HPD Lead-Based Paint — Complete System Model (authoritative spec)
Built from the curated reference set in
Desktop\HPD LEAD BASED PAINT Documentation(every instruction sheet, all contestation forms 616/621/622/623/624/625, the RPO/618-619-620 package, the Dismissal Request package, and the Exemption application). This is the ground truth the app's data model + workflow engine must encode. Companion:archive/HPD_DOMAIN_VALIDATION.md(app-vs-truth diffs, historical).
1. The three violation families + order taxonomy
| Family | Orders | What it is |
|---|---|---|
| Hazard | 616, 617, 624 | Lead-based paint (LBP) hazard found in an occupied unit (Class C, immediately hazardous) |
| Turnover | 614, 621, 622, 623, 625 | Failure to do required LBP turnover work when a unit was vacated & re-occupied (§27-2056.8) |
| Audit / Records (RPO) | 618, 619, 620 | Failure to produce LBP recordkeeping to HPD's Audit Unit. 618 = full audit triggered by a DOHMH Commissioner's Order to Abate (COTA) (a lead-poisoning case); 619 = annual-notice & investigation records only; 620 = full records audit (routine, non-COTA) |
| Local Law 31 | 626 | Failure to complete/prove the 5-year XRF testing (LL31 of 2020; effective Aug 9 2020, testing due Aug 9 2025). Cured by submitting the XRF inspection report (positive + negative surfaces) + EPA certs (+ inspector affidavit if tested after 8/9/2020) to the Audit Unit. $1,500/violation. No abatement, no fee, no reinspection. Rare in practice. |
| Legacy / retired | 555, 614 | 555 (hazard) dismissed via AF-3 + dust-wipe clearance for work done before Aug 1, 2004 (AF-3 also covers 610/611/612); 614 = retired turnover order |
Hazard ↔ Turnover pairings (CONFIRMED by the contestation form titles):
| Hazard | ↔ Turnover | Condition |
|---|---|---|
| 616 Presumed LBP | 621 Turnover – Presumed | Surfaces presumed LBP (pre-1960, child <6), not yet tested |
| 617 Positive LBP | 622 Turnover – Positive | HPD XRF tested positive (≥0.5 mg/cm², NYC LL66 of 2019, HPD-effective Dec 1 2021) → must abate |
| 624 Inconclusive XRF | 625 Turnover – Inconclusive | HPD XRF inconclusive (0.5 mg/cm²) → presumed LBP until resolved |
| — | 623 Turnover – general | Peeling/deteriorated paint at turnover; tied to the RPO/audit (contest clock runs from the Record Production Order date); unique extra contest ground = surface condition |
2. The four resolution paths (what an owner can do with a violation)
For every hazard/turnover violation, the owner (via the service provider) chooses ONE path:
- CONTEST — argue the violation shouldn't have issued. File the order-specific contestation form before the correction date (hazard 616/624 forms say mail ≥6 days prior; turnover forms say no later than the correction date, instructions say ≥5 days prior). Grounds in §3.
- CURE & CERTIFY — do the work, then file the Certification of Correction + affidavits by the correction date. (Presumed orders can cure by proving negative via XRF instead of abating.)
- POSTPONE — request an extension of the correction date (1st then 2nd postponement request), ≥5 days before the date. Buys time; doesn't resolve.
- DISMISS — after the correction date has passed (overdue), request dismissal/reinspection (see §6). For 616/617/624 the overdue affidavit is AF-5.
3. The 5 contest grounds (and per-order availability)
| # | Ground | Proof needed | Available for |
|---|---|---|---|
| 1 | Length of tenancy — tenant moved in before Aug 2, 2004 (623: before 10 yrs of RPO date) | lease/initial-occupancy documentation | all |
| 2 | Building age — built ≥1960, no LBP knowledge, no prior tested LBP violations | Certificate of Occupancy | all |
| 3 | Existing HPD Lead-Free Exemption for the unit | active exemption on file | all (but a positive finding revokes it) |
| 4 | Content of lead — prove no LBP | report + EPA cert + inspector affidavit (+ NYS lab analysis for paint-chip) | 616, 621, 623: XRF-negative or paint-chip · 624: paint-chip ONLY (XRF can't resolve an inconclusive-origin violation) · 625: paint-chip on the violation surface + XRF/paint-chip on other surfaces · NOT 617/622 (positive — can't disprove) |
| 5 | Surface condition — no painted friction surfaces; floors/sills/wells smooth & cleanable | (inspection may verify) | 623 only |
⚠️ The XRF-vs-paint-chip rule is order-specific: XRF clears presumed surfaces (616/621/623); inconclusive surfaces require paint-chip and XRF is not accepted (all of 624; the 625 violation surface). Positive surfaces (617/622) must be abated.
4. The four services → what they do, who performs, thresholds
| Service | Who (cert) | What it proves / does | Key thresholds |
|---|---|---|---|
| XRF testing | EPA-certified Inspector / Risk Assessor | Tests painted surfaces for LBP; proves no LBP (contest presumed/inconclusive) or finds positive; basis for exemptions | LBP ≥ 0.5 mg/cm² (NYC LL66 of 2019, HPD-effective Dec 1 2021; federal EPA/HUD action level remains 1.0 — NYC's stricter standard governs HPD work). Inconclusive is device-specific per each XRF's HUD Performance Characteristic Sheet (owner 2026-07-13): HPD's Viken Pb200i reads exactly 0.5 = inconclusive (→ 624/625); HPD also treats a positive on metal/ceramic substrate as inconclusive (L-06 624 rev 11/2025, in effect 2026). Our SciAps X-550 has no inconclusive range — 0.5 = positive per its PCS, and a paint-chip cannot be taken to reclassify it |
| Paint-chip sampling | EPA-certified Inspector/Risk Assessor + NYS-certified lab | Resolves inconclusive XRF (lab-analyzed); the only accepted proof on a 624/625 violation surface | lab analysis (no LBP per LL1/2004) |
| Lead abatement | EPA-certified Abatement firm + Supervisor/Project Designer (+ Worker if encapsulant) | CURE confirmed/presumed LBP: removal/replacement (→ Lead-Free) or encapsulation/containment (→ Lead-Safe) | encapsulation not allowed on friction/impact/heat surfaces; chewable surfaces MAY be encapsulated with an approved hard, puncture-resistant encapsulant by certified applicators (HPD turnover page; owner-confirmed 2026-07-13) |
| Dust-wipe sampling | independent EPA-certified Inspector/Risk Assessor (≥1 hr post-abatement, not the abatement firm/owner) | Clearance test after abatement; required for every cure/cert work path | post-6/1/2021: floors 5, sills 40, wells 100 µg/ft² |
4a. Service triggers & scoping rules (firm practice — owner-supplied 2026-06-11)
| Service | Triggered by | Scoping rule |
|---|---|---|
| XRF testing | (a) any HPD/DOH lead violation where XRF is an allowable proof; (b) a local-authority request; (c) LL31 5-yr testing; (d) voluntary — an owner/tenant simply wants the unit checked ("fear of lead") | Full unit / common-area per service level; LL31 = all required surfaces incl. positives+negatives in the report |
| Lead abatement | (a) HPD violation (617/622 or any cure-by-work path); (b) DOH violation; (c) COTA (DOHMH Commissioner's Order to Abate); (d) voluntary post-XRF — our own XRF found positives and the owner wants them removed | Violation-driven: scope from the violation details (cited surfaces) or the DOH XRF. Voluntary: scope from OUR XRF report's positive readings. ⚠️ Metal-substrate exception (below) may remove surfaces from the abatement scope. |
| Dust-wipe sampling | ONLY (a) post-abatement clearance (every abatement, incl. the AF-5 overdue route) or (b) the legacy 555 dismissal (AF-3 + dust-wipe) | Rooms/components where abatement occurred |
| Paint-chip sampling | The gold standard of lead testing but the most expensive — used only when (a) XRF cannot resolve (inconclusive-origin: 624; 625 violation surface); (b) the order is violation-specific to paint-chip; (c) the metal-substrate exception; (d) a direct manager/owner request | Per the triggering surface(s) |
⚠️ Metal-substrate exception (firm practice): XRF can read the METAL beneath the paint and produce a false positive on metal substrates. When OUR XRF report shows a positive on a metal substrate, the firm may take paint chips ON TOP of that surface — negative lab chips clear the surface without abatement. This applies to scoping decisions from the firm's own XRF report (voluntary work and pre-filing assessment). It does NOT override the per-order HPD contest matrix in §5 — and it is CONSISTENT with HPD's own protocol: a metal-substrate reading on HPD's side issues as a 624 (inconclusive), not a 617 positive (owner-confirmed 2026-06-11), and the 624 already routes to paint-chip-only resolution.
Chain-of-custody conventions (firm practice, owner-supplied 2026-06-11):
- Every CoC must name the lab vendor the samples are being sent to for analysis.
- Violation-driven CoCs: sample descriptions must mirror the violation's wording EXACTLY —
the standard clearance set per affected room is THREE samples: floor, window sill, window
well — each described as
<Surface> — <HPD-style room position>(e.g. "Floor — 1st Room from East"). - XRF-driven CoCs (voluntary / scoped from our report): descriptions use whatever room names the XRF report used for the rooms where abatement happened.
5. Per-order resolution matrix (PRECISE — every order differs; do not generalize)
Hazard orders (overdue → AF-5, then dismissal):
- 616 (Presumed) — Contest: building age · exemption · XRF shows no LBP (or paint-chip if a surface reads inconclusive). Cure: abatement + dust-wipe clearance + Certification of Correction.
- 617 (Positive) — No "content" contest (cannot disprove HPD's positive test); contest only via age/exemption. Cure: must abate + dust-wipe + Certification.
- 624 (Inconclusive) — ⚠️ XRF CANNOT resolve it — the violation came from an inconclusive XRF reading, so re-running XRF proves nothing. Contest: paint-chip ONLY (proves no LBP). Cure: abatement + dust-wipe.
Turnover orders (about window/door friction surfaces; simplest removal = negative friction-surface XRF proving no LBP → no turnover work was required). Overdue → docs to Lead-Based Paint Unit (no fee, no AF-5).
- 621 (Presumed ↔616) — simplest: negative friction XRF; also tenancy · age · exemption · paint-chip (if inconclusive). Cure: turnover abatement + dust-wipe.
- 622 (Positive ↔617) — ⚠️ a 622 is normally co-issued with a 617 (HPD already confirmed positive LBP → work is known to be required). The cert form explicitly forbids negative friction XRF (Option #4/#5) on any window/door surface tested positive / with an open 617. So 622 = CURE by abatement of the positive surface(s) + dust-wipe; contest only via tenancy/age/exemption — NOT XRF-clearable. DEPENDENCY: a 622 cannot be dismissed while an open 617 exists in the apartment — resolve the 617 first.
- 623 (General / audit-tied; tenancy clock from RPO date) — tenancy · age · exemption · negative friction XRF · paint-chip · surface-condition (no painted friction surfaces; floors/sills/wells smooth & cleanable). Cure: turnover abatement.
- 625 (Inconclusive ↔624) — ⚠️ CONTEST route: violation surface = paint-chip ONLY (XRF not accepted there per the L-06 625 form); the other friction surfaces may use XRF-negative or paint-chip. CERT route (owner ruling 2026-07-13): with no open 624/617 in the apartment, a negative friction-surface XRF (turnover cert Opt #4) clears it — no paint-chip needed (our X-550 reads a definitive negative where HPD's Pb200i was inconclusive; mirrors the 622 pattern). Cure-by-work: abatement. Cannot dismiss while the paired 624 is open.
Records / Local Law 31 / legacy (no abatement; certify/produce docs to Audit Unit):
- 618 / 619 / 620 (RPO) — produce records: annual notice (AF-RPO2), investigation (AF-RPO3/4), work (AF-5 + abatement), non-violation work (AF-RPO5), turnover (AF-RPO6/7), LL31 testing (AF-RPO8/9). 619 = annual-notice/investigation only; 618 (COTA) / 620 (routine) = all sections.
- 626 (LL31) — submit the XRF inspection report to the Audit Unit (no abatement).
- 555 / 614 (retired) — 555: AF-3 + dust-wipe (work pre-Aug-1-2004); 614: retired turnover.
Quick rule of thumb: presumed (616/621/623) → XRF can clear it. Inconclusive (624; 625 violation surface) → paint-chip required, XRF cannot. Positive (617/622 surface) → must abate. Turnover → it's all about the friction surfaces.
5a. Cross-violation interdependencies (the app MUST enforce)
- A positive surface can NEVER be XRF-cleared — only abated. This applies to 617, and to any 622/turnover surface that tested positive (open 617).
- 622 is blocked by an open 617 in the same apartment: you cannot dismiss the 622 until the 617 is resolved (abated + dust-wipe). 617 and 622 commonly co-issue on the same friction surface.
- General: when multiple orders cite the same surface/unit, resolving the underlying hazard order may be a prerequisite for clearing the paired turnover order. The workflow must surface these dependencies (don't let a user attempt an XRF-clear path that HPD will reject).
6. Dismissal — THREE distinct pathways (do not conflate)
| Violation type | Pathway | Fee | Reinspection? | Submit to |
|---|---|---|---|---|
| Hazard 616/617/624 | Dismissal Request (DR-1) + supporting docs | Yes ($250 priv / $300–$500 MD by open-violation count / $1000 AEP) | Yes (unless HPDOnline already shows corrected) | Code Enforcement Borough Office |
| Turnover 614/621/622/623/625 | Docs + reinspection by Lead-Based Paint Inspection Unit | No fee | Yes | Lead-Based Paint Unit (212-863-5501 opt 5) |
| Records 618/619/620 | Docs to Audit Unit | No fee | No | Audit Unit |
| (overdue lead, before formal DR) | AF-5 affidavit (616/617/624) | — | — | Code Enforcement |
(The CV-1 post-dismissal self-certification excludes all lead orders 616–626 — not usable for lead.)
7. Exemption (a major service deliverable) — §27-2056.5(a)
Removes the LBP presumption for a unit/building so the owner no longer must give annual notices or do annual inspections. Eligibility: pre-1960, 3+ unit (multiple dwelling), validly registered, no open 617 or 618 violations.
| Status | Meaning | Ongoing obligation |
|---|---|---|
| Lead-Free | every tested surface negative, OR LBP permanently removed/replaced | none (permanent unless revoked) |
| Lead-Safe | LBP abated via encapsulation/containment (not permanent) | Monitoring plan: visual at 1mo, 6mo, then annual; risk assessment every 2 yrs; records 10 yrs; for life of surface (≥20 yrs) |
Service to produce it = XRF inspection (+ abatement + dust-wipe clearance if LBP found). Exemption is revocable (new LBP evidence, containment failure, recordkeeping lapse, new DOHMH/HPD order). A positive finding during a 622 contest auto-revokes any existing exemption.
8. Multi-user model (role → allowed actions)
The app gates each step of cure/contest/dismiss by role; the client sees a read-only/owner-action subset.
| Role | Can do |
|---|---|
| Inspector (EPA cert) | XRF testing, paint-chip sampling, dust-wipe clearance; upload inspection reports + field affidavits; confirm/correct unit address |
| Abatement crew / Supervisor (EPA cert) | Record abatement work (method, rooms/components), upload abatement firm affidavit + certs |
| Floor-plan artist | Convert inspector hand-drawn plans → digital floor plans for the report package |
| Compliance | Assemble document packages, validate completeness vs the order's matrix, generate Certification of Correction / contestation / AF-5 / RPO affidavits, determine path (contest vs cure vs dismiss), license verification |
| Project Manager | Intake, schedule inspectors, drive the pipeline, postponement requests |
| Billing | Invoice the owner for services; track lab/vendor costs |
| Client (owner / managing agent) | See their buildings/units/violations + live status + deadlines; receive & e-sign/notarize the owner Certification; download final packages. Sees ONLY their own scope. |
| Admin / Developer | Everything / internal build visibility |
Owner-only legal acts (must be the registered owner/agent): signing the Certification of Correction, the exemption application, the dismissal request, postponement requests.
9. Data-model implications (what the app must track)
- Violation: order #, family (hazard/turnover/records), pair, class, status, issue/correct-by/certify-by dates, surfaces cited, rent-impairing, contestable-flag, chosen path, linked/blocking violations (e.g. 622 blocked by open 617 on the same surface/unit).
- Unit-level: child-under-6 "resides" flag (lives there OR 10+ hrs/wk, pre-1960), tenant move-in date (contest ground 1), lead-free/lead-safe exemption + expiry + monitoring schedule, LL31 5-yr test status (due Aug 9 2025).
- Service records: XRF report, paint-chip + lab analysis, abatement (firm/supervisor/worker certs, method, per-room), dust-wipe clearance (results vs thresholds, independence), each with EPA-cert validity windows + notarized affidavits.
- Path artifacts: contestation form + grounds + evidence; certification of correction; AF-5; dismissal request (fee tier, unit/pathway); postponement (1st/2nd); RPO sections; exemption application + status + monitoring log.
- Deadlines/automation: contest/postpone window (≥5–6 days before correct-by), overdue→dismissal, exemption monitoring (1mo/6mo/annual), LL31 testing, EPA-cert expiries.