Amendment of ECB Buildings Penalty Schedule

Adopted Rules: Closed to Comments

Effective Date: 
Sunday, June 21, 2015

Statement of Basis and Purpose of Final Rule


ECB’s rule has modified the Buildings Penalty Schedule, in order to adequately enforce existing laws and rules and reflect changes brought about by Local Law 141 (LL 141), which went into effect on December 31, 2014.  LL 141 amended the Administrative Code of the City of New York (“Administrative Code”), the New York City Plumbing Code, the New York City Building Code, the New York City Mechanical Code and the New York City Fuel Gas Code.  LL 141 amended existing requirements, added new requirements, and renumbered existing sections of the affected codes.  In addition, unrelated to LL 141, ECB has modified the Buildings Penalty Schedule to reflect efforts by the Department of Buildings (DOB) to update existing violations in DOB rules by amending their sections of law and violation descriptions.


The ECB held a public hearing on April 14, 2015 regarding amendments to its Department of Buildings (DOB) Penalty Schedule found in Section 3-103 of Subchapter G of Chapter 3 of Title 48 of the Rules of the City of New York. One representative from DOB and two (2) members of the public attended the April 14, 2015 public hearing. Neither member of the public presented testimony on the proposed rule at the public hearing. ECB received and considered one written comment on the proposed rule regarding amendments to its DOB Penalty Schedule.    


The rule includes twelve changes or additions to the Buildings Penalty Schedule, related to:

  • obtaining the relevant service equipment Certificate of Compliance prior to operation;
  • operating, maintaining, testing, and inspecting elevators and conveying systems (e.g., escalators, moving walkways, chair lifts and amusement devices);
  • providing notice when an elevator will be out of service due to repair work;
  • tampering, removing, or defacing a Stop Work Order or Vacate Order prior to its rescission by the Commissioner of Buildings;
  • failing to obey a Vacate Order;
  • failing to conduct or file a final inspection of permitted work with the DOB; and
  • damaging or removing trees in a Special Natural Area District without certification, authorization or special permit from the Department of City Planning.


The penalties for these violations fall within the guidelines for their respective classes of violations, as set forth in Section 28-202.1 of the Administrative Code.  The statutory maximum for each class of violation is:

Class 3 (lesser violations) - $500,

Class 2 (major violations) - $10,000, and

Class 1 (immediately hazardous violations) - $25,000.


Subject to these statutory maximums, the penalties in the Buildings Penalty Schedule are calculated as follows:

  • Where there is no default by a respondent, an Aggravated I Penalty is 2 ½ times the Standard Penalty and an Aggravated II Penalty is five times the Standard Penalty. 
  • In the case of a default by a respondent, an Aggravated I Default Penalty is ten times the Standard Penalty and an Aggravated II Default Penalty is set at the statutory maximum prescribed under law. 
  • The Default Penalty is five times the Standard Penalty.


New violations that are not Class 1 (immediately hazardous violations) may be indicated as curable in the penalty schedule.