NYC elevator compliance usually includes an annual periodic inspection and annual CAT1 test, plus a CAT5 test every five years. Periodic reports are due within 14 days, CAT1 and CAT5 reports within 21 days, and defects generally require correction within 90 days and filing within 104 days. Confirm the current requirement in the cited agency system and in any notice issued for the property.
Separate periodic, CAT1, CAT5, and maintenance issues
The periodic inspection is an annual visual inspection performed by an approved agency that is independent from the maintenance agency. CAT1 is an annual no-load safety test. CAT5 is a rated-load and speed test performed on the five-year schedule.
Record the device number, inspection or test type, date, filing due date, defects, maintenance agency, independent inspection agency, and current violation.
- Match the violation to the correct device number, inspection type, test, report, defect, and filing cycle.
- Review the maintenance contractor’s records and identify any unsafe condition requiring immediate action.
- Confirm the correction, professional sign-off, filing, and penalty requirements for the exact record.
Correct the device and file the matching report
Do not use a CAT1 submission to close a periodic-inspection obligation or treat ordinary maintenance as an accepted affirmation of correction.
- Protect users and address unsafe equipment conditions through the licensed elevator contractor.
- Complete the cited maintenance or defect correction and all required testing.
- File correction or follow-up documentation through DOB’s current elevator process.
- Resolve related penalties and verify device, filing, and violation status after acceptance.
Use the elevator deadline that matches the filing
DOB publishes the following filing and correction deadlines and common failure-to-file penalties.
| Item | Deadline or consequence |
|---|---|
| Periodic inspection | File within 14 days; final acceptance cutoff January 14 of next year |
| CAT1 test | File within 21 days; final acceptance cutoff January 21 of next year |
| CAT5 test | Every five years; file within 21 days |
| Periodic or CAT1 defects | Correct within 90 days and file within 14 days of correction; 104-day maximum |
| Failure to Maintain condition | Correct and notify DOB within 10 calendar days |
| Residential CAT1 failure to file | $1,000 per device |
| Nonresidential periodic or CAT1 failure to file | $3,000 per device |
| Nonresidential CAT5 failure to file | $5,000 per device |
Elevator-compliance mistakes to avoid
Use this list as a final review before filing, paying, certifying, or closing the internal task.
- Using an inspection agency affiliated with the maintenance company for the periodic inspection.
- Missing the 14- or 21-day report deadline after completing the inspection.
- Correcting defects after 90 days without protecting the 104-day filing limit.
- Paying a penalty without filing a current acceptable report when DOB requires one for clearance.
Maintain a device-level inspection history
Keep periodic, CAT1, and CAT5 records separate but connected to the device, including defects, repairs, affirmation filings, fees, waivers, and DOB acceptance.
- Device number, violation, and inspection report
- Maintenance log, outage, and resident communications
- Licensed-contractor repair and test evidence
- Correction filing, penalty, and final DOB status
Check the device and violation status in DOB NOW
Returning the car to service does not necessarily clear a violation or filing defect. Verify that the required DOB correction was accepted for the correct device.
A contractor’s service ticket does not dismiss a failure-to-maintain or failure-to-file violation. Preserve DOB’s accepted filing or dismissal result.
This article provides general information and is not legal advice.
