Buildings, Condo & Co-op Building Compliance Best Practices Checklist for Owners and Board Members

Property owners are the party ultimately responsible to know, address and pay for building compliance requirements in each jurisdiction, such as with the New York City Department of Buildings (DOB) in New York City. Board members take the responsibility to ensure that they, or an experienced building compliance professional, are aware of applicable regulations and endeavor to address them in a timely manner. Failure to be proactive and reactive can result in prolonged and extremely costly building maintenance costs. The following is a short list of some best practices to help building owners and board members keep apprised of their legal and regulatory obligations.

Consider Hiring a Building Manager or Compliance Consultant

Condo and co-op owners and board members likely do not have the time or capacity to manage the process of ensuring building compliance, which is complicated. Most such buildings have a building manager, who should possess personally or have access to someone in the organization who specializes in building compliance. It is imperative to have confidence in your management company's ability to address building compliance needs as they will almost certainly be among the largest annual financial expenditures or your condo, co-op or privately owned building.

If you do not have a management company that addresses building compliance, it is recommended hiring a competent compliance manager or working with consultants who specialize in NYC Department of Buildings (DOB) regulations. Third party compliance software and services may also be available to help identify and track compliance requirements and provide alerts to pending actions.

Periodically monitor the performance of your building manager and/or compliance consultant and be vigilant about asking questions. Failures by your expert do not excuse your compliance requirements and costs, which can result in large, unnecessary expenditures. If you are not confident in the performance of your expert, consider obtaining a second opinion.

Become Familiar with the DOB Info for Property Owner's Page

The DOB Info for Property Owner's web page contains a host of important information for owners, who "are responsible for knowing and understanding the requirements and other local regulations that must be incorporated into your construction project or into maintaining your property."

Subscribe to DOB Alerts and Communications

Subscribe to the DOB Buildings News and Sustainable Buildings newsletters to stay aware of current news and review past service alerts.

Keep Aware of Key Local Laws and Regulations and Calendar Cycle Requirements

Become familiar with major New York City Local Laws that apply to your property and are among the most costly and involved compliance measures, such as:

• Local Law 11/98: Façade inspection requirements for buildings over six stories.
• Local Law 84: Annual benchmarking for energy and water usage.
• Local Law 97: Carbon emissions limits and energy efficiency requirements.
• Local Law 126: Parking garage inspections every six years and annual parapet inspections.
• Local Law 152: Gas piping inspections.
• Zoning and Use Regulations: Ensure the building conforms to NYC zoning resolutions and occupancy classification.

Given that Local Laws often have compliance cycles, it is prudent to maintain a calendar with compliance dates for inspections, filings, and permit renewals, such as:

• Façade inspections (FISP/Local Law 11)
• Elevator inspections
• Boiler inspections
• Gas piping inspections
• Annual safety certifications

Conduct Routine Property Inspections

Periodically schedule your own routine checks to identify and address potential violations before they escalate.

Maintain a close relationship with your building's super and staff and provide them with assurance that you are welcoming and expect them to bring potential building problems to your attention at earliest possible moments.

Engage qualified professionals such as licensed architects, engineers, or qualified contractors to assess building systems and confirm compliance. Your building manager may make recommendations. It is prudent practice to consider proposals from different providers to compare, contrast and assess your comfort, cost and confidence among several choices.

Make sure you have properly maintained organized records of inspections, maintenance, and repairs and be aware of where they are kept and how they may be accessed.

Periodically Review Property Information at the DOB and Address Violations Promptly

Review your building's information and status of permits, applications and outstanding violations using online resources such as the Buildings Information System (BIS) and DOB NOW Public Portal.

If you've found building violations, make sure that someone, such as your building manager or compliance consultant, is addressing these violations promptly. Make sure they have submitted certificates of correction, if necessary, to avoid penalties.

You may also wish to review the status of your Certificate of Occupancy, property details, and other required documents and update and outdated data.

If you have a Hearings or Settlement at the Office of Administrative Trials and Hearings (OATH), make sure to respond to summonses and communications promptly and in a timely manner.

Confirm Licensed Professionals are Retained to Obtain Permits and Approvals

Confirm that major projects use a Registered Design Professional (RDP) for construction, renovation, or modification. Ensure a licensed architect or engineer files plans with the DOB and make sure that all contractors used for your compliance and construction work possess valid DOB licenses and comply with safety standards.

Confirm Permits, Documentation are in Order

Confirm with your manager, consultant, or service provider that proper and required DOB work permits were obtained before beginning to undertake any construction, demolition, or alteration project.

Building Compliance Resources

This is a short list of practices which we intend to update and extend periodically. We welcome thoughts and suggestions to help build a comprehensive but easy to understand checklist to assist property owners and condo/co-op board members understand and navigate the complex world of building compliance and the New York City Department of Buildings regulations. Other local resources may be rewarding, such as your New York City Community Board, who can assist with information and guidance on compliance issues.