(a)   Certificates of Approval for Agency Directors.
      (1)   A Certificate of Approval for an agency director shall be the written authorization of the commissioner to an individual who shall be the responsible representative of an entity, who carries on her, his or its business as an independent contractor that witnesses tests and inspects elevators, escalators and related equipment. Each private elevator inspection agency shall have one or more directors who supervise the operations of the agency and hold a Certificate of Approval from the Department of Buildings.
      (2)   In order to be granted an Agency Director's Certificate of Approval, an applicant must:
         (i)   have a minimum of ten (10) years of experience within the last fifteen (15) years immediately preceding the date of the application for a Certificate of Approval, or a minimum of five (5) years experience within the last seven (7) years immediately preceding the date of the application for a Certificate of Approval if applicant is a New York State licensed Professional Engineer or Registered Architect, in the supervision of the assembly, installation, maintenance, repair, design or inspection of elevators; and
         (ii)   demonstrate to the commissioner's satisfaction, including performance on any written or oral tests the Commissioner may require, that the applicant is sufficiently familiar with the construction and maintenance of elevators, escalators and related equipment within the provisions of Subchapter 18 of Chapter 1 of Title 27 of the Administrative Code and Reference Standard 18; and
         (iii)   demonstrate to the commissioner's satisfaction that the applicant is of good moral character so as not to adversely impact upon his or her fitness to conduct a private elevator inspection agency; and
         (iv)   furnish payment to the Department for the actual cost of conducting a background investigation of the applicant.
      (3)   The applicant must complete such questionnaires and provide such supporting data as the commissioner may require including but not limited to a Private Elevator Inspection Qualification/Background form ("qualification/background form") provided by the Department of Buildings which describes, among other things, the applicant's required experience history as follows: job title or capacity of employment; license, if any; name and address of each employer; length of service for each employer; and any criminal convictions. The applicant shall then submit the completed qualification/background form to the Licensing Division.
      (4)   Prior to the Department's issuance of a Certificate of Approval for the agency director, the applicant shall submit the following to the Licensing Division:
         (i)   the completed qualification/background form and supporting data as the commissioner may require;
         (ii)   the filing fee specified in §26-213(c)(a) of the Administrative Code and the actual cost of conducting a background investigation of the applicant;
         (iii)   a copy of the inspection agency's general liability insurance policy for the amount of one million dollars ($1,000,000), with coverage provided for the term of the Certificate of Approval, naming the New York City Department of Buildings, Licensing Division as an additional insured on said insurance certificate;
         (iv)   documentation indicating compliance with the provisions of the New York State Workers' Compensation Law; and
         (v)   a current business address, which the applicant is responsible for keeping updated.
      (5)   After the applicant has complied with paragraphs 1 through 4 above, the Department shall issue to the applicant an agency Director's Certificate of Approval. The preceding provisions notwithstanding, the commissioner may refuse to issue such a Certificate of Approval for any of the reasons specified as a grounds for revocation or suspension set forth in subsection (e) below. Each agency director shall supervise the operations of only one private elevator inspection agency.
   (b)   Certificates of Approval for Agency Inspectors.
      (1)   A Certificate of Approval for an inspector shall be the written authorization of the commissioner to an individual to conduct periodic inspections of elevators, escalators and related equipment and who shall be employed and supervised by a director who holds a Certificate of Approval from the Department of Buildings or who shall be employed by a person or entity who carries on her, his or its business as an independent contractor to witness tests and inspect elevators, escalators and related equipment. Every inspector employed by a private elevator inspection agency shall hold a Certificate of Approval from the Department of Buildings.
      (2)   In order to be granted an inspector's Certificate of Approval, an applicant must:
         (i)   have a minimum of five (5) years of satisfactory experience, within the last seven (7) years immediately preceding the date of application for a Certificate of Approval, in the assembly, installation, repair, design, or inspection of elevators, or as an elevator mechanic.
         (ii)   demonstrate to the commissioner's satisfaction, including performance on any written or oral tests the Commissioner may require, that the applicant is sufficiently familiar with the construction and maintenance of elevators, escalators and related equipment within the provisions of Subchapter 18 of Chapter 1 of Title 27 of the Administrative Code and Reference Standard 18; and
         (iii)   demonstrate to the commissioner's satisfaction that the applicant is of good moral character so as not to adversely impact upon his or her fitness to conduct elevator inspections; and
         (iv)   complete a questionnaire and provide supporting data as the commissioner may require; and
         (v)   furnish payment to the Department for the actual cost of conducting a background investigation of the applicant.
      (3)   The applicant must complete such questionnaires and provide such supporting data as the commissioner may require including but not limited to a Private Elevator Inspection Qualification/Background form ("qualification/background form") provided by the Department of Buildings which describes the applicant's required experience history as follows: job title or capacity of employment; license, if any; name and address of each employer; the length of service for each employer; and any criminal convictions. The applicant shall then submit the completed qualification/background form to the Licensing Division.
      (4)   Prior to the Department's issuance of a Certificate of Approval for an agency inspector, the applicant shall submit the following to the Licensing Division:
         (i)   the completed qualification/background form and supporting data as the commissioner may require;
         (ii)   the filing fee specified in §26-213(c)(a) of the Administrative Code and the actual cost of conducting a background investigation of the applicant.
         (iii)   a current business address, which the applicant is responsible for keeping updated.
      (5)   After the applicant has complied with paragraphs 1 through 4 above, the Department shall issue to the applicant an agency inspector's Certificate of Approval. The preceding provisions notwithstanding, the commissioner may refuse to issue such a Certificate of Approval for any of the reasons specified as grounds for revocation or suspension set forth in subsection (e) below. Private elevator inspectors who are employed by more than one private elevator inspection agency must have a Certificate of Approval for each agency by which they are employed. In such cases, an inspector shall submit a separate qualification/background form and pay a separate filing fee for each agency by which he or she is employed.
   (c)   Department Listings of Private Inspection Agencies.
      (1)   Each private inspection agency shall furnish the Department of Buildings, Licensing Division with a list of directors and inspectors, its Certificate of Approval numbers, a complete table of organization(s), including identification of persons or titles, and a current business address. This information shall be set forth on letterhead bearing the name and address of the private elevator inspection agency.
      (2)   Notification of any changes in the information required to be furnished to the Department by subsection (c)(1) shall be sent to the Licensing Division by certified mail within five (5) days of the change.
      (3)   All private inspection agencies must have a legal place of business within the City of New York. A post office box in New York City is not acceptable.
   (d)   Renewal of Certificates.
      (1)   Every Certificate of Approval provided for in this section shall be renewed in person within thirty (30) days prior to its December 31 expiration date.
      (2)   Prior to the renewal of a Certificate of Approval for an agency director, the director shall submit the following to the Department of Buildings, Licensing Division:
         (i)   the renewal fee specified in §26-213(c)(a) of the Administrative Code; and
         (ii)   a copy of the inspection agency's general liability insurance policy for the amount of one million dollars ($1,000,000), with coverage provided for the renewal term of the director's Certificate of Approval, naming the New York City Department of Buildings, Licensing Division as an additional insured on said insurance certificate; and
         (iii)   documentation indicating compliance with the provisions of the New York State Workers' Compensation Law; and
         (iv)   documentation demonstrating to the commissioner's satisfaction that the applicant continues to be of good moral character so as not to adversely impact upon his or her fitness to conduct a private elevator inspection agency.
      (3)   Prior to the renewal of a Certificate of Approval for an agency inspector, the inspector shall submit to the Department of Buildings, Licensing Division:
         (i)   the renewal fee specified in §26-213(c)(a) of the Administrative Code; and
         (ii)   documentation demonstrating to the commissioner's satisfaction that the applicant continues to be of good moral character so as not to adversely impact upon his or her fitness to conduct elevator inspections.
      (4)   After the director or inspector has complied with the requirements stated above, the Department shall issue a renewal of the director's or inspector's Certificate of Approval. The preceding provisions notwithstanding, the commissioner may refuse to issue a renewal of a director's or inspector's Certificate of Approval for any of the reasons specified as a grounds for revocation or suspension set forth in subsection (e) below.
      (5)   Agency directors and inspectors not renewing their Certificate of Approval by December first of each year shall be subject to the late fees specified in §26-213(c)(b) of the Administrative Code. Those agency directors and inspectors not renewing their Certificates of Approval by January 1 shall be suspended until the applicable late fees are paid. In the event a director or inspector's Certificate of Approval has lapsed for a period of five (5) years or more, the director or inspector must submit to the Department and follow the procedures for a new application.
   (e)   Suspension or Revocation of Agency Director's or Inspector's Certificate of Approval.
      (1)   The commissioner or his or her designee may suspend or revoke an Agency Director's or Inspector's Certificate of Approval or impose a fine not to exceed five thousand dollars upon a finding of any of the following:
         (i)   fraud or deceit in obtaining a Certificate of Approval or renewal thereof;
         (ii)   the making of a false or misleading statement on any form or report filed with the Department or failure to file a statement, report or form required by law or the Department;
         (iii)   the willful impeding or obstruction of the filing of a statement, report or form of another;
         (iv)   fraudulent dealings;
         (v)   negligence, incompetence, lack of knowledge of the Building Code, or disregard for the Building Code, as demonstrated in the performance of elevator inspections or the submission of any form or report filed with the Department;
         (vi)   exhibiting a practice of failing to timely or properly carry out the inspection of elevators;
         (vii)   engaging or assisting in any act that endangers the public safety and welfare;
         (viii)   failure to comply with or abide by an order of the commissioner;
         (ix)   in the case of an agency Director, delegating inspectorial duties to a person who the agency director knows or has reason to know is not qualified to inspect elevators;
         (x)   poor moral character that adversely impacts upon the individual's fitness to conduct a private elevator inspection agency or elevator inspections;
         (xi)   the conviction for a criminal offense where the underlying act arises out of that individual's professional dealings with the City of New York or with any other governmental entity;
         (xii)   engaging in any other conduct evidencing a willful or negligent failure to comply with provisions of federal, state or local law, or rules or regulations promulgated pursuant to statutory authority;
         (xiii)   one or more violations of any provisions of Title 26, Chapter 1 or Title 27, Chapter 1 of the Administrative Code or Rules adopted pursuant to such provisions relating to elevator inspections.
      (2)   Where the commissioner or his or her designee, in his or her discretion, deems that there is probable cause to believe that the Certificate of Approval of the agency director and/or inspector should be suspended or revoked or that the director and/or inspector should be fined, unless otherwise provided, charges shall be preferred by the Department's IAD Unit and served by mail upon the appropriate party. The director and/or inspector shall be entitled to a hearing before the Office of Administrative Trials and Hearings, to be held in accordance with the provisions of Title 48 of the Rules of the City of New York, as provided by rules promulgated by the Department.
      (3)   Where the commissioner or his or her designee, in his or her discretion, deems that there is probable cause to believe that the continued Certificate of Approval of the agency director and/or inspector will create a condition of imminent peril to public safety, the suspension or revocation shall be effective immediately pending a hearing to be held as soon as practicable in light of the circumstances before the Office of Administrative Trials and Hearings.
   (f)   Repealed.
   (a)   Dangerous conditions. Any of the following elevator and escalator violations constitute a condition dangerous to human life and safety.
      (1)   Elevator out-of-service when there is only one elevator in the building or building section.
      (2)   Fireman service not functioning in premises.
      (3)   Badly worn, defective, or damaged hoist cables and/or governors cables.
      (4)   Defective hoistway doors.
      (5)   Defective hoistway door interlocks.
      (6)   Defective car door/gate.
      (7)   Defective car door/gate switch.
      (8)   Defective/missing vision panels.
      (9)   Defective car safety devices.
      (10)   Defective brake assembly.
      (11)   Defective hoist machine.
      (12)   Defective selector/assembly.
      (13)   Missing top emergency covers.
      (14)   Defective escalator fire shutters.
      (15)   Defective escalator comb plates.
      (16)   Defective escalator stop switch.
      (17)   Excessive escalator skirt panel clearances.
      (18)   Defective or non-functional safety switches.
      (19)   Badly worn, defective, or damaged relays or controllers and/or selector.
      (20)   Defective, badly worn, or damaged car safety device parts.
      (21)   Defective car and/or counterweight buffers.
      (22)   Any damaged, badly worn or defective equipment, which could result in elevator breakdown.
   (b)   Civil penalties. In the event any person fails to remove any of the violations listed in these rules, after having been served with a notice personally or by certified mail indicating that removal of such condition exists and requiring such removal or compliance unless the removal of such condition is prevented by a labor dispute or is the result of vandalism beyond the control of the owner, he shall be liable for civil penalty of not less than one hundred fifty dollars per day commencing on the date of the service of such notice and terminating on the date that such removal or compliance has been substantially completed in addition to other penalties set forth in law. When service of such notice is made by mail to the owner, civil penalties as herein provided shall commence five days from the date of such mailing.
   (c)   Discontinuance of action upon removal of violation. Where a notice requiring removal of a violation listed in these rules has been issued, liability shall cease and the corporation counsel, on request of the Commissioner, shall discontinue prosecution only if the removal or compliance so required has been completed or substantially completed within ten days after the service of such notice. The Commissioner shall, upon good cause shown, grant additional time for such removal or compliance. In addition, the civil penalties shall be tolled from the date the owner certifies under oath, a form prescribed by the Commissioner, that the removal of the violation has been substantially completed. If subsequent inspection by the department shows a failure to have removed the violation, the civil penalties shall be deemed to have accrued as of the first day notice of violation has been served.
A cease use order should be issued for all elevators, personnel hoists, escalators, and moving walks pursuant to §26-127 of the Administrative Code of the City of New York whenever an imminently hazardous condition exists. In addition, the device should be tagged as unsafe. This tag may not be removed without prior approval from the Department of Buildings. Such imminently hazardous conditions include but are not limited to:
   (a)   Elevator running with an open hoistway door or car gate/door.
   (b)   Elevator running with broken or non-functioning upper or lower final hoistway or machine limit switches.
   (c)   Hoistway or car door vision glass and grille guard missing.
   (d)   Unravelling or broken hoist, counterweight, governor or compensation cables.
   (e)   Missing hoistway door or car door gibs.
   (f)   Inoperable governor.
   (g)   Elevator running with non-functioning interlock.
   (h)   Emergency top exit cover missing (passenger elevator).
   (i)   Side emergency exit door open (passenger elevator).
   (j)   Emergency stop switch not working (automatic elevator, escalator or moving walk).
   (k)   Directional switch not working (escalator or moving walk).
   (l)   Other imminently hazardous conditions as observed by the inspector.
If any of the provisions of these rules are found by a court of competent jurisdiction to be invalid or ineffective in whole or in part, the effect of such decision shall be limited to those provisions that are expressly stated in the decision to be invalid or ineffective, and all other provisions of these rules shall continue to be separately and fully effective.
   (a)   Where the department has issued a temporary use permit pursuant to §27-188 of the Administrative Code for an elevator, escalator or other device listed in §27-185(b) and §27-982 of the Code subject to the completion of alteration or installation work as specified by the department, a certified elevator inspection agency director, professional engineer or registered architect may certify to the department that such work has been completed in conformity with the requirements of Subchapter 18 of Chapter 1 of Title 27 and Reference Standard 18-1. The department shall issue an equipment use permit upon the satisfactory filing of such certification.
   (b)   This section shall not apply to amusement devices.
   (a)   Renewal of a temporary use permit for an elevator, escalator, or other device, except amusement devices, listed in §27-185(b) or §27-982 of the Administrative Code.
      (1)   A temporary use permit issued pursuant to §27-188 of the Administrative Code for an elevator, escalator or other device listed in §27-185(b) or §27-982 of the Code may be renewed subject to the following:
         (i)   Each renewal application shall be submitted on forms furnished by the department not later than five business days prior to the expiration date of the temporary use permit;
         (ii)   Such application shall state the reason for renewal and be accompanied by the required fee as set forth in subdivision (3) of this section; and
         (iii)   Such application shall be submitted on behalf of the owner and signed by the owner or its authorized representative.
      (2)   The commissioner will automatically renew a temporary use permit every thirty days for up to 120 days unless informed otherwise by the applicant. After 120 days, a renewal application must be filed and accompanied by the required fee.
      (3)   The department may require a department inspection prior to the issuance of a renewal.
      (4)   Each application for renewal shall be accompanied by a fee of $100 per device.
   (b)   Failure to keep or be prepared for scheduled appointment.
      (1)   Scheduled appointments for the inspection or tests of an elevator, escalator or other device listed in §27-185(b) and §27-982 of the Code may be canceled provided that notice of cancellation is received by the department no later than 3 business days prior to the scheduled appointment.
      (2)   Where a department inspector arrives at the site of a scheduled inspection or test and is unable to perform the scheduled inspection or witness the test because the owner or its authorized representative has failed to keep or is unprepared for the scheduled appointment, then the department shall impose a fee for the missed appointment in the amount of $200. The fee shall be due and payable within thirty days after the date of the missed appointment or prior to the scheduling of a new appointment, whichever is earlier.
   (c)   Pre-inspection clearance.
      (1)   An owner or its authorized representative may request the department to perform a pre-inspection clearance of an elevator, escalator, or other device listed in §27-185(b) and §27-982 of the Administrative Code within five business days of the department's receipt of such request and payment of the required fees set forth in subdivision (2) of this section. The department reserves the right to schedule the requested pre-inspection clearance during non-regular or off-peak hours.
      (2)   A request for a pre-inspection clearance shall be accompanied by a non-refundable fee in the amount of $200 per device.
   (d)   This section shall not apply to amusement devices.
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