Required Audit Compliance and Record-Keeping

Are you in compliance? The Department of Housing Preservation and Development, the New York City Law Department, the New State Attorney Geneal’s office and other enforcement agencies seek penalties for violations for failure to properly comply with lead-based paint laws and to document that appropriately as required.

A Record Production Order issued by HPD requires property owners to submit documentation of lead-based paint compliance for their property within 45 days to HPD. A property owner who does not respond to the Record Production Order or who responds with incomplete records will be issued immediately hazardous Class “C” violations and may be subject to additional violations. Property owners will be liable for a civil penalty of no less than $1,000 and not more than $5,000 for this violation.

Required documentation includes:

Records for the Annual Notice distribution and collection
Records for the completed annual investigations
Records for work performed to correct open and uncertified lead-based paint hazard violations including documentation of work practices used
Records for all non-violation work that disturbed lead-based paint or paint of unknown lead content in a dwelling unit where a child under six years of age resides or in the common area of the building, including documentation of the safe work practices used
Records for all work performed at turnover and in child-under-6 units including documentation of work practices used and lead-contaminated dust clearance test results
Record of XRF Testing:
- Names of inspectors or contractors performing lead-based paint inspections
- Proof of qualification for the EPA certified inspector and firm conducting the inspection
- Lead-based paint testing results/reports provided by the inspector/contractor

Audit Violations

HPD issues violations for failure to supply the appropriate documents.

Violation Orders	Is Issued To
614	Provide turnover records for 10 years to certify compliance
618	Provide HPD within 45 days of request all records required related to Lead-based paint notices, inspections, and remediation/abatement activities for the last 10years.
619	Provide notification to tenant and investigate lead-based hazardous paint etc. for the last 10 years.
620	Provide HPD within 45 days of request all records required related to Lead-based paint notices, inspections, and remediation/abatement activities for the last 10 years.
623	Provide turnover records for 10 years to certify compliance
626	Provide documents showing compliance with XRF Testing

If an owner receives one of these violations, the owner will only be able to comply by providing the required documents.

Do I have to wait 10 years to have these violations removed if I don’t have records?

Property Owners and managing agents who have been issued 618,619, and 620 violation order numbers have the opportunity to have the record production orders dismissed using the Record Production Order Dismissal Request Form by the three most recent years of acceptable records and paying a fee for any years for which records are not available or unacceptable.

HPD can also issue a violation for failure to complete turnover work when conducting a field audit inspection related to a COTA or HPD Lead Index Audit. Order #623 is issued when the occupant stated that they moved into the unit within the last ten years and the property owner failed to provide the turnover documents to HPD as requested in our Record Production Order.

Please feel free to contact HPD’s Lead Unit (212) 863-5501 option # 5 with any questions.