9 NYCRR Part 2201 - Executive Department

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Source version current through Sep 15, 2021

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9 NYCRR 2201.1 - Maximum rents for housing accommodations

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021
Related Register notice: HCR-35-22-00004-P · Proposed rule
Related notice published: Aug 31, 2022

(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.

9 NYCRR 2201.2 - Services included in maximum rent

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021
Related Register notice: HCR-35-22-00004-P · Proposed rule
Related notice published: Aug 31, 2022

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.

9 NYCRR 2201.3 - Compensable rent adjustment effective August 1, 1970

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021
Related Register notice: HCR-35-22-00004-P · Proposed rule
Related notice published: Aug 31, 2022

(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.

9 NYCRR 2201.4 - Maximum base rents effective January 1, 1972

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021
Related Register notice: HCR-35-22-00004-P · Proposed rule
Related notice published: Aug 31, 2022

(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), 2202.3 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 × (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 ×^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.

9 NYCRR 2201.5 - Biennial adjustment of maximum rents

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021
Related Register notice: HCR-35-22-00004-P · Proposed rule
Related notice published: Aug 31, 2022

(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.

9 NYCRR 2201.6 - Collectibility

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021
Related Register notice: HCR-35-22-00004-P · Proposed rule
Related notice published: Aug 31, 2022

(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 ½ 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.

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