The NYC Cat 1 elevator test explained

What the Cat 1 test is

DOB describes Cat 1 as “an annual no load safety test performed between January 1 and December 31.” No load means the car is tested empty. The Cat 5 test runs at rated load and speed every five years.

Table N1, in Appendix K of the NYC Building Code, lists what is tested on each device type. In the rule, “elevator” also covers:

• escalators and moving walkways;
• material lifts and vertical reciprocating conveyors;
• dumbwaiters;
• other conveying systems.

When it can be done

• Once each calendar year. The cycle is Jan 1 to Dec 31. A test in any month counts for that calendar year.
• 6 months from the last Cat 1. DOB NOW rejects a Cat 1 dated less than 6 months after another Cat 1 on the same device.
• 90 days from the periodic inspection. DOB NOW rejects a Cat 1 dated less than 90 days from the device’s periodic inspection. Private residence elevators are the exception: the rule lets both fall on the same date.
• Notice for escalators only. The performing agency notifies DOB at least 5 calendar days before an escalator Cat 1, on the ELV36 test notification form. Elevator Cat 1 tests need no notice.

Plan each device’s Cat 1 and periodic inspection together. A late periodic inspection can leave no valid Cat 1 date in the year; see the Cat 1 deadline guide.

Who performs and witnesses it

The rule says tests are “conducted by an approved elevator agency on behalf of the owner,” and DOB says owners hire it. Approved means its directors and inspectors hold DOB licenses under Articles 421 and 422 of Title 28 of the NYC Administrative Code. Since 2022 the people and the business also need New York State licenses.

DOB says category tests are witnessed by “approved independent third-party agencies licensed by the Department.” The ELV3, DOB’s test report form, needs no witness signature for:

• private residence elevators;
• conveyors;
• dumbwaiters;
• material lifts.

On the ELV3, the witness attests that neither they nor their agency is affiliated with the performing agency.

Since Jan 1, 2022, the witnessing agency’s director signs the report. Its inspector no longer needs to.

Cat 1 vs the periodic inspection

The periodic inspection is the yearly visual inspection. DOB says elevators “must be inspected and tested twice annually.”

Results and filing

The performing agency files the ELV3 in DOB NOW: Safety within 21 days of the test. A Cat 1 can be filed with unsatisfactory results; a Cat 3 or Cat 5 cannot. The defects then have 90 days; see defect deadlines. Hazardous and cease-use items are corrected immediately and are not reported on the ELV3.

DOB NOW stops accepting a year’s Cat 1 reports after Jan 21 of the next year. Late and never-filed penalties are in NYC elevator fines. Some older DOB pages still give 60 days to file; the current rule says 21 (why).

Sources

1. 1 RCNY §103-02, Elevator inspections and tests (DOB, PDF) — cycle, Table N1, approved agency, three-month spacing, notice, private residence exception.
2. DOB, Elevator Compliance — no-load test, independent third-party witness, owner hires the agency.
3. DOB Service Update, New Requirements for Category Testing of Elevators (Dec 30, 2021, PDF) — director signature, 21-day filing.
4. DOB Service Update, Periodic Elevator Inspections Must be Performed by Approved Agency on Behalf of Owner (Nov 30, 2021, PDF) — periodic inspection by an unaffiliated approved agency, no witness.
5. DOB Industry Notice, Changes to Elevator Inspections in DOB NOW: Safety (Jan 2022, PDF) — 6-month and 90-day spacing.
6. ELV3 form (PDF) and ELV3 instructions (PDF) — witness attestation, exempt devices, hazardous items (2015 revision).