NYC elevator inspections explained: periodic, CAT1 and CAT5
What New York City building owners must do to keep elevators compliant: periodic inspections, the annual CAT1 test, the five-year CAT5 test, filing through DOB NOW and how violations work.
If you own or manage a building in New York City with an elevator, the Department of Buildings (DOB) expects specific inspections and tests, filed electronically by approved professionals. The terms “periodic inspection,” “CAT1” and “CAT5” come up constantly with contractors and violation notices. This guide sets out what DOB itself says about them. Rules change, so treat the linked DOB pages as the authority and confirm details with your elevator agency.
Who is responsible
The building owner is responsible for the safe operation and compliance of the elevators in the building. In practice owners and managing agents hire an elevator maintenance company for service and an approved elevator inspection agency for inspections and tests, and the agency files reports with DOB. DOB’s elevator FAQ states that an approved elevator inspection agency must submit the required inspection reports to the department.
Periodic inspections
DOB’s FAQ says elevators are inspected through a computerized routing system, and that specific inspection dates are not given to the public or the owner in advance. It also says the NYC Building Code mandates three inspections within two years. Owners should therefore keep the machine room and equipment accessible and records available at all times, and make sure someone is on hand to give inspectors access. If the inspection finds defects, they are reported and must be corrected.
CAT1: the annual no-load safety test
Category 1, or CAT1, is described by DOB as a no-load safety test of an elevator device that must be performed between January 1 and December 31 of each calendar year. The report must be filed within 60 days of the inspection and test. DOB states that reports not filed within 12 months of the inspection are considered expired and will not be accepted. Defects found on a CAT1 are required to be corrected within 120 days, and an Affirmation of Correction (AOC) must be filed within 60 days of the date of correction.
CAT5: the five-year full-load test
Category 5, or CAT5, is a rated load and speed safety test. DOB says it must be performed within five years from the month a final certificate was issued for a new elevator, or within five years from the month of the most recent CAT5 test on an existing elevator. Because CAT5 is a heavier test, it usually requires more planning: the elevator is out of service for a longer period, test weights must be brought in, and the maintenance company and the inspection agency have to be scheduled together. Ask your agency early, and warn tenants ahead of time.
Filing through DOB NOW: Safety
Elevator reports and violation payments go through DOB NOW: Safety. DOB says that, effective June 17, 2020, elevator violations must be paid through DOB NOW: Safety, and that violations stay on the property until the civil penalty is paid and a current inspection or test report has been filed. Owners should therefore check their property’s elevator status regularly, rather than waiting for a notice.
A practical annual calendar
- Early in the year: ask your agency to schedule the CAT1 for each elevator, and check whether any device is due for a CAT5 this year.
- Before the test: confirm that your maintenance company has corrected known issues, and that the machine room is clear and lit.
- After the test: confirm the report was filed, and read the list of defects. Get quotes for corrections promptly, since the correction period is limited.
- After corrections: make sure the AOC is filed within 60 days of the correction date.
- Any time: review the property’s DOB record and pay or contest any violation through the official channel.
Licenses matter on both sides
Elevator work in New York is licensed at two levels. The State Department of Labor licenses elevator contractors, inspection contractors and mechanics (see our state licensing guide), and DOB licenses agencies and individuals for work in the city (see DOB elevator licenses). Before signing a contract, confirm the business, not just the individual technician, is properly licensed. Our listings show state license status from the New York State Department of Labor file; check DOB approval for inspection agencies directly with DOB.
Choosing help
Read our guide to choosing a maintenance contractor for contract terms to look for, and use the directory to find licensed businesses in your borough. We list license records only; we do not publish inspection results or violations.