What Are Category 1 and Category 5 Elevator Inspections?The DOB requires all elevator devices to undergo an annual “Category 1” inspection by December 31st of each calendar year. Depending on the type of device, some also require a “Category 5” full load inspection test every five years.

Category 1 and Category 5 reports must be delivered to the owner by the approved performing or witnessing agency within 30 days of the inspection, and must be filed with the DOB within 60 days of the inspection date. When the Category 1 and Category 5 inspections fall in the same year, owners may choose to perform both types of inspections at the same time and file the results on the same ELV3 Form.

If defects are found during the inspection, these items must be corrected and an ELV29 Affirmation of Correction Form must be filed as proof of correction. Defects must be corrected within 120 days of the original inspection date, and correction paperwork filed within 60 days of the date of correction, for a total of 180 days to both correct and file.

PENALTIES

The penalties for noncompliance have risen dramatically, with maximum fines of:

§ $3,000 per elevator for failing to file the Category 1 inspection

§ $5,000 per elevator for failing to file the Category 5 inspection

z Please also note that Category 1 inspections with a result of “ACCEPTED - UNSATISFACTORY” do not fulfill the Category 1 inspection requirements. After an initial “unsatisfactory inspection,” performing a correction and filing a timely AOC (Affirmation of Correction) are necessary to prevent a monthly late filing fee of $150 per device, subject to a full $3000 penalty for failure to file after 12 months.

� For more information about elevator inspections, visit http://www.nyc.gov/html/dob/html/development/elevator_insp.shtml

What is an EVCAT, VCAT (or LL10/81) violation?Although the violation names are different, these designations refer to administratively issued violations for failure to file an annual Category 1 elevator inspection report.

The designation depends on the year the violation was issued, and was known as an LL10/81, directly referencing Local Law 10 of 1981, and was subsequently called a VCAT1 (issued at the end of 2010 for the 2009 inspection cycle).

Now called the EVCAT1, these violations were issued in 2013 or earlier (for the 2011 cycle or earlier) per building, not per device. The “device number” that may be listed with this type of violation is not actually a valid device number, as one violation is issued per building, per year, regardless of the number of noncompliant devices. There may be multiple device numbers associated with a single violation, and the penalties are assessed per device that were out of compliance. To clear an EVCAT1 violation issued in 2013 or earlier, a penalty sheet must be retrieved from the DOB to assess the number of noncompliant elevator devices at the property.

EVCAT1 violations issued in 2014 for the 2012 cycle were NOT issued on a per-building basis; each EVCAT1 violation issued represents a single elevator device. The device number linked to the EVCAT1 violation refers to the noncompliant device therefore a penalty sheet is not required to determine the applicable devices. Because of this, you may see multiple EVCAT1 violations associated with a single property.

ELEVATORS & BOILERS Elevator and boiler devices at your buildings are some of the most costly and difficult equipment to keep in compliance. It’s important to know exactly what the law requires, so we’ve put together this handy reference to keep you in the know.

QUICK REFERENCE GUIDE • 2015

ELEVATOR INSPECTIONS

PENALTIES

§ For EVCAT1 violations, the penalty is $3,000 per non-compliant device § For VCAT1 and LL 10/81 violations, the penalty is $1,000 plus a $30 filing fee per non-compliant device.

These civil penalties can be paid at the DOB Elevator Division at 280 Broadway, 4th Floor.

What is an Elevator PVT Violation?The DOB hires third party inspectors to perform periodic inspections of elevator devices. A PVT (or E-ELEVATOR violation) may be issued for failure to maintain the device.

HAZARDOUS VIOLATIONS

If the violation is hazardous or if the violation was issued for “no access to the device or machine room,” a certified elevator inspection company must submit a letter, by mail or in-person to the Elevator Division indicating that corrections were made and requesting a re-inspection of the device.

NON-HAZARDOUS VIOLATIONS

If the violation is non-hazardous, the certified company may itself perform the reinspection and submit the following documentation to the Elevator Division at 280 Broadway, 4th Floor.

§ Completed Affirmation of Correction (form ELV-29) § Copy of the Violation § Filing fee of $40 per elevator device

AUTOMATIC REMOVALS

As of 2014, the DOB has also begun removing PVT violations on a regular basis from any elevator devices that are in current compliance. If your device has a current status of “Satisfactory” or “Accepted - Correction,” the DOB may clear any associated PVTs from that elevator as often as quarterly. Please note that this automatic removal process may take time, so if you need to clear PVTs quickly, submitting an Affirmation of Correction is often the fastest route.

What is an ACC1 Elevator Violation?An ACC1 violation is issued for failure to file an Affirmation of Correction for an “Unsatisfactory” annual Category 1 elevator inspection report. The civil penalty for ACC1 violations is $3,000 per noncompliant device.

Similar to the EVCAT1, for any violations issued before 2014, only one ACC1 violation was issued per building, regardless of the number of devices out of compliance, and each non-compliant device at that address is subject to a separate penalty. In order to correct ACC1 violations issued prior to 2014, a penalty sheet must be requested from the Elevator Division. Violations issued after 2014 were issued per device.

According to the DOB, penalties for ACC1 violations issued in 2014 are officially waived and do not require payment.

DISMISSING ACC1 VIOLATIONSFor dismissal, these violations require paying the $3000 fine to the DOB Elevator Division at 280 Broadway, 4th Floor.

z Note: According to the DOB, penalties for ACC1 violations issued in 2014 were issued in error: they are officially waived and do not require payment.

But to fully dismiss these ACC1 violations, one must do either of the following:

OPTION 1: § Correct the defects found in the 2012 annual test and § File the ELV-29 report showing proof of correction OR

OPTION 2: § Submit a subsequent “Satisfactory” Category 1 report to the DOB

If you have already submitted payment on an ACC1 violation issued in 2014, the DOB has stated that they will refund this payment.

� See the Refund Request Application Form required to complete the process: http://www.nyc.gov/html/dob/downloads/pdf/refund_request_application.pdf

Questions? Don’t hesitate to reach out to us at support@sitecompli.com or 800.564.1152.

ELEVATOR INSPECTIONS

ELEVATOR & BOILER QUICK REFERENCE GUIDE • 2015

Questions? Don’t hesitate to reach out to us at support@sitecompli.com or 800.564.1152.

What Are the Requirements for an Annual Boiler Inspection?The DOB requires all low-pressure boilers to have an annual inspection by December 31st of each year.

The DOB requires all low-pressure boilers to have an annual inspection by December 31st of each year. A Boiler Inspection Report (BO-9 form) must be filed within 45 days of performing the inspection. Reports submitted more than 45 days after the date of inspection will receive a late penalty of $50 per boiler for each month the report is late. Failure to file this report can result in a maximum fine of $1,000 per boiler 12 months after the date of inspection.

If an inspection report is filed with the status “Defects Exist,” correction paperwork must filed within 180 days of the inspection to prove that any noted defects have been corrected. Failure to correct boiler defects or file within the allotted cycle time may result in penalties of up to $1,000.

The DOB requires high pressure boilers to have two inspections within the annual cycle: an internal inspection and an external inspection, and failure to file either of these inspections could result in a maximum $1,000 penalty per inspection type.

Please note that the inspection status “DDPROJ NEW BLR # ISSUED” reflects an effort by the DOB to remove duplicate boiler numbers in their system. Boilers that list this inspection status have been assigned a new boiler number and therefore have no previous inspection history on file. Although the inspection date is not actually a traditional annual inspection, according to the DOB, the boiler does not require an inspection and should not receive a violation for failure to file an annual boiler inspection for the same year that the new number was issued.

� For more information about boiler inspections, visit http://www.nyc.gov/html/dob/html/development/boiler_permit_and_insp.shtml

What is an LBLVIO (Or LL62/91) Violation?An LBLVIO (or LL62/91) violation is administratively issued from the DOB for the failure to file an annual boiler inspection report.

PENALTIES

LBLVIO violations have been issued since 2010, and violations issued in 2009 or earlier were classified as Local Law 62/91 violations.

§ LBLVIO violations carry a civil penalty of $1,000 per boiler

§ Local Law 62/91 violations carry civil penalties of $500 per building 6 stories and under, or $1500 per building 7 stories or higher

CLOSING THIS VIOLATION

To close these violations, you must submit the following documentation to the Boiler Division at 280 Broadway, 4th Floor:

§ Printout from DOB BIS system showing that current annual boiler inspection is in compliance § Printout from DOB BIS system of the violation § Certified check or money order payable to Department of Buildings, for the civil penalty due.

How Do I Remove a Boiler From the DOB Records?The process requires a visit from an authorized master plumber to inspect and certify that a boiler does not exist at a

specific address.

To remove or disconnect a boiler from a property record, submit Form OP 49 along with a $45 processing fee to: Boiler Division, 4th Floor at 280 Broadway

If a boiler is not decommissioned properly, there may be additional administratively issued violations at the property going forward for failure to file annual inspections.

BOILER INSPECTIONS

ELEVATOR & BOILER QUICK REFERENCE GUIDE • 2015