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Instructions for Filing Initial Rent Registration

Rent Stabilized Apartments in New York City
Housing Accommodations Outside New York City
Regulated by ETPA

Introduction

State Law requires the owner of any housing accommodation subject to its provisions to initially register each occupied individual housing accommodation (apartment, hotel room, etc.) with the New York State Division of Housing and Community Renewal (DHCR). It also requires the owner to annually update the registration each year using the Annual Rent Registration forms.

The Initial registration consists of completing, mailing, and/or posting the following forms, as instructed in this booklet:

If an apartment is vacant on the date of the Initial Building Registration and becomes occupied after that date, an Initial Apartment Registration form must be completed and mailed to the tenant within ninety (90) days after occupancy begins.

Note: If an individual housing accommodation is not registered with DHCR when required, the owner is prohibited from collecting most rent increases until a proper registration has been filed. Rent Stabilization provides for penalties where this prohibition has been violated. The Rent Regulation Reform Act of 1993 provides that for proceedings docketed by DHCR on or after July 1, 1991, where all rent increases were lawful but for the owner's failure to register, and where the owner files and serves upon the tenant a late registration, DHCR shall not thereafter find that the owner has collected an overcharge at any time prior to the filing of the late registration. If however, that late registration is filed subsequent to the filing of a rent overcharge complaint, DHCR shall assess the owner a late filing surcharge for each apartment affected in the amount of fifty percent of the current rent registration fee for timely filed registrations. The surcharge, based upon the current administrative fee in both New York City and ETPA counties, is $5.00.

Please read and follow the instructions for completing each Initial Registration form carefully. If you have any questions concerning these forms, or the registration activity itself, please contact DHCR at (718) 739-6400 or Toll-free at 1-(866) 275-3427.

We recommend using only black ink (please print) to help ensure legibility. The forms will be entered into our database, so it is very important that every required item has been completed and all information on all copies is clear and easy to read. Check to see that any necessary signatures appear. If a form requires the signature and seal of a notary public, be sure to have this done. If we must return a form to you because it is not legible or complete, you must fill out a new form, and mail new copies to all parties concerned. In such cases, the tenant's 90-day challenge period does not begin until the new date of certified mailing of the new form to the tenant.


Apartment Registration

Use this form to report the Initial Apartment Registration for the following:

  • The Apartment is in a building which has never been registered with DHCR (see item 16a).
  • The Apartment was vacant at the time the building was initially registered with DHCR (see item 16a).
  • The Apartment is being registered for the first time as Rent Stabilized after being registered previously with DHCR as Rent Controlled or Exempt.

NOTE: This form must be accompanied by an Initial Registration Summary form RR-2(i) plus, if the building is being registered for the first time, a Building Services form RR-3(i).

All information entered on this form must be valid for the date this apartment became subject to Rent Stabilization (this is the date you enter in Item 1).

Completing the Initial Apartment Registration form RR-1(i)

One copy of the Initial Apartment registration form is supplied to the tenant, one copy is retained by the building owner, and one copy is mailed to DHCR. Complete one Initial Apartment Registration form for all apartments except apartments vacant on the date in item 1. If an apartment which was vacant on the date in item 1, and is currently vacant becomes occupied later, an Initial Apartment Registration form must be completed and mailed to the tenant within ninety (90) days after such occupancy begins.

The numbers below refer to the item numbers in the entry boxes on the Initial Apartment Registration form RR-1(i). As used here the word "apartment" refers to any subject housing accommodation; the word "lease" refers to any rental agreement between the owner and the tenant.

Item 1 - Date apartment became subject to Rent Stabilization

Rent Stabilization requires that each building and each occupied apartment subject to the Rent Stabilization Law or Emergency Tenant Protection Act of 1974 be registered initially and annually thereafter. The Initial Registration requirement was effective April 1, 1984; therefore, if the apartment being registered was subject to rent regulation prior to this date enter 4/1/84 in item 1.

If the apartment was vacant on the date the building became subject to Rent Stabilization, but is currently occupied, put the date the apartment first became subject to Rent Stabilization in item 1 and serve the tenant's copy on the current tenant.

If the apartment was not subject to rent regulation prior to April 1, 1984, enter the date on which regulation commenced.

Item 2 - Date of this Initial Registration

Enter the date on which the Initial Apartment Registration form is being completed.

Item 3 - Building ID Number

Enter the building's official identifying number, and check the appropriate box(es), as follows: For buildings in New York City, enter the Multiple Dwelling Registration (MDR) number. Then place an "X" in the boxed marked "MDR" for an apartment house, or in the box marked "hotel" for a hotel. For buildings outside New York City, enter the six-digit ETPA File Number for this property and place an "X" in the box marked "ETPA". The number appears on the mailing label affixed to the "Property Maintenance and Operating Cost Survey Schedule" forms sent to you by the DHCR in the past. If you cannot locate this ETPA file number, one will be assigned to you by DHCR.

Item 4 - Street Address

Enter the principal address of the building. If there are entrances on different streets, list each of these with the principal address first. If the building is known by a specific name, such as that of a hotel, enter that name here also. Do not use any abbreviations; spell out words completely (East, West, Road, Court, etc.)

Item 5 - City, Town or Village

Enter the name of the city, town, or village. Do not abbreviate.

Item 6 - Zip Code

Enter the zip code.

Item 7 - County

Enter the county name. Do not abbreviate.

Item 8 - Apartment Number or Location

Enter the apartment number (or location) as it appears on the lease. For hotel rooms, enter the room number.

Item 9 - Total Number of Rooms in Apartment

Enter the total number of rooms in the apartment as follows: count all rooms that have windows and contain at least 60 square feet; count all rooms that have no windows and contain at least 80 square feet; then add one room for any windowless kitchen measuring at least 59 square feet. Do NOT count bathrooms, half rooms, walk-in closets, etc.

Item 10 - Tenant Name(s)

For each tenant who is named in the lease in effect on the date in item 1, enter the name in the following format:

If the tenant in occupancy on the date in item 1 is not still in occupancy, the tenant currently in occupancy must receive the tenant's copy of this Initial Apartment Registration form.

Item 11 - Lease Dates in effect on Date in Item 1

Enter the Beginning Lease Date and the Expiration Date for the lease in effect on the date in item 1.

Item 12 - Equipment and services included in rent

Place an "X" in the appropriate box for each of the pieces of equipment or services in item 12 which is provided by the building owner and which is included in the rental amount.

If you enter an "X" for owner-provided room air conditioners, also enter the total number of air conditioners provided.

If any additional piece of equipment or services is provided by the owner and included in the rent, enter an "X" in the box marked "Other," and specify the additional piece of equipment or service(s).

Item 13 - Equipment and services for which a separate charge is collected by owner

Enter an "X" in the appropriate box for each of the pieces of equipment or services in item 13 which is provided to this apartment by the building owner at a separate charge.

In addition: If you enter and "X" for garage space or parking space at a separate charge, also enter the monthly charge. If this is covered in a separate lease, enter the beginning and ending dates for that lease.

If you provide an additional piece of equipment or service(s) to this apartment for a separate charge, enter an "X" in the box marked "Other," and specify the additional piece of equipment or service(s).

Item 14 - Legal Regulated Rent on Date in Item 1

Complete this box only if the apartment is under Rent Stabilization/ETPA and is currently occupied. Insert the rent for the apartment as of the date the apartment became subject to Rent Stabilization (the date in Item 1) and whether this amount is payable monthly or weekly.

Item 15a - Actual Rent Paid on Date in Item 1

If the Actual Rent Paid on the date in item 1 is different from the Legal Regulated Rent on that date, then enter the Actual Rent Paid in item 15a.

Item 15b - Reason for Difference

If an Actual Rent is entered, give the reason for the difference in item 15b.

If you have an order of the DHCR allowing you to register two tiers of Initial Legal Registered Rent, then place an "X" in the box marked "Other," and in the space provided enter: "MT" followed by the Multi-Tier Docket Number (i.e., MT1234567890).

Item 16a - Reason for Initial Apartment Registration

Place an "X" in the appropriate box.

If the building is newly constructed, put an "X" in the box labeled "New Construction".

If a new apartment has been created, put an "X" in the box labeled "Major Rehabilitation".

If more than ninety (90) days has elapsed since the date in item 1, put an "X" in the box labeled "Late Registration".

If at the time of the Initial Building Registration, the apartment was vacant but is being registered within ninety (90) days of the date in item 1, put an "X" in the box labeled "Apartment Vacant at Time of Previous Initial Registration".

If the apartment was previously under Mitchell-Lama regulation or any other Federal, State or municipal laws, put an "X" in the box labeled "Apartment Previously under Mitchell-Lama".

If the apartment was previously occupied by a rent controlled tenant, put an "X" in the box labeled "Apartment Previously Rent Controlled". For previously rent controlled apartments, enter the Rent paid by the prior tenant, the Maximum Collectible Rent (MCR) and the Maximum Base Rent (MBR) for the apartment in the blank spaces. Enter the Date Rent Controlled Tenant Vacated.

If none of the above applies, put an "X" in the box marked "Other," and specify any other reason why Initial Apartment Registration is occurring at this time (e.g., apartment previously exempt from rent regulation because of owner occupancy or occupancy by superintendent, rent-free).

Item 16b - Initial Apartment Registration Status

If on the date in item 1 the apartment was Rent Controlled, place an "X" in the box marked "Rent Control".

If the apartment is Rent Stabilized, place an "X" in the box labeled "Stabilized/ETPA". In addition, if the building receives tax benefits pursuant to RTPL, Sec. 421-a, place an "X" in the appropriate box to indicate whether the unit is a Market Rate unit or Income Restricted unit. If the unit is an Income Restricted unit, fill in the blank providing the household income limitation percentage that applies to the apartment.

If the apartment was Vacant but Previously Rent Stabilized, place an "X" in the box marked "Vacant But Previously Rent Stabilized".

If the apartment is Exempt, place an "X" in the box labeled "Exempt," and place an "X" in the box giving the appropriate reason for the exemption. Those reasons are defined as follows:

If the apartment is used for commercial or professional purposes without any residential use, place and "X" in the box labeled "Commercial/Professional".

If the apartment is used as a residence for the owner, an employee, or a family member of the owner, all without payment of any rent, place an "X" in the box labeled "Owner Occupied/Employee".

If the building is operated exclusively for charitable purposes on a non-profit basis, or the tenant is affiliated to a not-for-profit institution, or the apartment is not the tenant's primary residence, place an "X" in the box marked "Not Prime Residence/Not for Profit".

If the apartment qualifies for High Rent, Vacancy Deregulation place an "X" in the box marked "High Rent, Vacancy Deregulation". Statewide, pursuant to the Rent Regulations and the Rent Regulation Reform Act of 1997, an apartment with a legal regulated rent of $2,000 or more per month on or after June 19, 1997, and which was or becomes vacant on or after June 19, 1997, is not subject to rent regulation.

If the apartment is in a cooperative or condominium and is occupied by the owner or a non-protected tenant, place an "X" in the box marked "Coop/Condo Occupied by Owner or Non-Protected Tenant".

If the apartment was subject to Rent Stabilization as a requirement of another law and the conditions for ending Rent Stabilization coverage have been met, place an "X" in the box which labels the appropriate program.

Item 17 - Owner/Managing Agent Name

Put the name and address of the preparer and place an "X" in the box next to the designation (Owner, Managing Agent or Coop/Condo Owner) which describes the preparer.

Instructions for handling the tenant's copy of the Initial Apartment Registration form RR-1(i)

Address an envelope with the Initial Apartment Registration form enclosed to the tenant named in the lease in effect on the date in item 1, unless that tenant has vacated. If that tenant has vacated, mail it to the current tenant, or if the apartment is currently vacant, mail it to the next tenant to occupy the apartment. In all cases delivery must be via certified mail.


Building Registration

How to complete form RR-2(I) Initial Building Registration

One Initial Registration Summary form must be submitted for each building being registered. One copy must be signed and notarized and returned to DHCR. The other copy is retained by the owner. The numbers below refer to the numbers in the entry boxes on the Initial Registration Summary form RR-2(i).

Item 1 - Building ID Number/Building Type

Enter the building registration ID number and check off the building type.

Items - 2-5 Building Street Address

Copy the building information exactly as it appears in items 4 to 7 of the Initial Apartment Registration form RR-1(i).

Items 6-11 - Owner Name and Address

Enter the name, address, telephone number, and email address of the building owner. For a coop, enter the cooperative's corporate name, address and telephone number. For a condominium, enter the name, address, and telephone number of the homeowner's association.

Items 12-17 - Managing Agent Name and Address

Enter the name, address, telephone number, and email address of the managing agent.

Item 18 - Date Building Became Subject to Rent Stabilization

Enter the date on which the building became subject to Rent Stabilization.

Item 19 - Building Status/Description/Financing Programs

"Class A" multiple dwelling refers to multiple dwellings which are occupied, as a rule, for permanent residence purposes. This class includes apartment hotels, and all other multiple dwellings except "Class B" multiple dwellings.

"Class B" multiple dwelling refers to multiple dwellings which are occupied, as a rule, transiently, as the more or less temporary abode of individuals or families who are lodged with or without meals. This class includes hotels, SRO's and rooming houses.

Building Description

A "Hotel" is an inn having thirty or more sleeping rooms.

"Single Room Occupancy (SRO)" consists of 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. When a Class A multiple dwelling is used wholly or in part for single room occupancy, it remains a Class A multiple dwelling.

"Garden Apartment Complex" consists of certain attached, detached, or semi-detached dwelling units, containing six or more housing accommodations having common facilities such as a sewer line, water main, or heating plant and operated as a unit under common ownership.

Coop/Condo

"Non-Evict Coop/Condo Plan Effective Date" The building has become a cooperative or a condominium without the right to evict any non-purchasing tenants. Enter the plan effective date.

"Evict Coop/Condo Plan Effective Date" The building has become a cooperative or a condominium with the right to evict non-purchasing tenants other than eligible senior citizens or eligible disabled tenants within a specified period of time. Enter the plan effective date.

"Coop/Condo Plan Filed" If a coop/condo conversion plan has been declared effective, or has been accepted for filing by the Attorney General's Office, place an "X" in the box. Give the date that the Plan was declared effective, or if not yet effective, give the date that the Plan was accepted for filing.

Financing Programs

Place an "X" in the box(es) of the applicable financing programs related to the building. If the building receives 421-a tax benefits, enter the total monthly building rent approved by HPD. In addition, enter in the spaces provided the total number of Income Restricted and Market Rate units in the building.

Please note: For HDC and Battery Park projects; as well as projects formerly regulated by HPD or Mitchell Lama, check the box marked "Other" and enter the name of the above organization that is applicable.

Item 20 - Types of Units in Building

Enter the number of units of each type in the building.

Item 21 - Total Number of Apartment Forms Submitted

Enter the total number of apartment forms being submitted.

Item 22 - Affirmation and Certification

This item must be completed either by the individual owner, the building's managing agent, or an officer or partner of the corporation or partnership that owns the building. If the building is owned by a cooperative corporation or a condominium association, the signature must be that of the corporation or association president or the managing agent acting on behalf of that entity. The corporation or association name must be printed on the line provided. The signature in this section should be made before a notary public.


Services Registration

Completing the Initial Building Services Registration form RR-3(i)

One Initial Building Services form must be submitted for each building being registered for the first time. One copy must be posted in the lobby of the building, one copy is returned to DHCR, and one copy is retained by the owner.

The numbers below refer to the numbers in the entry boxes on the Initial Building Services Registration form RR-3(i).

Item 1 - Building ID Number and Type

Copy the information as it appears in item 3 on the Initial Apartment Registration form RR-1(i).

Items 2-5 - Building Address

Copy the building information exactly as it appears in items 4-7 of the Initial Apartment Registration form RR-2(i).

Items 6-11 - Managing Agent Information

Enter the name, address, and telephone number of the managing agent if applicable.

Item 12 - Floors

Enter the number of floors/stories in the building.

Items 13 - Who pays for the Heat?

Place an "X" in the appropriate box indicating whether heat for individual apartments is provided by the owner to the tenants as part of the rent, or whether the tenants pay for their heat as an additional charge to the rent.

Item 14 - Fuel Type

Place an "X" in the appropriate box identifying the fuel used to heat the building. If oil is marked, also circle the type(s) of oil used.

Item 15 - Services

Place an "X" in the appropriate box(es) for each of the services listed which is provided by the owner to all tenants and is included in the rent.

In addition, if "Maintenance Services" is marked off, also enter the total number of full-time and part-time workers employed (full-time is considered 30 hours or more).

If "Door /Lobby Attendant" is marked off, enter the total number of hours per day this service is provided. If the hours differ on different days then enter the range of hours the service is provided. Example 8-16 hours per day.

If "Attended Elevator" is marked off, follow the instructions for Door/Lobby Attendant above.

Place an "X" in the box marked "Other" if other services are provided as part of the rent which are not listed in item 15 and specify the service.

Item 16 - Posting Date

Enter the date on which a copy of this Building Services form will be posted in the lobby of the building. This date may be no later than the date on which this registration is filed with DHCR.

Instructions for posting the Buildings Services Form RR-3(i)

One copy is to be posted in the building in a conspicuous location in the lobby for viewing by the tenants. In buildings which have no lobby, the form should be posted directly outside the managing agent's on-premise office.


DHCR Filing/Contact Information

Filing the Initial Registration with DHCR

Please follow the steps below:

Place one copy of the Initial Registration Summary form and one copy of the Initial Building Services form on top of the stack of Initial Apartment Registration forms.

Keep a copy of the forms for your records.

Place the registration forms in an envelope large enough to hold them flat and mail them to:

DHCR Processing Services Unit
Hampton Plaza
38-40 State Street
Albany, New York 12207
Email: PSU@nyshcr.org


Policy Statement 89-7
(June 21, 1989)

Collection of Administrative Fees: Housing Accommodations
Permanently Not Subject to the RSL or ETPA and Application Form


Last updated on 03/12/08