

    For CAT1 filings accepted with defects, a subsequent Affirmation of Correction (AOC) must be filed with the Department. If the Department of Buildings does not have an AOC on record, it will result in the issuance of a failure to correct defects violation. All defects found on a CAT 1 are required to be corrected within 120 days. Within 60 days of the date of correction, an AOC is required to be filed with the Department.

    Category 1 is a no-load safety test of an elevator device that must be performed between January 1st and December 31st of each calendar year. The filing deadline is 60 days from the date of the inspection and test.

    Untimely filings are subject to civil penalties/late fees. Reports not filed within 12 months from the date of the inspection are considered expired and will not be accepted by DOB.

    Category 5 is a rated, load and speed safety test that must be performed within five years from the month of issuance of a final certificate for a new elevator or within five years from the month of the most recent CAT5 inspection/test on an existing elevator. The five-year inspection/test is required for the various elevator device types listed in Table N1 of the 2014 NYC Building Code.

    See NYC Administrative Code §28-304.6 for more information on inspection and test requirements.

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  1. How do I find out how much I owe and pay the violation?

    Effective June 17, 2020, CAT1 and CAT5 violation payments must be paid in DOB NOW: Safety. This includes both Failure to File and Failure to File an Affirmation of Correction violation types. DOB NOW: Safety will calculate the penalties owed and contains all elevator violation and inspection report data from the Building Information System (BIS) and DOB NOW. To search and pay for a violation, follow these steps:

    • Use an eFiling account to log in at www.nyc.gov/dobnow. If you need to create an eFiling account, visit www.nyc.gov/dobnowtips.
    • Select DOB NOW: Safety and then the Violations portal.
    • From the dashboard select +Violation Search/Payment.
    • Search by Violation Number, Device Number, Address or BIN. When a device number, address or BIN is entered, all active violations will appear along with the amount of the civil penalty due for each violation.
    • Select the violation for which you want to pay. Only one violation can be paid at a time.
    • Click “Save”. The respondent information on the request is populated from the information found in the eFiling account that was used to log into DOB NOW.
    • Complete the Statements & Signature section and click “Save” again.
    • Select “Proceed to Pay”. You will then be taken to the CityPay portal to complete payment.

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  1. Once payment is made, how does it get dismissed?

    Payments made in DOB NOW: Safety by credit card will be processed immediately and the violation(s) status will change to dismissed in the Buildings Information System (BIS). Payments made by eCheck will take up to 10 days to be processed. An email notification will be sent when the payment has processed and the violation has been dismissed.

    Violations from 2017 or later require a current CAT1 or CAT5 inspection report in accepted status to have been filed in DOB NOW: Safety. Once payment has been made, the violation will not be dismissed unless an accepted inspection report has been submitted. If an inspection report is submitted, an email notification will be sent and the violation will be updated to dismissed status in BIS within 24 hours.

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  1. Is there a deadline to pay the violation?

    No, there is no deadline to pay the full civil penalty. Violations stay on the property until the civil penalty is paid and a current inspection/test report has been filed. There is no accrued interest. Open violations will stop issuance of a final certificate of occupancy and will negatively affect attempts to re-finance or sell a property.

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  1. Can I get the violation waived?

    Most violations for failure to file an elevator inspection report cannot be dismissed without payment of the full civil penalty. In addition, a current elevator inspection report must be on file to clear violations from prior years. If you are a new owner or the elevator has been removed or is no longer required to file you may be eligible for a waiver.

    To submit a waiver request, follow the below steps:

    • Use an eFiling account to log in at www.nyc.gov/dobnow. If you need to create an eFiling account, visit www.nyc.gov/dobnowtips.
    • Select DOB NOW: Safety and then the Violations portal.
    • From the dashboard select +Civil Penalty Waiver.
    • Search by Violation Number, Device Number, Address or BIN. When a device number, address or BIN is entered, all active violations will appear. Select the device number and then the specific associated violation(s) for which you want to submit a waiver request and press the +Add button. Only one device can be submitted per application and only five violations can be submitted per device. If there are more than five violations on a device, multiple applications will need to be submitted.
    • Select the Waiver Request Reason. See 1 RCNY §103-02 for waiver information.
    • Save the application to proceed. The respondent information on the request is populated from the information found in the eFiling account that was used to log into DOB NOW.
    • Upload any required supporting documentation on the Documents tab.
    • Complete the Statements & Signature section and Save the application again.
    • Select the Pay Now button to submit the payment of $35.00 in the CityPay portal.
    • The last step is to select the Submit button. The request will not be reviewed by DOB staff until the Submit button is selected. Payments made by eCheck will take up to 10 days to be processed. An email notification will be sent when the payment has processed and the request has been sent to DOB staff for review.

    An email notification will be sent with the status of the review. If the waiver is granted for all of the violations on the device, the violation status in BIS will be updated to dismissed.

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  1. What documents do I need to upload with my waiver request?

    See 1 RCNY §103-02 for specific information about waiver reasons and the proof that needs to be provided.

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  1. I am a new owner and didn’t own the property at the time of violation. Can the violation be waived?

    The Department of Buildings does not grant automatic waivers of elevator violations issued to a prior owner. There are limited circumstances, and all conditions must be met. A final decision will be at the discretion of the Department. You may submit an Elevator Waiver of Civil Penalties request in DOB NOW: Safety. See Question 5 for instructions on submitting a waiver if one of the below reasons applies:

    • 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. Such waiver is limited to one of the following circumstances:
      1. The owner has obtained full tax exempt status from the NYC Department of Finance; or
      2.  The new owner submits proof to the department (such as a certificate from the Department of Housing Preservation and Development) that he or she took the title to the property as part of an economic development program sponsored by the government agency.
    • 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.
    • Bankruptcy.  An owner may be granted waiver of penalties upon submission of a copy of a bankruptcy petition, together with proof that either the department or the New York City Law Department was served with a “Notice of Bar Date”.

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  1. Can I request a waiver if the device I received a violation for was removed, dismantled, new, replaced or work was in progress?

    Yes, an owner may be granted a waiver of penalties contingent upon the department acceptance of proof of the following:

    1. 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, for removal only, indicating that the elevator was removed or dismantled prior to the inspection and test cycle for which the report was due.
    2. New or replaced.  That a final certificate was issued by the department as part of a new installation during the inspection and test cycle for which the report was due.
    3. Work in progress.  That there was work in progress for the replacement or installation of a new elevator or 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 work, a new category 1 inspection and test report shall be filed in accordance with this section.

    See Question 5 for instructions on submitting an Elevator Waiver of Civil Penalties request.

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  1. I received a violation for a device that was located at a property that was demolished. How do I get the violation waived?

    An owner may be granted a waiver of civil penalties contingent upon the department’s confirmation of the following:  

    1. 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 and/or that a new building permit has been issued for the property.
    2. 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.

    See Question 5 for instructions on submitting an Elevator Waiver of Civil Penalties request.

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  1. If I need more assistance with submitting an elevator violation payment or waiver, who do I contact?

    If you need additional information with the elevator violations portal, submit an inquiry at www.nyc.gov/dobnowhelp.

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  1. I filed an elevator inspection report but I received a violation. How do I get the violation removed?

    See Question 5 for instructions on submitting an Elevator Waiver of Civil Penalties request.

    If the elevator inspection report was submitted on paper, upload a time-stamped copy of the report and proof of payment of the filing fee (if applicable) with the waiver request.

    If the elevator inspection report was submitted online, search DOB records to see if your elevator company submitted an inspection report for the year the violation was issued.  Go to DOB NOW and enter your address and click search.  At the bottom of the screen select SAFETY: Compliance Filings, Compliance Type: Elevators.  View the device details and obtain the Tracking Number of a filing with the same Inspection Type as the violation and a Compliance Report Status as Accepted or Accepted with Defects. Provide this tracking number in the waiver request Comments section

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  1. How do I find out if my property has an open work without a permit, failure to maintain or cease use elevator violation?

    Go to the Buildings Information System (BIS) at www.nyc.gov/bis. Select Building Information Search and use the Search by Property section to find your property. Toward the end of the Property Profile Overview page, select Violations-DOB or Violations-OATH/ECB.

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  1. How do I correct a work without a permit, failure to maintain or cease use elevator violation?

    If you received an OATH summons for an audit/complaint inspection, you must correct the violating condition(s) and certify correction with the Department. See Resolving Violations/Summonses: OATH for more information.

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  1. How do I correct an Elevator PVT Violation?

    For Class 1 hazardous violations resulting in a Cease use of the device, a Certified Elevator Inspection Company must submit a letter, by mail or in-person to the Elevator Unit indicating the corrections made and request a re-inspection of the device.
    If the violation is non-hazardous, (device kept in service) the certified elevator company may itself perform the re-inspection, once all listed defects have been corrected, and then submit an Affirmation of Correction (ELV29 Form) along with a copy of the violation to the Elevator Unit.

    The Department only accepts paper ELV29/AOC Forms for the correction of PVT violations. AOCs for annual inspections/tests/CAT1s are required to be submitted in DOB NOW: Safety.

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