Local Law 26
Elevator safety inspection and testing requirements for NYC buildings. Understand CAT1 and CAT5 testing, annual inspection obligations, and DOB filing requirements.
Overview of Elevator Inspection Requirements
Local Law 26 and related NYC Administrative Code provisions require periodic inspection and testing of all elevators, escalators, and related conveying equipment in New York City buildings. These requirements are designed to ensure the safe operation of the approximately 70,000 elevators operating across the five boroughs.
The elevator safety regulatory framework includes annual inspections by DOB-authorized inspectors, periodic safety tests (CAT1 and CAT5), ongoing maintenance by licensed elevator companies, and filing requirements with the Department of Buildings.
Building owners are ultimately responsible for ensuring their elevators are properly maintained, inspected, and in compliance with all applicable codes and regulations.
CAT1 vs. CAT5 Testing Requirements
NYC requires two categories of periodic safety testing for traction elevators:
- CAT1 (Category 1) — Annual No-Load Test: Tests the elevator governor and safety devices at rated speed with an empty car. This test verifies that the overspeed governor trips at the correct speed and that the safety devices engage properly. Required annually for all traction elevators.
- CAT5 (Category 5) — Five-Year Full-Load Test: A comprehensive test that evaluates safety devices under full rated load at governor tripping speed. The car is loaded to its rated capacity and the safety devices are tested under the most demanding conditions. Required every five years.
Hydraulic elevators require pressure tests and relief valve tests on a similar periodic schedule. All tests must be performed by DOB-authorized testing agencies and the results filed with the Department of Buildings.
Filing Requirements with DOB
Building owners and their elevator maintenance companies must file several documents with the Department of Buildings:
- Annual inspection reports — Filed by the DOB-authorized inspector after each annual inspection
- CAT1 and CAT5 test reports — Filed by the authorized testing agency after completing periodic safety tests
- Affirmation of Correction (AOC) — Filed by the building owner certifying that violations found during inspection have been corrected
- Elevator maintenance logs — Must be kept on-site in the elevator machine room and available for DOB review
All filings are made through the DOB NOW portal. Deadlines for Affirmation of Correction are typically 90 days from the date of the inspection, though critical safety violations may have shorter correction windows.
Maintenance & Compliance Requirements
Beyond periodic inspections and tests, NYC requires ongoing elevator maintenance:
- Licensed maintenance company — All elevators must be under contract with a DOB-licensed elevator maintenance company
- Monthly maintenance — Elevators must receive at least monthly preventive maintenance visits
- On-site log books — Detailed maintenance logs must be maintained in the machine room and available for DOB inspection
- Operating permits — Current elevator operating permits must be displayed in each elevator car
Building owners should verify that their elevator maintenance contract covers all required testing and that their maintenance company is current on their DOB licensing.
Penalties for Non-Compliance
Elevator compliance violations carry significant penalties:
- $1,000+ per violation per month for outstanding elevator violations that are not corrected within the required timeframe
- Elevator shutdowns — The DOB can order elevators taken out of service for serious safety deficiencies
- Criminal liability — Building owners face potential criminal charges if an elevator accident results from deferred maintenance or ignored violations
- Insurance implications — Non-compliance can affect building insurance coverage and premiums
- Property sale complications — Outstanding elevator violations can delay or complicate property transactions
The DOB has increased enforcement of elevator safety requirements, particularly after high-profile elevator incidents. Proactive compliance is essential.
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Frequently Asked Questions
What is the difference between CAT1 and CAT5 elevator tests?
CAT1 (Category 1) tests are annual no-load safety tests that verify the elevator's safety devices function properly at rated speed without a load in the car. CAT5 (Category 5) tests are comprehensive full-load tests performed every five years that test the safety devices under full rated load at governor tripping speed — a more rigorous evaluation of the elevator's safety systems.
Who can perform elevator inspections in NYC?
Elevator inspections must be performed by inspectors and testing agencies authorized by the NYC Department of Buildings. Annual inspections are conducted by DOB-employed or DOB-authorized inspectors. CAT1 and CAT5 tests must be performed by DOB-licensed private elevator inspection agencies under the supervision of a licensed elevator agency director.
How often must elevators be inspected?
NYC elevators require annual inspections by DOB inspectors, annual CAT1 (no-load safety) tests, and CAT5 (full-load safety) tests every five years. Additionally, elevators must undergo periodic maintenance by licensed elevator companies, and affirmation of correction must be filed for any violations found during inspection.
What happens if an elevator fails an inspection?
If an elevator fails inspection, the DOB issues violations that must be corrected within a specified timeframe. For serious safety deficiencies, the DOB can order the elevator taken out of service immediately until repairs are made. Building owners must hire a licensed elevator company to make repairs and then schedule a re-inspection.
What are the penalties for elevator compliance violations?
Penalties for elevator compliance violations include civil fines starting at $1,000 per violation per month, DOB violations on the building record, potential criminal liability for building owners in the event of an elevator accident caused by deferred maintenance, and the possibility of the DOB ordering elevators out of service until violations are corrected.
Related Compliance Guides
Local Law 152 — Gas Piping Inspections
Periodic gas piping inspection requirements.
Local Law 11 — Facade Inspections
FISP requirements for buildings over 6 stories.
Local Law 87 — Energy Audits
Energy audit and retro-commissioning requirements.
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