Elevator Compliance

In accordance with the NYC Building Codes, elevators must be inspected and tested twice annually. The periodic inspection is performed by an approved elevator agency on behalf of the owner. The agency performing the periodic inspection cannot be affiliated with the agency performing maintenance on the device.

Periodic Inspection

An annual visual inspection performed between January 1 and December 31. Periodic inspections must be submitted within 14 days of inspection date to avoid late fees. Filings not submitted by January 14 of the following year will not be accepted and failure to file violations will be issued. 

Testing

Category Testing is performed and witness by approved independent third-party agencies licensed by the Department. Owners are responsible for hiring an approved inspection agency.

• Category One (CAT1)
  An annual no load safety test performed between January 1 and December 31. CAT1 inspections must be submitted within 21 days of inspection date to avoid late fees. Filings not submitted by January 21 of the following year will not be accepted and failure to file violations will be issued.
• CAT1/Periodic Affirmation of Correction (AOC) inspection
  Defects identified on CAT1 tests and on periodic inspections must be corrected within 90 days after the initial inspection identifying defects and filed within 14 days from the date of correction. Defects not corrected and filed within 104 days after the initial inspection date will result in Failure to Correct (FTC) violations.
• Category Five (CAT5)
  Performed within 5 years from the month of the most recent CAT5 test, or with rated load and speed every 5 years from the month of issuance of a Certificate of Compliance for a new elevator. CAT5 tests must be submitted within 21 days from the test date to avoid late fees. Filings not submitted by the 21st day of the month, following the five-year anniversary, will not be accepted and failure to file violations will be issued.

Permits

Permits must be obtained for new elevator installations or major upgrades to an existing device. To obtain an elevator permit, a NYC-licensed Elevator Director or registered design professional must submit a permit application in DOB NOW: Build.

Violations

The most common elevator violations issued are typically the result of the Failure to Maintain a building device. These violations are issued when defects are discovered during testing. Failure to Maintain violations may be issued by a Department inspector.

If you receive a DOB violation. You must correct the violating condition within 10 calendar days. For the DOB Violation to be dismissed you must correct the violating conditions and notify the Department. Owners who fail to comply with this requirement may be subject to criminal proceedings.

Civil Penalty Waivers

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 violation 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.

Helpful Links

• Resolve Elevator Violations
• DOB NOW: Safety for Elevator Compliance FAQs
• Elevator Periodic Inspection Checklist
• Escalator Periodic Inspection Checklist
• Elevator Forms
• Elevator Violations FAQs
• Top Elevator Offenders
• DOB NOW: Inspection Resources
• Elevator Safety
• Amusement Ride Safety