NYC Elevator Inspection and Testing Rules

Every elevator in a New York City building needs a periodic inspection and a Category 1 (CAT1) test every calendar year, plus a Category 5 (CAT5) full-load test every five years, each done by an approved elevator agency and filed with the Department of Buildings (DOB). Inspection reports are due 14 days after the inspection and test reports 21 days after the test, and missing them can cost $3,000 to $5,000 per elevator in a typical apartment building.

DOB says the city has more than 70,000 elevators and escalators. The rules below come from DOB's Elevator Compliance page and the department's rule, 1 RCNY §103-02. They apply to the owner, even when a managing agent or the elevator company handles the paperwork.

The three required inspections and tests

The NYC Building Code (Appendix K, Table N1) sets the intervals, and 1 RCNY §103-02 sets the filing rules. For a standard electric or hydraulic elevator in an apartment building, the schedule looks like this:

Escalators, moving walks, dumbwaiters, wheelchair lifts and other conveying equipment have their own lines in Table N1. Private residence elevators follow a lighter schedule in Table N1, and under the rule their periodic inspection reports do not need to be filed with DOB, though they must be kept for six years and shown to DOB on request. Under note 5 of Table N1, a dismantled device does not need CAT1 or CAT5 tests but still needs periodic inspections.

Who can inspect and test

Only an approved elevator agency, meaning a DOB-licensed agency director and its licensed inspectors, can do this work. Two independence rules matter:

• The agency doing the periodic inspection cannot be affiliated with the company that maintains the elevator.
• Category tests are performed by an approved agency and witnessed by an independent, approved third-party agency, so plan on two agencies being involved in each CAT1 and CAT5.

The agency must notify DOB at least five calendar days before a Category 3 or 5 test (and before Category 1 tests on escalators). Filings are submitted in DOB NOW: Safety. The owner, the agency director and the inspector each need an NYC.ID account, and the owner's email should be on the filing so it shows on the owner's dashboard.

Correcting defects and filing the affirmation

1. 1

   Get the report

   The inspector lists any defects found during the periodic inspection or category test.
2. 2

   Fix hazardous items immediately

   Hazardous conditions, and defects in firefighters’ Phase I recall or Phase II in-car operation, must be corrected immediately.
3. 3

   Fix everything else within 90 days

   The 90 days run from the date of the inspection or test.
4. 4

   File the Affirmation of Correction (AOC)

   File within 14 days of the repair date. DOB issues a Failure to Correct violation if defects are not corrected and filed within 104 days of the initial inspection.
5. 5

   Ask for an extension before the deadline if you need one

   DOB can extend the deadline for extraordinary circumstances or delays beyond your control. Financial or administrative hardship does not qualify, and the request must be filed with a fee before the deadline passes.

Door lock monitoring

Appendix K of the Building Code (Section 3.10.12) required all automatic passenger and freight elevators to have a door lock monitoring system by January 1, 2020. The system watches the car door and landing door contacts and stops the car from running if a door is not closed or a contact has been bypassed. Limited-use/limited-application (LULA) elevators have until January 1, 2027 to comply with the same section. If your building has a LULA and has not added door lock monitoring, talk to your elevator contractor now, because the work usually needs a DOB permit filed by a licensed elevator agency director or registered design professional.

Penalties

Penalties depend on the building. The rule sets a lower tier for buildings with one or two residential units and a higher tier for commercial buildings, mixed-use buildings and buildings with more than two apartments. Most NYC rental buildings are in the higher tier.

A late report is accepted only if you can prove the inspection or test happened during the cycle it was due. Reports filed after the late window are treated as expired: you pay the failure-to-file penalty, redo the inspection or test in the current cycle and file a new report. DOB also says most failure-to-file violations cannot be dismissed without paying the full penalty, and a current report must be on file before older violations can be cleared. New owners, and owners whose elevator was removed, may qualify for a waiver.

A sample year for a building with one elevator

1. January–March

   Schedule the CAT1 test

   Book the performing and witnessing agencies early so the cycle does not close on you.

2. Test day + 21 days

   CAT1 report filed in DOB NOW: Safety

   Confirm the filing shows on your owner dashboard.

3. At least 3 months after the CAT1

   Periodic inspection

   Report due 14 days later.

4. Within 90 days of each inspection

   Repairs done

   AOC filed within 14 days of the repair.

5. Anniversary month (every 5 years)

   CAT5 full-load test

   Check the month of your last CAT5 so you do not miss the window.

6. December 31

   Cycle closes

   CAT1 reports are not accepted after January 21; periodic reports after January 14.

How to check a building's elevator record

Elevator violations show up as DOB and ECB violations. Search an address on Roofy's building lookup to see open DOB violations, and read DOB violations explained and how to clear DOB violations if you find one. For a full list of what your building owes the city each year, use the landlord compliance calendar, and see the boiler inspection rules for the other big annual DOB filing.

This guide is general information, not legal advice. Your elevator agency and DOB's Elevator Division can confirm the exact schedule for your devices.