NYC Rent Control Regulations

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Notice: This is an unofficial copy of 9 NYCRR parts 2200-2211. The official source for these regulations is the text filed with the Secretary of State and printed in the official compilation published by Lawyers Cooperative Publishing. It is available in law libraries and larger public libraries and on Westlaw and Lexis. This subchapter is printed in volume 9D of the official compilation. See http://west.thomson.com/productdetail/5962/14014596/productdetail.aspx for ordering information. A free online version of the NYCRR is provided by the New York Department of State.

Hyperlinks in this web page are not part of the Code and are provided for reference only.

OFFICIAL COMPILATION OF CODES, RULES AND REGULATIONS OF THE STATE OF NEW YORK
TITLE 9. EXECUTIVE DEPARTMENT
SUBTITLE S. DIVISION OF HOUSING AND COMMUNITY RENEWAL
CHAPTER VII. EMERGENCY HOUSING RENT CONTROL
SUBCHAPTER D. RENT AND EVICTION REGULATIONS -- NEW YORK CITY

Includes amendments filed Apr. 24, 2013, effective Jan. 8, 2014.

HTML markup by Stuart Lawrence (updated July 18, 2014)

Notice: This is an unofficial copy of 9 NYCRR parts 2200-2211. The official source for these regulations is the text filed with the Secretary of State and printed in the official compilation published by Lawyers Cooperative Publishing. It is available in law libraries and larger public libraries and on Westlaw and Lexis. This subchapter is printed in volume 9D of the official compilation. See http://west.thomson.com/productdetail/5962/14014596/productdetail.aspx for ordering information. A free online version of the NYCRR is provided by the New York Department of State. Hyperlinks in this web page are not part of the Code and are provided for reference only.

 

 

TABLE OF CONTENTS

 

PART 2200 SCOPE
§ 2200.1 Statutory authority.
§ 2200.2 Statutory definitions.
§ 2200.3 Additional definitions.
§ 2200.4 Applicability.
§ 2200.5 Amendment or revocation.
§ 2200.6 Filing of amendments.
§ 2200.7 Separability.
§ 2200.8 District rent office designations and descriptions of portions of city under their jurisdiction.
§ 2200.9 Conversion after May 1, 1950.
§ 2200.10 Substantial demolition after May 1, 1962.
§ 2200.11 Commercial or professional renting of controlled housing accommodations on or after May 1, 1955.
§ 2200.12 Withdrawal from rental market.
§ 2200.13 Effect of these regulations on leases and other rental agreements.
§ 2200.14 Receipt for rent paid.
§ 2200.15 Waiver of benefit void.
§ 2200.16 Fees.
§ 2200.17 Biennial fees.
   
PART 2201 MAXIMUM RENTS
§ 2201.1 Maximum rents for housing accommodations.
§ 2201.2 Services included in maximum rent.
§ 2201.3 Compensable rent adjustment effective August 1, 1970.
§ 2201.4 Maximum base rents effective January 1, 1972.
§ 2201.5 Biennial adjustment of maximum rents.
§ 2201.6 Collectibility.
   
PART 2202 ADJUSTMENTS; DETERMINATION OF RENTS AND SERVICES
§ 2202.1 Maximum rents.
§ 2202.2 Effective date of orders adjusting rents.
§ 2202.3 Grounds for increase of maximum rent.
§ 2202.4 Increased services or facilities, substantial rehabilitation, major capital or other improvements.
§ 2202.5 Voluntary written agreements.
§ 2202.6 Increase in subtenants or occupants.
§ 2202.7 Unique or peculiar circumstances.
§ 2202.8 Return on capital value.
§ 2202.9 Unavoidable increases in operating costs in small structures.
§ 2202.10 Unavoidable increases in operating costs in other specified structures.
§ 2202.11 Labor costs in excess of maximum base rent allowance.
§ 2202.12 Rehabilitation or improvement under government-financed program or other approved program.
§ 2202.13 Fuel cost adjustments.
§ 2202.14 Grounds for decrease of maximum rent.
§ 2202.15 Decrease of first rents.
§ 2202.16 Rent decrease for reduction of services, etc.
§ 2202.17 Rent decrease based on hazardous conditions.
§ 2202.18 Decrease of inequitable rents for rooming house and single-room occupancy accommodations.
§ 2202.19 Alternative provision in lieu of rent decrease.
§ 2202.20 Senior citizen rent increase exemption.
§ 2202.21 Decrease of services; application, order or report.
§ 2202.22 Orders where maximum rent or other facts are in dispute, in doubt or not known, or where maximum rents must be fixed or established.
§ 2202.23 Order where apartment is rented to more than one tenant.
§ 2202.24 Retroactive adjustments.
§ 2202.25 Rent adjustments upon succession.
§ 2202.26 Surcharge for the installation and use of washing machines, dryers and dishwashers.
§ 2202.27 Surcharges for submetered electricity or other utility service.
   
PART 2203 REGISTRATION AND RECORDS
§ 2203.1 Registration of housing accommodations.
§ 2203.2 Report on decontrol of certain housing accommodations.
§ 2203.3 First rent.
§ 2203.4 Change of ownership.
§ 2203.5 Service of papers.
§ 2203.6 Notices to attorneys at law.
§ 2203.7 Failure to file.
§ 2203.8 Records and recordkeeping.
§ 2203.9 Other reports required to be filed.
§ 2203.10 Certification concerning alteration or demolition of buildings.
   
PART 2204 EVICTIONS
§ 2204.1 Restrictions on removal of tenants, including hotel tenants.
§ 2204.2 Proceedings for eviction without certificate.
§ 2204.3 Notices required in proceedings under section 2204.2.
§ 2204.4 Proceedings for eviction with certificate.
§ 2204.5 Occupancy by landlord or immediate family.
§ 2204.6 Tenant not using premises for own dwelling.
§ 2204.7 Alteration or remodeling.
§ 2204.8 Demolition.
§ 2204.9 Withdrawal of occupied housing accommodations from rental market.
   
PART 2205 PROHIBITIONS
§ 2205.1 General prohibitions.
§ 2205.2 Evasion.
§ 2205.3 Purchase of property as condition of renting.
§ 2205.4 Term of occupancy.
§ 2205.5 Security deposits.
§ 2205.6 Lease with option to buy.
§ 2205.7 Disclosure by employees.
   
PART 2206 ENFORCEMENT
§ 2206.1 Criminal penalties.
§ 2206.2 Injunctions.
§ 2206.3 Civil penalties.
§ 2206.4 Civil action by administrator.
§ 2206.5 Finding of harassment.
§ 2206.6 Revocation of orders.
§ 2206.7 Civil action by tenant where landlord fails to use certificate of eviction for purposes specified therein.
§ 2206.8 Civil action by tenant.
§ 2206.9 Civil action by tenant for unlawful eviction or for surrender of possession as result of harassment.
§ 2206.10 Miscellaneous provisions.
§ 2206.11 Inspection and records.
   
PART 2207 PROCEEDINGS BEFORE DISTRICT RENT ADMINISTRATOR
§ 2207.1 Proceedings instituted by landlord or tenant in district rent office.
§ 2207.2 Proceedings instituted by district rent administrator on his own initiative.
§ 2207.3 Notice to parties affected.
§ 2207.4 Answer.
§ 2207.5 Action by district rent administrator.
§ 2207.6 Final determination by district rent administrator.
§ 2207.7 Pending proceedings.
§ 2207.8 Modification or revocation of orders.
   
PART 2208 ADMINISTRATIVE REVIEW
§ 2208.1 Persons who may file a petition for administrative review (PAR).
§ 2208.2 Time for filing a PAR.
§ 2208.3 Form and content of a PAR against these regulations or portion thereof.
§ 2208.4 Form and content of a PAR against an order of the district rent administrator.
§ 2208.5 Service and filing of a PAR.
§ 2208.6 Time of filing answer to a PAR.
§ 2208.7 Action by administrator.
§ 2208.8 Final determination by administrator.
§ 2208.9 Pending PAR’s.
§ 2208.10 Time within which administrator shall take final action.
§ 2208.11 Stays.
§ 2208.12 Judicial review.
§ 2208.13 Modification or revocation of orders on a PAR.
§ 2208.14 PARs; time periods; address of office of rent administration.
   
PART 2209 MISCELLANEOUS PROCEDURAL MATTERS
§ 2209.1 When a notice or paper shall be deemed served.
§ 2209.2 Power of subpoena.
§ 2209.3 Production of documents.
§ 2209.4 Action by administrator on failure to obey subpoena.
§ 2209.5 Privilege against self-incrimination.
§ 2209.6 Disclosure of information by the administrator.
§ 2209.7 Delegation of authority.
§ 2209.8 Opinions and official interpretations.
§ 2209.9 Administrative proceedings pending before Department of Housing Preservation and Development of the City of New York.
§ 2209.10 Administrative proceedings on application by interested party for decontrol on the basis of vacancy rate.
§ 2209.11 Action by administrator.
§ 2209.12 Final determination by administrator.
   
PART 2210 HOUSING ACCOMMODATIONS COVERED BY TITLE YY OF NEW YORK CITY ADMINISTRATIVE CODE
§ 2210.1 Scope.
§ 2210.2 Maximum rent.
§ 2210.3 Registration requirements.
   
PART 2211 PROCEDURES FOR HIGH INCOME RENT DECONTROL
§ 2211.1 Definitions.
§ 2211.2 Income certification forms (ICFs).
§ 2211.3 Procedure where total annual income as certified on ICF exceeds threshold.
§ 2211.4 Procedure where tenant fails to return ICF or landlord disputes certification.
§ 2211.5 Determination by Department of Taxation and Finance (DTF).
§ 2211.6 Procedure where tenant fails to provide information for determination by Department of Taxation and Finance (DTF).
§ 2211.7 Mailing of submissions relating to high-income decontrol.
§ 2211.8 Jurisdictional authority.

 

PART 2200. SCOPE

 

§ 2200.1 Statutory authority.
§ 2200.2 Statutory definitions.
§ 2200.3 Additional definitions.
§ 2200.4 Applicability.
§ 2200.5 Amendment or revocation.
§ 2200.6 Filing of amendments.
§ 2200.7 Separability.
§ 2200.8 District rent office designations and descriptions of portions of city under their jurisdiction.
§ 2200.9 Conversion after May 1, 1950.
§ 2200.10 Substantial demolition after May 1, 1962.
§ 2200.11 Commercial or professional renting of controlled housing accommodations on or after May 1, 1955.
§ 2200.12 Withdrawal from rental market.
§ 2200.13 Effect of these regulations on leases and other rental agreements.
§ 2200.14 Receipt for rent paid.
§ 2200.15 Waiver of benefit void.
§ 2200.16 Fees.
§ 2200.17 Biennial fees.

Statutory authority: L. 1983, ch. 403.

History: Part (§§ 2200.1-2200.18) filed July 24, 1984 as emergency measure, expired 60 days after filing; new (§§ 2200.1-2200.17) filed Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2200.1 Statutory authority.

      These regulations are adopted and promulgated by the Division of Housing and Community Renewal pursuant to the City Rent and Rehabilitation Law (title Y of chapter 51 of the Administrative Code of the City of New York, formerly being chapter 41 and renumbered by chapter 100 of the Laws of 1963, as amended) and the Local Emergency Housing Rent Control Act (chapter 21 of the Laws of 1962) and the Omnibus Housing Act (chapter 403 of the Laws of 1983). As used in these regulations, the term Rent Law shall mean the Rent and Rehabilitation Law of the City of New York.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2200.2 Statutory definitions.

      When used in these regulations, unless a different meaning clearly appears from the content, the following terms shall mean and include:

(a) Administrator. The Commissioner of the Division of Housing and Community Renewal.

(b) City. The City of New York or an administrative agency of the City of New York.

(c) Documents. Records, books, accounts, correspondence, memoranda and other documents, and drafts and copies of any of the foregoing.

(d) Federal Act. The Emergency Price Control Act of 1942, and as thereafter amended and as superseded by the Housing and Rent Act of 1947, and as the latter was thereafter amended prior to May 1, 1950, and the regulations adopted pursuant thereto.

(e) Housing accommodations. Subject to the provisions of subdivisions (f) and (g) of this section, any building or structure, permanent or temporary, or any part thereof, occupied or intended to be occupied by one or more individuals as a residence, home, sleeping place, boarding house, lodging house or hotel, together with the land and buildings appurtenant thereto, and all services, privileges, furnishings, furniture and facilities supplied in connection with the occupation thereof, and any plot or parcel of land (as distinguished from any building constructed or placed thereon) which is not owned by the city and which was rented prior to May 1, 1950, for the purpose of permitting the tenant thereof to construct thereon his own building or structure designed exclusively for residential occupancy by not more than two families, and on which there exists such a building or structure owned and occupied by a tenant of such plot or parcel, including:

(1) entire structures or premises, as distinguished from the individual housing accommodations contained therein, wherein 25 or fewer rooms are rented or offered for rent by any lessee, sublessee or other tenant of the entire structure or premises, and where such lessee, sublessee or other tenant occupies a portion of the structure or premises as his dwelling;

(2) housing accommodations in any multiple dwelling aided by a loan made by the city under article 8 of the Private Housing Finance Law, provided that where any such housing accommodations were not subject to rent control immediately prior to the first date on which moneys are advanced to the landlord under the loan, or the occupancy date as defined in such article 8, whichever is earlier:

(i) rent control hereunder as to such housing accommodations shall begin on such earlier date; and

(ii) such control shall continue only so long as is required by such article 8;

(3) housing accommodations in any multiple dwelling with respect to which tax exemption and tax abatement under section J51-2.5 of the Administrative Code of the City of New York begin after April 30, 1962, notwithstanding that immediately prior to the date when such tax exemption and tax abatement begin, such housing accommodations may not have been subject to control. Where any such housing accommodations were not controlled immediately prior to such date:

(i) they shall become subject to control when tax exemption and tax abatement begin; and

(ii) they shall remain subject to control until the date on which such tax exemption or tax abatement terminates, whichever is later; and

(4) housing accommodations which become subject to control pursuant to the provisions of paragraph (5), (9), (10), (11), (12), (13) or (14) of subdivision (f) of this section or section 2200.9 of this Part.

(f) Housing accommodations not subject to control. Notwithstanding the foregoing definition of housing accommodations, these regulations shall not apply to the following:

(1)

(i) Leases for entire structures or premises as distinguished from the individual housing accommodations therein contained, wherein more than 25 rooms are rented or offered for rent by any lessee, subleasee or other tenant of such entire structure or premises;

(ii) leases for entire structures or premises as distinguished from the individual housing accommodations therein, wherein 25 or fewer rooms are rented or offered for rent by any lessee, sublessee or other tenant of such entire structure or premises, where such lessee, sublessee or other tenant does not occupy any portion of the structure or premises as his dwelling and sublets, as an entrepreneur for his own profit, the individual rooms to subtenants; or

(iii) leases for entire structures or premises in which all of the housing accommodations are exempt or not subject to control under these regulations.

(2) A hospital, convent, monastery, asylum, public institution, or college or school dormitory or any institution operated exclusively for charitable or educational purposes on a nonprofit basis.

(3) Rooms or other housing accommodations in hotels, except that a room or housing accommodation occupied by a hotel tenant as defined in these regulations, is subject to these regulations so long as such tenant occupies the same.

(4)

(i) Any motor court, or any part thereof; any trailer or trailer space used exclusively for transient occupancy or any part thereof; or any tourist home serving transient guests exclusively, or any part thereof.

(ii) The term motor court shall mean an establishment renting rooms, cottages or cabins, supplying parking or storage facilities for motor vehicles in connection with such renting, and other services and facilities customarily supplied by such establishments, and commonly known as a motor, auto or tourist court in the city.

(iii) The term tourist home shall mean a rooming house which caters primarily to transient guests and is known as a tourist home in the city.

(5) Nonhousekeeping, furnished housing accommodations, located within a single dwelling unit not used as a rooming or boarding house, but only if:

(i) no more than two tenants for whom rent is paid (spouses being considered one tenant for this purpose), not members of the landlord’s immediate family, live in such dwelling unit; and

(ii) the remaining portion of such dwelling unit is occupied by the landlord or his immediate family.

(6) Housing accommodations owned and operated by the United States, the State of New York, the City of New York, or the New York City Housing Authority; or owned by the city and under the supervision of the City Department of Housing Preservation and Development pursuant to section 1802, subdivision 8 of chapter 61 of the City Charter; or housing accommodations in buildings in which rentals are fixed by or subject to the supervision of the commissioner of the Division of Housing and Community Renewal.

(7) Housing accommodations in buildings operated exclusively for charitable purposes on a nonprofit basis.

(8) Housing accommodations which were completed on or after February 1, 1947, except:

(i) accommodations resulting from substantial demolition, as defined in section 2200.10(c) of this Part, which shall continue to be subject to control unless the administrator shall issue an order decontrolling them pursuant to section 2200.10; or

(ii) where the former structure, or any lesser portion thereof, was vacated on or after November 22, 1963 other than by voluntary surrender of possession or in the manner provided by Part 2204 of this Title; provided, however, that maximum rents established under the Veterans’ Emergency Housing Act, for priority-constructed housing accommodations completed on or after February 1, 1947, shall continue in full force and effect if such accommodations are being rented to veterans of World War II or their immediate families who, on June 30, 1947 either occupied such housing accommodations or had a right to occupy such accommodations at any time on or after July 1, 1947, under any agreement whether written or oral.

(9) Housing accommodations created by a change from a nonhousing use to a housing use on or after February 1, 1947, but only if the space comprising such accommodations was devoted to a nonhousing use on February 1, 1947; provided that any such housing accommodations shal become subject to control if, while in such decontrolled status, it is certified, by a city agency having jurisdiction, to be a fire hazard or in a continued dangerous condition or detrimental to life or health; and once subject to control, it shall continue to be subject to control, notwithstanding the subsequent removal of the conditions on which such certification was based. Such housing accommodations shall remain decontrolled only so long as the housing accommodations are not occupied for other than single-family occupancy.

(10) Additional housing accommodations, other than rooming house accommodations, created by conversion on or after February 1, 1947; provided, however:

(i) that any housing accommodations created as a result of any such conversion on or after May 1, 1950 shall continue to be subject to control unless the State Rent Commission issued an order decontrolling them, or the administrator shall issue an order decontrolling them pursuant to section 2200.9 of this Part;

(ii) that such accommodations shall remain decontrolled only so long as the housing accommodations are not occupied for other than single-family occupancy; and

(iii) that any such housing accommodation shall become subject to control if, while in such decontrolled status, it is certified, by a city agency having jurisdiction, to be a fire hazard or in a continued dangerous condition or detrimental to life or health; and once subject to control it shall continue to be subject to control, notwithstanding the subsequent removal of the conditions on which such certification was based.

(11) Housing accommodations rented after April 1, 1953, which were or are continuously occupied by the owner thereof for a period of one year prior to the date of renting; provided, however, that this paragraph shall not apply:

(i) where, within the two-year period immediately preceding the date of such renting, the owner acquired possession of the housing accommodations after the issuance of an eviction certificate by the State Rent Commission, pursuant to section 5(2) of the State Rent Act, or by the administrator pursuant to Part 2204 of this Title; and

(ii) to any housing accommodation rented on or after May 1, 1962, where decontrol as previously obtained under section 2(2)(h) of the State Rent Act or under this subdivision for any housing accommodation in the same building. Such housing accommodations shall remain decontrolled only so long as the housing accommodations are not occupied for other than single-family occupancy. Any such housing accommodation shall become subject to control if, while in such decontrolled status it is certified, by a city agency having jurisdiction, to be a fire hazard or in a continued dangerous condition or detrimental to life or health; and once subject to control, it shall continue to be subject to control, notwithstanding the subsequent removal of the conditions on which such certification was based.

(12) Housing accommodations in one- and two-family houses which were or shall become vacant on or after April 1, 1953; provided, however, that such accommodations shall remain decontrolled only so long as the housing accommodations are not occupied for other than single-family occupancy. Any such housing accommodation shall become subject to control if, while in such decontrolled status, it is certified, by a city agency having jurisdiction, to be a fire hazard or in a continued dangerous condition or detrimental to life or health; and once subject to control, it shall continue to be subject to control, notwithstanding the subsequent removal of the conditions on which such certification was based.

(13)

(i) Housing accommodations which are not subject to rent control by reason of the provisions of Decontrol Order No. 51 of the State Rent Commission and section 9(18) of the Rent and Eviction Regulations adopted by the State Rent Administrator, as continued in effect by the Rent Law.

(ii) Such housing accommodations shall remain decontrolled only so long as the housing accommodations are not occupied for other than single-family occupancy.

(iii) Any such housing accommodation shall become subject to control if, while in such decontrolled status, it is certified, by a city agency having jurisdiction, to be a fire hazard or in a continued dangerous condition or detrimental to life or health; and once subject to control, it shall continue to be subject to control, notwithstanding the subsequent removal of the conditions on which such certification was based.

(14)

(i) Individual housing accommodations having unfurnished maximum rents of $250 or more per month as of April 1, 1960, or furnished maximum rents of $300 or more per month as of April 1, 1960, which are or become vacant on or after March 26, 1964; or

(ii) On and after October 1, 1964 individual housing accommodations having unfurnished maximum rents of $300 or more per month as of April 1, 1960, or furnished maximum rents of $360 or more per month as of April 1, 1960; provided, however, that where such housing accommodation is occupied by a tenant whose household contains one or more children attending an elementary or secondary school, such housing accommodation shall continue to remain subject to control under the Rent Law and these regulations until June 30, 1965; and provided, further, that where such housing accommodation is occupied on March 26, 1964 by a tenant whose household contains four or more related persons, it shall continue to remain subject to control under the Rent Law and these regulations so long as such tenant remains in occupancy; or

(iii) On and after April 1, 1965, individual housing accommodations having unfurnished maximum rents of $250 to $299.99, inclusive, per month as of April 1, 1960, or furnished maximum rents of $300 to $359.99, inclusive, per month as of April 1, 1960; provided, however, that where such housing accommodation is occupied by a tenant whose household contains one or more children attending an elementary or secondary school, such housing accommodation shall continue to remain subject to control under the Rent Law and these regulations until June 30, 1965; and provided, further, that where such housing accommodation is occupied on March 26, 1964 by a tenant whose household contains four or more related persons, it shall continue to remain subject to control under the Rent Law and these regulations so long as such tenant remains in occupancy.

(iv) The exemptions provided for in this paragraph shall remain effective only so long as the housing accommodations are not occupied for other than single-family occupancy.

(v) The term related persons as used in this paragraph shall be limited to the tenant and a parent, grandparent, child, stepchild, grandchild, brother or sister of the tenant or of the tenant’s spouse, or the spouse of any of the foregoing, who customarily occupied the housing accommodation on and before March 26, 1964. An unmarried child or grandchild of the tenant or the tenant’s spouse who temporarily resided elsewhere on such date because of attendance at an educational institution or service in the Armed Forces of the United States shall be deemed to be a related person in occupancy.

(vi) Any such housing accommodation shall become subject to control if, while in such decontrolled status, it is certified, by a city agency having jurisdiction, to be a fire hazard or in a continued dangerous condition or detrimental to life or health; and once subject to control, it shall continue to be subject to control, notwithstanding the subsequent removal of the conditions on which such certification was based.

(15)

(i) Individual housing accommodations having unfurnished maximum rents of $250 or more per month as of April 1, 1965, or furnished maximum rents of $300 or more per month as of April 1, 1965, which are or beomce vacant after January 29, 1968 by voluntary surrender of possession or in the manner provided by Part 2204 of this Title; or

(ii) On and after October 1, 1968, individual housing accommodations consisting of less than three rooms having unfurnished maximum rents of $250 or more per month as of April 1, 1965, or furnished maximum rents of $300 or more per month as of April 1, 1965; or

(iii) On and after October 1, 1968, individual housing accommodations consisting of at least three rooms and less than four rooms having unfurnished maximum rents of $250 or more per month as of April 1, 1965, or furnished maximum rents of $300 or more per month as of April 1, 1965, provided that such housing accommodation shall continue to remain subject to control until it becomes vacant as provided in subparagraph (i) of this paragraph, where it was occupied on January 29, 1968 by a tenant whose household then consisted of four or more related persons, as such term is defined (a single parent or a single head of the household being deemed to be two persons, for the purpose of this provision, when residing with one or more dependent children); and provided, further, that such housing accommodation shall also continue to remain subject to control where occupied by less than four related persons on January 29, 1968 until October 1, 1969, unless a written lease has been executed, or the landlord has offered such lease to the tenant by certified mail prior to June 1, 1968 or between September 1, 1968 and September 15, 1968, both dates inclusive, which lease:

(a) shall be for a term of at least one year commencing October 1, 1968, or commencing from the date of expiration of any existing lease expiring on or after October 1, 1968;

(b) may provide for a monthly rent not exceeding 10 percent above the maximum rent in effect on the date of its execution;

(c) shall contain a certification by the landlord that he will continue to maintain all essential services furnished or required by the Rent Law to be furnished on the date of execution of the lease during the lease term; and

(d) shall give the tenant an option to cancel the lease by giving the landlord at least 30 days’ written notice by certified mail prior to the date when such cancellation shall take effect; or

(iv) On and after October 1, 1968 individual housing accommodations consisting of four or more rooms having unfurnished maximum rents of $250 or more per month as of April 1, 1965, or furnished maximum rents of $300 or more per month as of April 1, 1965, provided that such housing accommodation shall continue to remain subject to control until it becomes vacant as provided in subparagraph (i) of this paragraph, where it was occupied on January 29, 1968 by a tenant whose household then consisted of four or more related persons, as such term is herein defined (a single parent or a single head of the household being deemed to be two persons, for the purpose of this provision, when residing with one or more dependent children); and provided, further, that such housing accommodations shall also continue to remain subject to control where occupied by less than four related persons on January 29, 1968 until October 1, 1970, unless a written lease has been executed, or the landlord has offered such lease to the tenant by certified mail prior to June 1, 1968 or between September 1, 1968 and September 15, 1968, both dates inclusive, which lease:

(a) shall be for a term of at least two years commencing October 1, 1968, or from the date of expiration of any existing lease expiring on or after October 1, 1968;

(b) may provide for a monthly rental not exceeding 10 percent above the maximum rent in effect on the date of its execution during the first year of its term, and for an additional 10 percent, above the rent payable during the first year, for the second year of its term;

(c) shall contain a certification by the landlord that he will continue to maintain all essential services furnished or required by the Rent Law to be furnished on the date of execution of the lease during the lease term; and

(d) shall give the tenant an option to cancel the lease by giving the landlord at least 30 days’ written notice by certified mail prior to the date when such cancellation shall take effect.

(v) The exemption provided for in this paragraph shall not apply to entire structures rented by means of an underlying lease, and shall remain effective only so long as the housing accommodations are not occupied for other than single-family occupancy.

(vi) The term related person, as used in this paragraph, shall be limited to the tenant and a parent, grandparent, child, stepchild, grandchild, brother or sister of the tenant or the tenant’s spouse, or the spouse of any of the foregoing, who customarily occupied the housing accommodations on January 29, 1968, except that a child of the tenant born or legally adopted on or before July 1, 1968 shall be deemed to have been in occupancy on January 29, 1968, and that an unmarried child or grandchild of the tenant or the tenant’s spouse, who temporarily resided elsewhere on January 29, 1968 because of attendance at an educational institution or service in the Armed Forces or in the Peace Corps of the United States, shall be deemed to be a related person in occupancy for the purpose of this paragraph.

(vii) For the purpose of this paragraph, the term maximum rent shall not include any conditional rent increase applicable solely to a tenant in occupancy.

(viii) In computing the number contained in a housing accommodation, such computation shall not include bathrooms, foyers and windowless rooms and shall be limited to living rooms, kitchens (other than an enclosed kitchenette or an area in the living room which is either recessed or semienclosed), dining rooms (other than dinettes or dining alcoves) and bedrooms.

(ix) Notwithstanding any provision of this paragraph to the contrary, where the total number of related persons in occupancy shall become less than four, by means other than the demise of any such related person, and results from the permanent moving of any related person other than the tenant or his or her spouse, the landlord may make application after the effective date of this paragraph, and not more than once in any succeeding year, for an order decontrolling such housing accommodations on the basis of such change in occupancy. In the event that such application shall be granted, the administrator shall prescribe the effective date of decontrol, which shall contain conditions consistent with those imposed in this paragraph under similar circumstances.

(16) No more than two housing accommodations in any one-year period, in a structure containing six or fewer housing accommodations in which at least one housing accommodation is occupied by an owner as his residence and which are to become vacant on or after August 1, 1970 by voluntary surrender of possession or pursuant to Part 2204 of this Title; provided, however, that this exemption shall remain effective only so long as the housing accommodations are not occupied for other than single-family occupancy and that, if the owner or his successor cease to occupy a housing accommodation in such structure within one year after decontrol of a housing accommodation pursuant to this paragraph, such decontrolled housing accommodation shall be recontrolled, unless for good cause shown, at a maximum rent established on the basis of the last rent collected while such housing accommodation was in the exempt status; and provided, further, that if the administrator shall make a finding that the landlord for the purpose of obtaining such vacancy had harassed the tenant by engaging in a course of conduct proscribed by section 2205.1(b) of this Title (section Y51-10.0d of the Rent Law), no housing accommodation in such structure shall be decontrolled pursuant to this paragraph until a minimum period of three years shall have elapsed since the making of such finding of harassment. Structures containing six or fewer housing accommodations shall be considered to be structures containing six or fewer housing accommodations for the purpose of this paragraph, notwithstanding that such structure shall contain commercial accommodations in addition to such housing accommodations.

(17) Notwithstanding any provision contained in any other paragraph of this subdivision, housing accommodations which become vacant on or after June 30, 1971 by voluntary surrender of possession or pursuant to Part 2204 of this Title; unless the administrator determines or finds, as provided in section 2206.5(e) of this Title, that the housing accommodations become vacant because the landlord or any person acting on his behalf, with intent to cause the tenant to vacate, engaged in any course of conduct (including but not limited to interruption or discontinuance of essential services) which interfered with or disturbed, or was intended to interfere with or disturb, the comfort, repose, peace or quiet of the tenant in his use or occupancy of the housing accommodation.

(18) Housing accommodations not occupied by the tenant, not including subtenants or occupants, as his primary residence, as determined by a court of competent jurisdiction.

(19) Housing accommodations which:

(i) became vacant on or after July 7, 1993 but before April 1, 1994 where, at any time between July 7, 1993 and October 1, 1993, inclusive, the maximum rent was $2,000 or more per month; or

(ii) became vacant on or after April 1, 1994 but before April 1, 1997, with a maximum rent of $2,000 or more per month; or

(iii) became vacant on or after April 1, 1997 but before June 19, 1997, where the maximum rent at the time the tenant vacated was $2,000 or more per month; or

(iv) became or become vacant on or after June 19, 1997, with a maximum rent of $2,000 or more per month;

(v) exemption pursuant to this paragraph shall not apply to housing accommodations which became or become subject to the Rent Law and this Subchapter solely by virtue of the receipt of tax benefits pursuant to section 489 of the Real Property Tax Law;

(vi) exemption pursuant to this paragraph shall not apply to or become effective with respect to housing accommodations for which the administrator determines or finds that the landlord or any person acting on his or her behalf, with intent to cause the tenant to vacate, engaged in any course of conduct (including, but not limited to, interruption or discontinuance of required services) which interfered with or disturbed or was intended to interfere with or disturb the comfort, repose, peace or quiet of the tenant in his or her use or occupancy of the housing accommodations. In connection with such course of conduct, any other general enforcement provision of the Rent Law and this Subchapter shall also apply;

(vii) during the period of effectiveness of an order issued pursuant to section 2202.16 of this Title for failure to maintain required services, which lowers the maximum rent below $2,000 per month during the time period specified in this paragraph, a vacancy shall not qualify the housing accommodation for exemption under this paragraph; and

(viii) housing accommodations which become exempt from this Subchapter pursuant to this paragraph shall not become subject to the provisions of the Rent Stabilization Code upon being re-rented.

(20) Upon the issuance of an order by the city rent agency, pursuant to the procedures set forth in Part 2211 of this Title, including orders resulting from default, housing accommodations which:

(i) have a maximum rent of $2,000 or more per month as of October 1, 1993 or as of any date on or after April 1, 1994, and which are occupied by persons who had a total annual income in excess of $250,000 per annum for each of the two preceding calendar years, where the first of such two preceding calendar years is 1992 through 1995 inclusive, and in excess of $175,000, where the first of such two preceding calendar years is 1996 or later, with total annual income being defined in and subject to the limitations and process set forth in Part 2211 of this Title;

(ii) exemption pursuant to this paragraph shall not apply to housing accommodations which became or become subject to the Rent Law and this Subchapter solely by virtue of the receipt of tax benefits pursuant to section 489 of the Real Property Tax Law; and

(iii) in determining whether the maximum rent for a housing accommodation is $2,000 per month or more, the standards set forth in paragraph (19) of this subdivision shall be applicable; to be eligible for exemption under this paragraph, the maximum rent must continuously be $2,000 or more per month from the landlord’s service of the income certification form provided for in section 2211.2 of this Title upon the tenant to the issuance of an order deregulating the housing accommodation.

(g) Housing accommodations subject to rent control, but exempted from control by these regulations. Notwithstanding the foregoing definition of housing accommodations, these regulations shall not apply to the following housing accommodations only so long as they meet the specific requirements hereinafter set forth:

(1) College fraternity or sorority houses. Rooms in a bona fide college fraternity or sorority house certified by the State Rent Commission prior to May 1, 1962, or by the administrator, as exempt. The administrator may so certify if the landlord establishes that the fraternity or sorority is a bona fide organization operated for the benefit of students, and not for profit as a commercial or business enterprise. This exemption shall not apply when the rooms are rented to persons who are not members of the fraternity or sorority.

(2) Nonprofit clubs. Rooms in a bona fide club certified by the State Rent Commission prior to May 1, 1962, or by the administrator, as exempt. The administrator may so certify if, on written request of the landlord, the club establishes that it is a nonprofit organization and is recognized as such by written statement of the Bureau of Internal Revenue; that it rents rooms only to members, bona fide guests of members, and members of bona fide clubs with which the club has reciprocal arrangements for the exchanges of privileges; and that it is otherwise operated as a bona fide club.

(3) Service employees. Dwelling space occupied by domestic servants, superintendents, caretakers, managers or other employees, to whom the space is provided as part or all of their compensation without payment of rent, and who are employed for the purpose of rendering services in connection with the premises of which the dwelling space is a part.

(4) Summer resort housing. Housing accommodations located in a resort community and customarily rented or occupied on a seasonal basis prior to October 1, 1945, which were not rented during any portion of the period beginning November 1, 1943 and ending on February 29, 1944. This exemption shall apply only so long as the housing accommodations continued to be rented on a seasonal basis, and shall be effective only from June 1st to September 30th, inclusive.

(h) Landlord. An owner, lessor, sublessor, assignee or other person receiving or entitled to receive rent for the use and occupancy of any housing accommodation, or an agent of any of the foregoing.

(i) Maximum rent. The maximum lawful rent for use of housing accommodations. Maximum rents may be formulated in terms of rents and other charges and allowances.

(j) Person. An individual, corporation, partnership, association or any other organized group of individuals, or the legal successor representative of any of the foregoing.

(k) Rent. Consideration, including any bonus, benefit or gratuity demanded or received for or in connection with the use or occupancy of housing accommodations or the transfer of a lease of such housing accommodations.

(l) State Enabling Act. The Local Emergency Housing Rent Control Act, as amended by chapter 403 of the Laws of 1983.

(m) State Rent Act. The Emergency Housing Rent Control Law, as amended.

(n) State Rent Commission. The Temporary State Housing Rent Commission created by the Emergency Housing Rent Control Law.

(o) Tenant. A tenant, subtenant, lessee, sublessee or other person entitled to the possession or to the use or occupancy of any housing accommodation.

(p) City rent agency. The Division of Housing and Community Renewal.

(q) Office of rent administration. The office of the city rent agency designated by the administrator to administer the ETPA, the Rent Stabilization Law and the city and State rent laws.

(r) Office of the tenant protection unit (TPU). The office of the city rent agency designated by the administrator to investigate and prosecute violations of the ETPA, the Rent Stabilization Law and the city and State rent laws. In furtherance of such designation, the TPU may invoke all authority under the ETPA, Rent Stabilization Law, and the State and city rent laws and the regulations thereunder that inures to the commissioner, city rent agency or the Office of Rent Administration. However, nothing contained herein shall limit the mission and authority of the city rent agency to administer and enforce the ETPA, the Rent Stabilization Law, and the city and State rent laws and all such regulations promulgated thereunder.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984; amd. filed Dec. 6, 2000 eff. Dec. 20, 2000. Added (f)(19), (20), (p). Amd. filed Sept 26, 2005, eff. Oct. 12, 2005; amended (f)(19)(i), (ii). Amd. proposed Nov. 2, 2011 and filed Dec. 27, 2011 eff. Jan. 11, 2012. Amended (f) (5) (i) by replacing “husband and wife” with “spouses.”. Amd. filed Apr. 24, 2013, eff. Jan. 8, 2014, added (p), (q).

 

§ 2200.3 Additional definitions.

(a) Apartment. A room or rooms providing facilities commonly regarded in the city as necessary for a self-contained family unit, but not including housing accommodations in a rooming house or a hotel.

(b) Essential services. Those essential services which the landlord furnished, or which he was obliged to furnish, on April 30, 1962, and which were included in the maximum rent for the housing accommodation on that date. These may include, but are not limited to, the following: repairs, decorating and maintenance, the furnishing of light, heat, hot and cold water, telephone, elevator service, kitchen, bath and laundry facilities and privileges, maid service, linen service, janitor service, and removal of refuse.

(c) Final order. An order shall be deemed to be final on the date of its issuance by the district rent administrator, unless a petition for administrative review (PAR) is filed against such order as provided in section 2208.2 of this Title. Where a PAR is filed, the order of the granting district rent administrator shall not be deemed to be final until the date of issuance of the administrator’s order granting or denying the PAR, in whole or in part. Notwithstanding the filing of a PAR by either the landlord or the tenant, an order adjusting, fixing or establishing a maximum rent shall continue to remain in effect until further order of the administrator. An order issued by the administrator pursuant to section 2206.5 of this Title shall be deemed to be final on the date of its issuance.

(d) Hotel. Notwithstanding any order, finding, opinion or determination of the State Rent Commission, any establishment which on March 1, 1950 was and still is commonly regarded as a hotel in the city, and which customarily provides hotel services such as maid service, furnishing and laundering of linen, telephone and secretarial or desk use and upkeep of furniture and fixtures, and bellboy service; provided, however, that the term hotel shall not include any establishment which is commonly regarded in the city as a rooming house, nor shall it include any establishment not identified or classified as a hotel, transient hotel or residential hotel pursuant to the Federal Act, irrespective of whether such establishment either provides some services customarily provided by hotels, or is represented to be a hotel, or both.

(e) Hotel tenant. A tenant, subtenant, lessee, sublessee or other person entitled to possession or to the use or occupancy of any housing accommodation within a hotel, who has resided in such hotel continuously since December 2, 1949.

(f) District rent administrator. The person designated by the administrator to administer rent control in the rent district set forth in section 2200.8 of this Part, or such person or persons as may be designated to carry out any of the duties delegated to the district rent administrator by the administrator.

(g) District rent office. The Office of the Division of Housing and Community Renewal for a particular rent district, as set forth in section 2200.8 of this Part.

(h) Rooming house. In addition to its customary usage, a building or portion of a building, other than an apartment rented for single-room occupancy, in which housing accommodations are rented, on a short-term basis of daily, weekly or monthly occupancy, to more than two occupants for whom rent is paid, not members of the landlord’s immediate family. The term shall include boarding houses, dormitories, trailers not a part of a motor court, residence clubs, tourist homes and all other establishments of a similar nature, except a hotel or a motor court.

(i) Single-room occupancy. The occupancy by one or two persons of a single room, or of two or more rooms which are joined together, separated from all other rooms within an apartment in a multiple dwelling, so that the occupant or occupants thereof reside separately and independently of the other occupant or occupants of the same apartment.

(j) Primary residence. Although no single factor shall be solely determinative, evidence which may be considered in determining whether a housing accommodation subject to this Subchapter is occupied as a primary residence shall include, without limitation, such factors as listed below:

(1) specification by an occupant of an address other than such housing accommodation as a place of residence on any tax return, motor vehicle registration, driver’s license or other document filed with a public agency;

(2) use by an occupant of an address other than such housing accommodation as a voting address;

(3) occupancy of the housing accommodation for an aggregate of less than 183 days in the most recent calendar year, except for temporary periods of relocation pursuant to section 2204.6(d)(1) of this Title; and

(4) subletting of the housing accommodation.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984; amd. filed Dec. 6, 2000 eff. Dec. 20, 2000. Added (j).

 

§ 2200.4 Applicability.

      These regulations shall apply to all proceedings pending on August 8, 1984.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2200.5 Amendment or revocation.

      Any provision of these regulations may be amended or revoked by the administrator at any time.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2200.6 Filing of amendments.

      Any amendment or revocation of these regulations shall be filed with the Department of State.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2200.7 Separability.

      If any provision of these regulations or the application of such provision to any person or circumstance shall be held invalid, the validity of the remainder of these regulations and the applicability of such provisions to other persons or circumstances shall not be affected thereby.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2200.8 District rent office designations and descriptions of portions of city under their jurisdiction.

      These regulations shall apply to all housing accommodations located in the City of New York. The rent districts subject to the jurisdiction of the several district rent administrators are described as follows:

District Rent Office Rent District
Bronx Borough of The Bronx
Brooklyn Borough of Brooklyn
Lower Manhattan Borough of Manhattan--south side of 110th Street and below
Queens Borough of Queens
Staten Island Borough of Staten Island
Upper Manhattan Borough of Manhattan--north side of 110th Street and above

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2200.9 Conversion after May 1, 1950.

(a)

(1) Upon application of the landlord, the administrator shall issue an order decontrolling additional housing accommodations, other than rooming house accommodations, resulting from conversion of housing accommodations on or after May 1, 1950, if there has been a structural change involving substantial alterations or remodeling and such change has resulted in additional housing accommodations consisting of self-contained family units; provided, however, that such order of decontrol shall not apply to that portion of the original housing accommodations occupied by a tenant in possession at the time of the conversion, but only so long as such tenant continues in occupancy; and provided, further, that any such order of decontrol shall remain effective after April 30, 1962 only so long as the housing accommodations are not occupied for other than single-family occupancy.

(2) The term self-contained family unit shall mean a housing accommodation with private access, containing two or more rooms, consisting of at least one bedroom and a living room/dining space area in addition to a kitchen (with cooking and refrigeration facilities and a sink), a private bathroom (with a washbasin, toilet and bathtub or enclosed shower), and at least one closet plus an additional closet for each bedroom. Such accommodation shall contain a minimum total area of 395 square feet, exclusive of the area of bathrooms and closets. In lieu of a kitchen, the accommodation may include an enclosed kitchenette or an area in the living room which is either recessed or semienclosed, provided that all of the above-specified kitchen facilities and equipment are within such recessed or semienclosed area. Where, however, the landlord establishes that either the two-room or total floor area requirement, or both, cannot be complied with because of unique or peculiar circumstances, the administrator may waive this requirement if he finds that such waiver is not inconsistent with the purposes of the Rent Law and these regulations and would not be likely to result in the circumvention or evasion thereof.

(b) No order of decontrol shall be issued under this section unless such conversion occurred after the entire structure, or any lessor portion thereof as may have been thus converted, was vacated by voluntary surrender of possession or in the manner provided by section 5 of this State Act or by Part 2204 of this Title, and unless the administrator shall find that the landlord has satisfied all of the requirements of the authorities having jurisdiction over such conversion and over the occupancy of the newly created housing accommodations.

(c) No order of decontrol shall be issued by the administrator where there is a conversion of occupied housing accommodations, unless and until the landlord obtains an order authorizing subdivision or a certificate of eviction in accordance with provisions of section 2204.7 of this Title.

(d) Notwithstanding any of the foregoing provisions of this section, no order shall be issued by the administrator decontrolling housing accommodations:

(1) of any type resulting from conversion after April 30, 1962 of rooming house accommodations or of single-room occupancy accommodations;

(2) in any multiple dwelling aided by a loan made by the city under article 8 of the Private Housing Finance Law, until controls are no longer required by the provisions of said article 8; or

(3) in any multiple dwelling with respect to which tax abatement and tax exemption beginning after April 30, 1962 is in effect under section J51- 2.5 of the Administrative Code of the city, until the date on which such tax abatement or tax exemption terminates, whichever is later.

(e) Any housing accommodation decontrolled under this section shall become subject to control if, while in such decontrolled status, it is certified, by a city agency having jurisdiction, to be a fire hazard or in a continued dangerous condition or detrimental to life or health; and once subject to control, it shall continue to be subject to control, notwithstanding the subsequent removal of the conditions on which such certification was based.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2200.10 Substantial demolition after May 1, 1962.

(a) Upon application of the landlord, the administrator shall issue an order decontrolling all of the housing accommodations resulting from substantial demolition of a building, provided that:

(1) not less than 50 percent of the housing after reconstruction shall consist of apartments suitable for occupancy by larger families, or not less than 50 percent of the total floor area of all of the housing after reconstruction shall be utilized for apartments suitable for occupancy by larger families;

(2) all other housing accommodations in the building shall comply with at least the minimum requirement for a self-contained family unit, as defined in section 2200.9 of this Part; and

(3) all of the housing accommodations meet all of the requirements of law and of the city agencies having jurisdiction thereof, and over the occupancy of such accommodations.

(b) If the building after reconstruction fails to meet the requirements of paragraph (a)(1) of this section, but if all of the housing accommodations in such building shall comply with at least the minimum requirements for a self-contained family unit as defined in section 2200.9 of this Part, and if all of the housing accommodations in such building meet all of the requirements of law and of the city agencies having jurisdiction thereof, and over the occupancy of such accommodations, then only those apartments which are suitable for occupancy by larger families shall be decontrolled, and all other housing accommodations in such building shall remain subject to control.

(c) The term housing accommodations resulting from substantial demolition, as used in this section, shall mean any housing accommodation which is created on or after May 1, 1962 as a result of the substantial demolition of a multiple dwelling and the reconstruction of such building in such manner as to retain any portion thereof existing prior to such demolition, and:

(1) which is so created after the issuance of one or more certificates permitting the eviction of any tenant or tenants of such multiple dwelling for the purpose of effecting such demolition where application for such certificates was filed after April 24, 1962; or

(2) where no such certificates were issued, which was created after the former structure, or any lesser portion thereof, was vacated on or after November 22, 1963 by voluntary surrender of possession or in any manner provided in Part 2204 of this Title.

(d) The term apartment suitable for occupancy by larger families, as used in this section, shall mean a housing accommodation with private access, containing four or more rooms, consisting of at least two bedrooms, a living room/dining room space area and a kitchen (with cooking and refrigeration facilities and a sink), a private bathroom (with a washbasin, toilet and bathtub or enclosed shower), and at least two closets plus an additional closet for each bedroom. Such accommodations shall contain a minimum total area of 560 square feet, exclusive of the area of the bathrooms and closets.

(e) Notwithstanding any of the foregoing provisions of this section, no order shall be issued by the administrator decontrolling housing accommodations resulting from substantial demolition:

(1) in any building aided by a loan made by the city under article 8 of the Private Housing Finance Law, so long as maximum rents are required to be prescribed by the provisions of said article 8;

(2) in any multiple dwelling with respect to which tax abatement and tax exemption under section J51-2.5 of the Administrative Code begins after April 30, 1962, until the date on which such tax abatement or tax exemption terminates, whichever is later; or

(3) in any building where the former structure, or any lesser portion thereof, was vacated on or after November 22, 1963, other than by voluntary surrender of possession or in the manner provided by Part 2204 of this Title.

(f) Housing accommodations created after May 1, 1962, as a result of the reconstruction of a multiple dwelling which has been substantially demolished, where no certificates permitting the eviction of any tenant or tenants of such multiple dwelling for the purpose of effecting such demolition have been issued, or where application for such certificates was filed on or before April 24, 1962, shall not require an order of the administrator decontrolling them and shall not be subject to control pursuant to section 2200.2(f)(8) of this Part.

(g) Housing accommodations decontrolled under this section shall remain decontrolled only so long as the housing accommodations are not occupied for other than single-family occupancy.

(h) Any housing accommodation decontrolled under this section shall become subject to control if, while in such decontrolled status, it is certified, by a city agency having jurisdiction, to be a fire hazard or in a continued dangerous condition or detrimental to life or health; and once subject to control, it shall continue to be subject to control, notwithstanding the subsequent removal of the conditions on which such certification was based.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2200.11 Commercial or professional renting of controlled housing accommodations on or after May 1, 1955.

      Any housing accommodation subject to these regulations which, on or after May 1, 1955, was or may be rented for commercial or professional use shall continue to be subject to control, unless the State Rent Commission issued an order exempting it from control during the periods of occupancy by the tenant, or an order is issued by the administrator exempting the housing accommodation from these regulations during the period of occupancy by the tenant. Such order shall be issued by the administrator where he finds the renting complies with the requirements of law and of city agencies having jurisdiction, and was made in good faith without any intent to evade the Rent Law or these regulations, and shall be effective as of the date of the commercial or professional renting, or May 1, 1962, whichever date is later.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2200.12 Withdrawal from rental market.

      Nothing in these regulations shall be construed to require any person to offer any housing accommodations for rent, but housing accommodations already on the market may be withdrawn only after an order is issued by the administrator under section 2204.9 of this Title, if such withdrawal requires that a tenant be evicted from such accommodations.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2200.13 Effect of these regulations on leases and other rental agreements.

      The provisions of any lease or other rental agreement shall remain in force pursuant to the terms thereof, except insofar as those provisions are inconsistent with the Rent Law or these regulations.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

§ 2200.14 Receipt for rent paid.

      No payment of rent need be made unless the land lord tenders a receipt for the amount to be paid when so requested by a tenant. The landlord shall issue to every tenant either a rent bill or rent receipt at the time of each rental payment. The receipt may be imprinted on the tenant’s check or money order tendered in payment for rent. All statements on such bill or receipt shall be legible, and there shall be printed in ink or stamped thereon, where the premises are a multiple dwelling:

(1) the name and address of the licensed real estate broker or firm in charge of the dwelling, stating that he or the firm is so licensed, or the name and address of the managing agent as recorded in the registration on file with the Office of Code Enforcement;

(2) at the owner’s option, a telephone listing at which he or someone acting in his behalf may be reached by the tenant for repairs and service; and

(3) at the owner’s option, a statement, if rent is paid by check or money order, that such payment is received subject to collection.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2200.15 Waiver of benefit void.

      An agreement by the tenant to waive the benefit of any provision of the Rent Law or these regulations is void.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2200.16 Fees.

(a) There is hereby imposed on every building containing housing accommodations subject to these regulations a fee of $3 per controlled housing accommodation. For the purposes of this section, the number of controlled housing accommodations is the number of such accommodations shown on the report form R-23 filed by the landlord or, if no such report was filed, as otherwise shown on the records of the Office of Rent Control, less the number of units for which decontrol orders were issued, or reports of decontrol properly filed pursuant to section 2203.2 of this Title, on or before October 1, 1972.

(b) Notwithstanding any other provision of these regulations, if the fee prescribed by this section is not paid on or before December 1, 1972 (or, if a bill for such fee is mailed to the landlord after November 15, 1972, within 17 days of the date of mailing), no increase pursuant to section 2201.6 of this Title in the maximum rent collectible from a tenant shall take effect with respect to any housing accommodation in the building until three months after payment of the fee.

(c) This section shall not apply to any building with eight or fewer housing accommodations if such building was owner-occupied on October 1, 1972.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2200.17 Biennial fees.

(a) Every landlord shall pay a fee of $30 for each controlled housing accommodation in every building containing housing accommodations subject to these regulations to obtain an order establishing or adjusting the maximum rent, pursuant to section 2201.4 or 2201.5 of this Title, for each successive two-year period commencing January 1, 1990. For the purposes of this section, the number of controlled housing accommodations is the number of such accommodations shown on the records of the Division of Housing and Community Renewal, less the number of units for which decontrol orders were issued, or reports of decontrol were properly filed pursuant to section 42 of the New York City Rent and Eviction Regulations or section 2203.2 of this Title, on or before October 1, 1981 or October 1st biennially thereafter for each successive two-year period.

(b) The fee for processing and obtaining any order with respect to establishing or adjusting the maximum rent pursuant to section 2201.4 or 2201.5 of this Title shall be paid within 30 days of the date of issuance of the landlord’s order of eligibility by the Division of Housing and Community Renewal, which shall in no event be refunded. In addition to complying with every other requirement of these regulations applicable to the establishment or adjustment of the maximum rent, the landlord must pay such fee to be eligible for an order establishing or adjusting the maximum rent.

(c) Where a landlord has not paid the fee as required by this section, the administrator may deny, defer or revoke the order establishing or adjusting the maximum rent and any increase in the maximum collectible rent for the biennial period for which the required fee was not paid.

(d) This section shall not apply to any building with eight or fewer housing accommodations if any housing accommodations in such building were owner-occupied on October 1st of the year immediately preceding the biennial period commencing January 1, 1974.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984; amd. filed July 31, 1989 eff. August 16, 1989. Amended (a).

 

PART 2201. MAXIMUM RENTS

 

§ 2201.1 Maximum rents for housing accommodations.
§ 2201.2 Services included in maximum rent.
§ 2201.3 Compensable rent adjustment effective August 1, 1970.
§ 2201.4 Maximum base rents effective January 1, 1972.
§ 2201.5 Biennial adjustment of maximum rents.
§ 2201.6 Collectibility.

Statutory authority: L. 1983, ch. 403.

History: Part (§§ 2201.1-2201.6) filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2201.1 Maximum rents for housing accommodations.

(a) The maximum rents for housing accommodations shall be the maximum rents in effect on April 30, 1962 pursuant to the State Rent Act, except as otherwise provided in this section.

(b) For housing accommodations for which there was no maximum rent in effect on April 30, 1962, and which were rented subsequent to April 30, 1962, the maximum rent shall be the first rent charged, subject to adjustment as provided by section 2202.15 of this Title and conditioned upon the filing of a proper registration statement within 15 days from the date of such first renting, except as otherwise provided in this section.

(c) For housing accommodations in any establishment which has been deemed to be a hotel by reason of an order, finding, opinion or determination of the State Rent Commission, and which is found by the administrator not to be a hotel as defined by section 2200.3(d) of this Title, the maximum rent shall be the rent charged on the date six months immediately prior to the date of the issuance of the notice of commencement of proceedings to determine that these regulations shall apply to the housing accommodations in such establishment, or on the date of the first renting, whichever is later; subject, however, to adjustment as provided by section 2202.4 of this Title.

(d) For housing accommodations in an establishment which the administrator finds no longer to be a hotel, where such accommodations were not subject to rent control because such establishment was a hotel on March 1, 1950, the maximum rent shall be the rent charged on the date six months immediately prior to the date of issuance of notice of commencement of proceedings to determine that these regulations shall apply to the housing accommodations in such establishment, or on the date of the first renting, whichever is later; subject, however, to adjustment as provided by section 2202.4 of this Title.

(e) For housing accommodations subject to rent control as provided by section 2200.2(e)(4) of this Title, the maximum rents shall be established or fixed by order of the administrator pursuant to section 2202.22(b) of this Title.

(f) Any tenant in a rooming house or in a single-room occupancy accommodation on a daily term of occupancy, who has resided in such rooming house or single-room occupancy accommodation continuously for a period of more than 14 days, shall thereafter be deemed to be a tenant on a weekly term of occupancy.

(g) For housing accommodations in rooming houses or single-room occupancy, no maximum rent shall be established on the basis of renting in excess of the permissible occupancy thereof.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2201.2 Services included in maximum rent.

      Every landlord shall furnish with housing accommodations the same dwelling space and the same essential services, furniture, furnishings and equipment as were furnished, or required to be furnished, on April 20, 1962 or any subsequent date determining the maximum rent.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2201.3 Compensable rent adjustment effective August 1, 1970.

(a) Notwithstanding the provisions of section 2201.1 of this Part, effective August 1, 1970:

(1) the maximum rent in effect on July 31, 1970 shall be increased, for any individual housing accommodation where it is less than $60 per month, by $10 per month for a housing accommodation containing less than four rooms and by $15 per month where the housing accommodation contains four or more rooms; or

(2) the maximum rent in effect on July 31, 1970 for any housing accommodation having a maximum rent on such date of $60 or more per month:

(i) for which one or more but less than two full 15-percent rent increases have been granted since May 1, 1953, pursuant to former section 33.2 of the New York City Rent and Eviction Regulations, the maximum rent shall be increased by eight percent;

(ii) for which no full 15-percent increase has been granted since May 1, 1953, pursuant to such former section 33.2, the maximum rent shall be increased by 15 percent; except that:

(a) if there was no such increase for any individual housing accommodation made subject to these regulations pursuant to section 2200.2(e)(2) or (3) thereof, for which a first rent was established after July 31, 1965 and before August 1, 1968, the maximum rent shall be increased five percent; and

(b) if there was no such increase for any individual housing accommodation made subject to these regulations, pursuant to section 2200.2(e)(2) or (3) thereof, for which a first rent was established on or after August 1, 1968, there shall be no increase in the maximum rent.

(b) On or after August 1, 1970, the landlord may file an application for labor cost rent adjustment pursuant to section 2202.14 of this Title. In lieu of such labor cost rent adjustment, the landlord of a building with 20 or fewer housing accommodations shall have the option of filing for a five- percent increase in maximum rent for any individual housing accommodation for which wo or more full 15-percent increases have been granted since May 1, 1953, pursuant to the former section 33.2 of the New York City Rent and Eviction Regulations.

(c) Nothing contained in this section, however, shall have the effect of increasing the maximum rent for a housing accommodation where the maximum rent in effect on July 31, 1970 is less than $60 per month, except as provided in paragraph (a)(1) of this section. The provisions of paragraph (a)(2) and of subdivision (f) of this section shall be inapplicable to such housing accommodations.

(d) Where a lease is in effect for any housing accommodation on August 1, 1970, no adjustment of the maximum rent for such accommodation shall become effective until the expiration of such lease.

(e) Where a housing accommodation becomes vacant on or after August 1, 1970 and before January 1, 1972 by voluntary surrender of possession by the tenant, the maximum rent shall be increased by not more than 15 percent over the maximum rent established for such accommodation at the time that the vacancy occurred, provided that a report is filed with the administrator as prescribed by section 2203.9 of this Title. No more than one such full 15-percent vacancy increase may be obtained for a housing accommodation. If the administrator shall make a finding that the landlord, for the purpose of obtaining such vacancy, had harassed the tenant by engaging in a course of conduct proscribed by section 2205.1(b) of this Title (section Y51-10.0d of the Rent Law), in addition to all other civil or criminal penalties, injunctive relief and enforcement remedies authorized by the Rent Law or these regulations, no housing accommodations in the building shall thereafter be entitled to the benefit of a rent increase as the result of becoming vacant between the aforesaid dates.

(f) The total of (1) the rent increase pursuant to paragraph (a)(2) of this section, (2) any increases granted between January 1, 1970 and December 31, 1971, inclusive, pursuant to section 2202.8, 2202.9 or 2202.10 of this Title, and (3) any increase granted on or after August 1, 1970 pursuant to section 2202.11 of this Title, shall not exceed 15 percent of the 1970 base rent. For the purposes of this subdivision, the 1970 base rent is the maximum rent on July 31, 1970 minus the amount of any increase granted between January 1, 1970 and July 31, 1970, inclusive, pursuant to section 2202.8, 2202.9 or 2202.10 of this Title. This subdivision shall not operate to decrease any maximum rent existing on July 31, 1970.

(g)

(1) The rent increases provided for in this section shall be collectible upon the landlord’s filing a report with the administrator as provided in section 2203.9 of this Title, subject to adjustment, however, by order of the administrator which shall prescribe (i) that any excess rent paid by the tenant be credited to the tenant in full commencing with the rental payment following the date of issuance of such order, or (ii) that any rent due landlord by reason of the order shall be paid in installments equal to the number of whole months intervening between August 1, 1970 and the date of issuance of such order. If the initial report is filed on or before October 31, 1970, the increase shall take effect August 1, 1970. If the report if filed thereafter, such increase shall take effect with the first rental following the filing.

(2) The report shall contain a certified statement by the landlord that there is no legally habitable rent-controlled housing accommodation, in the building containing the accommodation for which any rent increase is sought, which has not been rented for a period of six months or more prior to the filing of such report, or that if there is such a housing accommodation, the reason it has not been rented is that it is being altered pursuant to a permit issued by the Department of Buildings no later than three months after the vacancy commenced and that the alteration is of such a nature that the accommodation must be kept vacant while it is being made, or for such other cause found by the administrator not to be inconsistent with the purpose of the Rent law or these regulations; provided, further, that in the case of an alteration, it is commenced within 60 days from the issuance of said permit. A copy of the permit and the plans therefor shall accompany the report. No report shall be accepted for filing, and no rent increase provided for in this section shall be collected, in the absence of any such verified statement by the landlord.

(h) The rent increases provided for in this section shall not be collectible for the period between April 1, 1971 and December 31, 1971, inclusive, unless the landlord shall have filed with the administrator, on or before March 31, 1971, a certified statement attesting that for every month for which he has received a rent increase pursuant to this section, he has expended on the operation, maintenance and improvements of the housing accommodations from which increases were collected an amount which equals the amount expended per month for such purpose averaged over the preceding five years, or such lesser period that he has been landlord of such property, plus 90 percent of all increased rents so collected. If such certified statement is filed after March 31, 1971, such increases shall be collectible beginning on the first day of the month following the date of such filing.

(i) For the purposes of this section, the term room shall not include bathroom, foyer, windowless room, and shall be limited to living room, kitchen (other than an enclosed kitchenette or an area in the living room which is either recessed or semienclosed), dining room (other than a dinette or dining alcove) and bedrooms.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2201.4 Maximum base rents effective January 1, 1972.

(a)

(1) Effective January 1, 1972, the administrator shall establish new maximum rents for housing accommodations subject to these regulations. Subject to the provisions of section 2201.6 of this Part governing collectibility, such new maximum rent for each housing accommodation shall be the maximum base rent derived by apportioning the maximum gross building rental computed pursuant to subdivision (b) of this section among the individual housing accommodations in the property in accordance with subdivision (e) of this section.

(2) Except as otherwise provided, the application of this section shall be based upon the reports submitted pursuant to sections 2201.3 and 2203.9 of this Title, as modified or adjusted by the administrator.

(3) This section shall not apply to housing accommodations for which first rents were established pursuant to section 2201.1(b), or 2202.22 of this Title where the rehabilitation or improvement of substandard or deteriorated housing accommodations was financed under a governmental program providing assistance through loans, loan insurance or tax abatement, or has been undertaken under another rehabilitation program no so financed but approved by the administrator.

(b) The maximum gross building rental for a property is the sum of:

(1) the real estate taxes charged to the property on the records of the finance administrator for the fiscal year 1971-72, after any abatement or reduction of tax so recorded;

(2) the water charges and sewer rents recorded against the property by the finance administration for the calendar year 1971, excluding any such rate or charges based on meter readings;

(3) an allowance for operating and maintenance expenses (to provide for the cost of fuel, utilities, payroll, maintenance, repairs, replacement reserves and miscellaneous charges) computed pursuant to subdivision (c) of this section;

(4) an allowance for vacancy and collection losses in the amount of one percent of the maximum gross building rental;

(5) an allowance for return on capital value, to provide for debt service and return on equity, computed pursuant to subdivision (d) of this section;

provided, however, that where a property receives income from sources other than housing accommodations, the computation of the maximum gross building rental shall include only that part of the total real estate taxes, water rates and sewer charges and allowance for return on capital value which bears the same proportion to the total of such items as the maximum gross building rental bears to the sum of such rental plus the total income from the other souces, so that the maximum gross building rental shall be computed as follows:

      MGBR = (MGBR x (RET + WS + RCV) + OM + VCL/ MGBR + CI)

      where

      MGBR =Maximum gross building rental

      CI =Commercial income

      RET =Real estate taxes

      WS =Water charges and sewer rents

      RCV =Allowance for return on capital value

      OM =Allowance for operating and maintenance expenses

      VCL =Allowance for vacancy and collection losses.

(c)

(1) For purposes of computing the operating and maintenance expense allowance, a building shall be deemed to be a “normal payroll building” if the expenses for labor, including wages and fringe benefits for all employees engaged in operation, maintenance and service of the building, do not exceed $300 per year times the number of housing accommodations in the building. A building in which such expenses exceed such amount shall be deemed to be a “high payroll building.”

(2) The allowance for operating and maintenance expenses for a normal payroll building is the sum of the following four items, multiplied by the number of housing accommodations in the building:

$265.58

plus $0.36 times the number of housing accommodations in the building,

plus $73.32 times the average number of rooms per housing accommodation in the building,

plus $2.15 times the age factor for the building, as defined in paragraph (4) of this subdivision.

(3) The allowance for operating and maintenance expenses for a high payroll building is the sum of the following five items, multiplied by the number of housing accommodations in the building:

$315.11

plus $0.09 times the number of housing accommodations in the building,

plus $128.31 times the average number of rooms per housing accommodation in the building,

plus $2.93 times the age factor for the building, as defined in paragraph (4) of this subdivision,

plus the amount by which the expenses for labor per housing accommodation per year exceed $300.

(4) As used in this subdivision, the age factor for a building is the number of years by which the year of the completion of construction of the building precedes 1967; provided that where the completion of construction occurred prior to 1900, the age factor shall be 67. For purposes of such calculation, construction means original construction, without regard to any subsequent rehabilitation or new certificate of occupancy.

(d) The allowance for return on capital value shall be 8.5 percent of the equalized assessed value obtained by multiplying the assessed value of the property by the 1971-1972 equalized ratio 1.754, as established by the New York State Board of Equalization and Assessment pursuant to article 12-A of the Real Property Tax Law.

(e)

(1) For purposes of apportioning the maximum gross building rental to individual housing accommodations, each housing accommodation is assigned a room index value based on the number of rooms therein. A housing accommodation of one room is assigned a room index value of 75, one of two rooms a value of 100, and one of more than two rooms a value of 100 plus an additional 25 for each additional room beyond two. The term room has, for purposes of this section, the same meaning as in section 2201.3(i) of this Part.

(2) Where a property contains housing accommodations which are not subject to control under these regulations, the portion of the maximum gross building rental attributable to controlled housing accommodations shall be a sum which bears the same proportion to the total as the sum of the room index values for all controlled housing accommodations bears to the sum of the room index values for all housing accommodations in the property, so that:

(MGBR(C)/ MGBR (T)) = (RIV (C)/ RIV (T))

where

MGBR =Maximum gross building rental

RIV =Sum of room index values (as defined above)

(C) =Portion allocated to controlled housing accommodations

(T) =Total.

(3) The room index values assigned to each housing accommodation shall be adjusted for floor location. In a building without an elevator, the value computed in accordance with paragraph (1) of this subdivision shall be reduced by two percent for each floor above the middle floor, and increased by two percent for each floor below the middle floor. In a building with one or more elevators, the value shall be increased by one percent for each floor above the middle floor and reduced by one percent for each floor below the middle floor. As used in this paragraph, the middle floor is, in a building with an odd number of floors, the floor midway between the top and bottom floors, and in a building with an even number of floors, the midpoint between two floors so located that is has an equal number of floors above and below it.

(4) The maximum base rent for each housing accommodation is that sum which bears the same proportion to the maximum gross building rental (or so much thereof as is attributable to controlled housing accommodations) as the room index value of the housing accommodations, adjusted for floor location, bears to the total of such adjusted values for all controlled housing accommodations in the property, so that:

MBR = MGBR x (R(F)/ Total R(F))

Where MBR =Maximum base rent (for an individual housing accommodation)

MGBR =Maximum gross building rental (as adjusted, if necessary, pursuant to paragraph (2) of this subdivision

R(F) =Room index value, adjusted for floor located, of the individual housing accommodation

Total R(F) =Sum of room index values, adjusted for floor location.

(5) The administrator may make an appropriate adjustment to the maximum base rent for any housing accommodation with respect to which the landlord pays for gas or electricity or both.

(f) Except as otherwise provided, the term housing accommodation, as used in this section, refers to every housing accommodation in a property, whether or not it is subject to or exempt from control under these regulations.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2201.5 Biennial adjustment of maximum rents.

(a) Effective January 1, 1974 and biennially thereafter, the administrator shall adjust the maximum rent for each housing accommodation subject to these regulations to reflect the changes, if any, in the components of the maximum gross building rental defined in section 2201.4(b) of this Part. Such adjustment shall be made whether or not the property, or any housing accommodation therein, received or was eligible for maximum base rents under section 2201.4 of this Part.

(b) On or after January 1, 1974, the administrator may require landlords of properties containing housing accommodations subject to control under these regulations to report the actual operating and maintenance expenses for such properties, in such form and manner as he may prescribe, and may adjust the allowance for operating and maintenance expenses in accordance with such data. In addition, the administrator may provide for an alternative standard operating and maintenance expense allowance based upon cumulative objective data.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984; amd. filed Nov. 23, 1987 eff. Dec. 9, 1987. Amended (b).

 

§ 2201.6 Collectibility.

(a)

(1) No new maximum rent established pursuant to section 2201.4 of this Part, or adjustment pursuant to section 2201.5, 2202.7, 2202.8, 2202.9 or 2202.10 of this Title, or any combination thereof, shall increase the rent collectible from a tenant in occupancy by more than 7 1/2 percent in any one calendar year, except as provided in section 2202.7 of this Title.

(2) The base for computation of the limitation provided in paragraph (1) of this subdivision shall be:

(i) as of January 1, 1972, the maximum rent on December 31, 1971 (including any conditional increases then in effect), less the amount of any rent exemption under section 2202.20 of this Title in effect on December 31, 1971; and

(ii) after January 1, 1972, the maximum rent collectible pursuant to this section.

(b) Where the maximum rent for a housing accommodation on December 31, 1971 exceeds the maximum base rent established pursuant to section 2201.4 of this Part, such prior maximum rent shall continue in effect until the maximum base rent, as adjusted from time to time pursuant to these regulations, shall equal or exceed such prior maximum rent; at which time the maximum base rent as so adjusted shall become the maximum rent for such housing accommodation.

(c) No increase in maximum rent pursuant to this section, in any year other than a year in which a maximum rent, established pursuant to section 2201.4 of this Part or adjusted pursuant to section 2201.5, takes effect, shall be collectible until the landlord shall have given notice thereof to the tenant on a form prescribed by the administrator. A copy of such form shall be filed with the administrator within 30 days of its transmittal to the tenant. Failure to comply with the provisions of this paragraph shall authorize the administrator to revoke the landlord’s entitlement to any such increase.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

PART 2202. ADJUSTMENTS; DETERMINATION OF RENTS AND SERVICES

 

§ 2202.1 Maximum rents.
§ 2202.2 Effective date of orders adjusting rents.
§ 2202.3 Grounds for increase of maximum rent.
§ 2202.4 Increased services or facilities, substantial rehabilitation, major capital or other improvements.
§ 2202.5 Voluntary written agreements.
§ 2202.6 Increase in subtenants or occupants.
§ 2202.7 Unique or peculiar circumstances.
§ 2202.8 Return on capital value.
§ 2202.9 Unavoidable increases in operating costs in small structures.
§ 2202.10 Unavoidable increases in operating costs in other specified structures.
§ 2202.11 Labor costs in excess of maximum base rent allowance.
§ 2202.12 Rehabilitation or improvement under government-financed program or other approved program.
§ 2202.13 Fuel cost adjustments.
§ 2202.14 Grounds for decrease of maximum rent.
§ 2202.15 Decrease of first rents.
§ 2202.16 Rent decrease for reduction of services, etc.
§ 2202.17 Rent decrease based on hazardous conditions.
§ 2202.18 Decrease of inequitable rents for rooming house and single-room occupancy accommodations.
§ 2202.19 Alternative provision in lieu of rent decrease.
§ 2202.20 Senior citizen rent increase exemption.
§ 2202.21 Decrease of services; application, order or report.
§ 2202.22 Orders where maximum rent or other facts are in dispute, in doubt or not known, or where maximum rents must be fixed or established.
§ 2202.23 Order where apartment is rented to more than one tenant.
§ 2202.24 Retroactive adjustments.
§ 2202.25 Rent adjustments upon succession.
§ 2202.26 Surcharge for the installation and use of washing machines, dryers and dishwashers.
§ 2202.27 Surcharges for submetered electricity or other utility service.

Statutory authority: Omnibus Housing Act, L. 1983, ch. 403; Administrative Code of the City of New York, §§ 28, 26-405g[1].

History: Part (§§ 2202.1-2202.24) filed July 24, 1984 as emergency measure, expired 60 days after filing; new (§§ 2202.1-2202.24) filed Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2202.1 Maximum rents.

      Maximum rents may be increased or decreased only by order of the administrator, or as otherwise provided by law.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984; amd. filed Dec. 6, 2000 eff. Dec. 20, 2000.

 

§ 2202.2 Effective date of orders adjusting rents.

      No order increasing or decreasing a maximum rent previously established pursuant to these regulations shall be effective prior to the date on which the order is issued, except as hereinafter provided. If an application for an increase pursuant to section 2202.8 of this Part is submitted on or after August 1, 1970 and is accompanied by a certified statement of expenditures with all required documentation, and no order is issued thereon within four months of the date of filing of an application based on assessed valuation (or on equalized assessed valuation on or after January 1, 1972), or eight months of the date of filing of an application based upon sales price, the increased rent requested shall be collectible by the landlord and shall be placed in an interest-bearing escrow account with a banking organization until the final determination of such application. The order of the district rent administrator shall be made effective as of the date on which the landlord is entitled to collect such requested rent increase for any housing accommodation in the building, pursuant to the permission granted by this section, and, notwithstanding any other provision of these regulations, shall be in accordance with the regulations in effect on such date. Where such order grants a rent increase which is less than the rent collected by the landlord as herein permitted, or denies the application, the excess rent collected shall be refunded to the tenants entitled thereto within 30 days from the date such order shall become final, together with interest from the date of each excessive payment of rent at the prevailing rate of interest paid by the banking organization in which such deposit is made. Any person serving as escrow agent shall not be liable except for fraud or misfeasance.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2202.3 Grounds for increase of maximum rent.

(a)

(1) This section and sections 2202.4 to 2202.12, inclusive, of this Part set forth specific standards for the increase of a maximum rent. In applying these standards and issuing an order adjusting a maximum rent, the administrator shall take into consideration all factors bearing on the equities involved, subject to the general limitation that the adjustment can be put into effect without dislocation and hardship inconsistent with the purposes of the Rent Law. On or after November 22, 1963, where any housing accommodations were vacated other than by voluntary surrender of possession or in the manner provided by Part 2204 of this Title, the administrator may, after having due regard to the equities involved, bar adjustments of maximum rents for any and all accommodations in such structure, pursuant to section 2202.4(b) and (c) of this Part, except for work which:

(i) is necessary in order to remove violations against the property;

(ii) is necessary to obtain a certificate of occupancy, if such certificate is required by law; or

(iii) could have been performed with a tenant in physical possession of the housing accommodation at the time that the work was performed.

(2) The administrator shall have the power to revoke or modify any adjustment granted hereunder if there has been a substantial change in the basis upon which such adjustment was granted.

(b)

(1) No application for an increase in any maximum rent may be filed under section 2202.8, 2202.9 or 2202.10 of this Part, unless:

(i) a report of search issued by a city agency having jurisdiction is annexed to such applications, stating either that no violations against such property are recorded or that all violations recorded against such property have been cleared, corrected or abated, or a receipt (or photocopy thereof) issued by such agency attesting to the payment of the fee for the report of search; and

(ii) the landlord certifies that he is maintaining all essential services required to be furnished, and that he will continue to maintain such services so long as such increase in the maximum rent continues in effect.

(2) No new maximum rent shall be established pursuant to section 2201.4 of this Title, and no adjustment shall be made pursuant to section 2201.5(a) of this Title, unless the landlord has certified that he is maintaining all essential services required to be maintained with respect to the housing accommodations covered by such certification, and that he will continue to maintain such services so long as the new maximum rent or the adjustment is in effect. For purposes of this paragraph, essential services shall be defined as: heat during that part of the year when required by law, hot water, cold water, superintendent services, maintenance of front or entrance door security (including but not limited to lock and buzzer), garbage collection, elevator service, gas, electricity and other utility services to both public and required private areas, and such other services wherein failure to provide and/or maintain such would constitute a danger to the life or safety of, or would be detrimental to the health of, the tenant or tenants. Upon a determination that such essential services are not, or were not, being maintained, the Division of Housing and Community Renewal may revoke or modify the new maximum rent established pursuant to section 2201.4 of this Title and/or an adjustment made pursuant to subdivision (a) of section 2201.5, and may direct a refund to the tenants of all or part of the increase paid by the tenants as a result of any such order or orders. Each such certification filed in connection with an adjustment pursuant to section 2201.5 of this Title shall be accompanied by a certification by the landlord that he has actually expended or incurred 90 percent of the total amount of the allowance for operating and maintenance expenses, including the rents collectible from housing accommodations in the property.

(c) Except as provided in subdivision (g) of this section and section 2202.19 of this Part, no landlord shall be entitled to an increase in the maximum rent on any ground unless he certifies that he is maintaining all essential services furnished or required to be furnished as of the date of the issuance of the order adjusting the maximum rent, and that he will continue to maintain such services so long as the increase in such maximum rent continues in effect; nor shall any landlord be entitled to any increase in maximum rent on any ground where an agency of the city having jurisdiction certifies that the housing accommodation is a fire hazard, or is in a continued dangerous condition or detrimental to life or health or is occupied in violation of law; nor shall any landlord be entitled to any increase where the landlord has not removed the violation recorded against such property as shown in the report of search required under subdivision (b) of this section.

(d)

(1) No more than one order adjusting the maximum rent for any housing accommodation under section 2202.8 of this Part may be issued in any 24-month period and, except as provided in section 2202.8 of this Part, the adjustment granted by any such order shall not exceed 15 percent.

(2) Any adjustment pursuant to section 2202.8 , 2202.9 or 2202.10 of this Part, shall be collectible only to the extent permitted by section 2201.6 of this Title; provided that, in ordering an adjustment pursuant to section 2202.8, the administrator may waive such limitation where a greater increase is necessary to make the earned income of the property equal to its operating expenses.

(e) That portion of the amount of increase computed under sections 2202.8 through 2202.11 of this Part, as is properly attributable to the controlled housing accommodations, shall be apportioned among them in the manner prescribed in section 2201.4 of this Title for the apportionment of the maximum gross building rental. Each controlled housing accommodation shall bear no more than that portion of the amount of increase as is properly attributable to such housing accommodation, whether or not the amount so attributed shall be fully collectible by reason of an existing lease or, in the case of an adjustment pursuant to section 2202.8, 2202.9 or 2202.10 of this Part, by reason of the limitations provided in section 2201.6 of this Title.

(f)

(1) Any landlord may file an application to increase the maximum rent otherwise allowable, on forms prescribed by the administrator, only on one or more of the grounds stated in sections 2202.4 through 2202.12 of this Part.

(2) Any landlord may file an application to establish the maximum rents to be effective January 1, 1972, pursuant to section Y51-5.0a(3) of the Rent Law, on forms provided by the administrator, on or before the date prescribed by the administrator, and provided that such application shall be accompanied by a fee in the sum of $5 per rent-controlled housing accommodation, based on the number of such accommodations stated in the city report form R-23 filed for the subject building or, if the owner failed to provide this data in the form filed, on the basis of the number of housing accommodations (whether or not subject to control pursuant to these regulations) shown on the records of the Department of Buildings.

(g) Where an application for an increase in any maximum rent is filed under section 2202.4(b) and/or (c) , and section 2202.8, 2202.9 or 2202.10 of this Part, and the landlord is not entitled to any increase by reason of the provisions of subdivision (b) of this section, the administrator may waive such provision and issue orders increasing the maximum rent effective as of the date of issuance of such orders; provided, however, that the landlord agrees in writing to deposit the entire amount of such increase in maximum rent into an escrow or trust account administered by the administrator in accordance with procedures adopted by the administrator for the purpose of obtaining compliance with the provisions of subdivision (b) of this section, and further agrees to obtain and submit to the administrator, within one year from the date of issuance of such orders, a report of search issued by the city agency having jurisdiction, stating that the violations shown in the report of search required under subdivision (b) of this section have been removed, cleared, corrected or abated, and his own certification that he is maintaining and will continue to maintain all essential services in accordance with the provisions of subdivision (c) of this section. In the event the landlord fails to fully comply with such provision within one year from the date of the issuance of the orders increasing the maximum rent, the administrator may, having due regard for the equities involved, revoke such orders and direct full refund to the tenants of the entire increase paid by the tenants as a result of such orders.

(h) If, at least six months before the effective date of the establishment of new maximum rents pursuant to section 2201.4 of this Title, or an adjustment of maximum rents pursuant to section 2201.5(a), the landlord has not certified to the Department of Rent and Housing Maintenance that (1) all rent-impairing violations (as defined in section 302-a of the Multiple Dwelling Law), and (2) at least 80 percent of all other violations of the Housing Maintenance Code or Multiple Dwelling Law that were recorded against the property one year prior to such effective date have been cleared, corrected or abated, such new maximum rents or such adjustment shall not take effect until he shall have entered into a written agreement with such department to deposit income derived from the property into an escrow or trust account as prescribed in such agreement for the purpose of correction of such violations.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2202.4 Increased services or facilities, substantial rehabilitation, major capital or other improvements.

      Except with regard to an adjustment pursuant to paragraph (a)(2) of this section, for which the approval of the administrator shall not be required, the administrator may grant an appropriate adjustment of a maximum rent where he finds that:

(a)

(1) the landlord and tenant, by mutual voluntary written agreement, subject to the approval of the administrator, agree to a substantial increase in dwelling space or a change in the services, furniture, furnishings or equipment provided in the housing accommodation; or the tenant has accepted and is obtaining the benefit of increased services, furniture, furnishings or equipment; or

(2) On or after July 7, 1993, the landlord and tenant may, by mutual voluntary written agreement, agree to a substantial increase in dwelling space or a change in the services, furniture, furnishings or equipment provided in the housing accommodation; or the tenant has accepted and is obtaining the benefit of increased services, furniture, furnishings or equipment. In such case, an adjustment of the maximum rent shall be available without the approval of the administrator, and shall be equal to 1/40 th of the total cost incurred by the landlord in providing such modification or increase, including the cost of installation, but excluding finance charges. A landlord who is entitled to a rent adjustment pursuant to this paragraph, shall not be entitled to a further rent increase based upon the installation of similar equipment, or new furniture or furnishings within the useful life of such new equipment, or new furniture or furnishings. The landlord shall give written notice to the administrator of any such adjustment; or

(b) there has been, since March 1, 1959, an increase in the rental value of the housing accommodations as a result of a substantial rehabilitation of the building or housing accommodations therein which materially adds to the value of the property or appreciably prolongs its life, excluding ordinary repairs, maintenance and replacements; or

(c)

(1) there has been a major capital improvement, including an installation, which must meet all of the following criteria:

(i) deemed depreciable under the Internal Revenue Code, other than for ordinary repairs; and

(ii) is for the operation, preservation, and maintenance of the structure; and

(iii) is an improvement to the building or to the building complex which inures directly or indirectly to the benefit of all tenants, and which includes the same work performed in all similar components of the building or building complex, unless the landlord can satisfactorily demonstrate to the administrator that certain of such similar components did not require improvement; and

(iv) the item being replaced meets the requirements set forth on the following Useful Life Schedule, except with the administrator's approval of a waiver, as set forth in subparagraph (v) of this paragraph.

USEFUL LIFE SCHEDULE FOR MAJOR CAPITAL IMPROVEMENTS

Replacement Item or Equipment Years-Estimated Life
1) Boilers and Burners  
      (a) Cast Iron Boiler 35
      (b) Package Boiler 25
      (c) Steel Boiler 25
      (d) Burners 20
2) Windows  
      (a) Aluminum 20
      (b) Wood 25
      (c) Steel 25
      (d) Storm 20
      (e) Vinyl 15
3) Roofs  
      (a) 2-Ply (asphalt) 10
      (b) 3-4 Ply (asphalt) 15
      (c) 5-Ply (asphalt) 20
      (d) Shingle 20
      (e) Single-ply Rubber 20
      (f) Single-ply Modified Bitumen 10
      (g) Quarry Tile 20
4) Pointing 15
5) Rewiring 25
6) Intercom System 15
7) Mailboxes 25
8) Plumbing/Repiping  
      (a) Galvanized Steel 25
      (b) TP Copper 30
      (c) Brass cold water 15
      (d) Fixtures 25
9) Elevators  
      (a) Major Upgrade 25
      (b) Controllers and Selector 25
10) Doors  
      (a) Apartment Entrance 25
      (b) Lobby/Vestibule 15
11) Bathroom Upgrading  
      (a) Toilets and Valves 20
      (b) Bathroom and Sinks 20
      (c) Vanity 20
12) Kitchen Upgrading  
      (a) Metal/Wood Cabinets 20
      (b) Ranges 20
      (c) Refrigerators 15
      (d) Sinks 20
13) Water Tanks  
      (a) Metal 25
      (b) Wood 20
14) Waste Compactors 10
15) Air Conditioners  
      (a) Individual Units/Sleeves 10
      (b) Central System 15
      (c) Branch Circuitry Fixtures 15
16) Aluminum Siding 25
      Vinyl Siding 15
17) Catwalk 25
18) Chimney  
      (a) Steel 25
      (b) Brick 25
19) Courtyards/Walkways/Driveways  
      Cement 15
      Asphalt 10
20) Fire Escapes 25
21) Fuel Oil Tanks  
      (a) In Vaults 25
      (b) Underground 20
22) Water Heating Units  
      (a) Hot Water/Central Heating 20
      (b) Hot Water Heater (Domestic) 10
23) Parapets  
      Brick 25
24) Resurfacing Exterior Walls 25
25) Solar Heating System 25
26) Structural Steel 25
27) Television Security 10

For major capital improvements not listed above, the landlord must submit with the application evidence that the useful life of the item or equipment being replaced has expired.

(v)

(a) a landlord who wishes to request a waiver of the useful life requirement set forth in subparagraph (iv) of this paragraph (1) must apply to the administrator for such waiver prior to commencement of the work for which he or she will be seeking a major capital improvement rent increase. Notwithstanding this requirement, where the waiver is requested for an item being replaced because of an emergency, which causes the building or any part thereof to be dangerous to human life and safety or detrimental to health, a landlord may apply to the administrator for such waiver at the time he or she submits the major capital improvement rent increase application.

(b) if waiver is denied, the landlord will not be eligible for an MCI increase. If it is granted, the useful life requirement will not be a factor in the determination of eligibility for the major capital improvement rent increase. However, approval of the waiver does not assure that the application will be granted, as all other requirements set forth in this paragraph must be met.

(c) a landlord may apply for, and the administrator may grant, a waiver of the useful life requirements set forth in the Useful Life Schedule, if the landlord satisfactorily demonstrates the existence of one or more of the following circumstances:

(1) the item or equipment cannot be repaired and must be replaced during its useful life because of a fire, vandalism or other emergency, or "act of God" resulting in an emergency;

(2) the item or equipment needs to be replaced because such item or equipment is beyond repair, or spare parts are no longer available, or required repairs would cost more than 75 percent of the cost of the total replacement of the item or equipment. Certification by a duly licensed engineer or architect, where there is no common ownership or other financial interest with the landlord, shall be considered substantial proof of such condition(s). The landlord may also be required to submit proof that the item or equipment was properly maintained. Such proof may include receipts for repairs and parts or maintenance logs;

(3)

(i) an appropriate New York State or local governmental agency has determined that the item or equipment needs to be replaced as part of a government housing program;

(ii) for the landlord to qualify for a New York State or local government long-term loan or insured loan, the governmental lender or insurer requires the remaining useful life of the building or building complex, as well as the component parts of such building or building complex, to be as great as or greater than the term of the loan agreement.

(4) the replacement of an item or equipment which has proven inadequate, through no fault of the landlord, is necessary, provided that there has been no major capital improvement increase for that item or equipment being replaced.

(d) in the event that the administrator determines that an installation qualifies for a waiver of the useful life requirements, the administrator may:

(1) where no previous increase was granted within the useful life of the item or equipment being replaced and the cost of repair would equal or exceed the cost of replacement, approve 100 percent of the substantiated cost of the item or equipment, including installation;

(2) where no previous increase was granted within the useful life of the item or equipment being replaced and the cost of repair is more than 75 percent of the cost of replacement, grant a prorated increase based upon the remaining useful life;

(3) where it is determined that an item is eligible to be replaced during its useful life, grant an increase based upon the difference between the substantiated cost of the item or equipment, including installation, and (A) the amount reimbursed from other sources, such as insurance proceeds or any other form of commercial guarantee, and (B) the amount of any increase previously granted for the same item or equipment either as a major capital improvement, or pursuant to other governmental programs, if such item or equipment has not exhausted at least 75 percent of its useful life at the time of the installation;

(4) where it is determined that an item is eligible to be replaced even though it has not exhausted 75 percent of its useful life and that it was installed as part of a substantial rehabilitation or the new construction of a building for which the landlord set initial building wide rents, the administrator may reduce the increase granted for a major capital improvement by a proportion of the remaining useful life of such item or equipment.

(e) notwithstanding the provisions of clause (d) of this subparagraph, where a landlord had substantially commenced work on the major capital improvement installation before the adoption of the Useful Life Schedule, based on prior administrator's decisions and polices, and where adherence to useful life requirements or to the conditions of the waiver would create an undue hardship, the landlord's application will be determined in accordance with those prior decisions and policies.

(2) there has been an increase in services or improvement, other than repairs, on a building-wide basis, which the landlord can demonstrate are necessary in order to comply with a specific requirement of law.

(3) improvements or installations for which the administrator may grant applications for rent increases based upon major capital improvements pursuant to paragraph (1) of this subdivision are described on the following Schedule. Other improvements or installations that are not included may also qualify, where all requirements of paragraph (1) of this subdivision have been met.

SCHEDULE OF MAJOR CAPITAL IMPROVEMENTS

l. AIR CONDITIONER:

- new central system; or individual units set in sleeves in the exterior wall of every housing accommodation; or, air conditioning circuits and outlets in each living room and/or bedroom (SEE REWIRING).

2. ALUMINUM SIDING:

- installed in a uniform manner on all exposed sides of the building (SEE RESURFACING).

3. BATHROOM MODERNIZATION:

- complete renovation including new sinks, toilets, bathtubs, and/or showers and all required trims in every housing accommodation; or any individual component or fixture if done building-wide.

4. BOILER AND/OR BURNER:

- new unit(s) including electrical work and additional components needed for the installation.

5. BOILER ROOM:

- new room where none existed before; or enlargement of existing one to accommodate new boiler.

6. CATWALK:

- complete replacement.

7. CHIMNEY:

- complete replacement, or new one where none existed before, including additional components needed for the installation.

8. COURTYARD, DRIVEWAYS AND WALKWAYS:

- resurfacing of entire original area within the property lines of the premises.

9. DOORS:

- new lobby front entrance and/or vestibule doors; or entrance to every housing accommodation, or fireproof doors for public hallways, basement, boiler room and roof bulkhead.

10. ELEVATOR UPGRADING:

- including new controllers and selectors; or new electronic dispatch overlay system; or new elevator where none existed before, including additional components needed for the installation.

11. FIRE ESCAPES:

- complete new replacement including new landings.

12. GAS HEATING UNITS:

- new individual units with connecting pipes to every housing accommodation.

13. HOT WATER HEATER:

- new unit for central heating system.

14. INCINERATOR UPGRADING:

- including a new scrubber.

15. INTERCOM SYSTEM:

- new replacement; or one where none existed before, with automatic door locks and pushbutton speakerbox and/or telephone communication, including security locks on all entrances to the building.

16. KITCHEN MODERNIZATION:

- complete renovation including new sinks, counter tops and cabinets in every housing accommodation or any individual component or fixture if done building-wide.

17. MAILBOXES:

- new replacements and relocated from outer vestibule to an area behind locked doors to increase security.

18. PARAPET:

- complete replacement.

19. POINTING AND WATERPROOFING:

- as necessary on exposed sides of the building.

20. REPIPING:

- new hot and/or cold water risers, returns, and branches to fixtures in every housing accommodation, including shower bodies, and/or new hot and/or new cold water overhead mains, with all necessary valves in basement.

21. RESURFACING OF EXTERIOR WALLS:

- consisting of brick or masonry facing on entire area of all exposed sides of the building.

22. REWIRING:

- new copper risers and feeders extending from property box in basement to every housing accommodation; must be of sufficient capacity (220 volts) to accommodate the installation of air conditioner circuits in living room and/or bedroom.

23. ROOF:

- complete replacement or roof cap on existing roof installed after thorough scraping and leveling as necessary.

24. SOLAR HEATING SYSTEM:

- new central system, including additional components needed for the system.

25. STRUCTURAL STEEL:

- complete new replacement of all beams including footing and foundation.

26. TELEVISION SYSTEM:

- new security monitoring system including additional components needed for the system.

27. WASTE COMPACTOR:

- new installation(s) serving entire building.

28. WASTE COMPACTOR ROOM:

- new room where none existed before.

29. WATER SPRINKLER SYSTEM (FOR FIRE CONTROL PURPOSES):

- new installation(s).

30. WATER TANK:

- new installation(s) serving entire building.

31. WINDOWS:

- new framed windows.

(4)

(i) an increase in the monthly maximum rent pursuant to paragraph (1) of this subdivision (c) shall be 1/84th of the total cost of the approved items in the application.

(ii) the determination of the appropriate adjustment of a maximum rent shall take into consideration all factors bearing on the equities involved, subject to the general limitation that the adjustment can be put into effect without dislocation and hardship inconsistent with the purposes of the act, and including as a factor a return of the actual cost to the landlord, exclusive of interest or other carrying charges, and the increase in the rental value of the housing accommodations.

(iii) no increase pursuant to paragraph (1) of this subdivision shall be granted within the useful life of an improvement or installation for which an increase was previously granted except with the administrator's approval for required improvements.

(iv) no increase pursuant to paragraph (1) of this subdivision (c) shall be collectible from a tenant to whom there has been issued a currently valid senior citizen rent increase exemption pursuant to local law or ordinance to the extent that such increase may cause the maximum rent of the housing accommodation to exceed a specified portion, if any, pursuant to such local law or ordinance, of the aggregate disposable income of all members of the household residing in the housing accommodation.

(v) the collection of any increase in the maximum rent pursuant to subdivisions (b), (c) and (e) of this section shall not exceed fifteen percent in any year from the effective date of the order granting the increase over the rent set forth in the schedule of gross rents with collectibility of any dollar excess above said sum to be spread forward in similar increments and added to the maximum rent as established or set in future years. In no event shall more than one fifteen-percent increase in the maximum rent be collected in the same year.

(vi) no increase pursuant to subdivisions (b), (c), (d) and (e) of this section shall be granted unless an application is filed no later than two years after the completion of the installation or improvement unless the applicant can demonstrate that the application could not be made within two years due to delay, beyond the applicant's control, in obtaining required governmental approvals for which the applicant has applied within such two-year period.

(5) the administrator shall determine the dollar amount of the monthly rent adjustment pursuant to paragraphs (1) and (4) of this subdivision (c). Such dollar amount shall be divided by the total number of rooms in the building. The amount so derived shall then be added to the rent chargeable to each housing accommodation in accordance with the number of rooms contained in such housing accommodation. When determining the adjustment of maximum rents pursuant to paragraph (1) of this subdivision (c), where the subject building contains commercial rental space in addition to residential rental space, and the administrator determines that the commercial space benefits from the improvement, the administrator shall allocate the approved costs between such commercial rental space and the residential rental space based upon the relative square feet of each rental area.

(6) where during the processing of a rent increase application filed pursuant to paragraph (1) of this subdivision, tenants interpose answers complaining of defective operation of the major capital improvement, the complaint may be resolved in the following manner:

(i) Where "sign-offs" of a city, town or village (other than building permits) are required for the approval of the installation, and the tenants' complaints relate to the subject matter of the sign-off, the complaints may be resolved on the basis of the sign-off, and the tenants referred to the approving governmental agency for whatever action such agency may deem appropriate.

(ii) Where sign-offs of a city, town or village are not required, or where the alleged defective operation of the major capital improvement does not relate to the subject matter of the sign-off, the complaint may be resolved by the affidavit of an independent licensed architect or engineer that the condition complained of was investigated and found not to have existed, or if found to have existed, was corrected. Such affidavit, which shall be served by the administrator on the tenants, will raise a rebuttable presumption that the major capital improvement is properly operative. Tenants may rebut this presumption only on the basis of persuasive evidence, for example, a counter affidavit by an independent licensed architect or engineer, or an affirmation by 51 percent of the complaining tenants. Except for good cause shown, failure to rebut the presumption within 30 days will result in the issuance of an order without any further physical inspection of the premises by the administrator.

(iii) General requirements. There must be no common ownership, or other financial interest, between such architect or engineer and the owner or tenants. The affidavit shall state that there is no such relationship or other financial interest. The affidavit must also contain a statement that the architect or engineer did not engage in the performance of any work, other than the investigation, relating to the conditions that are the subject of the affidavit. The affidavit submitted must contain the original signature and professional stamp of the architect or engineer, not a copy. DHCR may conduct follow-up inspections randomly to ensure that the affidavits accurately indicate the condition of the premises. Any person or party who submits a false statement shall be subject to all penalties provided by law.

(d) there has been, since March 1, 1959, in structures containing more than four housing accommodations, other improvements made with the express consent of the tenants in occupancy of at least 75 percent of the housing accommodations; provided, however, that whenever the administrator has determined that the improvements proposed are part of a plan designed for overall improvement of the premises or increases in services, the administrator may order increases in maximum rents for all housing accommodations affected upon the express consent of the tenants in occupancy of at least 51 percent of the housing accommodations; and provided further, however, that no adjustment granted under this paragraph shall exceed 15 percent unless the tenants have agreed to a higher percentage of increase, as herein provided; and

(e) the landlord has incurred, since January 1, 1970, in connection with and in addition to a concurrent major capital improvement, other expenditures to improve, restore or preserve the quality of the structure. An adjustment pursuant to this section shall be granted by the administrator only if such improvements represent an expenditure equal to at least 10 percent of the total operating and maintenance expenses for the most recent full calendar year or the landlord’s most recent fiscal year, or any 12 consecutive months ending not more than 90 days prior to the filing of the application for an increase pursuant to this subdivision. The adjustment pursuant to this subdivision shall be in addition to any adjustment granted for the concurrent major capital improvement, and shall be in an amount sufficient to amortize the cost of the improvements pursuant to this subdivision over a seven-year period.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984; amd. filed Dec. 6, 2000 eff. Dec. 20, 2000. Amd. filed Sept. 26, 2005 eff. Oct. 12, 2005; (c) repealed, new (c) added.

 

§ 2202.5 Voluntary written agreements.

(a) The landlord and tenant in occupancy may voluntarily enter into a valid written lease, on or after August 1, 1970, in good faith with respect to any housing accommodation, which provides for an increase in the maximum rent on the basis of specified increased services, furniture, furnishings or equipment having a market value commensurate with the increased rent, which is not in excess of 15 percent of the maximum rent in effect on the date of execution of such lease, and the lease is for a term of not less than two years. No increase pursuant to this section shall be authorized with respect to a housing accommodation for which an increase has been effected, pursuant to section 2201.3(c) of this Title, on the basis of a vacancy of the housing accommodation until January 1, 1972, or one year after such increase has become effective as a result of such vacancy, whichever date comes later. No increase shall be authorized unless a report of lease is filed as required by subdivision (d) of this section, or such report has been otherwise accepted by the administrator. Such lease or such lease report:

(1) contains a certification by the landlord that he is maintaining all essential services furnished or required to be furnished as of the date determining the maximum rent, and will continue to maintain such services so long as the increase in maximum rent continues in effect;

(2) gives the landlord no right of cancellation of said lease inconsistent with the provisions of these regulations;

(3) does not provide for the payment by the tenant of any rent in excess of the amount therein provided, unless the maximum rent is thereafter increased:

(i) by order of the administrator pursuant to section 2202.4(a) of this Part; or

(ii) pursuant to subdivision (b), (c), (d) or (e) of such section, where the improvement or substantial rehabilitation of the building or housing accommodations therein was either completed or in progress when such lease was executed; or

(iii) pursuant to a pending application for a financial adjustment of the maximum rents for the subject building pursuant to section 2201.3 of this Title, or section 2202.8, 2202.9, 2202.10 or 2202.11 of this Part; or

(iv) pursuant to a deferred financial adjustment order which was not fully effective; and

(4) gives the tenant the right to cancel such lease at any time after the expiration of the first two years thereof, by giving the landlord at least 30 days’ notice in writing, by registered or certified mail of his intention to cancel such lease and surrender possession of the housing accommodations.

(b) Where a maximum rent was established by the execution of a lease pursuant to the provisions of this section, it may not thereafter be increased by a subsequent lease executed with the same tenant pursuant to this section, except:

(1) by a subsequent written lease in accordance with subdivision (a) of this section, where the rent provided by such subsequent lease does not result in an increase of more than 15 percent over the maximum rent in effect prior to the execution of the original lease, exclusive of adjustments ordered by the administrator; or

(2) where, after the expiration of the term of the original lease, or in a case where the original lease is terminated after the expiration of the first two years of its term, a new written lease may be entered into in accordance with such subdivision (a); or

(3) where the original lease is terminated after the expiration of the first year of its term, in which event a new written lease in accordance with such subdivision (a) may be entered into for a term of not less than the unexpired remainder of the first two years of the original lease plus two years, and providing for an increase commencing with the expiration of the first two years of the original lease, which increase shall not exceed 15 percent over the maximum rent in effect on the effective date of such new lease.

(c) Where the entire structure, or any lesser portion thereof, was vacated by order of a city department having jurisdiction on or after November 22, 1963, and any tenants therein were relocated by the Department of Relocation or such structure was boarded up by the Department of Real Estate, such lease increases in subsequently executed leases shall not become effective for any housing accommodations in the structure, notwithstanding any provision of subdivision (a) of this section to the contrary, until such departments have been reimbursed for expenses necessarily incurred in connection with the foregoing; provided, however, that such reimbursement shall not be required where the vacating was caused by fire or accident not resulting from any unlawful act or omission on the part of the landlord.

(d) Within 60 days following the date of execution of the lease, or within 60 days after the effective date of this amendment, whichever date is later, the landlord shall file a report of such lease, upon forms prescribed by the administrator, which shall also include a statement of additional services or equipment furnished as a consideration of the execution of the lease.

(e) Notwithstanding any other provision of this section to the contrary, where a maximum base rent is established pursuant to section 2201.4 of this Title, during the term of any lease entered into on or after August 1, 1970 pursuant to the provisions of this section, such maximum base rent shall be collectible up to the 7 1/2 percent limitation provided for by section 2201.6 of this Title, even though such lease provides for the payment of a lesser amount.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2202.6 Increase in subtenants or occupants.

      The administrator may grant an appropriate adjustment of a maximum rent where he finds that there has been, since March 1, 1959, a subletting without written consent from the landlord or an increase in the number of adult occupants who are not members of the immediate family of the tenant, and the landlord has not been compensated therefor by adjustment of the maximum rent by lease, or by order of the administrator, or pursuant to the State Rent Act or the Federal Act. Such adjustment shall be effective only during the period of subletting or increase in the number of tenants.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2202.7 Unique or peculiar circumstances.

      The administrator may grant an appropriate adjustment of a maximum rent where he finds that the presence of unique or peculiar circumstances materially affecting the maximum rent has resulted in a maximum rent which is substantially lower than rents generally prevailing in the same area for substantially similar housing accommodations; provided that the adjustment shall not result in a maximum rent higher than the rents generally prevalent in the same area of substantially similar housing accommodations.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2202.8 Return on capital value.

(a) A landlord may file an application for an increase in maximum rents on the ground that the current maximum gross building rental established pursuant to section 2201.4 or 2201.5 of this Title does not equal the sum of:

(1) the real estate taxes, water charges and sewer rents on the property;

(2) the operating and maintenance expenses of the property;

(3) an allowance for the vacancy and collection losses on the property; and

(4) a return of 8 1/2 percent on capital value which, except as provided in subdivisions (b) and (c) of this section, shall be the equalized assessed value obtained by multiplying the current assessed value of the property by the current equalization ratio established by the New York State Board of Equalization and Assessment pursuant to article 12-A of the Real Property Tax Law.

Increases or decreases in real estate taxes, water charges, sewer rents, and wages currently in effect may be projected in making such computation.

(b) The administrator may make a determination that:

(1) capital value is an amount different from that prescribed in subdivision (a) of this section, where there has been a reduction in assessed valuation for the year next preceding the effective date of the assessed valuation in effect at the time of the filing of the application; or

(2) capital value is equal to five times the equalized assessed value of the buildings, where the assessed valuation of the land exceeds four times the assessed valuation of the buildings thereon.

(c) The administrator may make a determination that capital value is an amount different from that prescribed in subdivision (a) of this section, where there has been a bona fide sale of the property since February 1, 1961, as the result of a transaction at arm’s length, on normal financing terms, at a readily ascertainable price, and unaffected by special circumstances such as, but not limited to, a forced sale, exchange of property, package deal, wash sale or a sale to a cooperative. In determining whether a sale was on normal financing terms, the administrator shall give due consideration to the following factors:

(1) the ratio of the cash payment received by the seller to the sales price of the property and the annual gross income from the property;

(2) the total amount of the outstanding mortgages which are liens against the property (including purchase money mortgages), as compared with the equalized assessed value of the property;

(3) the ratio of the sales price to the annual gross income of the property, with consideration given to the total amount of rent adjustments previously granted, exclusive of rent adjustments because of changes in dwelling space, services, furniture, furnishings or equipment, major capital improvements or substantial rehabilitation;

(4) the presence of deferred amortization in purchase money mortgages, or the assignment of such mortgages at a discount; and

(5) any other facts and circumstances surrounding such sale which, in the judgment of the administrator, may have a bearing upon the question of financing.

(d) No increase in maximum rent shall be granted under this section where there is pending, without final disposition, a judicial proceeding to correct the final determination of the Tax Commission with respect to the assessed valuation of such property for the city fiscal year in which the landlord filed the application for such increase, or for the city fiscal year immediately preceding the filing of the application for such increase.

(e) No application for an increase in any maximum rent under this section may be filed with respect to any property if (1) on the date that the application is sought to be filed, less than two years have elapsed since the date of filing of the last prior application for an increase under this section, which application resulted in the granting of an increase, or (2) less than two years have elapsed since the last sale of the property and the application is based upon a sales price in excess of the equalized assessed valuation. This latter limitation shall not apply, however, when the application is based upon a sale, within such two-year period, at a price in excess of the equalized assessed valuation, if such price is less than the price in the last sale which meets the criteria heretofore specified in subdivision (c) of this section occurring prior to two years before the application is sought to be filed.

(f) For the purposes of this section, the test year shall be the most recent full calendar year or the landlord’s most recent fiscal year, or any 12 consecutive months ending not more tha 90 days prior to the filing of the application for an increase.

History: Sec. filed Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2202.9 Unavoidable increases in operating costs in small structures.

(a) A landlord may file an application for an adjustment of maximum rents on the ground that he owns a building containing no more than 19 housing accommodations (whether or not subject to control) and has incurred unavoidable increases in property taxes, fuel, utilities, insurance, and repairs and maintenance, excluding mortgage interest and amortization, and excluding allowances for depreciation, obsolescence and reserves, which have occurred since the Federal date determining the maximum rent. If, as determined by the administrator, the landlord has not been fully compensated by increases in rental income sufficient to offset such increases in operating costs, the administrator shall grant an adjustment of the maximum rents.

(b) Where the administrator finds, in considering the application under this section, that a present tenant is paying a rent less than the maximum rent, the administrator, upon request of the landlord, may reduce the maximum rent of the housing accommodation to the amount actually being paid, or to the highest maximum rent for comparable controlled housing accommodations in the structure, whichever is higher.

(c) A further application may not be filed under this section sooner than one year from the date of filing of the last prior application for an increase with respect to such property under this section, where such prior application resulted in the granting of an increase.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2202.10 Unavoidable increases in operating costs in other specified structures.

(a) A landlord may file an application for an increase in maximum rents on the ground that he operates a hotel or rooming house, or owns a cooperative apartment, and has incurred unavoidable increases in property taxes and other costs, including costs of operation of such hotel or rooming house, but excluding mortgage interest and amortization and excluding allowances for obsolescence and reserves and building depreciation, which have occurred since the Federal date determining the maximum rent or the date the landlord commenced the operation of the property, whichever is later. If, as determined by the administrator, the landlord has not been fully compensated by increases in rental income from the controlled housing accommodations sufficient to offset such increases in operating costs as are allowable to such controlled housing accommodations, the administrator shall grant an adjustment of the maximum rents.

(b) Where the administrator finds, in considering an application under this section, that a present tenant is paying a rent less than the maximum rent, the administrator, upon request of the landlord, may reduce the maximum rent of the housing accommodation to the amount actually being paid, or to the highest maximum rent for comparable controlled housing accommodations in the structure, whichever is higher.

(c) A further application may not be filed under this section sooner than one year from the date of filing of the last prior application for an increase with respect to such property under this section, or under the provisions of section 4(4)(a)(3) of the State Rent Act , where such prior application resulted in the granting of an increase.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2202.11 Labor costs in excess of maximum base rent allowance.

      The administrator may make an appropriate adjustment of a maximum rent where he finds that the actual labor expenses incurred or to be incurred (pursuant to a collective agreement or other obligation actually entered into by the landlord) exceed the provision for payroll expenses in the currently applicable operating and maintenance expense allowance under section 2201.4 or 2201.5 of this Title. No adjustment pursuant to this section may be made within one year from the most recent adjustment in maximum rent pursuant to this section or section 2202.8 of this Part.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2202.12 Rehabilitation or improvement under government-financed program or other approved program.

      The administrator may grant an appropriate adjustment where he finds that there has been a rehabilitation or improvement of substandard or deteriorated housing accommodations which has been financed under a governmental program providing assistance through loans, loan insurance or tax abatement, or which has been undertaken under any other rehabilitation program not so financed but approved by the administrator.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2202.13 Fuel cost adjustments.

(a) Increases or decreases in heating fuel costs, based on findings promulgated by the Division of Housing and Community Renewal for heating fuel price increases and decreases, inclusive of sales and excise taxes and standards for consumption thereof for all types of heating fuels, shall be the bases for rent adjustments; provided, however, no increase shall be authorized unless a report, certification and notice, upon forms prescribed by the administrator, have been served upon the tenant, and the report, with prescribed schedules and proof of service, filed with the Division of Housing and Community Renewal. No increase shall be effective or collectible prior to January 1, 1980.

(b) Such report shall contain a certified statement by the landlord:

(1) of the amount of heating fuel delivered in the calendar year immediately prior to the filing of the report;

(2) of the type of fuel used, and the total number of rooms in the building;

(3) that he has been maintaining and will continue to maintain all essential services provided;

(4) that no rent reduction order based upon landlord’s failure to provide heat or hot water has been in effect during the prior 12 months;

(5) listing any funds received with respect to housing accommodations from any governmental grant program compensating such landlord for fuel price increases during the period for which an adjustment is obtained pursuant to this section;

(6) that the landlord shall provide such other information as the agency may require; and

(7) in order to qualify for rent increases for any individual housing and accommodations, where the maximum collectible rent, plus the cumulative rent adjustments pursuant to this section, is equal to or exceeds the maximum base rent, plus the cumulative amounts calculated as the annual fuel cost adjustments for such housing accommodations, pursuant to the applicable provisions of paragraphs (c)(1)-(2), (d)(1)-(2) of this section, a separate certification that, on information and belief, he will not be earning an amount in excess of the statutory 8 1/2 percent return, computed in accordance with section Y51-5.0g(1)(a) of the Rent Law, after collection of the rent increase prescribed under this section for that housing accommodation, with respect to one or more buildings serviced by a single heating plant.

(c) The basis for the 1980 rent increases shall be as follows:

(1) The heating fuel price increase for the period April 9, 1979 through December 31, 1979 for the particular type of fuel used by the landlord in the building, multiplied by 75 percent of the lesser of:

(i) the amount of heating fuel actually delivered for the building between January 1 and December 31, 1979, divided by the number of rooms in the building to determine the annual fuel consumed per room; or

(ii) the annual maximum fuel consumption standard per room for such particular type of fuel, as promulgated by the city in 1980.

(2) Such 1979 fuel consumption standard shall not exceed 230 gallons per room in buildings using heating oils for heat, with comparable unit limitations to be established by the Division of Housing and Community Renewal for other types of heating fuels.

(3) The annual fuel cost increase per room shall be divided by 12 to determine the monthly fuel cost increase per room, and that amount shall be multiplied by the number of rooms in each apartment to determine the monthly rent increase.

(4) In determining the number of rooms in the entire building for the purposes of this section, stores, offices and other commercial units shall be assigned the same room count as an equivalent area of residential space. Only living rooms, kitchens over 59 square feet in area, dining rooms and bedrooms shall be considered rooms. Bathrooms, foyers, kitchenettes, kitchens 59 square feet or less in area, alcoves, pantries and closets shall not be considered rooms.

(d) The basis for rent adjustment for 1981 and each year subsequent thereto for the period January 1, 1980 to and including December 31, 1980, and annually thereafter, shall be as follows:

(1) The heating fuel price increase or decrease promulgated by the Division of Housing and Community Renewal for the particular type of heating fuel for the year immediately preceding the service and filing of the report required under this section, multiplied by the amount of fuel actually delivered to the building during that particular year, and divided by the number of rooms determined in the manner set forth in paragraph (c)(4) of this section.

(2) Commencing January 1, 1981, the 1980 annual standard of fuel consumption for buildings using heating oils for heat shall be no more than 225 gallons per room per year, with comparable unit limitations for other types of heating fuels. Such consumption standards for heating oils, with comparable unit limitations for other types of heating fuels, shall be further reduced as follows:

(i) commencing January 1, 1982, by five gallons per room per year for heating oils;

(ii) commencing January 1, 1983, by 10 gallons per room per year for heating oils; and

(iii) commencing January 1, 1984, by 10 gallons per room per year for heating oils.

(3) Seventy-five percent of the annual fuel cost increase per room shall be allocated among the apartments in the manner set forth in paragraph (c)(3) of this section.

(e) If the report is served and filed within 60 days of the date of promulgation of the findings of fuel price increase and standards of consumption by the Division of Housing and Community Renewal, the rent adjustment shall be retroactive to and shall become effective as of January first of the calendar year in which the report is filed. If the report is not served and filed within such period, the rent increase shall become effective on the first day of the month immediately following the service and filing. No more than one report may be served or filed within any calendar year. Where a landlord has obtained one or more rent adjustments under this section and there is a finding of fuel price decrease, and the landlord fails to serve and file a report of rent decrease within 60 days of the promulgation of findings, the landlord shall lose all right to collect any rent adjustments granted under this section for a period of 12 months, and the rent decrease shall be retroactive and effective January first of the calendar year in which the finding was promulgated.

(f) A landlord who filed a report under this section containing a false certification shall not be authorized nor eligible to collect any rent adjustment under this section for two years following the date of the order of determination of a false certification and, in addition, any rent adjustment obtained within two years prior to such determination shall not be effective nor collectible for the same two-year period following the date of the determination. Such landlord shall also be subject to any additional penalties imposed by law, including but not limited to the refund of any increases obtained by a false certification under this section.

(g) No increase provided for in this section shall be collectible from a tenant to whom there has been issued a currently valid senior citizen rent increase exemption order, insofar as it exceeds one third of the tenant’s monthly disposable income. A senior citizen who applies for a rent increase exemption shall receive an order retroactive to the effective date of the annual fuel cost increase adjustment immediately preceding such application.

(h) In the event a rent reduction order, based upon the landlord’s failure to provide heat or hot water to housing accommodations for which a landlord is collecting a rent adjustment provided for in this section, is issued by the Division of Housing and Community Renewal, such rent adjustment shall not be authorized nor collected for the time such rent reduction order remains in effect. In addition, the landlord shall not be authorized nor eligible to collect (1) such rent adjustment and (2) any subsequent rent adjustment provided for in this section, until 12 months after the effective date of the order restoring the maximum rent and terminating the rent reduction.

(i) The increase provided pursuant to this section shall not be incorporated into the maximum base rent or the maximum collectible rent for purposes of calculating percentage adjustments to such rents.

(j) A landlord demanding or collecting a rent adjustment provided for in this section shall, at the time of either the demand or collection of rent, issue to the tenant a rent bill or receipt setting forth the amounts of any fuel cost adjustments separate from the amount of rent otherwise demanded or collected. If the tenant has been issued a currently valid senior citizen rent increase exemption order, the landlord shall also state the amount actually payable by the senior citizen after crediting the exemption.

(k) Any rent adjustment granted pursuant to this section shall be reduced by an amount equal to any governmental grant received by the landlord compensating him for any fuel price increase, prorated for all rental space for which the grant was given or limited; provided, however, that such grant is not required, by the city, the agency or any governmental entity, to be expended for fuel-related repairs or improvements.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2202.14 Grounds for decrease of maximum rent.

      The administrator at any time, on his own initiative or on application of the tenant, may order a decrease of the maximum rent otherwise allowable, on the grounds stated in sections 2202.15 through 2202.18 of this Part.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2202.15 Decrease of first rents.

      Where a maximum rent has been established for a housing accommodation:

(a) pursuant to section 4(3) of the State Rent Act, and a proper and timely registration statement had been filed as had been required by the Federal Act or by the State Rent Commission; or

(b) pursuant to section 2201.1(b) or (c) of this Title, and a proper and timely registration statement has been filed as required by section 2203.3;

      the administrator may order a decrease in the maximum rent where such maximum rent is substantially higher than the maximum rents for comparable housing accommodations, giving due consideration to any other factors bearing on the equities involved, consistent with the purposes of the Rent Law, including but not limited to the factors that such housing accommodations were created from housing accommodations which were vacated on or after November 22, 1963 other than by voluntary surrender of possession or in the manner provided by Part 2204 of this Title. Where the housing accommodations were created from such accommodations, the administrator may give due consideration to the limitation on the amount of the rent adjustment which may be ordered, pursuant to the provisions of section 2202.3(a)(1) of this Part, in considering the equities involved.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2202.16 Rent decrease for reduction of services, etc.

(a) The administrator may order a decrease of the maximum rent otherwise allowable, or take action as provided in section 2202.19 of this Part, where there has been a substantial deterioration of the housing accommodations because of the failure of the landlord to properly maintain the same, or there has been a decrease in the dwelling space, essential services, furniture, furnishings or equipment required under section 2201.2 of this Title. It shall be no defense, to an application to decrease the maximum rent, that furniture or furnishings were removed on or after May 1, 1955 from a furnished housing accommodation with the consent of the tenant. The maximum rent for the housing accommodation shall be decreased by that amount which the administrator finds to be the reduction in the rental value of the housing accommodation because of the substantial deterioration or decrease in dwelling space, essential services, furniture, furnishings or equipment. The administrator may, however, take into consideration all factors bearing on the equities involved.

(b) In any proceeding where the landlord has complied with the requirements to paint and decorate the housing accommodation, the order terminating this proceeding shall set forth the date when the apartment shall again be due for a painting.

(c) The administrator may order a decrease of the maximum rent, where there had been a previous increase of the maximum rent on the basis of a prior tenant’s installation or use of a television antenna, and a new tenant has not availed himself of this service, by the amount of rent increase formerly granted for such service; provided, however, that the present tenant file an application for the decrease of the maximum rent within 90 days from the date of taking possession of the housing accommodation.

(d) The administrator may order an appropriate decrease of the maximum rent, where there has been a previous increase of the maximum rent on the basis of the installation or use of cable television services, and there is no lease or rental agreement, executed prior to January 1, 1973 specifically providing for such installation or use, presently in force, or such lease or rental agreement has terminated or expired.

(e) The administrator may order a decrease of the maximum rent based on an approved conversion from master metering of electricity, with the cost of electricity included in the rent, to individual metering of electricity, with the tenant paying separately for electricity, and is in amounts set forth in a schedule of rent reductions for different-sized rent controlled housing accommodations included in Operational Bulletin 2003-1 governing electrical conversions issued pursuant to this subdivision and section 2209.8 of this Title by DHCR, 92-31 Union Hall Street, Jamaica, Queens, NY, and available at DHCR’s website at www.dhcr.state.ny.us, and determined as follows:

(1) Direct metering. Where the conversion is to direct metering of electricity, with the tenant purchasing electricity directly from a utility, such schedule of rent reductions is based on the median monthly cost of electricity to tenants derived from data from the United States Census Bureau’s “2002 New York City Housing and Vacancy Survey,” as tabulated by the New York City Rent Guidelines Board, 51 Chambers Street, Suite 202, New York, NY, and available on its website at www.housingnyc.com. The charge for electricity is not part of the maximum rent and is not subject to this Subchapter. The resolution of any dispute arising from the billing or collection of such charge is not within the jurisdiction of the city rent agency. A conversion to direct metering is required to include rewiring the building unless the owner can establish that rewiring is unnecessary.

(2) Submetering. Where the conversion is to submetering of electricity, with the tenant purchasing electricity from the owner or a contractor retained by the owner, who purchases electricity from a utility at the bulk rate, such schedule of rent reductions is based on the median monthly cost of electricity to tenants derived from data from the United States Census Bureau’s “2002 New York City Housing and Vacancy Survey,” as tabulated by the New York City Rent Guidelines Board, 51 Chambers Street, Suite 202, New York, NY, and available on its website at www.housingnyc.com, adjusted to reflect the bulk rate for electricity plus a reasonable service fee for the cost of meter reading and billing, based on the maximum estimated fee included in the "Residential Electric Submetering Manual" revised October 2001, published by the New York State Energy Research and Development Authority, 17 Columbia Circle, Albany, NY, and available on its website at www.nyserda.org, and reflected in Operational Bulletin 2003-1. The owner or contractor retained by the owner is not permitted to charge the tenant more than the bulk rate for electricity plus a reasonable service charge for the cost of meter reading and billing. The charge for electricity as well as any related service surcharge is not part of the maximum rent and is not subject to this Subchapter. The resolution of any dispute arising from the billing or collection of such charge or surcharge is not within the jurisdiction of the city rent agency. A conversion to submetering does not require rewiring the building provided the owner submits an affidavit sworn to by a licensed electrician that the existing wiring is safe and of sufficient capacity for the building.

(3) Recipients of senior citizen rent increase exemptions (SCRIE) or disability rent increase exemptions (DRIE). For a tenant who on the date of the conversion is receiving a SCRIE authorized by section 26-405(m) of the City Rent and Rehabilitation Law, the rent is not reduced and the cost of electricity remains included in the rent, although the owner is permitted to install any equipment in such tenant's housing accommodation as is required for effectuation of electrical conversion pursuant to this subdivision.

(i) After the conversion, upon the vacancy of the tenant, the owner, without making application to the city rent agency, is required to reduce the maximum rent for the housing accommodation in accordance with the schedule of rent reductions set forth in Operational Bulletin 2003-1, and thereafter any subsequent tenant is responsible for the cost of his or her consumption of electricity, and for the legal rent as reduced, including any applicable major capital improvement rent increase based upon the cost of work done to effectuate the electrical conversion.

(ii) After the conversion, if a tenant ceases to receive a SCRIE or DRIE, the owner, without making application to the city rent agency, may reduce the rent in accordance with the schedule of rent reductions set forth in Operational Bulletin 2003-1, and thereafter the tenant is responsible for the cost of his or her consumption of electricity, and for the legal rent as reduced, including any applicable major capital improvement rent increase based upon the cost of work done to effectuate the electrical conversion, for as long as the tenant is not receiving a SCRIE or DRIE. Thereafter, in the event that the tenant resumes receiving a SCRIE or DRIE, the owner, without making application to the city rent agency, is required to eliminate the rent reduction and resume responsibility for the tenant's electric bills.

(4) Every three years, upon the publication of a new Housing Vacancy Survey, and tabulation of the survey data by the New York City Rent Guidelines Board, DHCR shall issue a new operational bulletin governing electrical conversions setting forth rent reductions based on the new survey data, and shall move to amend the regulations to incorporate by reference the new Operational Bulletin, Housing Vacancy Survey, and Rent Guidelines Board Tabulation. At such time as NYSERDA issues a new Residential Electric Submetering Manual setting forth a new maximum estimated submetering service fee, DHCR shall move to amend the regulations to incorporate that document by reference.

(f) The amount of the reduction in maximum rent ordered by the administrator pursuant to this section shall be reduced by any credit, abatement or offset in rent which the tenant has received pursuant to section 235-b of the Real Property Law, that relates to one or more conditions covered by such order.

(g)

(1) Certain conditions complained of as constituting a substantial deterioration of a housing accommodation because of a reduction in an essential service may be de minimis in nature, and therefore do not rise to the level of a failure to maintain an essential service for the purposes of this section. Such conditions are those that have only a minimal impact on tenants, do not affect the use and enjoyment of the premises, and may exist despite regular maintenance of services.

The following schedule sets forth conditions that will generally not constitute a failure to maintain an essential service. However, this schedule is not intended to be exclusive, and is not determinative in all cases and under all circumstances. Therefore, it does not include all conditions that may be considered de minimis, and there may be circumstances where a condition, although included on the schedule, will nevertheless be found to constitute a decrease in an essential service.

SCHEDULE OF DE MINIMIS CONDITIONS

BUILDING-WIDE CONDITIONS

1. AIR CONDITIONING:

Failure to provide in lobby, hallways, stairwells, and other non-enclosed public areas.

2. BUILDING ENTRANCE DOOR:

Removal of canopy over unlocked door leading to vestibule; changes in door-locking devices, where security or access is not otherwise compromised.

3. CARPETING:

Change in color or quality under certain circumstances; isolated stains on otherwise clean carpets; frayed areas which do not create a tripping hazard.

4. CLOTHESLINES:

Removal of, whether or not dryers are provided.

5. CRACKS:

Sidewalk cracks which do not create a tripping hazard; hairline cracks in walls and ceilings.

6. DECORATIVE AMENITIES:

Modification (e.g., fountain replaced with rock garden); removal of some or all for aesthetic reasons.

7. ELEVATOR:

Failure to post elevator inspection certificates; failure to provide or maintain amenities (e.g., ashtray, fan, recorded music).

8. FLOORS:

Failure to wax floors; discrete areas in need of cleaning or dusting, where there is evidence that janitorial services are being regularly provided and most areas are clean (See JANITORIAL SERVICES, item 12).

9. GARAGE:

Any condition that does not interfere with the use of the garage or an assigned parking space (e.g., peeling paint where there is no water leak).

10. GRAFFITI:

Minor graffiti inside the building; any graffiti outside the building where the landlord submits an "affidavit of on-going maintenance" indicating a reasonable time period when the specific condition will be next addressed.

11. LANDSCAPING:

Modification; failure to maintain a particular aspect of landscaping where the grounds are generally maintained.

12. JANITORIAL SERVICES:

Failure to clean or dust discrete areas, where there is evidence that janitorial services are being regularly provided because most areas are, in fact, clean.

13. LIGHTING IN PUBLIC AREAS:

Missing light bulbs where the lighting is otherwise adequate.

14. LOBBY OR HALLWAYS:

Discontinuance of fresh cut flowers; removal of fireplace or fireplace andirons; modification of furniture; removal of some furnishings (determined on a case by case basis); removal of decorative mirrors; reduction in lobby space where reasonable access to tenant areas are maintained; elimination of public area door mat; failure to maintain a lobby directory that is not associated with a building intercom; removal or replacement of window coverings (See DECORATIVE AMENITIES, item 6).

15. MAIL DISTRIBUTION:

Elimination of door-to-door or other methods of mail distribution where mailboxes are installed in a manner approved by the U.S. Postal Service.

16. MASONRY:

Minor deterioration; failure to point exterior bricks where there is no interior leak damage.

17. PAINTING:

Change in color in public areas under certain circumstances (e.g., not in violation of the New York City Housing Maintenance Code); replacement of wallpaper or stenciling with paint in the public areas; isolated or minor areas where paint or plaster is peeling, or other similarly minor areas requiring repainting, provided there are no active water leaks; any painting condition in basement or cellar areas not usually meant for or used by tenants; any painting condition that is limited to the top-floor bulkhead area provided there is no active water leak in such area.

18. RECREATIONAL FACILITIES:

Modifications, such as reasonable substitution of equipment, combination of areas, or reduction in the number of items of certain equipment where overall facilities are maintained (See ROOF, item 19).

19. ROOF:

Discontinuance of recreational use (e.g., sunbathing) unless a lease clause provides for such service, or formal facilities (e.g., solarium) are provided by the landlord; lack of repairs where water does not leak into the building or the condition is not dangerous.

20. SINKS:

Failure to provide or maintain in compactor rooms or laundry rooms.

21. STORAGE SPACE:

Removal or reduction of, unless storage space service is provided for in a specific rider to the lease (not a general clause in a standard form residential lease), or unless the landlord has provided formal storage boxes or bins to tenants within three years of the filing of a tenant's complaint alleging an elimination or a reduction in storage space service.

22. SUPERINTENDENT/MAINTENANCE STAFF/MANAGEMENT:

Decrease in the number of staff, other than security, provided there is no decrease in janitorial services; elimination of on-site management office; failure to provide an on-site superintendent, provided there is no decrease in janitorial services.

23. TELEVISION:

Replacement of individual antennas with master antenna; visible cable; television wires; or other technologies.

24. TOILET IN PUBLIC AREAS:

Removal of (except in buildings containing Class B units).

25. WINDOWS:

Sealed, vented, basement or crawl space windows, other than in areas used by tenants (e.g., laundry rooms); cracked fire-rated windows; peeling paint or other non-hazardous condition of exterior window frames.

INDIVIDUAL APARTMENT CONDITIONS

1. APPLIANCES AND FIXTURES:

Chips on appliances, countertops, fixtures or tile surfaces; color-matching of appliances, fixtures or tiles.

2. CRACKS:

Hairline cracks; minor wall cracks, provided there is no missing plaster, or no active water leak.

3. DOORS:

Lack of alignment, provided condition does not prevent proper locking of entrance door or closing of interior door.

4. FLOOR:

Failure to provide refinishing or shellacking.

5. NOISE:

Caused by another tenant.

6. WINDOW FURNISHINGS:

Failure to re-tape or re-cord venetian blinds.

(2) In determining whether a condition is de minimis, the administrator may consider the passage of time during which a disputed service was not provided and during which no complaint was filed by any tenant alleging failure to maintain such disputed service, as evidencing that such service condition is de minimis, and therefore does not constitute a failure to maintain an essential service, provided that:

(i) for purposes of this subdivision, the passage of four years or more shall be considered presumptive evidence that the condition is de minimis, with such four-year period to be measured without reference to any changes in building ownership or the tenancy of the subject housing accommodation;

(ii) services required to be provided by laws or regulations other than the Rent Law and this Subchapter shall not be subject to this subdivision.

(3)

(i) Except as to complaints of inadequate heat and/or hot water, or applications relating to the restoration of rents based upon the restoration of such services, whenever a complaint of building-wide reduction in services, or a landlord's application relating to the restoration of rents based upon the restoration of such services is filed, the tenants or landlord may submit with the complaint, answer or application, the contemporaneous affidavit of an independent licensed architect or engineer, substantiating the allegations of the complaint, answer, or application. The affidavit shall state that the conditions that are the subject of the complaint, answer or application were investigated by the person signing the affidavit and that the conditions exist (if the affidavit is offered by the tenants) or do not exist (if the affidavit is offered by the landlord). The affidavit shall specify what conditions were investigated and what the findings were with respect to each condition. The affidavit shall state when the investigation was conducted, must be submitted within a reasonable time after the completion of the investigation, and when served by the administrator on the opposing party, will raise a rebuttable presumption that the conditions that are the subject of the complaint, answer or application exist (if the affidavit is submitted by the tenants), or do not exist (if the affidavit is submitted by the landlord).

(ii) The presumption raised by the affidavit may be rebutted only on the basis of persuasive evidence, including a counter affidavit by an independent licensed architect or engineer, or a report of a subsequent inspection conducted, or a subsequent violation imposed by a governmental agency, or an affirmation signed by 51 percent of the complaining tenants. Except for good cause shown, failure to rebut the presumption within 30 days will result in the issuance of an order without any further physical inspection of the premises by the administrator.

(iii) There must be no common ownership, or other financial interest, between such architect or engineer, and the landlord or tenants, and the affidavit shall state that there is no such relationship or other financial interest. The affidavit must also contain a statement that the architect or engineer did not engage in the performance of any work, other than the investigation, relating to the conditions that are the subject of the affidavit, and must contain the original signature and professional stamp of the architect or engineer, not a copy. The administrator may conduct follow-up inspections randomly to ensure that the affidavits accurately indicate the conditions of the premises. Any person or party who submits a false statement will be subject to all penalties provided by law.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984; amds. filed Dec. 6, 2000; Oct. 28, 2003 eff. Nov. 12, 2003. Added new (e), renum. (e) to be (f). Amds filed Sept. 26, 2005 eff. Oct. 12, 2005; added (g). Amd. filed Apr. 24, 2013, eff. Jan. 8, 2014, amended (e) (3).

 

§ 2202.17 Rent decrease based on hazardous conditions.

      The administrator may order a decrease of the maximum rent otherwise allowable, or take action as provided in section 2202.19 of this Part, where a city agency having jurisdiction certifies that the housing accommodation is a fire hazard, or is in a continued dangerous condition or detrimental to life or health, or is occupied in violation of law. In such case, the maximum rent for the housing accommodation may be decreased in such amount as the administrator deems to be necessary or proper.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2202.18 Decrease of inequitable rents for rooming house and single-room occupancy accommodations.

      Notwithstanding any other provision of these regulations, where a maximum rent has been established for a housing accommodation in a rooming house, or for a single-room occupancy accommodation, the administrator may order a decrease in the maximum rent, having regard for any factors bearing on the equities involved, consistent with the purposes of the Rent Law, to correct speculative, abnormal and unwarranted increases in rent.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2202.19 Alternative provision in lieu of rent decrease.

(a) Whenever in the judgment of the administrator such action is necessary or proper in order to effectuate the purpose of the Rent Law, the administrator may, in lieu of decreasing the maximum rents as provided in sections 2202.16 and 2202.17 of this Part, enter into a contract wherein the landlord agrees in writing to deposit all income derived from the property, including income from spaces and accommodations not controlled, into an escrow or trust account supervised by the administrator, in accordance with the conditions imposed by the administrator, for use in maintaining or restoring essential services and equipment, for removing violations against the property or housing accommodations therein, for making such repairs as are necessary to remove a certification, from any city agency having jurisdiction thereof, that the housing accommodation is a fire hazard, or is in a continued dangerous condition or detrimental to life or health, or is occupied in violation of law, and/or for such other uses as the administrator deems necessary or proper for the preservation, repair or maintenance of the property.

(b) Where the landlord has entered into an escrow agreement as provided in subdivision (a) of this section, the administrator shall issue orders adjusting all controlled rents to the appropriate maximum rent, effective as of the first day of the month following the execution of such agreement; provided, however, that in the event the administrator shall determine that the landlord has breached such agreement, the administrator may issue orders:

(1) decreasing the maximum rent pursuant to such agreement;

(2) containing a directive that rent collected by the landlord in excess of the rent thus decreased be refunded to the tenants; and

(3) containing such other determinations and directives as are necessary to effectuate the purposes of this section.

(c) Notwithstanding any provision of these regulations to the contrary, whenever, in the judgment of the administrator, action as provided in sections 2202.16 and 2202.17 of this Part is necessary or proper in order to effectuate the purposes of the Rent Law or of these regulations, the administrator may, in lieu of decreasing the maximum rents, issue orders adjusting all controlled rents and directing that rents be paid into an escrow account supervised by the administrator for the uses stated in subdivision (a) of this section, where:

(1) the landlord fails to take corrective action after notice by the administrator of proposed action to decrease the maximum rents pursuant to sections 2202.16 and 2202.17 of this Part;

(2) the administrator has notified all mortgagees who have filed with the administrator a declaration of interest in such property and in such proposed action; and

(3) the landlord has failed for three consecutive months to collect any controlled rents or to commence court proceedings for their collection or, if such proceedings have been commenced, the landlord has not diligently prosecuted them or such proceedings have not resulted in judgment in favor of such landlord.

(d) Where the essential services, furnishings, furniture or equipment of any individual housing accommodation are reduced, impaired, mutilated or made unworkable as a result of neglect, failure to exercise due care or failure of the tenant to take practical precautions to prevent such condition, the landlord shall restore such services, furniture, furnishings or equipment and may make application for a temporary increase in the maximum rent based upon cost of such restoration. In the event of the failure of the tenant to make restitution within a reasonable time, as determined by the administrator, an order shall be issued adjusting the maximum rent for such tenant in an amount sufficient to recover the cost over 12 monthly installments or until the tenant surrenders possession, whichever is sooner. The provisions of this paragraph shall be in addition to all other rights and remedies of the landlord.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2202.20 Senior citizen rent increase exemption.

(a) No increase in maximum rent, pursuant to section 2201.3, 2201.4, 2201.5, 2201.6, 2202.8, 2202.9, 2202.10, 2202.11 or 2202.13 of this Title, shall be collectible from a tenant to whom there has been granted a rent increase exemption order, pursuant to this section, which became effective prior to the effective date of such increase, except as provided in such exemption order or as modified by subsequent exemption order.

(b) No increase in the legal regulated rent of housing accommodations subject to the provisions of title YY of the New York City Administrative Code, and the Rent Stabilization Code promulgated thereunder, shall be collectible from a tenant to whom there has been issued a currently valid exemption order pursuant to said Administrative Code or pursuant to this section, except as provided in such order or as modified by subsequent exemption order, where such increase is a lawful increase provided under a two-year lease executed pursuant to title YY of the New York City Administrative Code and Rent Stabilization Code, or under such other terms as regards housing accommodations subject to the hotel stabilization provisions of title YY51 of the New York City Administrative Code:

(1) pursuant to an order of the New York City Rent Guidelines Board; or

(2) based upon an owner hardship rent increase order issued by the Conciliation and Appeals Board.

(c) The city, upon application by the tenant on forms prescribed by HPD, shall issue a rent increase exemption order where it finds that the tenant is eligible for such order. A tenant shall be entitled to a rent increase exemption if:

(1) the aggregate disposable income of all members of the household residing in the housing accommodation does not exceed $10,000 per year;

(2) the maximum rent, including rent increases described in subdivisions (a) and (b) of this section, for the housing accommodation exceeds one third of the aggregate disposable income of all members of the household;

(3) the tenant is entitled to reside in the housing accommodation; and

(4) the head of the household or spouse residing in the housing accommodation was 62 years of age or older on or before the date the application hereunder is filed, and is not a recipient of public assistance pursuant to the Social Services Law. However, persons receiving supplemental security income or additional State payments, or both, under a program administered by the United States Department of Health and Human Services solely or in combination with the New York State Department of Social Services shall not be rendered ineligible thereby.

(d) For the purpose of this section:

(1) The term aggregate disposable income shall mean the total income, from whatever source derived (whether or not subject to Federal income taxation), including but not limited to all compensation for personal services, wages, salaries, commissions, tips and earnings from self-employment, inclusive, social security and supplemental security income benefits, interest and dividends, pension payments, unemployment, disability and workers’ compensation benefits, rents, royalties, payments from roomers, boarders or subtenants, alimony and support payment pursuant to agreement or court order, other than gifts and voluntary assistance payments from relatives and friends of members of the household not required to provide maintenance or support, received by any member of the household subject to the following adjustments:

(i) all Federal, State and city income taxes and social security taxes shall be deducted;

(ii) union dues withheld from wages or salaries shall be deducted; and

(iii) payments for maintenance or support, made pursuant to a written agreement or order of a court of competent jurisdiction by a member of the household to a person not a member of the household, shall be deducted.

(2) Disposable income to be reported shall be the income received in the last calendar year prior to the filing of the application, except that where the applicant retires between the commencement of such year and the date of filing the application, the income for such year may be adjusted by excluding employment earnings and projecting expected annual retirement income.

(3) The term head of household shall mean the person who customarily pays the rent (or his spouse, if older).

(4) The term member of household shall mean any person permanently residing in the housing accommodation who is not a bona fide roomer, boarder or subtenant.

(e) The rent increase exemption order shall provide that the landlord may not collect from a tenant, to whom it is issued, rent at a rate in excess of the greater of the following:

(1) one third of the aggregate disposable income;

(2) the maximum rent for rent-controlled housing in effect on December 31st of the calendar year immediately preceding the year in which the initial exemption is effective; or

(3) the legal regulated rent for rent-stabilized housing accommodations in effect on June 30, 1974 or the date immediately preceding eligibility, whichever is later.

Such order shall expire upon termination of occupancy by the tenant to whom it is issued, except as provided in subdivision (j) of this section. The landlord shall file a report of termination of occupancy of such tenant, on a form prescribed by the city, within 30 days.

(f) The effective date of any senior citizen rent increase exemption order issued pursuant to this section shall be:

(1) for rent-controlled housing accommodations, the first day of the month following the month in which the application is filed or the applicant becomes eligible, whichever is later. However, where such tenant could not qualify for senior citizen rent increase exemption between July 1, 1980 and December 31, 1980, due to the sole reason that the aggregate disposable income of all members of the household exceeded $6,500 per year and did not exceed $8,000 per year, but filed for an exemption on or before December 31, 1980, pursuant to New York City Local Law 61 for 1980, the effective date of that portion of the exemption applicable solely to the fuel cost adjustment collectible pursuant to section 2202.13 of this Part shall be July 1, 1980, including any retroactive adjustments authorized by said section;

(2) for rent-stabilized housing accommodations, the first day of the month in which the application is filed or the applicant becomes eligible, whichever is later. However, where such tenant could not qualify for senior citizen rent increase exemption between July 1, 1980 and December 31, 1980, due to the sole reason that the aggregate disposable income of all members of the household exceeded $6,500 per year and did not exceed $8,000 per year, but filed for an exemption on or before December 31, 1980, the effective date of the exemption order shall be July 1, 1980, including any retroactive adjustments collectible thereby;

(3) for rent-controlled and rent-stabilized tenants, the effective date of any increase described in subdivisions (a) and (b) of this section, including any retroactive adjustments collectible thereby, provided the tenant has filed an application within 90 days after:

(i) any such order was issued increasing the tenant’s rent; or

(ii) in the event no order was issued, any notice or report prescribed by the city to increase the tenant’s rent was served upon the tenant.

(g) A rent exemption order shall be renewable annually upon application by the tenant, upon forms prescribed by the city, which may include a certification of the tenant’s continued eligibility in lieu of the detailed statement of income and other qualifications. Upon the filing of the renewal application, the prior rent exemption order shall remain in effect until an order is issued determining the tenant’s renewal application, but in no event for more than six additional months.

(h) The city may audit and review applications made pursuant to this section, and may cause an order issued pursuant to this section to be amended, terminated or revoked, and the city may direct the payment of back rent where it finds that:

(1) the tenant did not qualify for such order;

(2) the tenant no longer qualifies for such order due to a change of circumstances; or

(3) the tenant has submitted materially false statements or has willfully omitted or neglected to make any required material statement, in violation of subdivision (d) of section 2205.1 of this Title.

(i) Orders increasing or establishing maximum rents, pursuant to sections 2202.4-2202.7, 2202.12, 2202.19 and 2202.22 of this Part, are not subject to the provisions of this section, and exemption orders for rent-stabilized tenants shall provide that landlord may collect increases based on an electrical inclusion or an increase in dwelling space, services, equipment or major capital improvement.

(j) When a tenant holding a senior citizen rent increase exemption order granted under these rent regulations, title YY of the New York City Administrative Code or article II, IV, V or VI of the Private Housing Finance Law, moves into a dwelling unit subject to the title YY or these rent regulations on or after March 28, 1977, he may apply to the city to carry the exemption from paying that portion of the maximum rent of the original dwelling unit over to the dwelling unit into which he moves; provided, however, that the exempt amount shall be limited to the lowest of the following:

(1) the amount by which the rent for the subsequent dwelling unit exceeds the rent the tenant was required to pay for the original dwelling unit, after giving effect to the senior citizen rent increase exemption;

(2) the most recent monthly deduction in the original dwelling unit pursuant to senior citizen’s exemption issued under the City Rent and Rehabilitation Law, title YY of the New York City Administrative Code, or the Private Housing Finance Law; or

(3) the amount by which the maximum rent of the subsequent housing accommodation exceeds one third of the aggregate disposable income of all members of the household.

Such exemption certificate shall be effective the first day of the month in which the application is filed, or the date the tenant took occupancy of the subsequent dwelling unit, whichever is later, provided both the application is filed and the tenant takes occupancy of the subsequent dwelling unit on or after March 28, 1977.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2202.21 Decrease of services; application, order or report.

(a) Until the accommodations become vacant, the landlord shall maintain the same dwelling space, essential services, furniture, furnishings and equipment as are required under section 2201.2 of this Title, unless and until he has filed an application to decrease the dwelling space, essential services, furniture, furnishings or equipment and an order permitting such decrease has been entered thereon by the administrator.

(b) On or after May 1, 1955, the removal of furniture or furnishings from housing accommodations rented as furnished, whether or not such removal is consented to by the tenant, shall constitute a decrease in service.

(c) When the accommodations become vacant, the landlord may, prior to renting to a new tenant, decrease the dwelling space, essential services, furniture, furnishings or equipment. Within 10 days after so renting, the landlord shall file a written report with the district rent administrator showing such decrease.

(d) The order on any application under subdivision (a) of this section may require an appropriate decrease in the maximum rent. Any maximum rent for which a report is required by subdivision (c) of this section may be decreased in accordance with the provisions of section 2202.16 of this Part.

(e) If the landlord shall have failed to file an application or a proper and timely report, as required by subdivision (a) or (c) of this section, the maximum rent shall be deemed in doubt and the administrator may issue an order fixing the maximum rent pursuant to section 2202.22 of this Part.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2202.22 Orders where maximum rent or other facts are in dispute, in doubt or not known, or where maximum rents must be fixed or established.

(a) Where the maximum rent or any fact necessary to the determination of the maximum rent, or the dwelling space, essential services, furniture, furnishings or equipment required to be furnished with the accommodation, is in dispute between the landlord and tenant, or is in doubt, or is not known, or is required by section 2201.1(d) or (e) of this Title to be fixed or established, the administrator at any time, upon written request of either party or on his own initiative, may issue an order determining the facts, including the amount of the maximum rent, the dwelling space, essential services, furniture, furnishings and equipment required to be furnished with the accommodations. Where the administrator determines that the accommodations are subject to control, he shall also fix or establish the maximum rent therefor, together with the dwelling space, essential services, furniture, furnishings and equipment required to be furnished with the accommodations, unless such maximum rent had been previously fixed or established by the State Rent Commission or by the administrator.

(b) Where:

(1) no registration statement has been filed under the Federal Act, or the State Rent Act, or the City Rent Law, as required by these regulations; or

(2) no proper or timely registration statement has been filed as required by these regulations; or

(3) no statement has been filed as required by section 2203.9 of this Title; or

(4) no proper or timely statement has been filed as required by said section; or

(5) the administrator in a proceeding pursuant to subdivision (a) of this section is unable to otherwise determine the maximum rent; or

(6) the maximum rent must be fixed or established by the administrator;

he may issue an order fixing or establishing the maximum rent, having regard for the maximum rents for comparable housing accommodations or any other factors bearing on the equities involved, consistent with the purpose of the Rent Law, including but not limited to the factor that such housing accommodations were created from housing accommodations which were vacated, on or after November 22, 1963, other than by voluntary surrender of possession or in the manner provided by Part 2204 of this Title. Where the housing accommodations were created from such accommodations, the administrator may give due consideration to the limitation on the amount of the rent adjustment which may be ordered, pursuant to the provisions of section 2202.3(a)(1) of this Part, in considering the equities involved. Such order shall fix or establish the maximum rent as of May 1, 1950, or the date of first renting, whichever is later, and may contain a directive that all rent collected in excess of the maximum rent fixed or established under this subdivision during the period beginning no earlier than two years prior to the date of the filing of the tenant’s statement of violations, if any, or the date of the commencement of the proceeding to fix or establish the maximum rent, whichever date is earlier, shall be refunded to the tenant, together with six percent interest from the date of each such excessive payment of rent, within 30 days after such order shall become final.

(c) Where the landlord has failed to file an application or report required by the State Rent Commission or by either section 2202.21(a) or (c) of this Part or section 35(a) or (c) of the New York City Rent and Eviction Regulations, the administrator at any time, upon written request of the tenant or on his own initiative, may issue an order establishing the maximum rent by decreasing the previous maximum rent for the housing accommodation by that amount which the administrator finds to be the reduction in rental value of the housing accommodation because of the decrease in dwelling space, essential services, furniture, furnishings or equipment. The administrator may take into consideration all factors bearing on the equities involved, consistent with the purposes of the Rent Law. Such order shall establish the maximum rent as of the date of such decrease of dwelling space, essential services, furniture, furnishings or equipment, and may contain a directive that all rent collected in excess of the maximum rent fixed or established under this subdivision, during the period beginning no earlier than two years prior to the date of the filing of the tenant’s statement of violations, if any, or the date of the commencement of the proceeding to fix or establish the maximum rent, whichever date is earlier, shall be refunded to the tenant, together with six percent interest from the date of each such excessive payment of rent, within 30 days after such order shall become final.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2202.23 Order where apartment is rented to more than one tenant.

(a) On and after February 1, 1952, where an apartment, in whole or in part, is rented or sought to be rented to more than one tenant, the landlord shall file an application with the administrator to fix maximum rents for the units or portions of such apartment. Such application shall set forth the present maximum rent for the apartment, the furniture, furnishings, facilities, equipment and other services added or proposed to be added, the number of occupants and the space to be occupied by each tenant in such apartment, the terms and conditions of occupancy, and all other data which may be required by the administrator. In fixing the maximum rent, the administrator shall apportion the previous maximum rent for the entire apartment among the tenants in proportion to the space they occupy, and shall add thereto the increased rental value of any furniture, furnishings, facilities and equipment added by the landlord. Where the landlord has satisfied all of the requirements of the authorities having jurisdiction over the physical conversion and over the occupancy of the changed housing accommodations, the administrator, in fixing maximum rents for individual tenants, shall also take into consideration all factors bearing on the equities involved, including the cost of any physical conversion or alteration. If there was no previous maximum rent for the entire apartment, the administrator, prior to making the apportionment and fixing a maximum rent for each tenant as hereinabove required, shall establish a maximum rent for the entire apartment, having regard for the maximum rents for comparable housing accommodations, or any factors bearing on the equities involved, consistent with the purposes of the Rent Law. Unless and until an order is issued by the administrator fixing maximum rents for the individual tenants of the apartment, the aggregate maximum rent for all of the tenants in the apartment shall be the maximum rent previously established for the apartment. All orders issued under this section shall be effective as of the date of first renting.

(b) Where no application has been made under this section, the administrator at any time, upon written request of a tenant or on his own initiative, may issue an order pursuant to this section fixing or establishing a maximum rent for each of the individual tenants in the apartment, effective as of the date of such renting. In fixing such maximum rents for the individual tenants, the administrator shall use the standards prescribed in subdivision (a) of this section. Such order may contain a directive that all rent collected in excess of the maximum rent established under this subdivision, during the period beginning no earlier than two years prior to the date of the filing of the tenant’s statement of violations, if any, or the date of the commencement of the proceeding to fix or establish the maximum rent, whichever date is earlier, shall be refunded to the tenant, together with six percent interest from the date of each such excessive payment of rent, within 30 days after such order shall become final.

 

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2202.24 Retroactive adjustments.

      Where an order establishing or adjusting a maximum rent, or the portion thereof collectible from a particular tenant, is effective as of a date prior to the date of its issuance:

(a) Any rent to which the landlord shall be entitled for such prior period shall be payable by the tenant in installments, except that a tenant who vacates the premises when rent for such prior period has not been fully paid shall be obligated to pay the balance forthwith. The installment of back rent payable for each month (or other rental payment period) shall not exceed the difference per month (or other rental payment period) between the rent established by the order and the prior rent.

(b) Any excess rent paid by the tenant for such prior period shall be credited to the tenant in full, commencing with the rental payment immediately following the issuance of the order.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2202.25 Rent adjustments upon succession.

      Where all tenants occupying a housing accommodation on June 19, 1997 have permanently vacated such housing accommodation, and a primary-resident family member of such vacating tenant or tenants (first successor) is entitled to and continues to occupy the housing accommodation subject to the protections of this Subchapter, as provided in section 2204.6 of this Title, and thereafter permanently vacates the housing accommodation, if such accommodation continues to be subject to the Rent Law and this Subchapter after such first successor vacates, and a primary- resident family member (second successor) is entitled to and continues to occupy the housing accommodation subject to the protections of this Subchapter, as provided in section 2204.6 of this Title, the maximum collectible rent shall be increased by a sum equal to the allowance then in effect for vacancy leases for housing accommodations subject to the Rent Stabilization Law of 1969, including the amount allowed by paragraph 5-a of subdivision c of section 26-511 of such law. Such increase shall be in addition to any other increases provided for in this Subchapter, including adjustments pursuant to section 2202.4 of this Part, and shall be applicable in like manner to the maximum collectible rent that may be charged each second subsequent succeeding family member.

History: Sec. filed Dec. 6, 2000 eff. Dec. 20, 2000.

 

§ 2202.26 Surcharge for the installation and use of washing machines, dryers and dishwashers.

(a) Where a tenant requests permission from the landlord to install a washing machine, dryer or dishwasher, whether permanently installed or portable, and the landlord consents, the landlord may collect surcharges, without notification to or approval by the administrator in an amount specified in an Operational Bulletin to be issued by the administrator pursuant to section 2209.8 of this Title. The surcharges authorized by this section shall not be part of the maximum rent.

(b)

(1) Where a prior installation by a tenant of a washing machine, dryer or dishwasher comes to the attention of the landlord and the landlord consents to the continued use of the washing machine, dryer or dishwasher, the surcharges provided for in this section shall only be available prospectively;

(2) Under no circumstances shall servicing or replacement of such washing machine, dryer or dishwasher become a service required to be provided by the landlord pursuant to this Subchapter;

(3) Where there is in effect a prior practice of charging for installation of a tenant-owned washing machine, dryer or dishwasher, the landlord may continue the charge, which may also continue to be included in the maximum rent, if such was the prior practice.

History: Sec. filed Sept. 26, 2005 eff. Oct. 12, 2005.

 

§ 2202.27 Surcharges for submetered electricity or other utility service.

Where a landlord acts as a provider of a utility service (including, but not limited to electricity, gas, cable, or telecommunications), the landlord may collect surcharges which shall not be part of the maximum rent, and shall not be subject to this Subchapter.

History: Sec. filed Sept. 26, 2005 eff. Oct. 12, 2005.

 

PART 2203. REGISTRATION AND RECORDS

 

§ 2203.1 Registration of housing accommodations.
§ 2203.2 Report on decontrol of certain housing accommodations.
§ 2203.3 First rent.
§ 2203.4 Change of ownership.
§ 2203.5 Service of papers.
§ 2203.6 Notices to attorneys at law.
§ 2203.7 Failure to file.
§ 2203.8 Records and recordkeeping.
§ 2203.9 Other reports required to be filed.
§ 2203.10 Certification concerning alteration or demolition of buildings.

Statutory authority: L. 1983, ch. 403.

History: Part (§§ 2203.1-2203.10) filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2203.1 Registration of housing accommodations.

(a) Except as otherwise specifically provided by these regulations, every landlord of housing accommodations rented or offered for rent shall file a written statement, on the form provided therefor, containing such information as the administrator may require, to be known as a registration statement, unless a registration statement was filed under the Federal Act or the State Rent Act, or unless the maximum rent for such housing accommodations is required, by section 2201.1(d) or (e) of this Title, to be fixed or established by the administrator.

(b) Notwithstanding subdivision (a) of this section, every landlord of a building or property containing dwelling units subject to title YY of the New York City Administrative Code, and housing accommodations subject to these regulations, shall file a registration statement, no later than September 21, 1984, for each housing accommodation subject to these regulations, on a form prescribed by the administrator containing such information as the administrator may require.

(c) Every landlord, of a building or property in which all residential units are subject to these regulations on April 1, 1984, but thereafter one or more of said residential units becomes subject to title YY of the New York City Administrative Code, shall file a registration statement for each residential unit which remains subject to these regulations by September 21, 1984, or within 90 days from the date the first residential unit becomes subject to title YY of the New York City Administrative Code, whichever is later, on a form prescribed by the administrator containing such information as the administrator may require.

(d) The registration required in subdivisions (b) and (c) of this section shall not establish the legal maximum rent unless an order setting forth the legal maximum rent is issued by the Division of Housing and Community Renewal.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2203.2 Report on decontrol of certain housing accommodations.

(a) The landlord of a housing accommodation specified in section 2200.2(f)(11), (12) and (17) of this Title shall file a report of such decontrol, upon forms prescribed by the administrator, within 30 days following the date of vacancy on or after June 30, 1971, or the date of first rental of such accommodations after decontrol (whichever date shall be prescribed in such form), or June 1, 1962, whichever date is later, unless a decontrol report was heretofore filed as required by the State Rent Commission.

(b) The landlord of a housing accommodation specified in section 2200.2(f)(13) of this Title shall file a report of such decontrol, upon forms prescribed by the administrator, within 30 days following the date of first rental of such accommodation after decontrol, or June 1, 1962, whichever date is later, unless a decontrol report was heretofore filed as required by the State Rent Commission; and shall file such additional reports, upon forms prescribed by the administrator, as may be required, showing changes in the rental of, and the essential services, furniture, furnishings and equipment provided for, such accommodation.

(c) The landlord of a housing accommodation specified in section 2202.2(f)(14) of this Title shall:

(1) file a report of the eligibility of a housing accommodation for decontrol under such section no later than April 30, 1964;

(2) file a report of decontrol within 30 days after decontrol; and

(3) file an additional report prior to December 30, 1965, or within 30 days after the anniversary date of decontrol, whichever shall be the later, showing changes in the rental of, and the essential services, furniture, furnishings and equipment provided for, such accommodation, and any change or rearrangement of living space. Such reports are to be filed upon forms prescribed by the administrator.

(d) The landlord of a housing accommodation specified in section 2200.2(f)(15) of this Title shall:

(1) file a report of the eligibility of a housing accommodation for decontrol under such section no later than April 1, 1968; and

(2) file an additional report, within 30 days after the anniversary date of decontrol, showing changes in the rental of, and the essential services, furniture, furnishings and equipment provided for, such accommodation, and any change or rearrangement of living space. Such reports are to be filed upon forms prescribed by the administrator.

(e) The landlord of a housing accommodation specified in section 2200.2(f)(16) of this Title shall file a report of such decontrol, upon forms prescribed by the administrator, within 30 days following the date of first rental of such accommodations.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2203.3 First rent.

      For housing accommodations first rented after April 15, 1962, unless a registration statement was filed with the State Rent Commission on or before April 30, 1962, a registration statement, upon forms prescribed by the administrator, shall be filed by May 15, 1962, or within 15 days after first renting, whichever is later.

<p>History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

 

§ 2203.4 Change of ownership.

      Where, since the filing of the registration statement for any housing accommodation, there has been a change in the identity of the landlord, by transfer of title or otherwise, and no notice of such change has been filed, the successor landlord shall file a notice, on a form provided for that purpose, on or before June 1, 1962, or within 15 days after the change, whichever is later.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2203.5 Service of papers.

      Any notice, order or other process or paper directed to the person named in the registration statement as the landlord at the address given therein or, where a notice of change in identity has been filed, to the person named as landlord and at the address given in the most recent such notice, shall constitute notice to the person who is then the landlord.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2203.6 Notices to attorneys at law.

(a) Whenever a person is involved in a proceeding before the administrator, and an attorney at law has filed a notice of appearance for such person in such proceeding, all subsequent written communications or notices to such person (other than subpoenas) shall be sent to such attorney at law at the address designated in such notice of appearance. The notice of appearance to be filed by an attorney at law who represents a party in a proceeding before the administrator shall be on a form prescribed by the administrator, unless proceedings are instituted before the administrator by formal application pursuant to these regulations and the representation of such attorney at law and his mailing address are stated in such application in the space allotted for the mailing address of the represented party. The service of written communications and notices upon such attorney at law shall be deemed full and proper service upon the party or parties so represented.

(b) Whenever an attorney at law shall represent the same party or parties in more than one proceeding before the Division of Housing and Community Renewal, separate notices of appearance shall be filed in each proceeding. For the purposes of this section, a protest against an order of the district rent administrator shall be deemed a separate proceeding.

(c) This section shall not apply to preliminary investigations conducted by the administrator.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2203.7 Failure to file.

      Where the landlord has failed to file a proper and timely registration statement as required by this Part, the administrator may establish the maximum rent pursuant to section 2202.22 of this Title, and if such maximum rent has been established, no rent increase may be obtained under any provision of these regulations until compliance with this Part.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2203.8 Records and recordkeeping.

(a) Every landlord of a rooming house or hotel subject to these regulations, rented or offered for rent, shall keep, preserve, and make available for examination by the administrator, records showing the rents received for each housing accommodation, the particular term and number of occupants for which such rents were charged, and the name and address of each occupant.

(b) Every landlord shall keep, preserve, and make available for examination by the administrator, records of the same kind as he has customarily kept relating to the rents received for housing accommodations.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2203.9 Other reports required to be filed.

(a) Compensable adjustment of maximum rent.

(1) The landlord of a building wherein the maximum rents for housing accommodations therein are subject to adjustment, as provided in sections 2201.3 and 2202.11 of this Title, shall file a report of such adjustment upon forms prescribed by the administrator.

(2) Prior to filing such report, the landlord shall give the tenants at least five days’ written notice of such rent increase, upon forms prescribed by the administrator, as a condition to the collection of such rent adjustment effective on the date of commencement of the next rent payment period following the date of service of such notice.

(3) No report may be accepted by the administrator unless the landlord shall certify compliance with the notice requirement of paragraph (2) of this subdivision.

(b) Change in tenancy with statutory rent increase.

(1) Where a housing accommodation becomes vacant on or after August 1, 1970 and before January 1, 1972, by voluntary surrender of possession by the tenant, and the maximum rent is increased as provided in section 2201.3(e) of this Title, the landlord shall file a report of such rent increase upon forms prescribed by the administrator.

(c) Filing of reports in general. The landlord shall file any report prescribed by sections 2201.3 and 2202.11 of this Title no later than August 31, 1971, whether or not the filing of such report would result in any increase in the maximum rent for the housing accommodations involved. No maximum rent established pursuant to section Y51-5.0a(3) of the Rent Law shall take effect, with respect to any housing accommodation for which such report, or such alternative report as the administrator may prescribe, is not filed by such date, until March 31, 1972 or 90 days after the date of filing, whichever is later.

(d) Miscellaneous provisions for signing and filing forms prescribed by section 2201.3.

(1) All forms filed pursuant to the provisions of section 2201.3 of this Title must be filed simultaneously.

(2) Notwithstanding any instructions contained on such forms to the contrary, the landlord may, in lieu of signing copies of city report form R-23 and the original and copies of city application form A-23, affix his facsimile signature to all copies of city report form R-23 and the original and all copies of city application form A-23, provided that he shall attach an affirmation to the original city report form R-23, which shall contain a duplicate of such facsimile signature used by him, together with the statement that he affixed such facsimile signature to such forms with the same force and effect as if he had personally signed each of said forms. The affirmation shall also identify the housing accommodations and the property involved, and state the date when such facsimile signature was affixed to such forms.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2203.10 Certification concerning alteration or demolition of buildings.

      The landlord shall submit a certified statement to the Division of Housing and Community Renewal, upon forms prescribed by the administrator, before filing plans and applying for a building permit to alter or demolish all or part of a building containing housing accommodations subject to these regulations. Such certified statement shall be submitted at the earliest of the following dates:

(a) not less than 30 days before commencement of any work for which the filing of plans and obtaining of permits is required;

(b) at least 30 days and not more than 120 days prior to filing any such plans or applying for such permit; or

(c) within 30 days after the first communication, written or oral, to any tenant or occupant of such building, of the landlord’s intention to alter or demolish.

<p>History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

 

PART 2204. EVICTIONS

 

§ 2204.1 Restrictions on removal of tenants, including hotel tenants.
§ 2204.2 Proceedings for eviction without certificate.
§ 2204.3 Notices required in proceedings under section 2204.2.
§ 2204.4 Proceedings for eviction with certificate.
§ 2204.5 Occupancy by landlord or immediate family.
§ 2204.6 Tenant not using premises for own dwelling.
§ 2204.7 Alteration or remodeling.
§ 2204.8 Demolition.
§ 2204.9 Withdrawal of occupied housing accommodations from rental market.

Statutory authority: L. 1983, ch. 403.

History: Part (§§ 2204.1-2204.9) filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2204.1 Restrictions on removal of tenants, including hotel tenants.

(a) No tenant, so long as he continues to pay the rent to which the landlord is entitled, shall be removed from any housing accommodation by action to evict or to recover possession, by exclusion from possession or otherwise, nor shall any person attempt such removal or exclusion from possession, notwithstanding that the tenant has no lease or that his lease, or other rental agreement, has expired or otherwise terminated, and notwithstanding any contract, lease agreement or obligation heretofore or hereafter entered into which provides for surrender of possession, or which otherwise provides contrary hereto, except one or more of the grounds specified in section 2204.2 of this Part, or unless the landlord has obtained a certificate of eviction as hereinafter provided.

(b) It shall be unlawful for any person to remove or attempt to remove any tenant or occupant from any housing accommodations, or to refuse to renew the lease or agreement for the use of such accommodations, because such tenant or occupant has taken, or proposes to take, action authorized or required by the Rent Law, or any provision of the Administrative Code of the City of New York, the Multiple Dwelling Law, or the Health Code of the City of New York, or any regulation, order or requirement thereunder.

(c)

(1) No tenant of any housing accommodations (as defined in subdivision [f] or [g] of section 2200.2 of this Title) shall be removed or evicted, unless and until such removal or eviction has been authorized by a court of competent jurisdiction.

(2) Except as hereinafter provided, this subdivision shall not apply where the removal or eviction is for nonpayment of rent and involves a hotel tenant or an occupant of one or more rooms in a rooming house (which meets all requirements of law and the city agencies having jurisdiction thereof) who has not been in possession for 30 consecutive days or longer, and who occupies his accommodations on a daily or weekly basis, provided the landlord shall give written notice thereof to the tenant at least three days prior to the date specified therein for surrender of possession and prior to any action for removal or eviction. In computing the three-day period, the date of service and any intervening Sunday shall be excluded. Every such notice shall include therein a statement of the rent due and the rental period or periods for which said rent is due. An exact copy of any such notice, together with an affidavit of service, shall be filed with the district rent office within 48 hours after such notice is given to the tenant. Should the tenant tender the rent due within the three-day period, the landlord may not remove or evict the tenant. The service of a three-day notice for the removal or eviction for nonpayment of rent shall not be required where the landlord institutes judicial proceedings to remove or evict the tenant.

(d) Any statutory tenant who vacates the housing accommodations, without giving the landlord at least 30 days’ written notice by registered or certified mail of this intention to vacate, shall be liable to the landlord for the loss of rent suffered by the landlord, but not exceeding one month’s rent, except where the tenant has been removed or vacates pursuant to the provisions of this Part. Such notice shall be postmarked on or before the last day of the rental period immediately prior to such 30-day period.

(e) Notwithstanding any provision of this Part, the State, the city, or the New York City Housing Authority may recover possession of any housing accommodations operated by it where such action or proceeding is authorized by statute or regulations under which such accommodations are administered.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2204.2 Proceedings for eviction without certificate.

(a) Except as provided in sections 2204.1 and 2204.4 of this Part, an action or proceeding to recover possession of any housing accommodation shall be maintainable, after service and filing of the notice by section 2204.3, only upon one or more of the following grounds:

(1) The tenant is violating a substantial obligation of his tenancy, other than the obligation to surrender possession of such housing accommodation, and has failed to cure such violation after written notice by the landlord that the violation cease within 10 days; or within a three- month period immediately prior to the commencement of the proceeding, the tenant has willfully violated such an obligation inflicting serious and substantial injury upon the landlord. If the written notice by the owner that the violations cease within ten days is served by mail, then five additional days, because of service by mail, shall be added, for a total of 15 days, before an action or proceeding to recover possession may be commenced after service of the notice required by section 2204.3 of this Title.

(2) The tenant is committing or permitting a nuisance in such housing accommodations; or is maliciously or by reason of gross negligence substantially damaging the housing accommodation; or his conduct is such as to interfere substantially with the comfort and safety of the landlord or of other tenants or occupants of the same or another adjacent building or structure.

(3) Occupancy of the housing accommodation by the tenant is illegal because of the requirements of law, and the landlord is subject to civil or criminal penalties therefor, or both; provided, however, that such occupancy shall not be considered illegal by reason of violations placed against the housing accommodations or the building in which same are located by any department or agency of the city having jurisdiction, unless such department or agency has issued an order requiring the tenants to vacate said accommodations or building, or unless such occupancy for such building or such violations relied on by the landlord result from an act, omission or situation caused or created by the tenant.

(4) The tenant is using or permitting such housing accommodation to be used for an immoral or illegal purpose.

(5) The tenant who had a written lease or other written rental agreement, which terminated or shall terminate on or after May 1, 1950, has refused upon demand of the landlord to execute a written extension or renewal thereof for a further term of like duration not in excess of one year, but otherwise on the same terms and conditions as the previous lease, except insofar as such terms and conditions are inconsistent with the Rent Law.

(6) The tenant has unreasonably refused the landlord access to the housing accommodation for the purpose of making necessary repairs or improvements required by law or for the purpose of inspection or of showing the accommodation to a prospective purchaser, mortgagee or prospective mortgagee, or other person having a legitimate interest therein; provided, however, that in the latter event such refusal shall not be grounds for removal or eviction if such inspection or showing of the accommodation is contrary to the provisions of the tenant’s lease or other rental agreement.

(7) The eviction is sought by the owner of a dwelling unit or the shares allocated thereto where such dwelling unit is located in a structure owned as a cooperative or as a condominium, and an offering prospectus for the conversion of such structure pursuant to an eviction plan shall have been submitted to and accepted for filing by the Attorney General and declared effective in accordance with section 352-eeee of the General Business Law, provided that:

(i) no eviction proceedings under this subdivision shall be commenced against a nonpurchasing tenant who is either an eligible senior citizen or an eligible disabled person, as defined in accordance with section 352-eeee of the General Business Law;

(ii) no eviction proceeding under this paragraph shall be commenced against a nonpurchasing tenant in occupancy of a dwelling unit until:

(a) such tenant’s lease or rental agreement has expired; or

(b) three years after the eviction plan has been declared effective in accordance with section 352-eeee of the General Business Law, whichever is later;

(iii) the owner of such dwelling unit or the shares allocated thereto seeks in good faith to recover possession of a dwelling unit for his own personal use and occupancy or for the use and occupancy of his immediate family; and

(iv) the eviction plan was accepted for filing by the Attorney General on or after July 21, 1982.

(8) The administrator may by order waive the requirements for a certificate of eviction, where:

(i) housing accommodations were vacant at the time when the landlord made application for such waiver;

(ii) where vacated by reason of the last tenant’s voluntary surrender thereof; and

(iii) the landlord, in good faith, intends to demolish or substantially rehabilitate the building in which the housing accommodations are located, within the period specified by the administrator in such order.

(b) The failure of the landlord to comply with the conditions established by the administrator for granting such waiver shall subject the housing accommodations to all the provisions of the Rent Law and these regulations to the same extent as if no such waiver was granted.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985. Amd. filed Apr. 24, 2013, eff. Jan. 8, 2014, amended (a) (1).

 

§ 2204.3 Notices required in proceedings under section 2204.2.

(a) Except where the ground for removal or eviction of a tenant is nonpayment of rent, no tenant shall be removed or evicted from a housing accommodation by court process, and no action or proceeding shall be commenced for such purpose upon any of the grounds stated in section 2204.2 of this Part, unless and until the landlord shall have given written notice to the tenant and to the district rent office as hereinafter provided.

(b) Every such notice to a tenant to vacate or surrender possession of a housing accommodation shall state the ground under section 2204.2 of this Part upon which the landlord relies for removal or eviction of the tenant, the facts necessary to establish the existence of such ground, and the date when the tenant is required to surrender possession.

(c) Within 48 hours after the notice is served upon the tenant, an exact copy thereof, together with an affidavit of service, shall be filed with the district rent office. In computing such 48-hour period, any intervening Saturday, Sunday or legal holiday shall be excluded.

(d) Every such notice shall be served upon the tenant within the period of time hereinafter set forth prior to the date specified therein for the surrender of possession, and prior to the commencement of any proceeding for removal or eviction:

(1) Where the notice specifies one or more of the grounds stated in paragraphs (a)(2)-(4) of section 2204.2 of this Part as the basis for such removal or eviction, not less than 10 days, unless the tenant is a weekly tenant in which case the notice required shall not be less than two days.

(2) Where the notice specifies one or more of the grounds stated in paragraphs (a)(1), (5) and (6) of section 2204.2 of this Part as the basis for such removal or eviction, not less than one month, unless the tenant is a weekly tenant in which case the notice required shall not be less than seven days.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2204.4 Proceedings for eviction with certificate.

(a) No tenant who continues to pay the rent to which landlord is entitled shall be removed or evicted on grounds other than those stated in section 2204.2 of this Part, unless on application of the landlord (provided that where the housing accommodations are located in a structure or building owned by a two or more persons not constituting a cooperative corporation or association, the application shall be consented to by all the coowners), the administrator shall issue a certificate permitting the landlord to pursue his remedies at law at the expiration of the applicable waiting period specified in subdivision (b) of this section. The administrator shall issue an order granting a certificate if the removal or eviction meets the requirements of section 2204.5, 2204.6, 2204.7, 2204.8 or 2204.9 of this Part. The administrator may also issue orders granting certificates in other cases if the requested removal or eviction is not inconsistent with the purposes of the Rent Law or these regulations, and would not be likely to result in the circumvention or evasion thereof, and may impose such terms and conditions, including provisions for relocation and the payment of stipends to the tenants, as the administrator may determine to be necessary or appropriate.

(b)

(1) Certificates issued pursuant to these regulations shall authorize the landlord to commence proceedings to remove or evict the tenant after the expiration of the applicable waiting period hereinafter specified in this subdivision. Any waiting period prescribed or fixed pursuant to this subdivision shall commence upon the date of the issuance of the certificate by the administrator. Except as otherwise provided in paragraph (2) of this subdivision, the applicable waiting period shall be as follows:

(i) where relocation is not required, three months; or

(ii) where relocation is required, four months.

(2) In any case where the administrator determines to issue a certificate, and the tenant, because of the provisions of paragraph (e)(2) of this section, is not entitled to the benefit of the relocation requirements of paragraph (e)(1) of this section, the applicable waiting period with respect to such certificate shall be four months.

(3) Where the administrator finds (i) that suitable accommodations are available for renting into which the tenant can move without substantial hardship or loss, and (ii) that undue hardship would result to the landlord from delay in acquiring possession, the certificate may authorize the landlord to pursue his remedies for removal or eviction of the tenant at the expiration of a period shorter than the minimum waiting period which would otherwise be applicable under the foregoing provisions of this subdivision.

(c) No certificate (including any certificate of eviction issued by the State Rent Commission and enforceable on and after May 1, 1962 under the Rent Law) shall be used in connection with any action or proceeding to remove or evict a tenant, unless such removal or eviction is sought for the purpose specified in the certificate.

(d) In the event that the landlord’s intentions or circumstances have so changed that the premises, possession of which is sought, will not be used for the purpose specified in any such certificate mentioned in subdivision (c) of this section, such certificate shall thereupon be null and void. The landlord shall immediately notify the district rent administrator in writing and surrender the certificate for cancellation.

(e)

(1) Except as otherwise provided in paragraph (2) of ths subdivision, whenever compliance with the relocation requirements of this section is directed by or required pursuant to these regulations as a condition for the granting of a certificate of eviction, the landlord shall provide suitable relocation for the tenant.

(i) Where the landlord and tenant are unable to agree as to the suitability of a housing accommodation offered to a tenant for relocation, the administrator, in determining whether such offered accommodation is suitable, shall give due consideration to the following factors:

(a) the physical condition and facilities of the offered housing accommodation and the adequacy of neighborhood facilities. No accommodation shall be found to be suitable unless:

(1) it is located in an area reasonably accessible to the tenant’s place of employment or business and generally not less desirable in regard to community and commercial facilities than the area in which the tenant then resides;

(2) the building containing such accommodation:

(i) is free from violations of law, recorded by a city agency having jurisdiction, which constitute fire hazards or conditions dangerous or detrimental to life or health or which affect the maintenance of essential services; and

(ii) has central heat and central hot water;

(3) such accommodation is decent, safe and sanitary and generally not less desirable than the housing accommodation then occupied by the tenant;

(4) such accommodation contains:

(i) kitchen facilities for the exclusive use of the tenant’s family; and

(ii) a fully enclosed bathroom equipped with a washbasin, toilet facilities and a bathtub or shower; and

(5) such accommodation:

(i) has adequate light and ventilation, with a window in all rooms except where approved mechanical ventilation is a lawful substitute; and

(ii) contains adequate space for the occupants without overcrowding.Notwithstanding the foregoing provisions of this clause where a tenant to be relocated is the sole occupant of a rooming house accommodation of a single-room occupancy accommodation, an accommodation in a licensed rooming house offered to such tenant may be deemed to be suitable, provided such rooming house accommodation meets the requirements of subclauses (1), (2), (3) and (5) of this clause; and

(b) the tenant’s ability to pay the rent for the offered accommodation. No accommodation shall be found to be suitable unless the rent therefor is reasonably within the financial means of the tenant. In general, a gross annual rental for an offered accommodation shall be presumed to be reasonably with the tenant’s financial means if such rental does not exceed the tenant’s then rental, or 20 percent of the tenant’s gross family income, whichever is higher; provided, however, that:

(1) where the tenant establishes that a gross annual rental below such 20-percent standard is in excess of his financial means, the administrator may determine that the offered accommodation is not suitable for the tenant unless, in addition to any stipend payable to the tenant pursuant to these regulations, the landlord pays to the tenant a sum equal to the amount by which the gross annual rental for the offered accommodation, over a period of two years, exceeds 125 percent of the gross annual rental, over a period of two years, for the tenant’s then accommodations; and

(2) the administrator may determine that the offered accommodation is suitable, notwithstanding that the gross annual rental therefor is in excess of such 20-percent standard, if the administrator finds, after due consideration of the tenant’s circumstances, that such rental is reasonably within the financial means of the tenant.

(ii) No housing accommodation shall be found to be suitable unless the administrator determines:

(a) that the building containing such accommodation is not located in an area which is being formally considered or has been approved as the site of a proposed public improvement or publicly assisted project, whether public or private, by any city agency authorized to make reports or recommendations or act with respect to the approval of such site for such purposes; or

(b) that such building, although located in such an area, will not be required, for the purpose of constructing or carrying out such improvement or project, to be demolished or to be altered or improved in such manner as to interfere with occupancy by the tenant.

(2) Notwithstanding any provision of paragraph (1) of this subdivision to the contrary, there shall be no relocation requirement where:

(i) the tenant is a single person under the age of 60 years who is the sole occupant of a rooming house accommodation or a single-room occupancy accommodation, and such occupancy has continued for less than six months prior to the date of the filing of the application for a certificate of eviction;

(ii) the tenant’s housing accommodation is occupied by three persons or less and the maximum monthly rent therefor, as of January 1, 1961, was $200 or more; or

(iii) the tenant’s housing accommodation is occupied by four persons or more and the maximum monthly rent therefor, as of January 1, 1961, was $250 or more.

(3) Whenever compliance with the stipend requirements of this section is directed by or required pursuant to these regulations, the landlord shall pay the applicable stipend hereinafter provided for in this paragraph to each tenant who moves or rents another accommodation after the date of the filing of the application, and prior to the withdrawal or final denial of such application, and such payment shall be made within five days from the date of the tenant’s removal. The payment of such stipend shall be made on the basis of the following schedule:

(i) For other than rooming house tenants or single room occupants (except as provided in subparagraphs [iii] and [iv] of this paragraph):

Number

Self-relocated

Landlord-relocated

1 - 3

$450

$200

4

$600

$300

5 or more

$750

$400

(ii) For rooming house tenants or single-room occupants (except as otherwise provided in subparagraph [v] of this paragraph):

 

Self-relocated

Landlord-relocated

(a) sole occupant under 60 years of age

$100

$ 50

(b) sole occupant 60 years of age or over

$150

$ 75

(c) family with no children under 16 years of age

$150

$ 75

(d) family with one or more children under 16 years of age

$450

$200

(iii) For three-person or less family units whose monthly rent as of January 1, 1961 was from $200 to $249.99, inclusive, the stipend is $300. No stipend is required to be paid where such rent was $250 per month or more.

(iv) For four-person or more family units whose monthly rent as of January 1, 1971 was from $250 to $299, inclusive, the stipend is $400. No stipend is required to be paid where such rent was $300 per month or more.

(v) Notwithstanding any provision in this section to the contrary, where a tenant under the age of 60 years is the sole occupant of a rooming house accommodation or of a single- room occupancy accommodation, and such occupancy has not continued for more than six months prior to the date of the filing of the application, he shall not be entitled to the payment of any stipend.

(vi) Tenants who, with or without landlord assistance, move into public housing or publicly aided housing are deemed to be self-relocated for the purpose of this paragraph.

(4) Where a housing accommodation is occupied by more than one tenant, the stipend required to be paid pursuant to paragraph (3) of this subdivision shall be paid to each tenant in proportion to the space personally occupied by him and members of his household.

(5) Where a housing accommodation is sublet, the stipend or stipends required to be paid pursuant to paragraph (3) of this subdivision shall be allocated between the prime tenant and the subtenants, on such basis as the administrator shall determine to be appropriate, with due regard for such factors as space personally occupied by the prime tenant and the subtenants and the duration of the unexpired term of the subtenants’ tenancy.

(f) Whenever compliance with stipend requirements of this section is directed by or pursuant to these regulations, the landlord shall deposit in escrow with his attorney a sum of money sufficient to pay the prescribed stipend to:

(1) each tenant in the building or structure who is still in occupancy on the 10th day prior to the expiration of the applicable waiting period; and

(2) each tenant who had previously vacated after the application was filed by the landlord and who has not already received payment of the stipend.

The escrow deposit shall be conditioned upon the payment of the stipend within five days from demand for payment after the tenant’s removal from the premises. Proof of payment of the applicable stipends and/or compliance with the requirements of the foregoing provisions of this subdivision shall be filed no later than five days before the expiration of the waiting period.

(g) No application for a certificate of eviction shall be granted under sections 2204.7, 2204.8 and 2204.9(a)(2) and (4) of this Part, unless the administrator determines, after a hearing, that:

(1) there is no reasonable possibility that the landlord can make a net annual return of 8 1/2 percent of the assessed valuation of the subject property without recourse to the eviction sought; and

(2) neither the landlord nor immediate predecessor in interest has intentionally or willfully managed the property to impair the landlord’s ability to earn such return.

(h) The effectiveness of any certificate of eviction or of any order granting a certificate of eviction pursuant to sections 2204.7, 2204.8 and 2204.9(a)(2) and (4) of this Part, shall be suspended, and no tenant may be evicted pursuant to such certificate or order, unless and until the requirements of subdivision (g) of this section have been complied with and the commissioner issues an order reinstating the effectiveness of any certificate of eviction or any order granting a certificate of eviction suspended by chapter 1022 of the Laws of 1974, as amended by chapter 360 of the Laws of 1975. The relief granted in this subdivision shall take effect notwithstanding the pendency of any judicial proceeding or appeal.

(i) The provisions of subdivisions (g) and (h) of this section shall not apply to an application under section 2204.7 or 2204.8 of this Part where the alteration, remodeling or construction of a new building is to be aided by interest reduction payments under section 236 of the National Housing Act.

(j) The provisions of this section shall apply to all certificates of eviction issued pursuant to these regulations, unless otherwise specified.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2204.5 Occupancy by landlord or immediate family.

(a) A certificate shall be issued where the landlord seeks in good faith to recover possession of a housing accommodation because of immediate and compelling necessity for his own personal use and occupancy, or for the use and occupancy of his immediate family; provided, however, that this section shall not apply where a member of the household lawfully occupying the housing accommodation is 62 years of age or older, has been a tenant in a housing accommodation in that building for 20 years or more, or has an impairment which results from anatomical, physiological or psychological conditions, other than addiction to alcohol, gambling or any controlled substance, which are demonstrable by medically acceptable clinical and laboratory diagnostic techniques, and which are expected to be permanent and which prevent the tenant from engaging in any substantial gainful employment. As used in this subdivision, the term immediate family includes only a spouse, son, daughter, stepson, stepdaughter, father, mother, stepfather, stepmother, brother, sister, grandfather, grandmother, grandson, granddaughter, father-in-law, mother-in-law, or daughter-in-law of the landlord.

(b) Where the housing accommodation is located in a structure or premises which contains more than two housing accommodations, and the housing accommodations or structure or premises are owned by two or more persons not constituting a cooperative corporation or association (husband and wife as owners being considered one owner for this purpose), no certificate can be issued under this section for occupancy of any housing accommodation in such structure or premises where two housing accommodations are already owner-occupied as a result of certificates of eviction issued pursuant to this Part or section 5 of the State Rent Act. The prohibition contained in this subdivision shall not apply where the co-owners stand in the relationship of immediate familyas defined in subdivision (a) of this section.

(c)

(1) In the case of a housing accommodation in a structure or premises owned by a cooperative corporation or association, a certificate shall be issued by the administrator to a purchaser of stock where:

(i) the tenant originally obtained possession of the housing accommodation by virtue of a rental agreement with the tenant-owner;

(ii) the stock was acquired by the purchaser prior to July 1, 1955, and more than two years prior to the date of the filing of the application;

(iii) the stock was acquired by the purchaser on or after July 1, 1955, and more than two years have expired since the date of filing of the notice of sale with the district rent office, as hereinafter provided in subparagraph (3)(v) of this subdivision;

(iv) the stock was acquired less than two years prior to the date of filing of the application, and on that date stock in the cooperative has been purchased by persons who are tenant-owners of at least 80 percent of the housing accommodations in the structure or premises, and are entitled by reason of stock ownership to proprietary leases of housing accommodations in the structure or premises; or

(v) the cooperative was organized and acquired its title or leasehold interest in the structure or premises before February 17, 1945, and on that date stock in the cooperative allocated to 50 percent or more of the housing accommodations in the structure or premises was held by individual tenant- owners, who are or whose assignees or subtenants are in occupancy of such housing accommodations in the structure or premises at the date of the filing of the application.

(2) No certificate of eviction shall be issued under paragraph (1) of this subdivision, unless the applicant shall establish that he has complied with the requirements of subdivisions (a) and (d) of this section.

(3) No certificate of eviction shall be issued under paragraph (1) of this subdivision, except as provided in paragraph (4) hereof, unless the applicant shall also establish that the cooperative corporation or association has complied with the following requirements:

(i) On the date the cooperative plan was first presented to the tenants, each tenant in occupancy of a controlled housing accommodation in the premises was furnished with a copy of the plan and notified in writing that he had the exclusive right, for a period of 60 days, to purchase the stock allocated to his housing accommodation at the specified price, and that the plan would not be declared effective unless, on or before December 31, 1955, or within six months from the time the cooperative plan was presented to such tenants, whichever date is later, stock in the cooperative had been sold in good faith, without fraud or duress, and with no discriminatory repurchase agreement or other discriminatory inducement, to at least 35 percent of the tenants in occupancy of controlled housing accommodations at the time of the presentation of the plan. Housing accommodations vacant on the date the plan is presented, or subsequently vacated, shall not be included in the computation of the 35-percent requirement, except when the vacant housing accommodation is purchased for personal occupancy of a tenant of a controlled housing accommodation.

(ii) Subsequent to the date the cooperative plan had been declared effective, the tenants of the controlled housing accommodations had been served with a written notice that the plan had been declared effective, setting forth the terms of sale and the names of the tenants of the controlled housing accommodations who had purchased the stock allocated to their own housing accommodations or to vacant housing accommodations, and the names and addresses of other purchasers of vacant housing accommodations; and that the tenants of controlled housing accommodations who had not as yet purchased still had the exclusive right, for a period of 30 days from the date of service of the notice, to purchase the stock allocated to their housing accommodations on the terms previously offered to the tenants; except where:

(a) the cooperative plan had been declared effective prior to July 1, 1955;

(b) prior to that date the tenant of a controlled housing accommodation in the premises had received written notice or notices that, for a period of not less than 30 days, he had the right to purchase the stock allocated to his housing accommodation at the price and terms specified in said plan;

(c) on July 1, 1955, such stock was held or was thereafter reacquired by the cooperative or by a sponsor, nominee of the cooperative or by any other person associated with the formulation of the plan; and

(d) such stock was offered, after July 1, 1955, for sale for personal occupancy at the same or different terms than previously offered to the tenant of such controlled housing accommodation, the latter was given a written notice of the offer to sell and the right, for a period of 30 days, to purchase the stock on the terms specified in such offer.

(iii) Within 10 days from the date of service of the notice provided by subparagraph (ii) of this paragraph, the cooperative had filed with the district rent office having jurisdiction at that time, either under the State Rent Act or under these regulations, as the case may be, a copy of the cooperative plan; a copy of the first notice served upon all tenants of controlled housing accommodations; a copy of notice required by subparagraph (ii) of this paragraph; and a statement duly verified by an officer of the cooperative and, where the sale was made on or after July 1, 1955, a statement duly verified by each purchaser, that the sale had been made in good faith pursuant to the terms set forth in the cooperative plan, without fraud or duress, and with no discriminatory repurchase agreement or other discriminatory inducement and whether for personal occupancy by the purchaser. A duplicate set of the above- specified papers shall also be kept available in the building for inspection by any tenant of controlled housing accommodations or his authorized representative.

(iv) In the event that the stock allocated to a controlled housing accommodation shall be offered for sale, by the cooperative, its sponsor, nominees or other persons associated with the formulation of the plan, to a purchaser in good faith for his personal occupancy at terms more favorable than those previously offered to the tenant of such controlled housing accommodation, the latter must first be given a written notice of the new terms and 15 days within which to elect to purchase stock at such new terms.

(v) Within 10 days after any sale or resale of stock subsequent to the effective date of the plan, all tenants who had not yet purchased had been served with written notices by the cooperative, setting forth the names and addresses of each of the purchasers, the designation of the housing accommodations and, in those cases where the stock had been sold for personal occupancy of the purchaser, the terms of the sales. Copies of these notices, together with proof of service upon each such tenant, must be filed with such district rent office, as the case may be, within five days of the date of service. Copies of these notices shall also be kept available in the building for inspection.

(4) Where the cooperative plan was declared effective prior to July 1, 1955, the administrator shall issue a certificate of eviction to a purchaser who acquired the stock prior to July 1, 1955 if he finds that the requirements of the former section 55(3) of the State Rent and Eviction Regulations, as in effect immediately prior to July 1, 1955, have been met and that the purchaser had served the tenant of the controlled housing accommodation, before December 31, 1955, with a written notice setting forth the name and address of the purchaser, designation of the housing accommodation and the terms of the sale. A copy of this notice, together with proof of service upon such tenant, must be filed with such district rent office within five days of the date of service. Where, however, stock allocated to a controlled housing accommodation occupied by a tenant has not in fact been sold, prior to July 1, 1955, to a purchaser in good faith for personal occupancy, no certificate of eviction shall be issued unless such tenant had been afforded the rights conferred by subparagraphs (3)(ii)-(v) of this subdivision. The cooperative must file all documents required by such subparagraphs no later than December 31, 1955, or such later date as is applicable.

(5) As used herein, the term tenant-owner includes only:

(i) a person who purchased the stock allocated to a vacant housing accommodation; excluding, however, any housing accommodations which had been vacated after the filing of an application for a certificate of eviction or an order of subdivision, pursuant to these regulations, within the one-year period preceding the presentation of the cooperative plan to the tenants;

(ii) a person who, while he was a tenant in occupancy in the building, purchased the stock allocated to his housing accommodation;

(iii) a person who purchased the stock allocated to a housing accommodation which was occupied by a tenant who obtained his possession from said purchaser of the stock;

(iv) a person who purchased the stock allocated to a housing accommodation from an owner of such stock who was in occupancy of such housing accommodation; or

(v) a person who purchased the stock allocated to a housing accommodation while it was occupied by a tenant, and which thereafter became vacant after voluntary removal by the tenant.

(6) As used herein, the term housing accommodation shall not include servants’ rooms which are nonhousekeeping and located in the service portion of the building, or apartments not subject to these regulations.

(7) As used herein, the term stock shall also include other evidence of interest in the cooperative corporation or association with the right to possession of a housing accommodation by virtue of a proprietary lease or otherwise.

(8) As used herein, the term cooperative corporation or association shall also include the sponsor of a cooperative plan.

(9) Where a cooperative plan, and any amendments thereof, presented to the tenants of controlled housing accommodations, is not declared effective and filed with the district rent office, as the case may be, pursuant to subparagraphs (3)(ii) and (iii) of this subdivision, a period of 18 months from the date of the presentation of the first plan must elapse before another cooperative plan may be presented to the tenant of the structure.

(d) Where the landlord purchased and thereby acquired title to the premises on or after September 17, 1947, no certificate shall be issued under this section unless the landlord, on or before the date of the filing of the application, has made a payment or payments totaling at least 20 percent of the purchase price or the assessed valuation of the premises, whichever is the greater; provided, however, that where the administrator finds:

(1) that equivalent accommodations are available for rent into which the tenant can move without substantial hardship or loss; or

(2) that undue hardship would result to the landlord; a certificate may be issued although less than 20 percent has been paid. The requirements of this subdivision shall not apply where the landlord is a former member of the Armed Forces of the United States of America who obtained a loan for use in purchasing housing accommodations guaranteed in whole or part by the Veterans Administration.

(e) [Reserved]

(f)

(1) In the case of a housing accommodation or unit in a property submitted to the provisions of the Condominium Act, a certificate shall be issued to the unit owner where: (i) the tenant originally obtained possession by virtue of a rental agreement with the unit owner; (ii) more than two years have expired since the date of recording the deed of such unit to the applicant; or (iii) the date of recording of the deed of such unit to the applicant is less than two years prior to the date of filing of the application, and on that date units in such property have been purchased by persons who were tenants of at least 80 percent of the housing accommodations in the property on the date the declaration was duly recorded, who are or were assignees or tenants in occupancy of such housing accommodations or units in such property on the date of the filing of the application.

(2) No certificate of eviction shall be issued under paragraph (1) of this subdivision unless the applicant shall establish that he has complied with the requirements of subdivisions (a) and (d) of this section.

(3) No certificate of eviction shall be issued under paragraph (1) of this subdivision unless the applicant shall establish compliance with the following requirements:

(i) Within 60 days after the date of the recording of the declaration, an offering statement and offering plan shall be formally filed with the Department of Law of the State of New York, which shall comply with the requirements of the rules and regulations promulgated by the Attorney General of the State of New York, and with section 352-eeee of the General Business Law.

(ii) Within five days after the date of such formal filing of the offering statement and offering plan with the Department of Law of the State of New York, each tenant in occupancy of a controlled housing accommodation in the premises on the date of recording the declaration was:

(a) furnished with a copy of the declaration, any amendment or amendments thereof, and any other instrument required to be recorded under the provisions of sections 339-s and 339-u of the Condominium Act;

(b) furnished with a copy of the offering statement and offering plan; and

(c) notified in writing, by registered or certified mail, that:

(1) he has the exclusive right to purchase the unit occupied by him for a period of 60 days after the date of mailing such advice, or until such tenant shall remve from the accommodations, whichever date shall be earlier; and

(2) no public offering for the sale of any unit in the premises will be made until at least 35 percent of the tenants in occupancy on the date of recording the declaration have agreed to purchase the unit then occupied by the individual tenant.Housing accommodations vacant on the date of recording the declaration, or subsequently vacated, shall not be included in the computation of the 35-percent requirement, except when the vacant housing accommodation is purchased for personal occupancy by a tenant of a controlled housing accommodation in the premises.

(iii) Within 30 days after at least 35 percent of the units in the premises have been sold in good faith, without fraud or duress, and with no discriminatory repurchase agreement or other discriminatory inducement, the tenants of all other controlled housing accommodations in the premises have been notified in writing, by registered or certified mail, that at least 35 percent of the tenants in occupancy have agreed to purchase the units occupied by them. Such notification shall separately state for each unit the name of the tenant who agreed to purchase, the unit identification and terms of the sale. With respect to vacant units, such notification shall separately state for each of such units the name and address of the purchaser, the unit identification and terms of the sale. Such notification shall also advise the tenants of controlled housing accommodations, who had not as yet purchased, that they still had the exclusive right, for a period of 30 days from the date of service of the notification, to purchase the unit on the previously offered terms.

(iv) Where such unit is offered for sale, after July 1, 1964, at more favorable terms than previously offered to the tenant of such controlled housing accommodations, the tenant shall be given a written notice, by registered or certified mail, of such offer and given the right for a period of 30 days after the date of the mailing of such notice to purchase such unit on the terms specified in such offer.

(v) Within 10 days from the date of mailing the notice required by subparagraph (iii) of this paragraph, the following shall be filed with the district rent office having jurisdiction:

(a) a copy of the offering statement and offering plan, together with proof of filing with the Department of Law of the State of New York;

(b) a copy of the notices required by subparagraphs (ii), (iii) and (iv) of this paragraph; and

(c) a statement, duly verified by a party executing the declaration or an officer of such party where the declaration is made by a corporation, and further duly verified by each purchaser, that the purchase had been made in good faith pursuant to the terms set forth in the offering plan, without fraud or duress, and with no discriminatory repurchase agreement or other discriminatory inducement, and whether for personal occupancy by the purchaser. A duplicate set of above-specified papers shall also be kept available in the building for inspection by any tenant of controlled housing accommodations or his authorized representative.

(vi) In the event that a unit shall be offered for sale to purchaser in good faith for his personal occupancy while the tenant remains in occupancy, if such tenant was in occupancy on the date when the offering statement and offering plan were filed with the Department of Law of the State of New York, at terms more favorable than those previously offered to such tenant, the latter must first be given a written notice, by registered or certified mail, of the new terms and 15 days within which to elect to purchase the unit at such new terms.

(vii) Within 10 days after any sale or resale of any unit, all tenants who had not yet purchased had been served with written notices, by registered or certified mail, setting forth the names and addresses of each of the purchasers, the designation of the housing accommodations and, in those cases where the sale of the unit was for personal occupancy of the purchaser, the terms of the sale. Copies of these notices, together with proof of service upon each such tenant, must be filed with such district rent office within five days of the date of service. Copies of these notices shall also be kept available in the building for inspection.

(4) As used in paragraph (1) of this subdivision, the term purchased by persons who were tenants includes only:

(i) a person who purchased a vacant unit or housing accommodation; excluding, however, any unit or housing accommodation which had become vacant after the filing of an application for a certificate of eviction or an order of subdivision pursuant to these regulations within the one-year period preceding the filing of the offering statement and offering plan with the Department of Law of the State of New York;

(ii) a person who, while he was a tenant in occupancy in the building, purchased the unit occupied by him;

(iii) a person who purchased a unit or housing accommodation which was occupied by a tenant who obtained his possession from the owner of the unit;

(iv) a person who purchased a unit from an owner of such unit who was in occupancy; or

(v) a person who purchased a unit while it was occupied by a tenant who thereafter voluntarily removed therefrom.

(5) As used herein, the term housing accommodation shall not include servants’ rooms which are nonhousekeeping and located in the service portion of the building, or apartments not subject to these regulations; and the term tenant shall not include the persons occupying servants’ rooms or apartments not subject to these regulations.

(6) Where an offering plan and offering statement which was presented to the tenants of controlled housing accommodations is not filed with the district rent office as required by clause (3)(v)(a) of this subdivision, or where at least 35 percent of the housing accommodations are not sold, within six months from the date of the formal filing of the offering statement and offering plan with the Department of Law of the State of New York, to tenants in occupancy on the date of recording the declaration, a period of 18 months from the date of such formal filing must elapse before another offering plan and offering statement may be presented to the tenants of the building. Where 35 percent of housing accommodations are not sold to such tenants within such six-month period, the tenants who have not purchased shall be notified in writing, by registered or certified mail, that the offering statement and offering plan has been withdrawn because 35 percent of the tenants in occupancy have not agreed to purchase.

(7) Copies of all notices required by this subdivision to be served on the tenants shall be filed within five days of the date of mailing with the district rent office, together with proof of service upon the tenants.

(g) No certificate of eviction shall be issued under this section where the offering plan for conversion to cooperative or condominium ownership was accepted for filing by the Attorney General on or after July 21, 1982 in accordance with section 352-eeee of the General Business Law.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984. Amd. filed Dec. 6, 2000 eff. Dec. 20, 2000. Amended (a). Amd. proposed Nov. 2, 2011 and filed Dec. 27, 2011 eff. Jan. 11, 2012. Amended (a) by replacing “husband, wife” with “spouse.”.

 

§ 2204.6 Tenant not using premises for own dwelling.

(a) A certificate shall be issued for the eviction of the tenant and subtenants where the landlord seeks in good faith to recover possession of housing accommodations for which the tenant’s lease or other rental agreement has expired or otherwise terminated, and at the time of termination the occupants of the housing accommodation are subtenants or other persons who occupied under a rental agreement with the tenant, and no part of the accommodations is used by the tenant as his dwelling.

(b) No tenant shall be evicted under this section where the premises are operated as a rooming house and the eviction of the tenant will result in the removal of the furniture and furnishings used by the occupants, unless the landlord establishes that substantially similar furniture and furnishings will be provided at the time of the removal and that arrangements will be made for the occupants to remain in occupancy under substantially the same terms and conditions as those existing on the date of the issuance of the certificate.

(c) No occupant of housing accommodations, other than the tenant, shall be evicted under this section where the rental agreement between the landlord and tenant contemplated the subletting by the tenant of the entire accommodations or a substantial portion thereof or the portion occupied by the subtenant.

(d)

(1) Unless otherwise prohibited by occupancy restrictions based upon income limitations pursuant to Federal, State or local law, regulations or other requirements of governmental agencies, notwithstanding the provisions of subdivision (a) of this section, the city rent agency shall not issue an order granting a certificate of eviction, and any member of the tenant’s family, as defined in paragraph (3) of this subdivision, shall not be evicted under this section where the tenant has permanently vacated the housing accommodation and such family member has resided with the tenant in the housing accommodation as a primary residence for a period of no less than two years, or where such person is a “senior citizen” or a “disabled person,” as defined in paragraph (3) of this subdivision, for a period of no less than one year, immediately prior to the permanent vacating of the housing accommodation by the tenant, or from the inception of the tenancy or commencement of the relationship, if for less than such periods. The minimum periods of required residency set forth in this subdivision shall not be deemed to be interrupted by any period during which the “family member” temporarily relocates because he or she:

(i) is engaged in active military duty;

(ii) is enrolled as a full time student;

(iii) is not in residence at the housing accommodation pursuant to a court order not involving any term or provision of the lease, and not involving any grounds specified in the Real Property Actions and Proceedings Law;

(iv) is engaged in employment requiring temporary relocation from the housing accommodation;

(v) is hospitalized for medical treatment; or

(vi) has such other reasonable grounds that shall be determined by the city rent agency upon application by such person.

(2) On a form prescribed or a facsimile of such form approved by the city rent agency, a tenant may, at any time, advise the landlord of, or a landlord may at any time, but no more often than once in any 12 months, request from the tenant, the names of all persons other than the tenant who are residing in the housing accommodation, and the following information pertaining to such persons:

(i) if the person is a “family member” as defined in paragraph (3) of this subdivision; and

(ii) if the person is, or upon the passage of the applicable minimum period of required residency, may become a person entitled to protection from eviction pursuant to paragraph (1) of this subdivision, and the date of the commencement of such person’s primary residence with the tenant; and

(iii) if the person is a “senior citizen” or a “disabled person” as defined in paragraph (3) of this subdivision.

Failure of the tenant to provide such information to the landlord, regardless of whether the landlord requests the information, shall place upon all such persons not so made known to the landlord, who seek to exercise the right to protection from eviction as provided for in this subdivision, the affirmative obligation to establish such right.

(3) For the purposes of this subdivision:

(i) family member is defined as a spouse, son, daughter, stepson, stepdaughter, father, mother, stepfather, stepmother, brother, sister, grandfather, grandmother, grandson, granddaughter, father-in-law, mother-in-law, son-in-law, or daughter-in-law of the tenant; or any other person residing with the tenant in the housing accommodation as a primary residence who can prove emotional and financial commitment, and interdependence between such person and the tenant. Although no single factor shall be solely determinative, evidence which is to be considered in determining whether such emotional and financial commitment and interdependence existed, may include, without limitation, such factors as listed below. In no event would evidence of a sexual relationship between such persons be required or considered.

(a) longevity of the relationship;

(b) sharing of or relying upon each other for payment of household or family expenses, and/or other common necessities of life;

(c) intermingling of finances as evidenced by, among other things, joint ownership of bank accounts, personal and real property, credit cards, loan obligations, sharing a household budget for purposes of receiving government benefits, etc.;

(d) engaging in family-type activities by jointly attending family functions, holidays and celebrations, social and recreational activities, etc.;

(e) formalizing of legal obligations, intentions, and responsibilities to each other by such means as executing wills naming each other as executor and/or beneficiary, conferring upon each other a power of attorney and/or authority to make health care decisions each for the other, entering into a personal relationship contract, making a domestic partnership declaration, or serving as a representative payee for purposes of public benefits, etc.;

(f) holding themselves out as family members to other family members, friends, members of the community or religious institutions, or society in general, through their words or actions;

(g) regularly performing family functions, such as caring for each other or each other’s extended family members, and/or relying upon each other for daily family services;

(h) engaging in any other pattern of behavior, agreement, or other action which evidences the intention of creating a long-term, emotionally committed relationship;

(ii) a senior citizen is defined as a person who is 62 years of age or older;

(iii) a disabled person is defined as a person who has an impairment which results from anatomical, physiological or psychological conditions, other than addiction to alcohol, gambling, or any controlled substance, which are demonstrable by medically acceptable clinical and laboratory diagnostic techniques, and which are expected to be permanent and which substantially limit one or more of such person’s major life activities.

(4) For the purpose of determining whether a landlord may charge the increase in maximum collectible rent authorized pursuant to section 26-403.2 of the Rent Law, such landlord shall periodically inform the city rent agency, in a manner prescribed by the city rent agency, whether the tenant occupying the housing accommodation at the time such notice is given is a family member, as defined in subparagraph (3)(i) of this subdivision, who has established the right to protection from eviction pursuant to paragraph (1) of this subdivision. Information that may be required by the city rent agency shall include, but is not limited to the commencement date of such family member’s primary residence in the housing accommodation with the immediately preceding tenant of record. Failure of a landlord to give such notice shall not deprive the landlord of the right to collect such sum, but shall place upon the landlord the affirmative obligation to establish that right in the event that entitlement thereto is challenged.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984; amds. filed Nov. 9, 1989 as emergency measure; Feb. 7, 1990 as emergency measure; March 20, 1990; Dec. 6, 2000 eff. Dec. 20, 2000. Amended (d). Amd. proposed Nov. 2, 2011 and filed Dec. 27, 2011 eff. Jan. 11, 2012. Amended (d) (3) (i) by replacing “husband, wife” with “spouse.”.

 

§ 2204.7 Alteration or remodeling.

(a) A certificate or an order authorizing subdivision shall be issued where the landlord seeks in good faith to recover possession of a housing accommodation for the immediate purpose of substantially altering or remodeling it, provided that the landlord shall have secured such approval therefor as is required by law, and the administrator determines that the issuance of the order granting the certificate of eviction is not inconsistent with the purpose of the Rent Law or these regulations. No certificate or order authorizing subdivision involving alteration or remodeling shall be granted under this section unless the administrator shall find that such alteration or remodeling is for the purpose of subdividing an under-occupied housing accommodation containing six or more rooms, exclusive of bathrooms and kitchen, into a greater number of housing accommodations consisting of self-contained family units which meet the requirements of section 2200.9 of this Title. An apartment may be deemed under-occupied when there is less than one occupant for each room, exclusive of bathrooms, kitchen and three additional rooms. Roomers or boarders who are not members of the tenant’s family shall not be counted as occupants.

(b) Upon approval of plans by the city agency having jurisdiction thereof, where such approval is required, and before proceeding with such alteration or remodeling, application shall be made to the administrator for an order directing the tenant occupying such housing accommodation to remain in possession of an adequate portion thereof, as determined by the administrator, and to surrender possession of the remainder of said housing accommodation, with a time to be fixed by the administrator. Where it is not practicable for the tenant to remain in possession of a portion of the housing accommodation during the alteration, the administrator may require the landlord to furnish a suitable temporary housing accommodation to the tenant, not unreasonably distant from the premises being altered, and available at a rent not greater than the rent then being paid by the tenant, unless the tenant requests permanent relocation in his answer to the landlord’s application. Unless the tenant requests permanent relocation, the order so granted shall be conditioned on the right of such tenant to first occupancy of any housing accommodation resulting from such alteration.

(c) Where the tenant has requested relocation as provided in subdivision (b) of this section, or where the tenant cannot be adequately housed in any portion of the housing accommodation after alteration, a certificate or order authorizing subdivision may only be issued on condition that the landlord comply with the relocation requirements of section 2204.4(e) of this Part. Such order shall also require the landlord to comply with the stipend requirements of subdivisions (e) and (f) of such section.

(d) The administrator shall establish the terms and conditions under which such alteration or remodeling may be made, and shall establish the maximum rent to be paid by the tenant occupying such suitable portion of such housing accommodation during the alteration, and shall establish the maximum rent to be paid by such tenant for the first occupancy of any housing accommodation selected by him in such subdivided housing accommodation after it has been altered or remodeled. The administrator shall, pursuant to section 2202.22(a) of this Title, establish the maximum rent on the basis of the maximum rents for comparable housing accommodations, after taking into consideration all other factors bearing on the equities involved. The landlord shall file an application under section 2200.9 of this Title for an order of decontrol; provided, however, that such order of decontrol shall not apply to that portion of the original housing accommodations occupied by a tenant in possession at the time of the conversion, but only so long as such tenant continues in occupancy.

(e) In the case of housing accommodations in a structure or premises owned by a cooperative corporation or association, where the landlord is the individual owner of stock allocated to a housing accommodation, no certificate or order shall be granted under this section unless the administrator shall also find that the landlord has met the requirements of section 2204.5(c) of this Part.

(f) The order in all such cases shall grant the landlord permission to recover possession of the housing accommodations without further application, should the tenant fail to abide by the order of subdivision issued by the administrator.

(g) Sections 2204.4(g) and (h) and 2204.8(a)(1) of this Part shall not apply with respect to any building consisting of housing accommodations falling within the limitations of section 2204.8(c) of this Part.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984; amd. filed Dec. 6, 2000 eff. Dec. 20, 2000. Added (g).

 

§ 2204.8 Demolition.

(a) Subject to the provisions of subdivision (b) of this section, a certificate shall be issued where the landlord seeks in good faith to recover possession of housing accommodations for the immediate purpose of demolishing them, provided that the landlord shall have secured such approval therefor as is required by law, and the administrator finds:

(1) that the demolition is to be made for the purpose of constructing a building or structure containing at least 20 percent more housing accommodations, consisting of self-contained family units (as defined in section 2200.9 of this Title), than there are apartments contained in the structure to be demolished, unless violations have been filed against the structure containing the housing accommodations, by city agencies having jurisdiction thereof, as a result of fire hazards or conditions dangerous or detrimental to life or health of the tenants, and the costs of removing such violations would substantially equal or exceed the assessed valuation of the structure. In the latter case, the new buildings or structures shall only be required to make provision for a greater number of self-contained family units than there are apartments contained in the structure to be demolished;

(2) that such demolition is to be made for the purpose of constructing other than housing accommodation; or

(3) that such demolition is to be made for the purpose of carrying out a program of clearance, replanning, reconstruction and neighborhood rehabilitation of substandard and unsanitary areas pursuant to and under the conditions imposed by article XV of the General Municipal Law, and the landlord is required to relocate tenants under the supervision of the New York City Division of Real Property or any other public agency having jurisdiction.

(b) Where application is made pursuant to either paragraph (a)(1) or (2) of this section, an order granting a certificate of eviction may only be issued on condition that the landlord comply with the relocation requirements of section 2204.4(e) of this Part. Such order shall also require the landlord to comply with the stipend requirements of subdivisions (e) and (f) of such section.

(c) Section 2204.4(g) and (h) of this Part, and paragraph (a)(1) of this section shall not apply with respect to any building in which there remain:

(1) three or fewer occupied housing accommodations which constitute 10 percent or less of the total dwelling units in the building; or

(2) one occupied housing accommodation if the building contains 10 or fewer dwelling units. This subdivision shall be applicable only on condition that the tenant is provided with the relocation, moving expense, stipend and any other benefits provided by the corresponding provisions of the Rent Stabilization Law of 1969. In the event of a substantial alteration or remodeling pursuant to section 2204.7 of this Part falling within the limitations of this subdivision, all of the relocation provisions available to a landlord for demolition shall apply.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984; amd. filed Dec. 6, 2000 eff. Dec. 20, 2000. Added (c).

 

§ 2204.9 Withdrawal of occupied housing accommodations from rental market.

(a) A certificate shall be issued where the landlord establishes that he seeks in good faith permanently to withdraw occupied housing accommodations from both the housing and nonhousing markets, without any intent to rent or sell all or any part of the land or structure, and:

(1) that he requires the entire structure containing the housing accommodations or the land for his own immediate use in connection with a business which, at the time of the filing of the application for a certificate of eviction, he owns and operates in the immediate vicinity of the property in question;

(2) that substantial violations which constitute fire hazards or conditions dangerous or detrimental to the life or health of the tenants have been filed against the structure containing the housing accommodations, by city agencies having jurisdiction over such matters, and that the cost of removing such violations would substantially equal or exceed the assessed valuation of the structure;

(3) where the landlord is a hospital, convent, asylum, public institution, college, school or any institution operated exclusively for charitable or educational purposes on a nonprofit basis, that the landlord requires the housing accommodations or the land, or any part thereof, for its own immediate use in connection with its charitable, religious or educational purposes, provided that no certificate shall be issued for purposes of withdrawing accommodations for the immediate and personal use and occupancy as housing accommodations by employees, students or members of its staff; or

(4) that the continued operation of the housing accommodations would impose other undue hardship upon the landlord.

(b) Where application is made pursuant to paragraphs (a)(1) and (3) of this section, an order granting a certificate of eviction may only be issued on condition that the landlord comply with the relocation and stipend requirements of section 2204.4 of this Title.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

PART 2205. PROHIBITIONS

 

§ 2205.1 General prohibitions.
§ 2205.2 Evasion.
§ 2205.3 Purchase of property as condition of renting.
§ 2205.4 Term of occupancy.
§ 2205.5 Security deposits.
§ 2205.6 Lease with option to buy.
§ 2205.7 Disclosure by employees.

Statutory authority: L. 1983, ch. 403.

History: Part (§§ 2205.1-2205.7) filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2205.1 General prohibitions.

(a) It shall be unlawful, regardless of any contract, lease or other obligation heretofore entered into, for any person to demand or receive any rent for any housing accommodations in excess of the applicable maximum rent established therefor by the State Rent Commission or the Division of Housing and Community Renewal, or otherwise to do or omit to do any act, in violation of any regulation, order or requirement of such administration under the State Enabling Act or under the Rent Law, or to offer, solicit, attempt or agree to do any of the foregoing.

(b) It shall be unlawful for any person, with intent to cause any tenant to vacate housing accommodations, or to surrender or waive any rights of such tenant under the Rent Law or these regulations, to engage in any course of conduct (including but not limited to interruption or discontinuance of essential services or filing of false documents with or making false statements to the city rent agency) which interferes with or disturbs, or is intended to interfere with or disturb, the comfort, repose, peace or quiet of such tenant in his use or occupancy of the housing accommodations.

(c) The term rent, as defined in section 2200.2(k) of this Title, shall also include the payment by a tenant of a fee or rental commission to a landlord or to any person or real estate broker, where such person or real estate broker is an agent or employee of the landlord or is employed by the landlord in connection with the operation of the building, or where such person or real estate broker manages the building in which the housing accommodation is located, or where the landlord or his employee refers the tenant to such person or real estate broker for the purpose of renting the housing accommodation. Where the landlord has listed the housing accommodation with such person or real estate broker for rental purposes, such fact shall be prima facie evidence of the existence of an agency relationship between such other person or real estate broker and the landlord for the purposes of this section.

(d) It shall be unlawful for any person to make any statement or entry false in any material respect in any document or report submitted in any proceeding before the administrator, or required to be kept or filed under the Rent Law or any regulation, order or requirement thereunder, or to willfully omit or neglect to make any material statement or entry required to be made in any such document or report.

(e) It shall be unlawful for a landlord or a successor in interest to use housing accommodations, or the site on which same were located, for purposes other than that specified in the certificate of eviction.

Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985. Amd. filed Apr. 24, 2013, eff. Jan. 8, 2014, amended (b).

§ 2205.2 Evasion.

      The maximum rents and other requirements provided in these regulations shall not be evaded, either directly or indirectly, in connection with the renting or leasing or the transfer of a lease of housing accommodations by requiring the tenant to pay, or obligate himself for membership or other fees, or by modification of the practices relating to payment of commissions or other charges, or by modification of the services furnished or required to be furnished with the housing accommodations, or otherwise.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2205.3 Purchase of property as condition of renting.

(a) No person shall require a tenant or prospective tenant to purchase or agree to purchase furniture or any other property as a condition of renting housing accommodations.

(b) The term person as used in this section shall include an agent or any other employee of a landlord, acting with or without the authority of his employer.

(c) The term person as used in this section shall also include a tenant in occupancy of housing accommodations who attempts to sell furniture or any other property to any incoming tenant.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2205.4 Term of occupancy.

      No tenant shall be required to change his term of occupancy; for example, a tenant on a monthly basis shall not be required to change to a weekly basis, and a tenant on a weekly basis shall not be required to change to a daily basis.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2205.5 Security deposits.

      Regardless of any contract, agreement, lease or other obligation heretofore or hereafter entered into, no person shall demand, receive or retain a security deposit for or in connection with the use and occupancy of housing accommodations, except:

(a) if the demand, collection or retention of such security deposit was permitted under the rent regulations promulgated pursuant to the Federal Act, the State Rent Law or the local laws of the City of New York, and said security deposit does not exceed the rent for one month in addition to the authorized collection or rent; or

(b) if the demand, collection or retention of such security deposit was pursuant to a rental agreement with the tenant, and said security deposit does not exceed the rent for one month (or for one week where the rental payment period is for a term of less than one month) in addition to the authorized collection of rent, provided in all cases:

(1) that said security deposit shall be deposited in a banking organization no later than July 15, 1960, or within 15 days after receipt thereof, whichever is later, which shall be placed in an interest-bearing account on or before October 1, 1974 or the date of any deposit made thereafter;

(2) the person depositing such security money shall be entitled to receive, as reimbursement for administrative expenses, a sum equivalent to one percent per annum upon the security money so deposited;

(3) the balance of the interest paid by the banking organization shall be held in trust until applied for the rental of the housing accommodations, or until paid to the tenant not less often than annually by check or cash;

and provided further, with respect to properties or building containing six or more family dwelling units, nothing set forth in this section shall be construed to relieve any person receiving or retaining any rent security deposit for or in connection with the use or occupancy of any dwelling unit therein from complying and continuing to comply with the requirements of article 7 of the General Obligations Law.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2205.6 Lease with option to buy.

      Where a lease of housing accommodations is entered into on or after May 1, 1962, and the tenant, as a part of such lease or in connection therewith, is granted an option to buy the housing accommodations which are the subject of the lease, the landlord, prior to the exercise by the tenant of the option to buy, shall not demand or receive, nor shall the tenant offer, payments in excess of the maximum rent, whether or not such lease allocates such portion or portions of the periodic payments therein provided for as payment on or for the option to buy.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2205.7 Disclosure by employees.

      It shall be unlawful for any officer or employee of the Division of Housing and Community Renewal, or for any official advisor or consultant to the Division of Housing and Community Renewal, to disclose, otherwise than in the course of official duty, any information obtained under the Rent Law, or to use any such information for personal benefit.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

PART 2206. ENFORCEMENT

 

§ 2206.1 Criminal penalties.
§ 2206.2 Injunctions.
§ 2206.3 Civil penalties.
§ 2206.4 Civil action by administrator.
§ 2206.5 Finding of harassment.
§ 2206.6 Revocation of orders.
§ 2206.7 Civil action by tenant where landlord fails to use certificate of eviction for purposes specified therein.
§ 2206.8 Civil action by tenant.
§ 2206.9 Civil action by tenant for unlawful eviction or for surrender of possession as result of harassment.
§ 2206.10 Miscellaneous provisions.
§ 2206.11 Inspection and records.

Statutory authority: L. 1983, ch. 403.

History: Part (§§ 2206.1-2206.11) filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2206.1 Criminal penalties.

      Any person who willfully violates any provision of section Y51-10.0 of the Rent Law shall be guilty of and punishable for a crime as specified in section 1(10) of the State Enabling Act, namely, such person shall be subject to a fine of not more than $5,000, or to imprisonment for not more than two years in the case of a violation of subdivision c of section Y51-10.0 of the Rent Law, and for not more than one year in all other cases, or to both such fine and imprisonment. The administrator may certify such facts, which in his opinion constitute such violation, to the district attorney having jurisdiction thereof.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2206.2 Injunctions.

      The administrator may, whenever in his judgment any person has engaged in or is about to engage in acts or practices which constitute or will constitute a violation of any provision of section Y51-10.0 of the Rent Law, apply to the Supreme Court for an order (a) enjoining such acts or practices, (b) enforcing compliance with such provision of said section or with an order issued by the administrator, or (c) directing the landlord to correct such violation of such provision; and upon sufficient showing, the Supreme Court may issue a temporary or permanent injunction, restraining order or other order, all of which shall be granted without bond. Jurisdiction shall not be deemed lacking in the Supreme Court because a defense is based upon order of an inferior court.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2206.3 Civil penalties.

      The administrator may, whenever any person has engaged in acts or practices which constitute a violation of any provision of section 26-412 of the Rent Law or Part 2205 of this Title, or where more than six months have elapsed since the landlord’s failure to use a certificate of eviction for the purpose for which it was issued, and either the administrator has not waived such failure to use such certificate for the designated purpose or the tenant has not commenced civil action against the landlord as provided in section 2206.7 of this Part, impose a civil penalty by order after a hearing by reason of such violation and bring an action to recover same in any court of competent jurisdiction. Such penalty, in the case of a violation of subdivision d of section 26-412 of the Rent Law or section 2206.5 of this Part, shall be in the amount of not less than $1,000 nor more than $5,000 for each such offense or for a violation consisting of conduct directed at the tenants of more than one housing accommodation; and in the case of any other violation of such provisions of the Rent Law or this Subchapter, in the amount of $100 for the first offense and $500 for each subsequent offense. Such order shall be deemed a final determination for the purposes of judicial review as provided in section 26-411 of the Rent Law and section 2208.12 of this Title. Such action shall be brought on behalf of the city, and any amount recovered shall be paid into the city treasury. Such right of action may be released, compromised or adjusted by the administrator at any time subsequent to the issuance of such administrative order.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984; amd. filed Dec. 6, 2000 eff. Dec. 20, 2000.

 

§ 2206.4 Civil action by administrator.

      The administrator may, whenever in his judgment any person has engaged in acts or practices which constitute a violation of any provision of section Y51-10.0 of the Rent Law, commence an action to recover damages, as provided for in section 2206.8 of this Part, in the event that (a) the tenant has not previously commenced such an action as therein provided, and (b) more than six months have elapsed since the occurrence of the violation or issuance of the order. An action instituted by the administrator shall constitute a bar to an action by the person aggrieved. The administrator shall pay over one half of the sum recovered in such action to the person aggrieved and one half to the city treasury, exclusive of costs and disbursements.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2206.5 Finding of harassment.

(a) The administrator may, subject to the provisions of subdivision (c) of this section, make a finding of harassment whenever he determines the existence of a violation of section 2205.1(b) of this Title (section Y51-10.0d of the Rent Law), in which event the administrator may:

(1) dismiss any pending application for a certificate of eviction, and grant any subsequent application for such certificate only upon such terms and conditions as he deems necessary to prevent the circumvention or evasion of provisions of this Title;

(2) determine that such housing accommodations or any replacement or subdivision thereof (whether or not by demolition, alteration or substantial rehabilitation) shall constitute housing accommodations subject to control under these regulations, notwithstanding any definition of that term to the contrary; and

(3) refuse to credit any adjustments increasing rent mandated by Part 2202 of this Title (section Y51-5.0 of the Rent Law), and dismiss any application for an adjustment pursuant to said section for such time and under such terms and conditions as the Division of Housing and Community Renewal deems necessary to prevent circumvention or evasion of the Rent Law and these regulations.

(b) After a landlord has evidenced an intent to cause a building, or individual housing accommodation therein, to become or to remain vacant, or has certified his intention to alter or demolish a structure pursuant to section 2203.10 of this Title, a failure to secure vacant housing accommodations in said premises, or public portions of said premises, or a decrease, discontinuance, interruption or interference with or of any of the following services at said premises, shall constitute presumptive evidence of intent and conduct in violation of section 2205.1(b) of this Title:

(1) garbage collection;

(2) elevator service;

(3) heat during that part of the year when same is required by law;

(4) hot or cold water;

(5) superintendent;

(6) front or entrance door security systems, including but not exclusive of lock and buzzer; and

(7) gas, electricity and other utility services to either public or private areas.

(c) Where the administrator makes a finding of harassment with respect to housing accommodations in which the affected tenant or tenants have not vacated, the landlord may, no sooner than one year after such harassment order is issued, apply for an order terminating such finding by submitting affirmative proof that the proscribed course of conduct has not been engaged in since the issuance of such order. In the event the tenant or tenants of housing accommodations affected by such order vacate at any time after the commencement of the harassment proceeding, the landlord may, no sooner than two years after the issuance of such order, apply for an order terminating the finding of harassment by submitting affirmative proof of the voluntary surrender of the vacated housing accommodation by the tenants in occupancy when the harassment order was issued and the discontinuance of the proscribed course of conduct from the date of such order.

(d) No proceeding to determine whether housing accommodations have become vacant as a result of harassment may be commenced later than 30 days after the entire structure shall have been vacated, unless the landlord failed to certify his intent to alter or demolish the premises as provided in section 2203.10 of this Title, or has used the housing accommodation or the site for purposes other than those specified in a certificate of eviction as provided in section 2205.1(e) of this Title. No proceeding shall be maintained for acts performed in good faith and in a reasonable manner for the purposes of operating, maintaining or repairing any building or part thereof. A finding of harassment shall be attached to and noted upon the registration of the housing accommodations affected by such findings, and a copy thereof shall be filed and docketed in the manner of a notice of mechanic’s lien affecting the property. The provisions of this subdivision shall bind all persons or parties who succeed to the landlord’s interest in said housing accommodations.

(e) The administrator may make a finding of harassment whenever he determines the existence of conditions which bar decontrol otherwise permitted pursuant to provisions of section 2200.2(f)(17) of this Title. A decrease, discontinuance, interruption or interference with any essential service, resulting in an order decreasing the maximum legal rent for a housing accommodation pursuant to section 2202.16 or 2202.17 of this Title, shall constitute presumptive evidence of intent and conduct constituting harassment. Housing accommodations affected by an order decreasing the maximum legal rent, pursuant to section 2202.16 or 2202.17 of this Title, shall not be decontrolled pursuant to section 2200.2(f)(17) unless the landlord obtains an order either restoring the rent previously reduced pursuant to section 2202.4(a) or terminating the presumptive finding of harassment as provided for in subdivision (c) of this section without regard to the time limitation therein contained.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2206.6 Revocation of orders.

(a) The administrator may revoke any order or determination based upon any statement or entry false in any material respect in any document or report submitted in any proceeding before the Division of Housing and Community Renewal, or required to be kept or filed under the Rent Law or these regulations or any requirements thereunder.

(b) Where after the State Rent Commission or the administrator has granted a certificate of eviction and a tenant voluntarily removes from a housing accommodation, or has been removed therefrom by action or proceeding to evict from or recover possession of a housing accommodation, and the landlord or any successor landlord of the premises does not use the housing accommodation for the purpose specified in such certificate of eviction, the vacated accommodation or any replacement or subdivision thereof shall, unless the administrator approves such different purpose, be deemed a housing accommodation subject to control, notwithstanding any definition of that term in these regulations to the contrary. Such approval shall be granted whenever the administrator finds that the failure or omission to use the housing accommodation for the purpose specified in such certificate was not inconsistent with the purposes of the Rent Law and these regulations, and would not be likely to result in the circumvention or evasion thereof.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2206.7 Civil action by tenant where landlord fails to use certificate of eviction for purposes specified therein.

      Where after the administrator has granted a certificate of eviction authorizing the landlord to pursue his remedies pursuant to law to acquire possession, and a tenant voluntarily removes from a housing accommodation or has been removed therefrom by action or proceeding to evict from or recover possession of a housing accommodation upon the ground that the landlord seeks in good faith to recover possession:

(a) for his immediate and personal use, or for the immediate and personal use by a member or members of his immediate family, and such landlord or members of his immediate family shall fail to occupy such accommodation within 30 days after the tenant vacates;

(b) for the immediate purpose of withdrawing such housing accommodation from the rental market, and such landlord shall lease or sell the housing accommodation or the space previously occupied thereby, or permit use thereof in a manner other than contemplated in such eviction certificate within a period of one year after such removal of the tenant;

(c) for the immediate purpose of altering or remodeling such housing accommodation, and the landlord (who required possession for the purpose of effecting such alteration or remodeling) shall fail to start the work of alteration or remodeling of such housing accommodation within 90 days after the removal of the last tenant whose removal is necessary to enable the landlord to effect such alteration or remodeling of such accommodation or, if after having commenced such work, shall fail or neglect to prosecute the work with reasonable diligence;

(d) for the immediate purpose of demolishing such housing accommodations and constructing a new building in accordance with approved plans, or reasonable amendment thereof, and the landlord has failed to complete the demolition within six months after the removal of the last tenant or, having demolished the premises, has failed or neglected to proceed with the new construction within 90 days after the completion of such demolition or, having commenced such construction work, has failed or neglected to prosecute such work with reasonable diligence; or

(e) for some purpose other than those specified above for which the removal of the tenant was sought and the landlord has failed to use the vacated premises for such purposes; such landlord shall, unless for good cause shown, be liable to the tenant for three times the damages sustained on account of such removal, plus reasonable attorney’s fees and costs as determined by the court, provided the tenant commences such action within three years from the expiration of the applicable time period as set forth in this section. The damages sustained by the tenant under this section shall be the difference between the rent paid for the housing accommodation from which the tenant was evicted and the rental value of a comparable housing accommodation on the open market. In addition to any other damage, the cost of removal of the tenant’s property shall be a lawful measure of damages. The remedy herein provided for shall be in addition to those provided for in any other section of these regulations. Such acts and omissions on the part of a landlord after issuance of a certificate of eviction are hereby declared to be inconsistent with the purposes for which such certificate of eviction was issued.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2206.8 Civil action by tenant.

(a) A tenant may bring an action against his landlord, in any court of competent jurisdiction, for a violation of subdivision a of section Y51-10.0 of the Rent Law:

(1) within two years from the date of occurrence of an overcharge, defined to mean the amount by which the consideration paid by a tenant to a landlord exceeds the applicable maximum rent;

(2) within one year after the landlord fails to pay a refund as ordered by the Division of Housing and Community Renewal, such time to be calculated from 33 days after the date of the issuance of the order or when the order becomes final, whichever is later; or

(3) in the case of an act proscribed by subdivision e of section Y51-10.0 of the Rent Law, within two years after knowledge of such statement or omission and consequent violation has been made known to the tenant or to the Division of Housing and Community Renewal.

(b) The landlord shall be liable for reasonable attorney’s fees and costs, as determined by the court, plus whichever of the following sums is the greater:

(1) such amount, not more than three times the amount of the overcharge or overcharges upon which the action is based, as the court in its discretion may determine; or

(2) an amount not less than $25; provided, however, that such amount shall be the amount of the overcharge or overcharges, or $25, whichever is greater; if the defendant proves that the violation of the regulation or order in question was neither willful nor the result of failure to take practicable precautions against the occurrence of the violation.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2206.9 Civil action by tenant for unlawful eviction or for surrender of possession as result of harassment.

(a) A tenant or occupant who is unlawfully removed by a landlord from any housing accommodation may, within two years from the date of the occurrence, bring a civil action against the landlord by reason of such unlawful removal. In such action, the landlord shall be liable to the tenant for three times the damages sustained on account of such removal, plus reasonable attorney’s fees and costs as determined by the court. The damages sustained by the tenant under this subdivision shall be the difference between the rent paid for the housing accommodation from which the tenant was evicted and the rental value of a comparable housing accommodation on the open market. In addition to any other damage, the cost of removal of the tenant’s property shall be a lawful measure of damages.

(b) Any tenant who has vacated his housing accommodations, because the landlord or any person acting on his behalf, with intent to cause the tenant to vacate, engaged in any course of conduct (including but not limited to interruption or discontinuance of essential services) which interfered with or disturbed, or was intended to interfere with or disturb, the comfort, repose, peace or quiet of the tenant in his use and occupancy of the housing accommodations, may, within 90 days after vacating, apply to the administrator for a determination that the housing accommodations were vacated as a result of such conduct and, within one year after determination of such fact by the administrator as provided in section 2206.5(e) of this Part, institute a civil action against the landlord by reason of such conduct. In such action the landlord shall be liable to the tenant for three times the damages sustained on account of such conduct, plus reasonable attorney’s fees and costs as determined by the court. The damages sustained by the tenant under this subdivision shall be the difference between the rent paid for the housing accommodation from which the tenant was evicted and the rental value of a comparable housing accommodation on the open market. In addition to any other damages, the cost of removal of the tenant’s property shall be a lawful measure of damages.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2206.10 Miscellaneous provisions.

(a) Any court shall advance on the docket or otherwise expedite the disposition of any action or proceeding brought before it under subdivision 10 of section 1 of the State Enabling Act.

(b) Except as otherwise provided therein, the provisions of sections 2206.2 through 2206.9 of this Part are cumulative. The enforcement of one provision herein shall not constitute a bar to the enforcement by action, proceeding or by making a finding or determination pursuant to other provisions of these regulations.

(c) The administrator may direct that a refund payment to the tenant, for rent collected in violation of subdivision a of section Y51-10.0 of the Rent Law, include interest from the date of each excessive payment of rent. Where the administrator has revoked an order or determination premised on a false statement or entry, he may withhold issuance of an order granting increase in maximum rent for such housing accommodations until the landlord has complied with the refund directive, if any, provided for in such order of revocation.

(d) No person (including but not limited to any officer or employee of the Division of Housing and Community Renewal) shall be held liable for damages or penalties in any court, on any grounds for or in respect of anything done or omitted to be done in good faith pursuant to any provision of the State Rent Act or the Rent Law, or any regulation, order or requirement thereunder, notwithstanding that subsequently such provision, regulation, order or requirement may be modified, rescinded, or determined to be invalid. In any action or proceeding wherein a party relies for ground of relief or defense or raises issue or brings into question the construction or validity of any provision of the Rent Law, or any regulation, order or requirement thereunder, the court having jurisdiction of such action or proceeding may at any stage certify such fact to the Division of Housing and Community Renewal. The administrator may intervene in any such action or proceeding.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2206.11 Inspection and records.

(a) Any person who rents or offers for rent or acts as a broker or agent for the rental of any housing accommodations shall, as the administrator may from time to time require, furnish information under oath or affirmation or otherwise, permit inspection and copying of records and other documents, and permit inspection of any such housing accommodations.

(b) Any person who rents or offers for rent, or acts as a broker or agent for the rental of any housing accommodations, shall, as the administrator may from time to time require, make and keep records and other documents and make reports.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

PART 2207. PROCEEDINGS BEFORE DISTRICT RENT ADMINISTRATOR

 

§ 2207.1 Proceedings instituted by landlord or tenant in district rent office.
§ 2207.2 Proceedings instituted by district rent administrator on his own initiative.
§ 2207.3 Notice to parties affected.
§ 2207.4 Answer.
§ 2207.5 Action by district rent administrator.
§ 2207.6 Final determination by district rent administrator.
§ 2207.7 Pending proceedings.
§ 2207.8 Modification or revocation of orders.

Statutory authority: L. 1983, ch. 403.

History: Part (§§ 2207.1-2207.8) filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2207.1 Proceedings instituted by landlord or tenant in district rent office.

      A proceeding is instituted in a district rent office by a landlord or a tenant with the filing of an application for adjustment of rent, for a certificate of eviction, or for other relief provided by the Rent Law or these regulations. Such application shall be verified by the applicant and filed with the district rent administrator for the district within which the housing accommodation is located, upon the appropriate form issued by the administrator in accordance with the instructions contained in such forms.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2207.2 Proceedings instituted by district rent administrator on his own initiative.

      The district rent administrator may institute a proceeding on his own initiative whenever he deems it necessary or appropriate pursuant to the Rent Law or these regulations.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2207.3 Notice to parties affected.

(a)

(1) Except as provided by paragraph (2) of this subdivision, where the application is made by a landlord or tenant, the district rent administrator shall forward, as promptly as possible, a copy of such application to all parties adversely affected thereby.

(2) Where an application is filed, pursuant to section 2202.4(c), (d) or (e) of this Title, to increase the maximum rent, the district rent administrator shall notify all parties adversely affected thereby, and shall afford such parties the opportunity to submit written responses thereto. The landlord shall maintain a copy of the application, with supporting documentation, on the premises so that tenants may examine it, or in the alternative, a copy of the application, with supporting documentation, shall be made available by the city rent agency for tenant examination upon prior request. Tenants’ written responses shall be considered by the city rent agency prior to a final determination of the application.

(b) Where the proceeding is instituted by the district rent administrator on his own initiative, he shall forward to all parties affected thereby a notice setting forth the proposed action.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984; amd. filed Dec. 6, 2000 eff. Dec. 20, 2000. Amended (a).

 

§ 2207.4 Answer.

      A person who has been served with a copy of an application or a notice of a proceeding shall have seven days from the date of mailing within which to answer, except as otherwise provided in this section. Where the application was made pursuant to section 2202.8 of this Title, a tenant shall have 15 days from the date of mailing within which to answer. Where a proceeding is commenced by the issuance of an order to show cause by the district rent administrator, a person who has been served with a copy of such order to show cause shall file his answer within the period specified in such order to show cause. Every answer must be affirmed, and an original and one copy shall be filed with the district rent administrator.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2207.5 Action by district rent administrator.

At any stage of a proceeding, the district rent administrator may:

(a) reject the application if it is insufficient or defective;

(b) make such investigation of the facts, hold such conferences, and require the filing of such reports, evidence, affidavits or other material relevant to the proceeding, as he may deem necessary or appropriate;

(c) forward to or make available for inspection by either party any relevant evidence, and afford an opportunity to file rebuttal thereto;

(d) for good cause shown, accept for filing any papers, even though not filed within the time required by these regulations;

(e) require any person to appear or produce documents, or both, pursuant to a subpoena issued by the administrator;

(f) consolidate two or more applications or proceedings which have at least one ground in common;

(g) forward to either party a notice of action proposed to be taken by the district rent administrator;

(h) grant or order a hearing, except that no multiple-tenant-initiated proceedings for reduction of rents in a building may be determined without a hearing, unless such hearing is waived:

(1) by the landlord by reason of his failure to request same at the time of his answer; or

(2) by the tenants by reason of their failure to request same at the time they reply to the landlord’s answer.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2207.6 Final determination by district rent administrator.

The district rent administrator, on such terms and conditions as he may determine, may:

(a) dismiss the application if it fails substantially to comply with the provisions of the Rent Law or these regulations;

(b) grant or deny the application, in whole or in part; or

(c) issue an appropriate order in a proceeding instituted on his own initiative.

A copy of any order issued shall be forwarded to all parties to the proceeding.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2207.7 Pending proceedings.

(a) Any matter, application, proceeding or protest, undertaken, filed or commenced by, with or before the State Rent Commission, and transferred to the administrator as provided by section 1(11) and (13) of the State Enabling Act and sections Y51-14.0 and Y51-15.0 of the Rent Law, shall be completed or determined by the administrator in conformity with these regulations; except that, where any application for a rent increase pursuant to section 4(4)(a)(1) of the State Rent Act is transferred to the administrator for determination:

(1) such application, solely for the purpose of applying thereto section 2202.8(c) of this Title, shall be treated as if it were sought to be filed on May 1, 1962, provided that if the two-year minimum period prescribed by such section terminates on any date between May 1, 1962 and September 1, 1962, both dates inclusive, the administrator, notwithstanding any other provisions of these regulations, shall treat such application, solely for the purpose of applying such section thereto, as having been filed on the date next succeeding such date of termination, and shall withhold determination of such application until the next succeeding date; and

(2) any such application shall be denied unless the landlord shall file with the administrator, on or before May 31, 1962, a certificate of the Department of Buildings and a certification by the landlord setting forth with respect to the property the matters specified in section 2202.3(b) of this Title.

(b) Where a regulation is amended during the pendency of a proceeding before the district rent administrator, the determination shall be in accordance with the amended regulation.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2207.8 Modification or revocation of orders.

(a) Except as provided in subdivision (b) or (c) of this section, or except pursuant to an order of remand issued by the administrator, the district rent administrator or the authorized supervisor of any component of the Division of Housing and Community Renewal may not modify, supersede or revoke any order issued under these or previous regulations unless he finds that such order was the result of illegality, irregularity in vital matters, or fraud, or unless he shall make such finding as is required by subdivision (c) of section 2202.20 of this Title. Where an order is modified, superseded or revoked by the district rent administrator, he may also direct that rent collected by the landlord in excess of the maximum rent be refunded to the tenant, together with six percent interest from the date of each such excessive payment of rent, within 30 days after his action shall become final. Where a rent exemption order issued pursuant to section 2202.20 of this Title is revoked as provided by section 2202.20(h)(2) or (3), such revocation order may also direct the payment of back rent.

(b) The district rent administrator, on his initiative or on application of a tenant, may revoke or cancel an order granting a certificate of eviction (whether issued by the State Rent Commission or under these regulations) at any time prior to the execution of a warrant in a summary proceeding to recover possession of real property by a court, whenever he finds that:

(1) the certificate of eviction was obtained by fraud or illegality; or

(2) the landlord’s intentions or circumstances have so changed that the premises, possession of which is sought, will not be used for the purpose specified in the certificate.

(c) The district rent administrator, on his own initiative or on application of a tenant, may revoke or cancel an order granting a certificate of eviction where:

(1) the payment of a stipend is required or is imposed as a condition in an order granting a certificate of eviction pursuant to any section of these regulations and the landlord has willfully failed either to:

(i) pay the prescribed stipend to all tenants in the building who have voluntarily vacated their housing accommodations after the date of filing of the application; or

(ii) deposit the prescribed stipend in escrow, as provided in subdivision (f) of section 2204.4 of this Title, and file proof of compliance with the requirements of such subdivision with the district rent administrator no later than five days prior to the expiration of the waiting period; or

(2) after the issuance of any order granting a certificate of eviction where relocation or the payment of a stipend is required, the landlord willfully engages in a course of conduct which is proscribed by subdivision (b) of section 2205.1 of this Title.

(d) The district rent administrator, on his own initiative or on application of a tenant, may revoke or cancel an order granting a certificate of eviction (whether issued by the State Rent Commission or under these regulations) at any time prior to the date of the issuance of a final order in a summary proceeding to recover possession of real property by a court, whenever he finds that there has been a change of circumstances due to the fact that other suitable housing accommodations subject to the landlord’s control have become vacant since the date of the order granting the certificate of eviction.

(e) The commencement of a proceeding by the district rent administrator to revoke or cancel an order granting a certificate of eviction shall stay such order until the final determination of the proceeding, regardless of whether the waiting period in the order has already expired.

(f) The district rent administrator, or the authorized supervisor of any component of the Division of Housing and Community Renewal, shall give notice to the persons affected of his intention to modify, supersede or revoke an order issued by him, in which event the provisions of sections 2207.2 through 2207.6, inclusive, of this Part shall apply.

(g) Whenever the administrator shall have revoked an order premised on fraudulent or materially false representations, the administrator, notwithstanding any other provision of these regulations to the contrary, may withhold the issuance of any order granting an increase in maximum rent for such housing accommodation until the landlord has complied with the refund directive, if any, provided for in such order of revocation.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

PART 2208. ADMINISTRATIVE REVIEW

 

§ 2208.1 Persons who may file a petition for administrative review (PAR).
§ 2208.2 Time for filing a PAR.
§ 2208.3 Form and content of a PAR against these regulations or portion thereof.
§ 2208.4 Form and content of a PAR against an order of the district rent administrator.
§ 2208.5 Service and filing of a PAR.
§ 2208.6 Time of filing answer to a PAR.
§ 2208.7 Action by administrator.
§ 2208.8 Final determination by administrator.
§ 2208.9 Pending PAR’s.
§ 2208.10 Time within which administrator shall take final action.
§ 2208.11 Stays.
§ 2208.12 Judicial review.
§ 2208.13 Modification or revocation of orders on a PAR.
§ 2208.14 PARs; time periods; address of office of rent administration.

Statutory authority: L. 1983, ch. 403.

History: Part (§§ 2208.1-2208.13) filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2208.1 Persons who may file a petition for administrative review (PAR).

(a) Any person aggrieved by these regulations, or by an order issued by a district rent administrator, may file a PAR with the administrator in the manner provided in these regulations.

(b) A joint PAR, affirmed by each person joining therein, may be filed by two or more landlords or tenants, where at least one ground is common to all persons so filing. The administrator, in his discretion, may treat such PAR as joint or several.

(c) The administrator may, in his discretion, consolidate two or more PAR’s which have at least one ground in common.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2208.2 Time for filing a PAR.

(a) A PAR against any provision of these regulations may be filed at any time after the effective date thereof.

(b) A PAR against an order of a district rent administrator must be filed with the administrator within 33 days after the date such order is issued, unless subdivision (c) of this section is applicable. A PAR served by mail, postmarked not more than 33 days after the date of such order, shall be deemed compliance with this paragraph.

(c) Where a certificate of eviction has been granted pursuant to section 2204.5 of this Title, a PAR may be filed by a tenant after the expiration of the 33-day period provided for in subdivision (b) of this section, and prior to the date of the issuance of a final order in a summary proceeding to recover possession of real property by a court, where there has been a change of circumstances due to the fact that other suitable housing accommodations subject to the landlord’s control have become vacant since the date of the order granting the certificate of eviction.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2208.3 Form and content of a PAR against these regulations or portion thereof.

      No printed form of a PAR is provided or prescribed. Each PAR against these regulations or portion thereof must be clearly designated “Petition for Administrative Review to the Commissioner of the Division of Housing and Community Renewal re: Section ________ (or Sections_______) of the Rent and Eviction Regulations of the City of New York,” and shall set forth the following:

(a) the name and post-office address of the party filing the PAR, and whether he is a landlord or tenant, or representative;

(b) a complete identification of the provision or provisions for which the PAR is being filed, citing the section or sections or these regulations to which the objection is made;

(c) a simple, concise statement of the objections to these regulations or portion(s) thereof; and

(d) a specific statement of the relief requested. Each PAR shall be affirmed by the party filing the PAR.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2208.4 Form and content of a PAR against an order of the district rent administrator.

      A person aggrieved by an order issued by the district rent administrator may file a PAR against such order only on a form prescribed by the administrator.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2208.5 Service and filing of a PAR.

(a) Each PAR shall be filed in an original and one copy at the Division of Housing and Community Renewal, Office of Rent Administration, 10 Columbus Circle, New York, NY 10019, unless otherwise provided on the form prescribed by the administrator for such PAR.

(b) Where the PAR is against an order issued by the district rent administrator, a copy of the PAR shall also be served on the district rent administrator issuing the order and upon each party affected by the PAR.

(c) A PAR under section 2208.4 of this Part will not be accepted for filing unless accompanied by an affidavit or other proof of such service.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2208.6 Time of filing answer to a PAR.

      Any person served with a PAR, as provided in section 2208.5 of this Part, may, within 15 days from the date of service, file an affirmed answer thereto by filing the same with the Division of Housing and Community Renewal, Office of Rent Administration, together with proof of service of a copy thereof upon the party filing the PAR. The administrator may, in his discretion and for good cause shown, extend the time within which to answer.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2208.7 Action by administrator.

      Within a reasonable time after the filing of the PAR and the answers, if any, the administrator may:

(a) reject the PAR if it is insufficient or defective;

(b) make such investigation of the facts, hold such conferences, and require the filing of such reports, evidence, affidavits, or other material relevant to the proceeding, as he may deem necessary or appropriate;

(c) forward to or make available for inspection by either party any relevant evidence, and afford an opportunity to file rebuttal thereto;

(d) for good cause shown, accept for filing any papers, even though not filed within the time required by these regulations;

(e) require any person to appear or produce documents, or both, pursuant to a subpoena issued by the administrator; and

(f) grant or order a hearing.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2208.8 Final determination by administrator.

      The administrator, on such terms and conditions as he may determine, may:

(a) dismiss the PAR if it fails substantially to comply with the provisions of the Rent Law or these regulations; or

(b) grant or deny the PAR, in whole or in part, or remand the proceeding to the district rent administrator for further action. In the event that the administrator grants or denies any such PAR, in whole or in part, the administrator shall inform the party or parties filing the PAR of the grounds upon which such decision is based, and of any economic data and other facts of which the administrator has taken official notice.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2208.9 Pending PAR’s.

      Where a regulation is amended during the pendency of a PAR, the determination shall be in accordance with the amended regulation.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2208.10 Time within which administrator shall take final action.

(a) If the administrator does not act finally within a period of 90 days after a PAR is filed, or within such extended period as may be fixed by the administrator, the PAR shall be deemed to be denied. The administrator may, however, grant one such extension, not to exceed 30 days, with the consent of the party filing the PAR; any further extension may only be granted with the consent of all parties to the PAR. Final action on a PAR filed against a regulation shall be governed by section 204 of the State Administrative Procedure Act.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2208.11 Stays.

(a) The filing of a PAR against an order, other than an order adjusting, fixing or establishing a maximum rent, within 33 days after the date of the issuance of such order, shall stay such order until the final determination of the PAR by the administrator. However, nothing herein contained shall limit the administrator from granting or vacating a stay under appropriate circumstances. Where the PAR is against an order granting a certificate of eviction, it shall stay such order as herein provided, regardless of whether the waiting period provided in the order has already expired.

(b) The commencement of a proceeding by the administrator to revoke or cancel an order granting a certificate of eviction shall stay such order until the final determination of the proceeding, regardless of whether the waiting period in the order has already expired.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2208.12 Judicial review.

      The filing and determination of a PAR is a prerequisite to obtaining judicial review of any provision of these regulations or any order issued thereunder, except as provided by section 26-410 of the Rent Law. A proceeding for review may be instituted under article 78 of the Civil Practice Law and Rules, provided the petition in the Supreme Court is filed within 60 days after the issuance date of the final determination of the PAR. Issuance date is defined as the date of mailing of the order. Service of the petition upon the Division of Housing and Community Renewal shall be made by either:

(a) personal delivery of the notice of petition and petition to counsel’s office at the division’s office, 25 Beaver Street, New York, NY 10004, or such other address as may be designated by the administrator, and delivering a copy thereof to an Assistant Attorney General at an office of the New York State Attorney General within the State; or

(b) by such other method as is authorized by the Civil Practice Law and Rules.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984; amd. filed Dec. 6, 2000 eff. Dec. 20, 2000; amd. filed Apr. 24, 2013, eff. Jan. 8, 2014.

 

§ 2208.13 Modification or revocation of orders on a PAR.

(a) The administrator, on application of either party or on his own initiative, and upon notice to all parties affected, may, prior to the date that a proceeding for judicial review has been commenced in the Supreme Court, pursuant to article 78 of the Civil Practice Law and Rules, modify, supersede or revoke any order issued by him under these or previous regulations where he finds that such order was the result of illegality, irregularity in vital matters, or fraud. Where an order is modified, superseded or revoked by the administrator, he may also direct that appropriate rent adjustments be made in accordance with the order issued.

(b) Whenever the administrator shall have revoked an order premised on fraudulent or materially false representations, the administrator, notwithstanding any other provision of these regulations to the contrary, may withhold the issuance of any order granting an increase in maximum rent for such housing accommodation until the landlord has complied with the refund directive, if any, provided for in such order of revocation.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2208.14 PARs; time periods; address of office of rent administration.

(a) Wherever reference is made in this Part to a period of time of 33 days, such period of time shall be deemed to be 35 days.

(b) Wherever reference is made in this Part to a period of time of 15 days, such period of time shall be deemed to be 20 days.

(c) Wherever reference is made in this Part to the Office of Rent Administration, the address of such office shall be 92-31 Union Hall Street, Jamaica, NY 11433.

History: Sec. filed Dec. 6, 2000 eff. Dec. 20, 2000.

 

PART 2209. MISCELLANEOUS PROCEDURAL MATTERS

 

§ 2209.1 When a notice or paper shall be deemed served.
§ 2209.2 Power of subpoena.
§ 2209.3 Production of documents.
§ 2209.4 Action by administrator on failure to obey subpoena.
§ 2209.5 Privilege against self-incrimination.
§ 2209.6 Disclosure of information by the administrator.
§ 2209.7 Delegation of authority.
§ 2209.8 Opinions and official interpretations.
§ 2209.9 Administrative proceedings pending before Department of Housing Preservation and Development of the City of New York.
§ 2209.10 Administrative proceedings on application by interested party for decontrol on the basis of vacancy rate.
§ 2209.11 Action by administrator.
§ 2209.12 Final determination by administrator.

Statutory authority: L.1983, ch. 403.

History: Part (§§ 2209.1-2209.12) filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2209.1 When a notice or paper shall be deemed served.

(a) Notices, orders, petitions for administrative review, answers and other papers may be served personally, by mail, or electronically, as provided in an operational bulletin issued pursuant to section 2209.8 of this Part. Except as otherwise provided by section 2208.2 or Part 2211 of this Title, when service, other than by the city rent agency, is made personally or by mail, a contemporaneous affidavit providing dispositive facts by the person making the service or mailing shall constitute sufficient proof of service. When service is by registered or certified mail, the stamped post office receipt shall constitute sufficient proof of service. Once sufficient proof of service has been submitted to the city rent agency, the burden of proving nonreceipt shall be on the party denying receipt.

(b) In any proceedings under these regulations, any notice, order or other process or paper directed to the person named as landlord on the registration statement on file in the district rent office, at the mailing address given thereon, or where a notice of change of identity has been filed in the district rent office, at the mailing address given thereon, or where a notice of address given in such notice of change of identity most recently filed, shall constitute notice to such landlord.

(c) Where a notice of appearance has been filed by an attorney, service on the attorney shall be deemed proper service as if made on the party or parties represented.

(d) Unless otherwise expressly provided in this Title, no additional time is required for service by mail of any notice, order, answer, lease offer or other papers, beyond the time period set forth in these regulations and such time period provided is inclusive of the time for mailing.

(e) Unless otherwise expressly provided in this Title, no additional time is required to respond or to take any action when served by mail with any notice, order, answer, lease offer, or other papers, beyond the time period set forth in these regulations and the time to respond is commenced upon mailing of said notice, order answer, lease offer or other paper.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984; amd. filed Dec. 6, 2000 eff. Dec. 20, 2000, amended (a); amd. filed Apr. 24, 2013, eff. Jan. 8, 2014, added (d), (e).

 

§ 2209.2 Power of subpoena.

      The administrator, or any officer or agent designated by the administrator, may administer oaths and affirmations and may, whenever necessary, by subpoena require any person to appear and testify, or to appear and produce documents, or both, at any designated place. Any person subpoenaed under this section shall have the right to make a record of his testimony and to be represented by counsel.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2209.3 Production of documents.

      The production of a person’s documents at any place other than his place of business shall not be required in any case in which, prior to the return date specified in the subpoena issued with respect thereto, such person either has furnished the administrator with a copy of such documents, certified by such person under oath to be a true and correct copy, or has entered into a stipulation with the administrator as to the information contained in such documents.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2209.4 Action by administrator on failure to obey subpoena.

      In case of contumacy or refusal to obey a subpoena served upon any person, the Supreme Court, in or for any judicial district in which such person is found or resides or transacts business, upon application by the administrator, shall have jurisdiction to issue an order requiring such person to appear and give testimony or to appear and produce documents, or both; and any failure to obey such order of the court may be punished by such court as a contempt thereof.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2209.5 Privilege against self-incrimination.

      No person shall be excused from attending and testifying or from producing documents or other evidence in obedience to the subpoena of the administrator, or of any duly authorized officer or agent thereof, on the ground that the testimony or evidence required of him may tend to incriminate him or subject him to a penalty or forfeiture, but no person shall be prosecuted or subjected to any penalty or forfeiture for or on account of any transaction, matter or thing concerning which he is compelled, after having claimed his privilege against self-incrimination, to testify or produce evidence; except that such person so testifying shall not be exempt from prosecution and punishment for perjury committed in so testifying. The immunity herein provided shall extend only to natural persons so compelled to testify.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2209.6 Disclosure of information by the administrator.

      The administrator shall not publish or disclose any information obtained under the Rent Law or these regulations that the administrator deems confidential, or with reference to which a request for confidential treatment is made by the person furnishing such information, unless the administrator determines that the withholding thereof is contrary to the public interest.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2209.7 Delegation of authority.

      The administrator may delegate in writing, to the district rent administrator or any other person or persons, the authority to carry out any of the duties and powers granted to him by the Rent Law or these regulations.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2209.8 Opinions and official interpretations.

(a) Official interpretations of general applicability with respect to the provisions of the Rent Law or these regulations shall be issued only by the administrator. No interpretation shall be given in response to any hypothetical question.

(b) Any person desiring an opinion, as to the applicability of the Rent Law or these regulations to a specific factual situation, shall make a request in writing for such opinion to the district rent administrator for the locality within which the housing accommodations involved are situated. Such request shall set forth in full the facts out of which the question arises, and shall state the name and post-office address of the person or persons making the request and the location of the housing accommodations involved. If there is a pending or closed proceeding in the particular office, or if the inquirer has previously requested an opinion of the same or substantially the same facts, his request shall so indicate. No opinion shall be given in response to any hypothetical question.

(c) Any opinion or official interpretation shall remain in full force and effect unless and until revoked or modified in writing by the official issuing it or by the administrator.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2209.9 Administrative proceedings pending before Department of Housing Preservation and Development of the City of New York.

(a) Any matter, application, proceeding or protest undertaken, filed or commenced by, with or before the city, relating to the regulation and control of residential rents and evictions within the city and pending on April 1, 1984, shall be transferred to, conducted by, and completed or determined by the administrator. In discharging such responsibilities, the administrator shall act and shall determine and complete any such matter, application, proceeding or protest pursuant to and in conformity with the provisions of the Rent Law and these regulations governing such matters, applications, proceedings or protests.

(b) Any protest filed against an order of the city which may be undetermined on March 31, 1984 shall, for the purposes of section 2208.10(a) of this Title, be deemed to have been filed on April 1, 1984.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2209.10 Administrative proceedings on application by interested party for decontrol on the basis of vacancy rate.

(a)

(1) All requests for decontrol pursuant to section Y51-12.0 of the Rent Law must be made by application supported by adequate proof pursuant to the provisions of this and subsequent sections.

(2) The burden rests upon the applicant to clearly establish the existence of the five-percent vacancy rate in all or any alleged class of housing accommodations claimed to be eligible for decontrol. The vacancy rate shall mean the net rental vacancy rate. Notwithstanding the class of housing accommodations alleged by the applicant to be eligible for decontrol, the administrator shall make the final determination as to what constitutes a particular class of housing accommodations involved.

(b) No printed form of application is provided or prescribed. Each application must be clearly designated “Application to the Division of Housing and Community Renewal pursuant to section Y51-12.0 of the Rent Law,” and shall set forth the following:

(1) the name and post-office address of the party filing the application;

(2) a simple and concise statement showing the nature of the interest of the applicant in the outcome of the proceeding;

(3)

(i) a complete statement of the data relied upon for the vacancy rate claimed for the class of housing accommodation for which the applicant claims eligibility for decontrol. Such statement shall include a description of the methods, procedures and qualifications of the personnel used to gather the data submitted in support of the application.

(ii) The survey shall be of the entire universe of housing accommodations within the class claimed to be eligible for decontrol, or shall be based upon a scientific sampling by accepted random sampling techniques to include a comprehensive cross-section of the universe to be surveyed. The sampling used in conducting the survey shall be based on standard social-research data-gathering methodology. Based upon sampling of the data introduced, the standard error for the vacancy rate shall be not more than one quarter of one percent (0.25%) at one standard error, assuming an estimated vacancy rate of five percent; and

(4) a specific statement of the relief requested.

The application shall be verified by the party filing the application.

(c) Service of the application upon the administrator shall be made by filing the original and one copy thereof with the Division of Housing and Community Renewal, Office of Rent Administration, 10 Columbus Circle, New York, NY 10019, or such other address as provided on the application.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2209.11 Action by administrator.

      After the filing of the application for decontrol on the basis of vacancy rate, the administrator may:

(a) reject the application if it is insufficient or defective;

(b) make such other and further studies and investigations as he deems necessary to make a finding as to whether the percentage of vacancies in all or any particular class of housing accommodation is five percent or more (such studies and investigations shall include, but not be limited to, data gathered by the United States Bureau of the Census or any public or quasi-public agency, or studies made by independent consultants under contract with the Division of Housing and Community Renewal or by its own staff); investigate the facts presented in the application; conduct such conferences as are necessary; require the filing of such other and additional reports, or other evidence relevant to the proceedings;

(c) suspend determination of application until completion of such studies and investigations as the administrator deems necessary to make a finding as to whether the percentage of vacancies in all or any particular class of housing accommodation is five percent or more. In the event that the administrator so suspends his determination, he shall advise the applicant, in writing, of the reasons for such suspension, including the identification of the studies and investigations deemed necessary by him;

(d) require any person to appear or produce documents, or both, pursuant to a subpoena issued by the administrator;

(e) grant or order a hearing.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2209.12 Final determination by administrator.

      All orders issued pursuant to section Y51-12.0 of the Rent Law shall be deemed to be final administrative determinations, subject to judicial review as provided by section Y51-9.0 of the Rent Law. The administrator, on such terms and conditions as he may determine, may issue a final order:

(a) dismissing the application if it fails substantially to comply with the provisions of section 2209.10 et seq. of this Part; or

(b) granting or denying the application, in whole or in part, provided that before he may grant the application, in whole or in part, he shall have first held a public hearing as provided by section Y51-12.0 of the Rent Law.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

PART 2210. HOUSING ACCOMMODATIONS COVERED BY TITLE YY OF NEW YORK CITY ADMINISTRATIVE CODE

 

§ 2210.1 Scope.
§ 2210.2 Maximum rent.
§ 2210.3 Registration requirements.

Statutory authority: L. 1983, ch. 403.

History: Part (§§ 2210.1-2210.3) filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985. Title of New York City Administrative Code referred to as “title YY” is now designated title 26, chapter 4 (§ 26-501 et seq.) (Rent Stabilization).

 

§ 2210.1 Scope.

      Notwithstanding any provision of the City Rent and Rehabilitation Law or of these regulations, housing accommodations covered by title YY of the New York City Administrative Code shall be subject to the City Rent and Rehabilitation Law and these regulations as and when title YY, the Rent Stabilization Code and regulations adopted thereunder shall provide.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

§ 2210.2 Maximum rent.

      The maximum rent for such housing accommodations, for the purposes of these regulations, shall be the rent charged on May 31, 1968 or June 30, 1974, whichever is applicable.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

b>§ 2210.3 Registration requirements.

      Within 90 days after any such housing accommodation shall become subject to these regulations, the landlord thereof shall file a registration statement, on the form provided therefor, containing such information as the administrator may require pursuant to Part 2203 of this Title.

History: Sec. filed July 24, 1984 as emergency measure, expired 60 days after filing; Dec. 17, 1984 eff. Jan. 7, 1985.

 

PART 2211. PROCEDURES FOR HIGH INCOME RENT DECONTROL

 

§ 2211.1 Definitions.
§ 2211.2 Income certification forms (ICFs).
§ 2211.3 Procedure where total annual income as certified on ICF exceeds threshold.
§ 2211.4 Procedure where tenant fails to return ICF or landlord disputes certification.
§ 2211.5 Determination by Department of Taxation and Finance (DTF).
§ 2211.6 Procedure where tenant fails to provide information for determination by Department of Taxation and Finance (DTF).
§ 2211.7 Mailing of submissions relating to high-income decontrol.
§ 2211.8 Jurisdictional authority.

Statutory authority: L. 1983, ch. 403, § 28.

History: Part (§§ 2211.1-2211.8) filed Dec. 6, 2000 eff. Dec. 20, 2000.

 

§ 2211.1 Definitions.

(a) Annual income. For the purposes of this section, annual income shall mean the Federal adjusted gross income as reported on the New York State income tax return.

(b) Total annual income. For the purposes of this section, total annual income means the sum of the annual incomes of all persons who occupy the housing accommodation as their primary residence other than on a temporary basis, excluding bona fide employees of such occupants residing therein in connection with such employment and excluding bona fide subtenants in occupancy pursuant to the provisions of ">section 226-b of the Real Property Law. Where a housing accommodation is sublet, the annual income of the sublessor shall be considered.

History: Sec. filed Dec. 6, 2000 eff. Dec. 20, 2000.

 

§ 2211.2 Income certification forms (ICFs).

      On or before the first day in May in each calendar year, commencing with May 1, 1994, the landlord of each housing accommodation for which the maximum rent is $2,000 or more per month may provide the tenant or tenants residing therein with an income certification form (ICF) prepared by the city rent agency on which such tenant or tenants shall identify all persons referred to in section 2211.1(b) of this Part, and shall certify whether the total annual income is in excess of $250,000 in each of the two preceding calendar years, where the first of such two preceding calendar years is 1992 through 1995 inclusive, and $175,000 where the first of such two preceding calendar years is 1996 or later. Such ICF shall not require disclosure of any income information other than whether the aforementioned threshold has been exceeded.

(a) Such ICF form shall state that:

(1) the income level certified to by the tenant may be subject to verification by the Department of Taxation and Finance (DTF) pursuant to section 171-b of the Tax Law;

(2) only tenants residing in housing accommodations which have a maximum rent of $2,000 or more per month are required to complete the certification form;

(3) tenants have protections available to them which are designed to prevent harassment;

(4) tenants are not required to provide any information regarding their income except that which is requested on the form.

(b) Such ICF form may:

(1) require tenants to state whether an occupant, such as a minor child, is not required to file a New York State income tax return;

(2) provide that the operative date for the determination of who is a tenant, co-tenant or occupant who must be identified on the ICF, and whose income, if any, will be included in total annual income, will be the date of service of the ICF upon the tenant;

(3) require the tenant to list all tenants, co-tenants, and other occupants whose incomes may be included in total annual income, and who vacated the housing accommodation within the calendar year in which the ICF is served, or within the two calendar years preceding the service of the ICF, and the dates on which such persons vacated the housing accommodation;

(4) require the tenant to include in total annual income the income of any such person who vacated the housing accommodation temporarily;

(5) request such other information as the administrator deems appropriate.

(c) Section 2209.1(a) of this Title to the contrary notwithstanding, the landlord must serve the ICF by at least one of the following methods: personal delivery, certified mail, regular first class mail, or as otherwise provided in an operational bulletin issued pursuant to section 2209.8 of this Title. The landlord shall obtain and retain, the following proofs of service:

(1) for personal delivery, a copy of the ICF signed and dated by the tenant acknowledging receipt; or

(2) for certified mail, a United States Postal Service receipt stamped by the United States Postal Service; or

(3) for regular first class mail, a United States Postal Service certificate of mailing stamped by the United States Postal Service.

(d) The tenant or tenants shall return the completed certification to the landlord within 30 days after service upon the tenant or tenants.

(e) No such ICF may be served on any apartment where the tenant is the recipient of a Senior Citizen Rent Increase Exemption (SCRIE) or a Disability Rent Increase Exemption (DRIE).

History: Sec. filed Dec. 6, 2000 eff. Dec. 20, 2000; amd. filed Apr. 24, 2013, eff. Jan. 8, 2014, added (e).

 

§ 2211.3      Procedure where total annual income as certified on ICF exceeds threshold.

      In the event that the total annual income as certified is in excess of $250,000 or $175,000 in each such year, whichever applies, as provided in section 2211.2 of this Part, the landlord may file an owner’s petition for deregulation (OPD), accompanied by the ICF, with the city rent agency on or before June 30th of such year. The city rent agency shall issue within 30 days after the filing of such OPD, an order providing that such housing accommodation shall not be subject to the provisions of the Rent Law and this Subchapter as of the first day of March in the year next succeeding the filing of the OPD with the city rent agency. A copy of such order shall be mailed by regular and certified mail, return receipt requested, to the tenant or tenants and a copy thereof shall be mailed to the landlord. Service shall be deemed to be complete upon mailing by the city rent agency.

History: Sec. filed Dec. 6, 2000 eff. Dec. 20, 2000.

 

§ 2211.4      Procedure where tenant fails to return ICF or landlord disputes certification.

(a) In the event that the tenant or tenants either fail to return the completed ICF to the landlord on or before the date required by section 2211.2(d) of this Part or the landlord disputes the certification returned by the tenant or tenants, the landlord may, on or before June 30th of such year, file an owner’s petition for deregulation (OPD) which petitions the city rent agency to verify, pursuant to section 171-b of the Tax Law, whether the total annual income exceeds $250,000 or $175,000 in each of the two preceding calendar years, whichever applies, as provided in section 2211.2 of this Part.

(b) Within 20 days after the filing of such request with the city rent agency, the city rent agency shall notify the tenant or tenants that such tenant or tenants must provide the city rent agency with such information as the city rent agency and the DTF shall require to verify whether the total annual income exceeds $250,000 or $175,000, whichever applies, in each such year.

(1) The tenant or tenants are required to submit a photocopy of either the preprinted mailing labels used on the New York State income tax returns for the applicable years or the first page of the New York State income tax returns for the applicable years for each tenant or occupant whose income is to be included in the total annual income pursuant to section 2211.1(b) of this Part, or in the event neither is available, a written explanation indicating why such income tax returns were not filed for the applicable years.

(2) The tenant or tenants shall delete all social security numbers and income figures from all preprinted mailing labels or tax returns submitted. For any tenant or occupant who the tenant reports did not file a New York State income tax return for any applicable year, the tenant or occupant’s name and address must be supplied on an appropriate form prescribed by the city rent agency as it would have appeared had that tenant or occupant filed such return.

(3) The tenant or tenants shall provide the information to the city rent agency within 60 days of service of the notice upon such tenant or tenants, which notice shall include a warning in bold-faced type setting forth the requirement that failure to respond by not providing any information requested by the city rent agency will result in an order being issued by the city rent agency providing that such housing accommodation shall not be subject to the provisions of the Rent Law and this Subchapter. Section 2209.1 of this Title to the contrary notwithstanding, the tenant or tenants shall be required to retain proof of the delivery of such information to the city rent agency, which proof shall consist of either, where delivery is made personally, a copy of the response with a timely city rent agency stamp acknowledging receipt, or where delivery is made by certified mail, a United States Postal Service receipt stamped by the United States Postal Service, or where delivery is made by regular first class mail, a United States Postal Service certificate of mailing stamped by the United States Postal Service; or as otherwise provided in an operational bulletin issued pursuant to section 2209.8 of this Title. Service shall be deemed to be complete upon mailing in accordance with section 2211.7 of this Part.

History: Sec. filed Dec. 6, 2000 eff. Dec. 20, 2000.

 

§ 2211.5      Determination by Department of Taxation and Finance (DTF).

      If the DTF determines that the total annual income is in excess of $250,000 or $175,000 in each of the two preceding calendar years, whichever applies as provided in section 2211.2 of this Part, the city rent agency shall, on or before November 15th of the year in which DTF makes such determination, notify the landlord and tenants of the results of such verification. Both the landlord and the tenants shall have 30 days within which to comment on such verification results. Within 45 days after the expiration of the comment period, the city rent agency shall, where appropriate, issue an order providing that such housing accommodation shall not be subject to the provisions of the Rent Law and this Subchapter as of the first day of March in the year next succeeding the filing of the OPD with the city rent agency. A copy of such order shall be mailed by regular and certified mail, return receipt requested, to the tenant or tenants and a copy thereof shall be sent to the landlord. Where the DTF determines that the income threshold has not been met, the city rent agency shall issue an order denying the OPD. If the DTF cannot ascertain whether the threshold has been met, the city rent agency may issue an order denying the OPD, or request additional information.

History: Sec. filed Dec. 6, 2000 eff. Dec. 20, 2000.

 

§ 2211.6      Procedure where tenant fails to provide information for determination by Department of Taxation and Finance (DTF).

      In the event the tenant or tenants fail to provide the information required pursuant to section 2211.4 of this Part, the city rent agency shall, on or before the next December 1st, issue an order providing that such housing accommodation shall not be subject to the provisions of the Rent Law and this Subchapter as of the first day of March in the year next succeeding the last day on which the tenant or tenants were required to provide the information required by such section. A copy of such order of decontrol shall be mailed by regular and certified mail, return receipt requested, to the tenant or tenants and a copy thereof shall be sent to the landlord.

History: Sec. filed Dec. 6, 2000 eff. Dec. 20, 2000.

 

§ 2211.7 Mailing of submissions relating to high-income decontrol.

      Where a deadline for submission is specified in this Part for submissions by landlord or tenant to the city rent agency, such submission must be filed in person or by mail, or as otherwise provided in an operational bulletin issued pursuant to section 2209.8 of this Title, by such deadline. If the submission is filed by mail, it must be postmarked no later than such deadline. If the prepaid postage on the envelope in which the submission is mailed is by private postage meter, and the envelope does not have an official United States Postal Service postmark, then the submission will not be considered timely filed unless received by such deadline, or other adequate proof that the submission was mailed by the date specified, such as an official Postal Service receipt or certificate of mailing is submitted.

History: Sec. filed Dec. 6, 2000 eff. Dec. 20, 2000.

 

§ 2211.8 Jurisdictional authority.

      The expiration of the time periods prescribed in this Part for action by the city rent agency shall not divest the city rent agency of its authority to process petitions filed pursuant to this Part in accordance with the above procedures, and to issue final determinations pursuant to this Part.

History: Sec. filed Dec. 6, 2000 eff. Dec. 20, 2000.