ABCs of Housing 2021

ABCs

o f HOUSING

2021

www.nyc.gov/hpd

ABCs OF HOUSING

This publication is intended for informational purposes only and is not intended as legal advice. This information is not a complete or final

statement of all of the duties of owners and tenants with regard to laws and rules relating to housing in New York City.

TABLE OF CONTENTS

Owners’ and Tenants’ Rights and Responsibilities 3

Staying in Your Apartment Safely 4–22

I. CONDITIONS 4 –11

A. Heat and Hot Water 4

B. Carbon Monoxide and Smoke Detectors 5

C. Locks 5

D. Lead-Based Paint 6

E. Mold 7

F. Pests 8

G. Window Guards 9

H. Self-Closing Doors 9

I. Gas Leaks 10

J. Gas Powered Stoves: Stove Knob Covers 10

K. Elevators 11

L. Illegal Basement and Cellar Occupancy 11

*NEW* M. COVID-19 11

II. COMPLAINTS, VIOLATIONS AND ENFORCEMENT 12-14

A. HPD Complaint Process 12

B. Violations 13

C. Emergency Repairs 13

D. Housing Court 13–14

E. New York State Homes and Community Renewal (HCR) 14

F. Alternative Enforcement Program (AEP) 14

G. Proactive Preservation Initiative (PPI) 14

III. HARASSMENT 15–16

IV. TENANT RESOURCES 16–18

A. Initiating a Case in Housing Court 16

B. Eviction Prevention 17–18

V. OTHER HOUSING ISSUES 18–22

A. Rent-Regulated Apartments 18

B. Tenant Data Privacy Law 19

C. Certificate of Occupancy and Rent Payments 20

D. Building Safety 20

E. Emergency Planning and Evacuations for Residential Building Owners/Managers 20–22

F. Discrimination 22

G. Foreclosure 22

H. Tenant Associations 22

I. Pets 22

VI. HOUSING EDUCATION 23

Resources for Affordable Housing Seekers 23–24

I. HOW TO APPLY FOR AFFORDABLE HOUSING 23–24

II. RENT INCREASE EXEMPTION 24

Resources for Owners 25

I. DIVISION OF NEIGHBORHOOD PRESERVATION (DNP) 25

II. LOW INTEREST LOANS AND TAX EXEMPTIONS 25

III. HOMEOWNER HELPDESK 25

IV. FILING BUYOUT AGREEMENT REQUIREMENTS 25

Useful Contact Information for Other Housing-Related Issues 26–27

Housing Information Guide Signage Sample 28

Important Dates to Remember 29

2021

ABCs

o f HOUSING

ABCs OF HOUSING

Owners’ and Tenants’ Rights

and Responsibilities

Owners and tenants have legal responsibilities to each other. The New York City Department of Housing Preservation and

Development (HPD) is one of many City and State agencies that enforce those responsibilities. This booklet is designed to help

owners and tenants gain an understanding of the rules and regulations affecting housing and provide you with information

about where you can receive assistance.

BUILDING OWNERS

Owners must ensure that

common areas and individual

apartments in their buildings

are safe and well maintained

in compliance with the

Housing Maintenance Code

(HMC) and Multiple Dwelling

Law (MDL). Among other

responsibilities, owners must:

• Provide and maintain

security measures, heat,

hot and cold water, and

good lighting.

• Address leaks, mold, and

pest issues immediately

and conduct annual

inspections for these

conditions.

• Provide smoke detectors,

carbon monoxide

detectors, and ensure

appropriate fire egress.

• Protect children by

complying with regulations

regarding lead-based

paint and window guards.

• Post a notice about the

availability of the ABCs of

Housing in the common

area of their building (see

inside back cover for a

sample of the notice that

must be posted).

• Post appropriate signage

at the building, file

appropriate documents

with HPD, and provide

appropriate notices to

tenants.

• Only rent legal residential

space for living, as defined

by a property’s Certificate

of Occupancy.

• Maintain records about

compliance with lead-

based paint regulations.

Owners of residential

properties with three or

more residential units, and

for 1–2 family homes if

neither the owner nor the

owner’s immediate family

reside at the property, must

with HPD at: nyc.gov/

propertyregistration.

If the building is rent-

stabilized, the owner must

NYS Homes and Community

Renewal (HCR) at nyshcr.org.

• Property owners cannot

lock tenants out of

apartments or otherwise

harass tenants to leave an

apartment. Owners can

bring eviction proceedings

if tenants do not meet

their responsibilities.

Further details about all of

the above topics are covered

in this document or by going

to www.nyc.gov/hpd.

TENANTS

Tenants should expect to

live in safe, well maintained

buildings that are:

• Free from pests, leaks,

mold, and other potentially

hazardous conditions.

• Provided with basic

services such as heat,

hot water, cold water,

and electricity.

• Free from harassment by

the owner and the owner’s

employees.

Tenants who are in rent-

stabilized units have

additional rights related to

this status. Tenants can find

out if an apartment and/or

building has been registered

as rent-stabilized by calling

HCR at 718-739-6400 or

sending an email to

rentinfo@nycshr.org.

Tenants have responsibilities

to their building owners and

other tenants.

• They may not damage the

building, intentionally or

through neglect.

• Tenants are responsible for

the actions of their guests.

• Tenants must respond to

annual owner inquiries

related to window guards

and lead-based paint,

and maintain smoke

and carbon monoxide

detectors.

• Tenants must obey the

legal terms of leases, pay

rent on time, honor the

rights of other tenants, and

provide access for repairs.

OWNER ENTRY TO AN APARTMENT

The law provides that a tenant

must permit the owner, or his

or her agent or employee, to

enter the tenant’s apartment

or other space under his or

her control to inspect, make

repairs, or make improvements

as required by the HMC or

other law. The owner must

notify the tenant in advance,

in writing, of the day and time

he or she wishes to access the

apartment. The appointment

must be between 9am and

5pm during the week, unless

otherwise agreed to by the

tenant or unless there is an

emergency that must be

addressed immediately. When

repairs are urgently needed to

prevent damage to property

or to prevent injury to persons,

such as repairs of leaking gas

piping or appliances, leaking

water piping, stopped-up

or defective drains or

leaking roofs, or broken and

dangerous ceiling conditions,

no advance notice is required

from the owner, agent,

contractor, or workman.

Any contractor or agent of the

owner must be able to show

the tenant that he has been

authorized by the owner to

enter and do the work.

ABCs OF HOUSING

Staying in Your Apartment Safely

I. Conditions

Tenants may have several options to pursue if physical conditions in a building are not safe or

in good repair. Tenants in privately owned buildings with maintenance problems should first

notify the building owner or manager. If verbal notification does not result in a resolution to

the problem, tenants may wish to send written notification through certified mail, with a return

receipt requested. Keeping these records is important if the owner does not take any action to

address the issue(s). In addition, tenants may file complaints with the city for most complaints by

calling 311, using 311ONLINE or 311Mobile and, in the case of rent-stabilized or rent-controlled

apartments, with the state.

For more details on any of the below conditions, please visit HPD’s website at nyc.gov/hpd.

A. Heat and Hot Water

eat is required between

October 1st and May

31st, a period designated

as “Heat Season.” Building

owners are required to

provide tenants with heat

during these months under

the following conditions:

• When the outside

temperature is below

55 degrees Fahrenheit

between the hours of

6am and 10pm, building

owners must heat

apartments to at least 68

degrees Fahrenheit. HPD

can only issue violations if

the owner fails to supply

adequate heat when the

outside temperature

is below 55 degrees

Fahrenheit.

• Between the hours

of 10pm and 6am,

regardless of the outside

temperature, building

owners must heat

apartments to at least

62 degrees.

• Building owners also

must ensure that tenants

have hot water 24 hours

a day, 365 days a year,

at a minimum constant

temperature of 120

degrees Fahrenheit.

HPD may seek penalties for

heat violations in Housing

Court. An owner may be

eligible to satisfy a heat/hot

water civil penalty for a first

violation by submitting a $250

payment with a timely Notice

of Correction. Additionally,

for a third or any subsequent

inspection that results in

a heat violation within the

same heat season (October

through May) or a hot water

violation within a calendar

year, HPD will bill a fee of

$200 for the inspection.

In July 2020, HPD

implemented the Heat Sensor

Program requiring selected

multiple dwelling properties

with heat violations and

heat-related complaints

to install internet capable

temperature reporting

devices in each dwelling unit.

HPD will conduct inspections

during the heat season,

without receipt of complaint,

for compliance with the

heat sensor installation

requirements and the

requirements for providing

heat and hot water.

Heat & Hot Water

ABCs OF HOUSING

B. Carbon Monoxide and Smoke Detectors

arbon monoxide (CO)

is an odorless and

highly toxic gas. In general,

landlords are required to

provide and install at least

one approved CO detector

in each dwelling unit and

provide written information

about how to test and

maintain them. The detector

must have an audible end-

of-useful-life alarm. A CO

detector must be installed

within 15 feet of the primary

entrance to each sleeping

room.

Landlords must also install

smoke detectors in each

apartment.

Tenants are responsible for

maintaining both devices.

If a tenant has removed

the detector or failed to

replace its battery, he/she

must return it to proper

working order.

For safety’s sake, tenants

should:

• Test all detectors at least

once a month.

• Replace the batteries in

detectors at least twice

a year.

• Listen for an alarm sound

when the battery is low

and replace the battery

immediately.

• Use only the type of

batteries recommended

on the detector.

• Never paint over

detectors.

C. Locks

DOUBLE CYLINDER

LOCKS AND KEY-LOCKED

WINDOW GATES

ouble cylinder locks on

doors and key locked

window gates that require a

key from inside the apartment

to unlock or to access the fire

escape are illegal and must

be removed.

In case of a fire or other

emergency, delay in finding

or using the key can reduce

a tenant’s chances of

escape. Tenants can protect

themselves with legal window

gates, which lock by use of a

latch system, by checking the

label with the serial number

on it to make sure it states

that it has been approved for

use in New York City.

Carbon

Monoxide

& Smoke

Detectors

Locks

Tenants residing in the following building classes who fail to maintain, lose, or damage the

detector are required to:

Class A Building

(permanent occupancy)

Reimburse the building owner $25 for each smoke

detector and each CO detector, or $50 for each joint

smoke/CO detector. Occupant has one year from the

date of installation to make a payment.

Class B Building (transient use) Not required to reimburse property owners for

either device

Private Dwelling

(1–2 family homes)

Reimburse the building owner $25 for each CO detector.

Occupant has one year from date of installation to make

a payment.

ABCs OF HOUSING

D. Lead-Based Paint

ead is a harmful metal

often found in old paint

that can be poisonous for

young children if it creates

dust or paint chips. Young

children can swallow the lead

paint dust and chips from

window sills and floors. Lead

causes behavior and learning

problems in young children.

While NYC banned lead-

based paint in 1960, older

buildings may still contain

it. Property owners of these

buildings are responsible

for keeping tenants safe

from lead-based paint

hazards. Property owners

must identify and remediate

lead-based paint hazards

in the apartments and the

common areas of those

buildings where there are

young children, using trained

and appropriately certified

workers and safe work

practices.

Under Local Law 1, lead-

based paint hazards are

presumed to exist if:

• The building was built

before 1960 (or between

1960 and 1978 if the owner

knows that there is lead-

based paint) and,

• The building has three or

more apartments or the

building has a rented unit

in a one- or two-family

home and,

• A child under the age of

six lives in the apartment

or routinely spends 10

or more hours per week

there.

Owners must ask tenants

in writing, using an annual

notice available on the HPD

website, whether children

under the age of six are

in residence. If so, owners

must visually inspect the

apartments and common

areas for lead-based paint

hazards at least once a year.

Property owners can hire

qualified companies to

conduct testing to determine

whether there is lead-based

paint in their buildings and

work proactively to reduce

the liability associated with

lead-based paint. Lead-

based paint violations must

be repaired by trained and

appropriately certified

workers using safe work

practices, within the time-

frames specified by law

and HPD rules. If owners

can show that there is no

lead paint in the building or

perform abatement using the

appropriate methods and

certified workers, and obtain

an Exemption from HPD, then

the annual requirement for

obtaining information from

the tenant and conducting

visual inspections do not

apply.

Owners should be aware

of the following changes

to Lead-Based Paint

Hazards law.

1. Under Local Law 64 of

2019, the definition of the

term “resides” now means

to routinely spend 10 or

more hours per week in

a dwelling unit, which

includes both a child who

lives in the apartment and

a child who just visits for

this period of time. This

new definition went into

effect in January 2020.

2. Clearance tests to confirm

that no lead dust remains

after construction work

is performed must be

performed every time work

is done in a building that

Local Law 1 covers. The

lead dust threshold levels

for clearance of work areas,

showing there is no lead

dust, were lowered as of

June 2019 to:

• Floor: 10 or more micro-

grams per square foot

• Window Sills: 50 or

more micrograms per

square foot

• Window Wells: 100 or more

micrograms per square

foot

The thresholds will be lowered

again in June 2021 to:

• Floor: 5 or more micro-

grams per square foot

• Window Sills: 40 or more

micrograms per square

foot

• Window Wells: 100 or more

micrograms per square foot

3. There are a significant

number of record-keeping

requirements related to

lead-based paint, and

HPD will be auditing

more properties each

year. There are significant

civil penalties that can be

imposed for the failure to

keep these documents for

10 years.

4. In effect August 2020

and with five years for

full compliance, Local

Law 31 of 2020 sets a

new requirement to

test all rental units in

buildings built before

1960 for the presence

of lead-based paint

using an independent

Environmental Protection

Agency (EPA) certified

Lead-Based

Paint

New York City’s

LeadFreeNYC plan was

released in January 2019

and outlined 45 separate

initiatives that the Mayor’s

Office and a number

of City Agencies are

undertaking to remove

lead from buildings. To

learn more about the

City’s efforts to prevent

lead exposure, visit the

LeadFreeNYC website at:

nyc.gov/leadfree

HPD’s “Get Ahead of

Lead” webinar series,

accessible from HPD's

Lead-Based Paint

webpage nyc.gov/lead-

based-paint, can help you

learn more about all of

the responsibilities and

obligations under Local

Law 1 of 2004 as outlined

here.

ABCs OF HOUSING

E. Mold

old may cause allergic

reactions, irritation,

or trigger asthma in some

people. Mold needs water

or moisture to grow so it is

important for building owners

to fix leaks promptly.

Residents can help prevent

mold growth on bathroom

or kitchen surfaces by using

exhaust fans or opening

windows and frequently

cleaning surfaces. Tenants

should report leaks and

signs of mold growth to their

building owners. If repairs are

not made, call 311.

Cleanup of mold may

require licensed contractors;

property owners and tenants

can read more about these

requirements on HPD’s

website, nyc.gov/hpd or

visit the DOHMH website

at nyc.gov/doh.

UNDERLYING CONDITIONS

The Underlying Conditions

Program allows HPD to issue

an administrative order to

residential building owners to

correct underlying conditions

that have caused, or are

causing, leaks and mold

conditions.

HPD selects buildings for

participation in the program

each year based on the

number of apartments

affected by mold and leaks,

and the number and severity

of the violations. Property

owners are required to

investigate the cause of leak

or mold conditions affecting

multiple apartments in a

building, and to address

the conditions and related

violations within four months.

HPD may sue non-compliant

owners in Housing Court. The

civil penalty is $1,000 for each

dwelling unit with a minimum

of $5,000.

Mold

inspector or risk assessor,

by August 2025. If a child

under six comes to reside

in a unit, the testing must

be done within 1 year

or by the August 9, 2025

deadline, whichever

is sooner. The results

must be provided to

the tenants. If there is

no lead- based paint

in a unit OR an owner

properly abates lead by

removing or enclosing it

as outlined in the law, the

owner should apply for an

Exemption from many of

the requirements of Local

Law by filing an Exemption

application with HPD.

5. Property owners of pre-

1960 buildings are also

required to take action to

remove and/or remediate

lead-based paint on

certain surfaces whenever

an apartment turns over

and before the new tenant

takes occupancy. In 2021,

as implemented by Local

Law 28 of 2020, HPD will

expand its enforcement of

the turnover requirements

during agency in-dwelling

investigations for lead-

based hazards.

PROPERTY OWNERS

RESOURCES

• For information on free

training on lead-safe

home repair, please call

Department of Health and

Mental Hygiene (DOHMH)

at 212-226-5323. See the

section in the ABCs on

loans and grants available

for owners, some of which

specifically address lead-

based paint. For sample

forms and information

visit HPD’s nyc.gov/

lead-based-paint.

• You do not need to

hire a professional to

conduct your annual

visual investigation.

However, HPD highly

recommends that whoever

conducts this investigation

take the online visual

assessment training

offered by the federal

Department of Housing

and Urban Development

at https://apps.hud.gov/

offices/lead/training/

visualassessment/h00101.

htm.

TENANTS

Tenants should report peeling

paint in an apartment to

the landlord. If the landlord

does not fix peeling paint or

if work is being done in an

unsafe manner (for example,

creating dust that is not being

contained), tenants should call

311. Tenants may also call 311

to learn how to prevent lead

poisoning, find out where to

get their children tested, find

information about pregnancy

and lead, or request

brochures and materials on

lead poisoning prevention.

Tenants are required to:

• Fill out and return the

Annual Notice regarding

lead-based paint that you

receive from the landlord.

• Notify the landlord in

writing if a child under six

comes to live with you,

routinely spends 10 or

more hours a week with

you, or if you have a baby.

Tenants should:

• Wash floors, window sills,

hands, toys, and pacifiers

often.

• Remind your doctor to

test your children for lead

poisoning at ages one

and two.

ABCs OF HOUSING

F. Pests

oaches, mice, and

rats can be hazards to

individuals with respiratory

conditions, such as asthma.

The first step to eliminating

pests is by cutting off their

food and water supply.

Cockroaches and mice are

best controlled by sealing up

holes and cracks, cleaning

up droppings, and using safe

pesticides. Building owners

should work with their pest

control contractor to identify

pest infestations and ways to

keep pests out. Owners can

pest-proof their buildings by

fixing leaks and containing

garbage. Tenants can help by

keeping food and garbage

covered and reducing clutter.

To learn more about pests,

see DOHMH Controlling

Pests Safely at

www.nyc.gov/doh.

BEDBUGS

Bedbugs are rusty-red

colored insects that can grow

to the size of apple seeds.

Bedbugs feed on human

blood, but do not carry

diseases. Infestations can

spread among apartments

when bedbugs crawl

through small crevices or

cracks in walls and floors.

Early detection of bedbugs

is the key to preventing a

severe infestation. For more

information on bedbugs,

detection, and information

on how to treat bedbugs,

take HPD’s free “Bedbug

Management” course online

in English or Spanish at nyc.

gov/hpd or visit the DOHMH

at www.nyc.gov/doh.

New York State law requires

that landlords hire only

pest control professionals

licensed by the NY State

Department of Environmental

Conservation (DEC) to treat

apartments for bedbugs.

The pest control professional

should perform an inspection

to confirm the presence

of bedbugs, locate and

eliminate hiding places, treat

the apartment with cleanings

or pesticides and make

follow-up visits to ensure that

the bedbugs are gone.

When calling 311 to make

a bedbug complaint, the

caller may be asked by the

311 operator about whether

it would be acceptable for

HPD to bring a dog trained

to sniff out bedbugs to

participate in an inspection.

If the dog is not allowed, an

HPD Inspector will conduct a

visual inspection. Violations

will be issued if the Inspector

is able to visually confirm the

presence of live bedbugs.

Multiple bedbug violations

in a building may lead to

enhanced enforcement.

Property owners must report

information about bedbug

occurrences in their buildings

electronically with HPD each

year at https://hpdcrmportal.

dynamics365portals.us/

bedbugs/ during the month

of December.

Pests

ABCs OF HOUSING

G. Window Guards

ach year, young

children are injured or

die as a result of falls from

unguarded windows. These

are preventable deaths and

injuries.

The law requires owners

to send an annual notice

to tenants of multiple

dwellings (buildings of

three or more apartments)

regarding window guards.

It also requires owners

to provide and properly

install approved window

guards on all windows in all

apartments where a child

10 years of age or younger

resides, including first floor

bathrooms, windows leading

onto a balcony or terrace, and

windows in each common

area on any floor.

The exceptions to this law

are windows that open onto

a fire escape, and windows

on the first floor that are a

required secondary exit,

since the fire escapes start

on the second floor.

If tenants or occupants

want window guards for any

reason, even if there are no

resident children 10 years of

age or younger, the tenant

can request the window

guards in writing and the

landlord must install them.

For example, occupants who

have visiting grandchildren,

parents who share custody,

and occupants who provide

child care may wish to

request window guards.

Tenants should call 311

if required or requested

window guards have not

been installed, if they appear

to be insecure or improperly

installed, or if there is more

than four and a half inches of

open unguarded space in the

window opening.

Tenants should not remove

or unscrew window guards

for any reason, including to

install air conditioners. The

Department of Health and

Mental Hygiene’s website

(nyc.gov/doh) can provide

additional information on:

• Annual notices

• Installation requirements

for approved window

guards

• Variances

Window

Guards

H. Self-Closing Doors

elf-closing doors in

apartments and in

public hallways are a critical

component of fire safety.

Self-closing doors should

never be blocked and can

help contain a fire from

spreading throughout a

building.

In all multiple dwelling types,

the following doors are

required to be self-closing:

• Building entrance doors

• Unit entrance doors

• Fire stair doors

• Fire tower doors

• Bulkhead doors

• Rubbish chute closet

doors

• Other doors accessing the

public hall/stairs (building

commercial space, garage

areas, etc.)

Self-Closing

Doors

ABCs OF HOUSING

J. Gas Powered Stoves:

Stove Knob Covers

wners of a tenant-

occupied multiple

dwelling must provide stove

knob covers for gas-powered

stoves where the owner

knows or reasonably should

know that a child under

six years of age resides.

Households can forgo stove

knob covers through written

refusal to the landlord.

Owners must also provide

stove knob covers in a unit

without a child under six years

of age if the tenant requests

them. In addition, the

owner is required to provide

tenants with an annual notice

that outlines the owner’s

obligation as highlighted in

the law.

Stove Knob Covers

I. Gas Leaks

as leaks can create fires

and explosions. It’s

important that you and your

family know how to recognize

a gas leak and what to do if

you suspect a leak. Recognize

a gas leak by:

Smell—A distinctive, strong

odor similar to rotten eggs

Sight—A white cloud, mist,

fog, bubbles in standing

water, blowing dust, or

vegetation that appears to be

dead or dying for no reason

Sound—Roaring, hissing, or

whistling

Property owners are required

to post signage and provide

information to tenants

regarding what to do when

they suspect a gas leak.

Anyone suspecting a gas leak

should:

1. Quickly open nearby

doors and windows and

then leave the building

immediately; do not

attempt to locate the leak.

Do not turn on or off any

electrical appliances, do

not smoke or light matches

or lighters, and do not use

a house-phone or cell-

phone within the building;

2. After leaving the building,

from a safe distance away

from the building, call 911

immediately to report the

suspected gas leak;

3. After calling 911, call the

gas service provider for

this building.

Gas restoration should always

be completed by a licensed

plumber. For information

on the steps to restoration,

property owners can visit

www.nyc.gov/hpd and

search Gas.

Gas Leaks

ABCs OF HOUSING

K. Elevators

he NYC Department

of Buildings’ Elevator

Division oversees the use and

operation of elevators in NYC

buildings by enforcing the

New York City Building Code

and other standards. Call

or go online to 311 to file a

complaint if the elevator is not

working properly.

Should an immediately

hazardous elevator violation

not be remedied within the

timeframe allowed by DOB,

HPD may seek to correct

the condition through its

Emergency Repair Program

or through other enforcement

mechanisms.

L. Illegal Basement and Cellar Occupancy

asements and cellars

are very different spaces

and have different legal uses.

A basement is a story of a

building partly below curb

level but with at least one-half

of its height above the curb

level. A cellar is an enclosed

space having more than

one-half of its height below

curb level. Basements and

cellars may not be occupied

unless the conditions meet

the minimum requirements

for light, air, sanitation,

and egress, and have been

approved by the City’s

Department of Buildings.

Cellars in one and two-family

homes can NEVER be lawfully

rented.

Owners with illegally

converted basements and

cellars may face civil and

criminal penalties.

Occupants of illegal

basement and cellar

apartments face potential

dangers such as carbon

monoxide poisoning,

inadequate light and

ventilation, and inadequate

egress in the event of a fire.

The City may require that

occupants vacate or leave

any such apartment.

Tenants who are vacated are

offered Emergency Housing

Services through HPD.

Illegal

Basement

& Cellar

Occupancy

Elevators

COVID-19

M. COVID-19

ue to the unprecedented impact of COVID-19 on New York City, the City of New

York and HPD have developed a list of resources for anyone seeking assistance.

For housing resources and HPD service updates, please visit our COVID-19 Updates webpage

at www.nyc.gov/hpd.

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II. Complaints, Violations and Enforcement

Property Registration is required annually for all residential buildings with 3 or more residential

units and for 1–2 family homes if neither the owner nor the owner’s immediate family reside at

the property. Registration information is used to contact property owners about complaints

received by HPD and violations issued by HPD, as well as by other city agencies should

emergencies occur at a property. For more details about how to register, property owners

should go to www.nyc.gov/hpd and search Property Registration. Property owners are

strongly encouraged to provide email contact information to ensure the quickest and most

direct communication from the agency.

A. HPD Complaint Process

Tenants may file a complaint with HPD by calling 311, using TTY 212-504 - 4115, or by using 311

online (nyc.gov/311) 24-hours-a-day, seven-days-per-week. Complaints regarding heat and hot

water may also be filed through the 311 mobile app.

After a tenant files a complaint with 311 about a housing condition, 311 forwards the complaint

to HPD. A notification call and/or email is made to the registered owner. The notification

is made to advise the owner of the problem only, and never closes the complaint. (Note to

owners: if you are not properly registered, you may miss this important notification from HPD!)

A call may also be made to the tenant to confirm whether the condition has been corrected. If

there is no confirmation of correction by the tenant, an inspector may be dispatched.

In addition to responding to the complaint, HPD will always

inspect for nine safety issues:

• The presence of operational smoke detectors.

• The presence of operational carbon monoxide detectors.

• Illegal gates on the windows.

• Door locks that require a key to exit.

• Window guards if a child under age 11 resides in the unit.

• Self-closing dwelling unit entrance doors.

• Peeling paint if child under age six resides in the unit.

• Mold.

• Mice, cockroaches, and rats.

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Violation Class Type

Time owner has to correct from notice

before civil penalties begin to accrue

Class A

Non-Hazardous

90 Days

Class B

Hazardous

30 Days

Class C: Lead-Based Paint, Windows Guards,

Mold, Mice/Cockroaches, and Rats

Immediately Hazardous

21 Days

Class C: Heat and Hot Water Violations

Immediately Hazardous

Immediately

Class C: (all others)

Immediately Hazardous

24 Hours

B. Violations

If HPD inspectors issue violations, the time the owner is given to correct them depends on the

violation severity. You can see all the open violations on a building on HPD’s website through

HPDONLINE. HPD will mail a Notice of Violation to the business address of the managing

agent registered with HPD (or to owner directly if there is no managing agent). If the owner has

supplied an email with their Property Registration, HPD will also email information about the

violations to the owner. Heat and hot water violations are posted at the building at the time of

the inspection. The Housing Maintenance Code has three classes of code violations: A, B, and C.

Once a violation condition has been corrected, it is the property owner’s responsibility to

notify HPD that the condition has been corrected through the certification process. Currently

registered Owners/Agents can certify violations as corrected through eCertification or by

completing the violation documents mailed to the owner. To find out more about eCertification,

the owner can go online to www.nyc.gov/hpd.

Failure to correct violations may also result in civil penalties imposed by the Housing Court.

For more information on penalties and inspection fees, go to www.nyc.gov/hpd.

C. Emergency Repairs

If the owner fails to correct the class C violations, the City may perform or contract for

emergency repairs to correct the violation at the owner’s expense. The City is subject to laws

governing procurement, contracting, wages, and other matters that may make such work

significantly more expensive than the price that the owner could obtain if he/she performs or

contracts for the work.

The City will bill the property through the Department of Finance for the cost of the emergency

repair plus related fees and/or for the cost of sending a contractor to attempt to make repairs. If

the owner fails to pay, the charges become a tax lien against the property. The tax lien will bear

interest and may be sold and/or foreclosed to collect the amount owed.

D. Housing Court

HPD’s Housing Litigation Division initiates cases in Housing Court seeking court orders for the

correction of conditions and civil penalties where appropriate. HLD seeks correction of heat and

hot water violations, files cases seeking the restoration of gas service, and where there are many

hazardous violations in a building, HLD may file a comprehensive case seeking the correction of

all violations in the building and appropriate civil penalties. HLD may also seek civil penalties in

cases where an owner falsely certifies the correction of violations and may seek access warrants

in order to permit HPD to correct immediately hazardous violations when HPD has been denied

access by a property owner. In addition to seeking correction of violations, HLD may seek

the enforcement of orders, such as Orders to Repair/Vacate Orders or Orders issued by the

Alternative Enforcement or Underlying Conditions Programs. HLD also may file a case seeking

the appointment of a 7-A administrator if a property owner has completely failed to maintain a

property and the conditions in a building are dangerous to life, health, and safety of the tenants.

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Housing Court is also the forum where building owners and tenants resolve many of their legal

disputes. Tenants in privately-owned buildings who have apartment maintenance problems or

who have been harassed by the property owner may initiate legal action in Housing Court. This

action is referred to as a Tenant Action or HP Action. When tenants go to the Housing Court,

they will be assisted in preparing an Order to Show Cause and obtaining a date to return to court

for the case to be heard. When the tenant files a HP case, the tenant will be permitted to fill out

an inspection request form in order to obtain an inspection of the conditions before the Court

date. The tenants are given instructions about how to serve the Order to Show Cause on both

the owner and HPD. On the date that the case is returnable in Court, the tenant and the owner

each get an opportunity to present their positions with an HPD attorney present. If the judge

believes that violations exist in the building, the judge may order the owner to correct them

within a specified time frame. If the owner fails to comply with the order, the tenant may return

to court to seek civil penalties or contempt of court. Judges may penalize owners who refuse to

repair violations after being ordered to correct them. Filing an HP case is a safer and faster way

to address your housing issues and protect your rights than withholding of rent, which may lead

to eviction. To better understand your rights, you should seek legal advice. Information on how

to obtain legal services can be found in the Tenant Resources section of this booklet.

E. New York State Homes and Community Renewal (HCR)

In addition to calling HPD to report code violations, tenants in rent-regulated apartments

who have problems with their building conditions may contact HCR and file complaints.

After obtaining evidence from owners and tenants, HCR can issue written orders that can

lower rents for lack of services.

Tenants can find out if their apartment has been registered as rent stabilized by calling NYS

HCR at 718-739-6400 or by sending an email to rentinfo@nyshcr.org.

Regulated tenants can also complete a form describing decreased service conditions, such as

a lack of gas or heat or reduction in janitorial services or conditions inside apartments, on the

HCR website: http://www.nyshcr.org/Forms/Rent/.

F. Alternative Enforcement Program (AEP)

The Alternative Enforcement Program (AEP) is an enhanced enforcement program.

HPD identifies distressed multiple dwellings (criteria are in the law) for special

attention, including the imposition of fees, the issuance of Orders to Correct, and

the authority to replace building systems if the owner fails to act. Each year HPD

designates 250 different multiple dwellings for participation in the AEP. Property

owners can avoid AEP by correcting and certifying violations in a timely manner.

Both property owners and tenants will be notified if their building is selected for AEP.

G. Proactive Preservation Initiative (PPI)

HPD’s Proactive Preservation Initiative (PPI) is an aggressive approach to identify and address

substandard physical conditions in multi-family buildings before they reach a state that

endangers the health and safety of residents and threatens the quality of the surrounding

neighborhood. Through the PPI, HPD identifies troubled buildings preemptively and provides

the tools or incentives to owners to address housing quality issues. Every year, HPD will

evaluate distressed buildings with the goal of putting them on a path to stability. HPD will

survey the buildings to evaluate needs and will actively reach out to help owners address at-risk

buildings. In buildings that exhibit serious physical distress, HPD’s Proactive Enforcement

Bureau conducts roof-to-cellar inspections. For buildings with non-emergency distress, HPD will

devise appropriate, individualized strategies to help ensure that conditions improve. Actions

can include giving low-cost repair loans, financial counseling and referrals, as well as more

aggressive actions involving Housing Maintenance Code enforcement and litigation.

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III. Harassment

Harassment by an owner to force tenants out of their apartments, or to surrender

their rights, is illegal. Examples may include:

• Not offering leases, lease renewals, or repeatedly trying to pay you to move

out of your home or to give up your rights (“a buyout”).

• Offering you a buyout:

− While threatening you, intimidating you, or using obscene language.

− By contacting you at your place of employment without obtaining your

written permission.

− While providing false information in connection with the buyout offer.

• Contacting you about a buyout unless they provide you with the following

information in writing:

− The purpose of the contact and that the contact is on behalf of the owner.

− That you can reject the offer and continue to live in your home.

− That you have the right to seek advice from a lawyer and may seek information on the

HPD website about legal services.

− That, if you advise the owner in writing that you do not want to be contacted about any

buyout offer, the owner cannot contact you about it for 180 days unless you advise the

owner in writing at some earlier time that you are interested in discussing a buyout or

unless the court permits the owner to discuss a buyout offer with you.

• Contacting you about a buyout offer prior to the 180 days, after you have notified the owner

in writing that you do not want to be contacted about it.

• Unjustified eviction notices or illegal lockouts.

• Threats and intimidation, such as late-night phone calls including phone calls to encourage

or ask you to move out of your home or give up your rights.

• Overcharging for a rent-regulated apartment.

• Failure to provide necessary repairs or utilities.

• Deliberately causing construction-related problems for tenants, such as working after hours,

blocking entrances, or failing to remove excessive dust and debris.

• Improperly requiring you to seek, receive, or refrain from submitting to medical treatment.

For assistance and referrals to legal services for any of the above conditions, tenants should

contact the Mayor’s Office to Protect Tenants at www.nyc.gov/tenantprotection or by calling 311.

Both maintenance conditions and the harassment that is being caused by a property owner’s

failure to provide necessary repairs or utilities should be reported at HPD’s Anti-Harassment

Unit (AHU) by calling 311. AHU will attempt to contact tenants and/or conduct inspections in

response to these complaints.

Tenants in rent-controlled or rent-stabilized units who believe that their landlords are harassing

them may contact HCR. HCR enforces housing laws in rent-regulated units and may levy fines

against owners found guilty of harassment. Information is available at nyshcr.org or 1-866-ASK-

DHCR (1-866-275-3427).

Tenants may contact the Department of Buildings’ Office of Tenant Advocate (OTA) at

(212) 393-2949 or TenantAdv[email protected]c.gov. This office serves as a resource to

tenants who are affected by construction work in occupied multiple dwellings.

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Tenants may have basis to bring legal action against the owner in Housing Court if there

is harassment. Tenants may want to consult with or retain an attorney before initiating any

lawsuit. See the previous page of this document for information about free and low-cost legal

assistance or contact your local housing organization, community board, or elected official.

The creation of dangerous conditions (such as unsafe construction) or lack of services (such as

no heat/hot water or removing bathroom facilities and not replacing them in a timely manner)

should be reported through 311. Tenants can then use the reporting of this complaint, and any

subsequent violations that are issued, to support either a Housing Court or HCD action.

Tenants can also file complaints directly with the Tenant Harassment Prevention Task Force by

sending an email to THPT@hpd.nyc.gov if the harassment takes the form of construction or lack

of basic services. The Task Force is a collaboration of HPD, the NYC Department of Buildings,

the Office of the NYS Attorney General, and the NYS Homes and Community Renewal. As

needed, the THPT may conduct joint inspections, issue violations and orders, and initiate

additional enforcement action.

In 2018, HPD launched its Certificate of No Harassment (CoNH) Pilot Program, which targets

buildings with high levels of distress and ownership change in certain community districts,

findings of harassment, full vacate orders, and active participation in HPD’s Alternative

Enforcement Program in buildings citywide. Owners of these buildings must obtain a CoNH

prior to the approval of certain permits from the Department of Buildings involving demolition

or the change in use or occupancy. This new tool applies to more than 1,000 buildings in high-

risk neighborhoods. If you reside in a CoNH building (either related to the above referenced

pilot program or two other existing CoNH programs) and the property owner applies for a

CoNH, you will receive a notice from HPD or an HPD contracted organization seeking your

comments about harassment in the building.

If you are feeling threatened regarding your immigration status, please call the NY State

Immigration Hotline in the NYS Office for New Americans at 1-800-566-7636 and you will be

connected to the right organization to assist you.

IV. Tenant Resources

A. Initiating a Case in Housing Court

Tenants may choose to initiate legal action or seek assistance from HCR against property

owners who fail to correct conditions, or for harassment. Tenants can obtain assistance with

bringing these cases or filing with HCR through the following legal services providers:

• The Legal Aid Society: 212-577-3300

• Legal Services NYC: 917-661-4500

• Urban Justice Center: 646-459-3017

• Dial 311 for more information, go to nyc.gov/311 or nyc.gov/hpd.

The Housing Court Answers (HCA) hotline also provides information about Court procedures,

landlord/tenant rules and regulations, enforcement of housing code violations, referrals for free

legal help, and referrals to community organizations that help with housing problems. They are

open from 9am to 5pm, Monday through Thursday, and can be reached at 212-962-4795.

ABCs OF HOUSING

B. Eviction Prevention

Non-payment Eviction Proceedings: The only legal way to evict a non-paying tenant is through

a non-payment eviction proceeding in Housing Court. Building owners must notify the tenant

that rent is late, what the balance is, and that, if not paid, the tenant will be evicted. Three days

after notice is given or oral demand for the rent is made, the owner may file a non-payment

proceeding in Housing Court and serve papers on the tenant. The tenant must answer the

petition in person at the Housing Court Clerk’s office. The Clerk will then provide a court date

to the tenant. On the court date, the tenant has an opportunity to present his or her defense

to a Housing Court Judge. It is advisable for a tenant to consult an attorney whenever eviction

proceedings are concerned. Owners must obtain a judgment of possession and “warrant”

directing a city marshal to evict the tenant. Tenants may have a defense to a claim for rent in

a building which has been illegally altered and/or for which there is no current Certificate of

Occupancy indicating that the rented space can be legally occupied.

Holdover Eviction Proceedings: An owner may commence a summary proceeding for

possession of an apartment for a breach of the lease. If a tenant’s lease contains a provision

allowing for termination for committing a “nuisance,” an owner may undertake eviction

proceedings for objectionable conduct. A “nuisance” is generally considered persistent and

egregious conduct that threatens the health, safety, or comfort of neighboring tenants. To evict,

owners must provide evidence proving that the tenant’s behavior meets this standard. The

landlord must serve a preliminary notice which terminates the lease prior to commencement of

the proceeding. The owner may also commence holdover proceedings for other reasons such

as illegal sublet, non-primary residence, illegal use, or expiration of lease where no renewal is

mandated by law.

LEGAL SERVICES

There are free legal services for certain low-income persons who have been served with

Housing Court documents and are in need of assistance to prevent eviction. For more

information call 212-577-3300 or 311.

RENTAL ARREARS

Families and individuals with rent arrears who may be at risk of eviction can apply for NYC HRA’s

One-Shot Deal rent assistance. Contact HRA’s Infoline at 718-557-1399 for more information.

If you receive Cash Assistance/Public Assistance, you may be eligible for help paying your

back rent. You should go to your HRA Job Center and speak to someone in the Homelessness

Diversion Unit to discuss your situation.

SENIORS

Seniors who have received a Notice of Eviction

or a written notice from their landlord can get

eviction prevention assistance and legal referrals.

The City also provides eviction assistance for

persons over the age of 60 who are mentally or

physically impaired. For help, call 311.

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HOMEBASE

Households on the brink of homelessness can access an extensive network of neighborhood-

based services, under contract with the NYC Department of Homeless Services, to help

them remain in their communities and avoid entering shelters. Among the services that may

be offered are:

• Family or tenant/landlord mediation

• Household budgeting

• Emergency rental assistance

• Job training and placement

• Benefits advocacy (child care, food stamps, tax credits, public health insurance)

If you or someone you know is experiencing a household crisis, call 311 or visit 311 online to

locate your nearest HOMEBASE office.

RENTAL ARREARS GRANTS FOR SINGLE ADULTS AND FAMILIES

The NYC Human Resources Administration (HRA) can assist tenants who have legal possession

of an apartment, or applicants who have been evicted but whose landlords are willing to

continue renting the apartment, by paying their arrears through a rental arrears grant. Grants

are available for Public Assistance recipients and for those people ineligible for Public

Assistance. Families and single adults are eligible. Contact HRA’s Infoline at 718-557-1399 for

more information.

Visit 311 online or call 311 to contact the HRA Job Center in your area and apply for a rental

arrears grant.

HOUSING COURT ANSWERS

The Housing Court Answers (HCA) also has a hotline if you need help paying back rent. Call if you

have a case in Housing Court and a good reason for falling behind in your rent such as a death

in the family, serious illness, loss of job, or reduction in hours at work, if your income is now high

enough that you can pay your future rent, and the amount of arrears is “manageable.” HCA does

not provide direct financial help, but refers callers to charities and provides information about

NYC Human Resources Administrations rules for assistance. Staff and volunteers at information

tables at all Housing Courts answer questions about court procedures and forms. They can

also provide referrals to legal services providers and other eviction prevention organizations,

resources, and agencies. Most staff members speak English and Spanish.

V. Other Housing Issues

A. Rent-Regulated Apartments

For detailed information regarding rent regulations, see the Mayor’s Office to Protect Tenants

pamphlet at https://www1.nyc.gov/content/tenantprotection/pages/tenant-protection-laws

and the Attorney General’s pamphlet Changes in New York state Rent Law: What You Need to

Know at https://ag.ny.gov/sites/default/files/changes-in-nys-rent-law.pdf or if you think your

landlord has broken New York’s tenant protection law, contact the AG’s office at (800) 771-7755;

TDD/TTY Toll Free Line: (800) 788-9898.

RENT INCREASES

Owners of rent-stabilized and rent-controlled apartments are required to register rents every

year online between April 1 and July 31 using HCR’s automated system. Owners must also file

for increases based on either individual apartments or building-wide improvements. Tenants

can contact HCR regarding rent increases due to Rent Guidelines Board approvals, Individual

Apartment Improvements (IAI) or Major Capital Improvements (MCI). Tenants can also seek

legal counsel for help determining if rent increases are legal. For more information on any of

these issues, contact HCR by dialing 718-739-6400 or go online to portal.hcr.ny.gov/app/ask.

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LEASE RENEWALS

Generally, tenants in rent stabilized units must be offered renewal leases in a form approved

by HCR for a term of one or two years, at the tenant’s choice, and at a rate set by the Rent

Guidelines Board. The owner must give written notice of renewal on a DHCR Renewal Lease

form (RLF) by mail or personal delivery not more than 150 days, and not less than 90 days,

before the existing lease expires. After the renewal offer is made, the tenant has 60 days to

choose a lease term, sign the lease, and return it to the owner. If the tenant does not accept the

renewal lease offer within a 60-day period, the owner may refuse to renew the lease and may

also proceed in court to evict the tenant after the expiration of the current lease. When a tenant

signs the RLF and returns it to the owner, the owner must return the fully signed and dated

copy to the tenant within 30 days. A renewal should go into effect on or after the date that it is

signed and returned to the tenant, but no earlier than the expiration date of the current lease.

In general, the lease and any rent increase may not be retroactive.

B. Tenant Data Privacy Law

Under Local Law 63 of 2021, property owners of multiple dwellings that utilize smart access

(keyless) systems, including but not limited to key fobs, electronic or computerized technology,

radio frequency identification card, mobile phone application, biometric identifiers, or any

other digital technology in order to grant entry to class A multiple dwelling, common areas

in such multiple dwelling, or to an individual dwelling unit, must provide tenants with a data

retention and privacy policy. The smart access system must have robust security and safeguards

to protect the security and data of tenants and their guests.

OWNERS OF A SMART ACCESS BUILDING OR THIRD PARTY:

• Must obtain express consent either in writing, or through a mobile application to collect

reference data from a user for use in a smart access system

• May collect only the following minimum amount of authentication data and reference data

necessary to enable the use of the smart access system:

− the user’s name;

− the dwelling unit number and other doors or common areas to which the user has access

using such smart access system in such building;

− the user’s preferred method of contact;

− the user’s biometric identier information (such as ngerprints, voiceprints, retina scans)

if such smart access system utilizes biometric identier information;

− the identication card number or any identier associated with the physical hardware

used to facilitate building entry, including radio frequency identication card, bluetooth

or other similar technical protocols;

− passwords, passcodes, user names and contact information used singly or in conjunction

with other reference data to grant a user entry to a smart access building, dwelling unit of

the building, or common area of the building through the building’s smart access system,

or to access any online tools used to manage user accounts related to such building;

− lease information, including move-in and, if available, move-out dates; and

− the time and method of access, solely for security purposes.

• Must destroy any authentication data collected from or generated by such smart access

system in their possession no later than 90 days after such data has been collected or

generated, except for authentication data that is retained in an anonymized format.

• May not sell, lease or disclose data that they collect to another person unless required to by law,

or if the person is the operator of the smart access system and the tenant has given consent.

• May not use any satellite navigation system or similar system in the smart access system to

track user location outside of the buildings.

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• May not use the smart access system to use the data collected for any purpose other than

granting access and monitoring entrances and exits and access to building common areas,

or to limit time of entry into the building, or require use of a smart access system to gain

entry to the tenant's dwelling unit. No information may be used to harass or evict a tenant.

THE TENANT DATA PRIVACY LAW ALSO:

• Provides for a private right of action for unlawful sale of data collected through the smart

access system.

• Limits retention of reference data and information and use of information regarding tenants'

use of utilities and internet service.

• Prohibits misuse of the smart access system to track frequency and time of use of the system

in order to harass or evict a tenant, to track the relationship status of a tenant and their

guests, to collect reference data from a person who is not a tenant, and to share any data

collected regarding a minor, without parental permission.

For a copy of Local Law 63, please visit www.nyc.gov/hpd.

C. Certificate of Occupancy and Rent Payments

Tenants may have a defense to a claim for rent in a building which has been illegally altered and/

or for which there is no current Certificate of Occupancy indicating that the rented space can be

legally occupied. Each tenant has a specific set of circumstances and tenants should always seek

legal counsel to ensure that their rights are protected instead of just deciding not to

pay rent.

D. Building Safety

Tenants should notify their building owners and the police of any illegal activity in their

building. Owners should alert the police to illegal activity in their building. To secure

buildings from drug dealers and vandals, the building manager, superintendent, or

owner should immediately repair broken locks or intercoms.

For more information on how to improve safety in multiple dwellings watch HPD’s

video on this topic at www.nyc.gov/hpd.

E. Emergency Planning and Evacuations for

Residential Building Owners/Managers

BUILDING EMERGENCIES AND EVACUATIONS

Building owners and managers are encouraged to consider and address emergency

preparedness issues with building residents, as well as building staff. This includes the

following key elements:

• The New York City Fire Code requires that all owners of apartment buildings prepare

and distribute a fire and non-fire emergency preparedness guide and post certain

notices. The guides provide detailed information to residents and reference websites that

contain additional information and can be found at https://www1.nyc.gov/assets/fdny/

downloads/pdf/codes/nyc-apartment-building-emergency-guide.pdf. Apartment uilding

owners must also distribute the 2020–2021 Emergency Fire and Emergency Preparedness

Annual Bulletin by January 29, 2021. The bulletin can be found here: https://www1.nyc.gov/

assets/fdny/downloads/pdf/codes/2020-2021-fep-annual-bulletin.pdf. The Close the Door

notices should be posted at the time the bulletins are sent out. Close the Door notices can

be found here: https://www1.nyc.gov/assets/fdny/downloads/pdf/codes/close-the-door.pdf.

• Residents with disabilities or with access and functional needs should advise building

owners about any policy consideration they may need in an emergency situation; for

example, if they need to be informed if elevators are to be taken out of service. Owners/

managers should be prepared to address these requests. Building residents with disabilities

or with access or functional needs are also encouraged to develop their own plan and support

network in the event of a building evacuation. Building owners are required to send out the

ABCs OF HOUSING

Emergency Preparedness/Evacuation Planning Checklist with the Emergency Preparedness

Guide. The checklist can be found here: https://www1.nyc.gov/assets/fdny/downloads/pdf/

codes/individual-emergency-checklist.pdf. In a fire (the most likely circumstance in which

immediate evacuation may be required), building staff (also required to evacuate) may not

be in close proximity and/or able to provide assistance to all building residents. Evacuation

plans should consider not only disruption to elevator service, but also the impact of prolonged

power and water outages. Building residents should also inform the building management if

they have a particular need—especially if they use a wheelchair or other mobility device in a

high-rise building or are unable to hear alarms. Evacuation devices are an option, especially for

prolonged outages, although individualized planning is required. Points to consider regarding

these devices can be found on the Emergency Preparedness Resources page of the Mayor’s

Office for Persons with Disabilities website at www.nyc.gov/MOPD.

• Clear communication between owners and occupants will enhance the safety of all building

residents and staff during an emergency. Owners/managers should evaluate their capability

to communicate critical information to all building occupants through the use of building systems

(such as intercoms and fire alarm systems), email, or text messaging. Building staff (if any) and

building owners/managers need to be able to reliably communicate with each other as well.

Consideration should be given to establishing alternative means of communication in the event

of a power outage or other disruption of regular telephone communications. Owners should also

include an accurate 24-hour confidential phone number when registering their building with HPD

so they can reach you with important information during an emergency. Owners are required to

post a temporary notice with emergency information in the common area of the building prior to

an expected weather emergency, after a natural disaster, and after being informed that a utility

outage will last for more than 24 hours. Owners should also consider posting the notices on each

floor, or messaging residents directly. You can obtain a sample of the notice on HPD’s website at

https://www1.nyc.gov/assets/hpd/downloads/pdfs/services/emergency-notification.pdf.

• Building owners/managers and/or building staff should monitor emergency notification

systems operated by the New York City Department of Emergency Management, the New

York City Police Department, and/or private notification systems to stay informed about

emergencies that may affect their building(s). This will allow building owners an opportunity

to take whatever actions may be appropriate to protect their residents and safeguard their

property. To sign up to receive citywide updates on emergencies from NYC Emergency

Management, call 311 or visit www.nyc.gov/notifynyc.

• Elevator Notifications: Owners and managers should communicate their building’s elevator

policy to residents, particularly those reliant on elevators in advance of an emergency.

Owners are encouraged to keep elevators in use as long as possible and not take them out

of service until just prior to landfall of a storm or an evacuation.

• Building owners/managers should review the Fire Department’s NYC Apartment

Building Emergency Preparedness Guide (and other public and private resources) and

consider how their building staff should respond to each type of emergency addressed

in the guide. Written protocols can assist to remind on-premises staff of what actions or

notifications to take in the event of an emergency, including appropriate communications to

911, owners/managers, and building residents. Building staff should be trained to facilitate

the response of EMS and other first responders to a medical emergency in the building,

(such as recalling or holding an elevator, advising first responders, and escorting the first

responders to building residents needing assistance). Building owners/managers are

encouraged to check on building residents who have identified themselves in advance as

requiring assistance, before and after an emergency event, to see if they need assistance.

• Building owners/managers should provide emergency preparedness information on

the same schedule as the fire and emergency preparedness guide required by the Fire

Department, including at the time of lease signing. Periodically conducting emergency

preparedness training in the building(s) is also recommended. Planning materials are

available at http://www1.nyc.gov/site/em/ready/guides-resources.page and hard copies are

available free of charge.

ABCs OF HOUSING

For more information on emergency planning for building owners from HPD, visit:

https://www1.nyc.gov/site/hpd/services-and-information/disaster-response.page and

https://www1.nyc.gov/site/hpd/services-and-information/emergency-preparedness.page.

F. Discrimination

Under local, state, and federal law, property owners and their representatives (be they

employees of the ownership entity, real estate brokerage firms, management firms, or agents

etc.), may not deny housing to prospective tenants on the basis of race, color, religion/

creed, national origin, gender (including sexual harassment), gender identity, age, marital or

partnership status, disability, alienage or citizenship status, legal occupation, or lawful source

of income. Furthermore, tenants may not be denied housing because they have children. Fair

Housing NYC—a joint effort by HPD and the NYC Commission on Human Rights (CHR)—

provides information on the protected classes under the City Human Rights Law, who can be

held liable for housing discrimination, how to file a housing discrimination complaint, affordable

housing opportunities, the difference between fair housing rights and tenants’ rights, and

going to housing court. The Fair Housing NYC website, www.nyc.gov/fairhousing, also provides

resource information, multilingual downloadable materials, and notice of upcoming fair housing

events open to the public. Tenants who believe they have experienced housing discrimination

may file complaints within one year of the incident by calling 311 and being directed to the New

York City Commission on Human Rights (CHR).

If you have been trying to buy or rent a home or apartment and you believe your civil rights

have been violated, you may file a complaint with the Law Enforcement Bureau of the NYC

Commission on Human Rights (CHR), located at 22 Reade Street, New York, NY 10007, in lower

Manhattan. Commission services are free of charge. Your housing discrimination complaint will

be reviewed by a fair housing specialist to determine if it alleges acts that might violate the Fair

Housing Act. If your complaint involves a possible violation of the Act, the specialist will assist

you in filing an official housing discrimination complaint. The NYC Human Rights Law requires

that the complaint be filed within one year of the last alleged act of discrimination. To schedule

an appointment, please call 311 (or 212-NEW-YORK or 212-306-7450).

G. Foreclosure

The Center for New York City Neighborhoods (CNYCN) provides referrals to legal services,

housing counseling, and consumer education to New York City residents in danger of

foreclosure. For more information please go to https://cnycn.org, or call 311 or 646-786-0888.

H. Tenant Associations

Real Property Law Sec. 230 protects tenants who want to organize a tenant association for

the purposes of protecting their rights to repairs, services, etc. Tenants may form, join, and

participate in tenant organizations to protect their rights. Landlords must permit tenant

organizations to meet, at no cost, in any community or social room in the building, even if the use

of the room is normally subject to a fee. Tenant organization meetings are required to be held

at reasonable times and in a peaceful manner which does not obstruct access to the premises.

Landlords are prohibited from harassing or retaliating against tenants who exercise their rights.

I. Pets

Unless the pet can be considered a “service animal” used by blind, deaf, or disabled people,

whether pets are permitted is at the discretion of the building owner and is usually stipulated

in the lease. If a tenant keeps a pet in the apartment without the building owner’s permission, it

may be considered a serious violation of the lease and may be a basis for terminating tenancy.

In addition, many animals cannot be kept legally as pets in the City of New York. For more

information on pet regulations, call 311 to reach the DOHMH.

ABCs OF HOUSING

VI. Housing Education

HPD’s Neighborhood Education and Outreach (NEO) offers free classes

on a variety of topics of interest to both tenants and owners, including:

• Mold, Pests, and other Healthy Homes issues

• Lead-Based Paint Management

• Housing Code requirements for NYC property managers and the

Violation Removal Processes

• First Time Homeownership

• Property repair loans and grants available to owners

For a full catalogue of offerings, and to learn about upcoming events, please visit

www.nyc.gov/hpd, or call 212-863-8830. Recorded versions of HPD’s Lead-Based Paint

Management Webinars can be viewed online: go to www.nyc.gov/lead-based-paint, scroll

to Owner Responsibilities, and then click on education. To view a recorded webinar of Indoor

Allergens (Mold and Pests), go to: https://www1.nyc.gov/site/hpd/services-and-information/

indoor-allergen-hazards-mold-and-pests.page and click on Education.

NEO also works with elected officials and non-profit community organizations to sponsor

Landlord/Owner and Tenant Housing Fairs in every borough. To find upcoming events, go

to “Event” at the top of HPD’s landing page. To plan such an event in partnership with HPD,

please email [email protected]c.gov.

Resources for Affordable

Housing Seekers

I. How to Apply for Affordable Housing

NYC HPD and HDC create affordable housing opportunities for New Yorkers at many

household income levels and sizes. In order to ensure fair and equitable distribution of

affordable housing, these subsidized apartments are offered for rent or purchase through

a randomized lottery system.

APPLICATION PROCESS

NYC Housing Connect is your online portal to find and apply for affordable rental and

homeownership opportunities across the five boroughs of New York City. Prospective renters

and homebuyers can find ads for affordable housing on NYC Housing Connect and in citywide

and local publications. The ads contain instructions on how to apply via Housing Connect or

paper, as well as the income and household size requirements for the affordable units, which

can vary between developments. Ads also contain information on set-asides and preferences

for selection.

ABCs OF HOUSING

ELIGIBILITY

Anyone can apply for affordable housing, but in order to qualify, you must be at least 18 years

old and your household income needs to be in a specific range for each affordable housing

opportunity, or you need to have a voucher that covers your rent. Applicants are required to

meet additional eligibility requirements, including asset limits, to qualify. See HPD’s “Do You

Qualify?” page for more information: www.nyc.gov/hpd/findhousing.

HOUSING AMBASSADORS

HPD’s Housing Ambassador Program is a network of community organizations that help people

prepare and apply for affordable housing lotteries. HPD partners with Housing Ambassadors

to ensure that affordable housing seekers throughout the city’s many diverse communities have

access to up-to-date and consistent information, materials, and assistance with the affordable

housing application process.

For more information, or to schedule an appointment with a Housing Ambassador, please visit

www.nyc.gov/housing-ambassadors.

ADDITIONAL RESOURCES

HPD offers a number of resources to help New Yorkers throughout their affordable housing

journey:

• Visit the Learn page on NYC Housing Connect to access training videos that will teach you

how to create your account, complete your profile, and start applying for affordable housing:

https://housingconnect.nyc.gov/PublicWeb/about-us/training.

• Visit the About page on NYC Housing Connect to learn more about the application process

and resources available to help you: https://housingconnect.nyc.gov/PublicWeb/faq.

• Read HPD’s Housing Connect Application Guides that can help you understand how to

prepare and apply for affordable housing: www.nyc.gov/hpd/findhousing.

II. Rent Increase Exemption

Tenants who qualify for the Senior Citizen Rent Increase Exemption

(SCRIE) Program or the Disability Rent Increase Exemption (DRIE)

Program can have their rent frozen at their current level and be

exempt from future rent increases.

For both programs, the total annual household income must be

$50,000 or less, the applicant must pay more than one-third of the

household’s total monthly income for rent, and rent an apartment

that is regulated by HCR (i.e., rent-controlled or rent-stabilized

apartments or hotel-stabilized). HPD administers SCRIE for the non-rent stabilized projects,

such as Mitchell Lama rentals/ cooperatives and HDFC cooperatives.

To be eligible for SCRIE, the applicant must be at least 62 years old. To be eligible for DRIE, the

applicant must be at least 18 and receive Federal Supplemental Security Income (SSI), Federal

Social Security Disability Insurance (SSDI), U.S. Department of Veterans Affairs disability pension

or compensation, or disability-related Medicaid if the applicant has received either SSI or SSDI

in the past; and be named on the lease or rent order, or have been granted succession rights to

the apartment.

For more information, visit the Department of Finance’s NYC Tenant Access Portal website,

www.nyc.gov/nyctap, or our Rent Freeze homepage at www.nyc.gov/rentfreeze. You can also

send an inquiry to www.nyc.gov/contactscrie or www.nyc.gov/contactdrie, or call 311. You can

now schedule an appointment to visit our Rent Freeze Program office at 66 John Street, 3rd

Floor, in Manhattan, or one of our other offices, at www.nyc.gov/dofappointments.

ABCs OF HOUSING

Resources for Owners

I. Division of Neighborhood Preservation (DNP)

HPD’s Division of Neighborhood Preservation (DNP) understands the challenges of managing and

maintaining residential property. Every building has its own financial, physical, and management

challenges, and property is one the biggest investments that a small property owner will ever

make. DNP offers short- and long-term one-on-one counseling tailored to a building’s specific

needs. DNP can help a property owner to:

• Understand the requirements in the Housing Maintenance Code (HMC) for properly

maintaining property so that the property will provide safe housing for all tenants. Technical

staff knowledgeable about HMC requirements can walk through the property to provide

guidance on addressing building conditions according to the Housing Maintenance Code

before violations are issued.

• Navigate the processes related to violation dismissal.

• Become aware of the numerous loans, grants, and tax abatements or exemptions that can

help maintain the property, especially when a property has significant physical or financial

needs. This will be based on the specific type of building and the physical needs of the

property.

II. Low Interest Loans or Tax Exemptions

HPD’s Office of Development administers multiple financing programs that provide low interest

loans and/or property tax exemptions to facilitate the physical and financial sustainability

and affordability of privately-owned multi-family and owner-occupied buildings. Programs

are available for buildings of all sizes and with various needs. For information about financial

assistance for owners, visit nyc.gov/letsinvest.

III. Homeowner Helpdesk

The New York City Department of Housing Preservation and Development (HPD) and the

Center for NYC Neighborhoods (the Center) announced funding for an expanded Homeowner

Help Desk to assist especially homeowners of color at risk of displacement. With new funding

from Enterprise Community Partners (Enterprise) and the Office of the New York State Attorney

General (OAG), the Help Desk will feature proactive outreach in Southeast Queens, Central

Brooklyn, and the North Bronx.

In addition to continuing to connect struggling homeowners with housing counseling, financial

assistance, and legal services, the Help Desk will develop creative outreach strategies to raise

awareness about the signs of deed theft and scams. Historically, the selected areas have been

disproportionately impacted by predatory lending practices, scams, and racially discriminatory

public policies. By expanding their outreach efforts, HPD and the Center will work together to

stabilize communities and help stop a harmful cycle of displacement.

The Help Desk will officially launch in Spring of 2021. Interested homeowners can learn more by

calling the CNYCN hotline at 1-855-HOME-456.

IV. Filing Buyout Agreement Requirements

As underlined under the Harassment section on page 15, landlords are required to follow

certain regulations when offering tenants buyouts for their apartments. Under Local Law

102 of 2019 (“Buyout Agreement Law”), owners who enter into a buyout agreement with a

lawful occupant of their building must inform the Department of Housing Preservation and

Development (HPD) about the terms of the buyout agreement via email at buyoutagreement@

hpd.nyc.gov. Please visit HPD’s Buyout Agreement Law page for more information.

ABCs OF HOUSING

Useful Contact Information for

Other Housing-Related Issues

NYC Department of Buildings: 311

NYC Residential Mortgage Insurance Corporation: 212-227-5500

HPD Registration Assistance Unit: 212-863-7000 or r[email protected]yc.gov

NYC Commission on Human Rights: www.nyc.gov/cchr or call 311. See Section V–D on

Housing Discrimination for more information.

311 is New York City’s phone number for government information and services. All calls to

311 Customer Contact Center are answered by an operator, 24-hours-a-day, seven-days-a-

week, and information is provided in over 170 languages. Dial 311 from within the City

or 212-NEW YORK when outside of the five boroughs, or use the online option of

nyc.gov/311.TTY. Service is available at 212-504 - 4115. You can also use the NYE 311

Mobile App for some services.

The New York City Council welcomes any questions, comments, or feedback. Call 311 or go

to council.nyc.gov to find the members of New York City Council and the areas they cover. You

can search by address to find your member and their contact information.

New York State Attorney General can be contacted for information on rights and obligations

of building owners, tenants, and real estate brokers. The Information and Complaint Line is

1-800-771-7755.

NYS Division of Homes and Community Renewal (NYSHCR) can be contacted for information

on rent and services for rent-controlled and rent-stabilized apartments. The information and

complaint line is 1-866-ASK-DHCR (1-866-275-3427).

NYC Mayor’s Office for Persons with Disabilities (MOPD) works to assure that City programs

and policies address the needs of peoples with disabilities and offers informative brochures and

directories that detail programs, services, activities, and other resources that are accessible to

people with disabilities. The MOPD can be found at 100 Gold Street, 2nd Floor, New York, NY

10038 or by calling 311, 212-NEW YORK (OUT OF THE CITY) or 711 (Relay Service for Deaf/Hard

of Hearing).

NYC Mayor’s Office to Protect Tenants (MOPT) works across City agencies to make existing

anti-harassment and anti-displacement programs better, and create new strategies to root out

abuse. The MOPT can be found at 100 Gold Street, 2nd Floor, New York, NY 10038 or by calling

311 or visit nyc.gov/tenantprotection.

The Office of the Public Advocate assists with complaints and inquiries involving government-

related services and regulations. From resolving housing complaints to combating abuse by

agencies, the Office helps thousands of New Yorkers annually by improving transparency and

accountability of City government. You can access the Public Advocate’s Constituent Help Desk

Intake Form at http://pubadvocate.nyc.gov/constituent-help-desk or contact the Office of the

Public Advocate by phone at 212-669-7250.

Website: www.nyc.gov/hpd

https://twitter.com/NYCHousing

https://www.facebook.com/NYCHousing/

ABCs OF HOUSING

Rent-regulated tenants can

get more information and

file complaints by going to

one of the NYSHCR borough

offices.

BROOKLYN

55 Hanson Place

5th Floor

(near Atlantic Terminal)

BRONX

2400 Halsey Street

(near Zerega Avenue)

MANHATTAN

25 Beaver Street

(near Broad Street)

163 W. 125th Street

5th Floor

(near Seventh Avenue)

QUEENS

Gertz Plaza

92-31 Union Hall Street

(near Jamaica Avenue)

New York State Homes and Community

Renewal (HCR) Borough Ofces

BROOKLYN

Brooklyn, Queens & Staten

Island/Neighborhood

Preservation Office

212-863-740 0

Code Enforcement Office

212-863-8060

210 Joralemon Street

Brooklyn, NY 11201

Code Enforcement Office

212-863-6620

701 Euclid Avenue

1st Floor

Brooklyn, NY 11208

BRONX

Bronx and Manhattan

Neighborhood

Preservation Office

212-863-7100

Code Enforcement Office

212-863-7050

1932 Arthur Avenue

3rd Floor

Bronx, NY 10457

MANHATTAN

Code Enforcement Office

212-863-5030

94 Old Broadway

7th Floor

New York, NY 10027

QUEENS

Code Enforcement Office

212-863-5990

120-55 Queens Blvd.

Queens Borough Hall

Kew Gardens, NY 11424

STATEN ISLAND

Code Enforcement Services

212-863-8100

Staten Island Borough Hall

Staten Island, NY 10301

LEAD BASED

PAINT INSPECTION

PROGRAM

212-863-5501

ALL OFFICES

SERVICE THE PUBLIC:

Monday to Friday

9am to 4pm

Except Manhattan NPO

HPD Borough Ofces

ABCs OF HOUSING

Local Law 45 of 2014 of the New York City Administrative Code, Section 26-1103, requires

posting the notice below regarding the availability of this housing information guide—the ABCs

of Housing—for tenants and owners. This notice must be in a conspicuous place within view of

the area to which mail is delivered in a multiple dwelling. Inspectors will be verifying that the

signage is appropriately posted on all inspections. Failure to post the notice will result in a class

A violation, and a civil penalty of $250 may be imposed.

Housing Information Guide

Signage Sample

HOUSING INFORMATION GUIDE FOR TENANTS AND OWNERS

A housing information guide, the ABCs of Housing, is available on the New York City

Department of Housing Preservation and Development’s website at www.nyc.gov/hpd.

This guide is also available in print by calling 311.

The guide contains information about the following topics:

• Eviction

• Heat and hot water

• Pest management

• Tenant organizations

• Rent-regulated leases

• Rental assistance for elderly or disabled tenants

• Housing discrimination

• Repairs and maintenance

• Tenant response to owner notifications

• Access for owner inspections and repair

• Free and low-cost legal services

GUÍA DE INFORMACIÓN DE VIVIENDA PARA INQUILINOS Y DUEÑOS

Un guía de información de vivienda los “ABCs de Vivienda” está disponible en la página

web del Departamento de Preservación de Viviendas y Desarrollo de la Ciudad de Nueva

York en www.nyc.gov/hpd. Este guía imprimido también está disponible llamando al 311.

El guía contiene información sobre los siguientes temas:

• Desalojo

• Calefacción y agua caliente

• Manejo de plagas

• Organización de inquilinos

• Alquilar de arrendamientos regulados

• Asistencia de alquiler para ancianos o inquilinos deshabilitados

• Discriminación de vivienda

• Reparaciones y mantenimiento

• Respuesta de Inquilinos a notificaciones del dueño

• Acceso para inspecciones de dueños para reparaciones

• Servicios legales gratis y a bajo costo

Annual Notice for

Window Guards

Annual Notice for Installation

of Stove Knob Covers

Annual Allergens Inspection

Jan 16th—Feb 15th

Provide Tenants Annual

Notice for Prevention of

Lead-Based Paint Hazards

Jan 29th

Deadline for Emergency

Fire & Emergency

Preparedness Annual Bulletin

Jan 31st

Alternative Enforcement

Program Round Selection

Jun 1st—Aug 31st

HPD Property Registration

Boiler Inspection

Feb 15th

Deadline to Receive

Annual Notice from Tenants

February 16th—Mar 1st

Investigate Units That Did

Not Provide Annual Notice

Apr 1st—July 31st

Homes & Community

Renewal Annual

Rent Registration

Heat Sensor Program

Bi-Annual Selection

Oct 31st—May 31st

Heat Season

Dec 1st—Dec 31st

Annual Bedbug

Report Filing

ABCs of HOUSING

www.nyc.gov/hpd

Check for Required Signage:

• Gas Leak Notice

• Fire Safety Notice

• “Shut the Door” Signs

• Certificate of Inspection Visits

• Sign for Garbage Collection

• Name & Location of Person

with Keys to Boiler Room

• Floor Sign

• Street Number on Dwelling

• Janitor Name & Address

• Smoke Detecting Devices Notice

• Maximum Occupancy in Rooms

• Housing Information Guide Notice

• Disaster Response Signage

• Bedbug Annual Filing Receipt

• Maximum Occupancy in Rooms

• Serial Number Signage

January

Important Dates to Remember

February

April

July

December

October

June

September

Implementation of Local Law 66 of 2019 – Final Rule – October 2021

Information Regarding the Implementation of Local Law 66 of 2019:

Amendment to the Definition of Lead-based Paint under Article 14 of

the Housing Maintenance Code

This document is for informational purposes only and does not constitute legal advice. This

document is not a complete statement of building owners’ responsibilities relating to lead-

based paint or any other topic. For information on lead-based paint compliance under NYC’s

Childhood Lead Poisoning Prevention Act of 2003, also known as Local Law 1 of 2004 (Local Law

1) and an owner’s obligation to address lead-based paint issues, please go to HPD’s website at

www.nyc.gov/lead-based-paint.

The Department of Housing Preservation and Development (HPD) has adopted amendments

to Chapter 11 of Title 28 of the Rules of the City of New York, including an amended definition

of lead-based paint. The amended definition takes effect on December 1, 2021. The

amendments to Chapter 11 of Title 28 of the Rules of the City of New York implement Local Law

number 66 for the year 2019 (Local Law 66), which provides for an amended definition of lead-

based paint when HPD promulgates a rule stating that the federal Department of Housing and

Urban Development (HUD) has provided at least one performance characteristic sheet (PCS)

approving a commercially available x-ray fluorescence analyzer (XRF) tested at the level of 0.5

milligrams of lead per square centimeter. HUD has approved a PCS which provides for use of an

XRF (currently Viken Detection Model Pb200i) to test for lead paint using the action level of 0.5

milligrams of lead per square centimeter. Therefore, HPD has amended its lead paint rules to

include a statement about HUD’s approval and to incorporate the amended definition of lead-

based paint, as required by Local Law 66. Local Law 66 defines lead-based paint as "0.5

milligrams of lead per square centimeter or greater, as determined by laboratory analysis, or by

an x-ray fluorescence analyzer."

APPROVED PERFORMANCE CHARACTERISTIC SHEET FOR XRF TESTING DEVICE

In December 2020, the Department of Housing and Urban Development (HUD) approved a

Performance Characteristic Sheet (PCS) for the Viken Detection Model Pb200i tested at a

0.5mg/cm² action level. According to the December 2020 PCS for the Viken Pb200i tested at

0.5 mg/cm², XRF results are classified as:

• positive if they are greater than or equal to 0.6 mg/cm²

• negative if they are less than or equal to 0.4 mg/cm²

• inconclusive if they are equal to 0.5 mg/cm². HPD will presume a surface with an XRF

result of 0.5 mg/cm² is lead-based paint based on the definition unless the analysis of a

paint chip sample shows the results to be negative for lead-based paint.

THE CITY OF NEW YORK

DEPARTMENT OF HOUSING PRESERVATION AND DEVELOPMENT

OFFICE OF ENFORCEMENT AND NEIGHBORHOOD SERVICES

Implementation of Local Law 66 of 2019 – Final Rule – October 2021

TIMELINE FOR IMPLEMENTATION

Beginning December 1, 2021, all lead-based paint testing must be performed using an XRF

instrument with an approved PCS (currently the Viken Detection Model Pb200i) at an action

level of 0.5 mg/cm² issued by HUD. This change affects multiple processes related to lead-

based paint that affect owners and tenants, including:

• HPD violation issuance

• HPD violation contestation

• XRF testing required of all apartments subject to LL1 by August 2025

• XRF testing related to turnover compliance verification showing that window and

door friction surfaces do not need to be abated

• XRF testing performed for applications for exemption from the presumption of lead-

based paint under Local Law 1

1. Can landlords begin testing using XRF machines that measure the 0.5 mg/cm² action level

earlier than December 1, 2021?

Yes. Since this standard is stricter than the current standard, test results from instruments

that have an approved PCS issued by HUD at the 0.5 mg/cm² action level and have been

reprogrammed to test at the 0.5 mg/cm² action level will be accepted. These XRF test

results may be used prior to December 1, 2021 for testing processes such as contestation of

HPD violations where lead-based paint is presumed to exist (violation orders #616 and

#621), Local Law 31 compliance, and Exemptions (see caveat below in the Exemptions

section). Currently, the only XRF machine approved to test at the 0.5 mg/cm² action level –

once reprogrammed appropriately by the manufacturer – is the Viken Detection Model

Pb200i.

2. If testing is being done now using a device that measures at a standard of 1.0 mg/cm² but

the result of the test is 0.4 mg/cm² or below, can I use that result to meet the new

standard after December 1, 2021?

No. An XRF instrument testing at an action level of 1.0 mg/cm² has not been proven to

accurately test lower levels of lead in paint as has an XRF instrument with a HUD-approved

PCS that has been programmed at an action level of 0.5 mg/cm². The Viken Detection

Model Pb200i instrument has been issued an approved PCS to test at the action level of 0.5

mg/cm² but must be reprogrammed by the manufacturer to test accurately at that action

level.

HPD VIOLATIONS

HPD currently conducts lead-based paint inspections whenever there is an inspection of a unit

where a child under age six routinely spends 10 or more hours a week and the building was

built prior to 1960. In most cases where peeling paint is observed, the HPD inspection includes

XRF testing of the compromised painted surfaces. Beginning December 1, 2021, HPD will

Implementation of Local Law 66 of 2019 – Final Rule – October 2021

conduct inspections using the HUD-approved Viken Detection Model Pb200i reprogrammed to

test at the 0.5 mg/cm² action level. Violations will be issued using the new definition of lead-

based paint based on the readings from this device.

1. What violation will be issued by HPD if the XRF reading is 0.5 mg/cm²?

According to the HUD-approved PCS for the Viken model XRF instrument, a result of 0.5

mg/cm² is classified as inconclusive when tested using the reprogrammed instrument. HPD

will issue a violation for a lead-based paint hazard testing at 0.5 mg/cm² but allow the

owner to contest the violation by providing paint chip analysis results that would determine

the paint to be negative. An owner cannot provide XRF testing to contest the violation

issued at 0.5 mg/cm².

2. Will an XRF reading of 0.4 mg/cm² result in a lead-based paint violation from HPD?

No. A result at or below 0.4 mg/cm² is below the definition threshold for the issuance of a

lead-based paint violation.

3. Will an XRF reading of 0.6 mg/cm² result in a lead-based paint violation?

Yes. A result at or above 0.6 mg/cm² will be positive. As such, owners will not be able to

contest a violation issued at or above 0.6 mg/cm² with a paint chip analysis or additional

XRF testing.

4. Will property owners be required to contest a violation order #616 (presumed lead-based

paint hazard violations) issued prior to December 1, 2021 with an XRF reading that is

below 0.5 mg/cm²?

For violations issued as an order #616 prior to December 1, 2021, property owners will be

able to contest the violation using 1.0 mg/cm² as the definition of lead-based paint.

Property owners must use XRF testing performed by an instrument set to the action level of

1.0 mg/cm² to contest these pre-December 1, 2021 violations.

TURNOVER

All property owners of pre-1960 rental housing are required by law to conduct and document

an inspection at turnover (vacancy, prior to re-occupancy), and have been required to abate

painted window and door friction surfaces upon the first turnover since August 2004 and

remediate lead-based paint hazards on any other painted surface in the apartment at every

turnover, along other obligations. If you need more information on this requirement, see our

webpage: www.nyc.gov/lead-based-paint.

1. If the property owner has not been conducting turnover inspections because previous

testing indicated no lead-based paint, will the owner have to test again at the new action

level?

Implementation of Local Law 66 of 2019 – Final Rule – October 2021

Starting December 1, 2021, any unit that has been granted an exemption under the action

level of 1.0 mg/cm² loses that exemption status at the first turnover of that unit and must

perform the turnover requirements as well as report that turnover to HPD for revocation of

the exemption. The owner would be required to submit a new exemption application for

the unit and be granted a new “Lead Free” Exemption status based on testing conduced

with an XRF machine that is set to the action level of 0.5 mg/cm² (see below section on

Exemptions for more information) in order to not have to perform the required turnover

activities.

Sample forms for documenting turnover and a full explanation of turnover requirements

can be found on our webpage: www.nyc.gov/lead-based-paint.

XRF TESTING REQUIRMENT – ALL UNITS (LOCAL LAW 31 COMPLIANCE)

Conducting XRF testing in all units is required and must be documented by all property owners

of pre-1960 rental housing, and in all housing built 1960-1978 where the owner has knowledge

of lead-based paint, by August 2025. If you need more information about this requirement, see

our webpage: www.nyc.gov/lead-based-paint

1. If the apartment was tested for compliance with Local Law 31 using an XRF machine

which tested at the 1.0 mg/cm² action level, will another full apartment test be required

at the 0.5 mg/cm² action level on December 1, 2021?

The apartment is not required to be tested again for compliance with Local Law 31, but you

may wish to do so. After December 1, 2021, the results of the testing performed at the 1.0

mg/cm² level: 1) cannot be used to determine that components are negative for lead-based

paint under Local Law 1; 2) cannot be used to satisfy the turnover requirements; and 3) do

not relieve the owner of completing work using safe work practices.

Apartments tested for Local Law 31 compliance starting on December 1, 2021 must be

tested by an instrument with the HUD-approved PCS at the 0.5 mg/cm² action level.

2. Can Local Law 31 compliance inspections be used to apply for an exemption?

HPD encourages owners to apply for a Lead Free or Lead Safe Exemption based on the

results of a Local Law 31 compliance inspection. HPD will start accepting testing performed

at the 0.5 mg/cm² action level using a HUD-approved instrument on November 1, 2021. If

all results are negative when tested using a HUD-approved instrument at the 0.5 mg/cm²

action level, the owner may apply for a Lead Free Exemption without further work. If there

are positive results (or inconclusive results not proven negative with a paint chip analysis),

the owner may apply for a Lead Free Exemption if abatement work is done on the positive

or inconclusive surfaces to permanently remove the paint or replace the component. If

containment or encapsulation is used as a part of the abatement, an owner may apply for a

Lead Safe Exemption. As a reminder, the owner must complete an Exemption Application

and must submit all required documents (this includes additional documents beyond the

Implementation of Local Law 66 of 2019 – Final Rule – October 2021

XRF test results) before HPD will verify the documentation is appropriate and complete in

order to receive an Exemption.

Note: Local Law 31 testing conducted prior to December 1, 2021 based on testing at the 1.0

mg/cm² action level can also be used to apply for an exemption for a limited period of time;

however, exemptions granted based on testing at the 1.0 mg/cm² action level are no longer

in effect upon turnover – see below section on Exemptions for more information.

EXEMPTIONS

Property owners may file with HPD for an exemption from some of the provisions of Local Law

1. The change to the definition of lead-based paint will affect exemptions filed based on XRF

testing conducted at the 1.0 mg/cm² action level. The Exemption Application can be found on

the HPD website at: www.nyc.gov/lead-based-paint

1. What will happen to my current exemption based on the change in the lead-based paint

testing level?

Any exemptions granted at the 1.0 mg/cm² action level will no longer be in effect on the

first turnover occurring on or after December 1, 2021.

2. How will the Exemption revocation process work?

Owners are obligated to notify HPD when turnover occurs on exempt apartments (either

granted individually for the unit or granted for the units of the building under one

exemption). HPD will be notifying owners in October/November 2021 with a list of their

existing HPD-issued exemptions and will provide them with information about the process

on how to notify HPD about the turnover when it occurs. HPD will also post the required

form owners must use for this notification process on the HPD webpage. When HPD

receives notice of turnover from a property owner, or if HPD becomes aware of the

turnover, HPD will revoke the exemption. However as of the date of the turnover,

notwithstanding the issuance of a notice from HPD of the revocation, the unit will again be

subject to Local Law 1, including the requirements for that turnover. HPD will send a notice

of revocation to the owner along with information on how to apply for a new exemption.

The owner may submit a new exemption application with testing completed at the 0.5

mg/cm² action level using an instrument with the HUD-approved PCS at that action level

and any abatement work completed as required to obtain the exemption.

3. Will any apartment that is vacant on December 1, 2021 have its exemption no longer in

effect, or will only an apartment that turns over (becomes vacant) after that date have its

exemption no longer in effect? If an apartment is leased but not occupied on that date,

will the exemption remain?

Any apartment with a new lease occupancy date after December 1, 2021 (therefore vacant

on December 1, 2021) will have its exemption no longer in effect as of December 1, 2021 or

the date of vacancy, whichever date is later, and the owner must notify HPD of this

turnover. The unit is once again subject to compliance with the turnover requirements (for

Implementation of Local Law 66 of 2019 – Final Rule – October 2021

that turnover) and all other Local Law 1 requirements from which it was previously exempt.

Any lead-based paint testing that is performed to ensure compliance with the turnover

requirements or to submit for a new exemption must use the new 0.5 mg/cm² action level

for lead-based paint and be tested by an XRF instrument with the HUD-approved PCS at that

action level.

4. When will HPD begin accepting exemption requests for testing completed at the 0.5

mg/cm² action level?

HPD will begin accepting exemption applications that includes testing at the 0.5 mg/cm²

action level using an instrument with the HUD-approved PCS at that action level on

November 1, 2021. However, property owners may begin testing at the new action level

before this date with an approved instrument reprogrammed to test at the new action level

of 0.5 mg/cm².

5. Will exemptions at the 1.0 mg/cm² action level continue to be accepted by HPD after

December 1, 2021?

HPD will continue to accept applications at the 1.0 mg/cm² action level until March 1, 2022

ONLY IF the testing was conducted at the 1.0 mg/cm² action level prior to December 1,

2021 AND the unit will not turnover before March 1, 2022. As a reminder, any exemptions

granted prior to December 1, 2021 at the 1.0 mg/cm² action level are only valid until the

unit is vacated at the first turnover after December 1, 2021. Any exemptions granted at the

1.0 mg/cm² action level between December 1, 2021 and March 1, 2022 will also only remain

in effect until the first turnover. The unit may have been granted an individual exemption or

the exemption may have been granted for the units of the building as a whole under one

exemption. See questions 1 and 2 in this section for more information about the process for

notifying HPD of the turnover of exempted unit at the 1.0 mg/cm² action level.