HPD lead-based paint — system model
The legal and operational model behind Complied's HPD lead-paint work: the violation families, the four resolution paths, the contest grounds, the four services, the dismissal pathways, the exemption program and the roles involved. It is written for compliance staff and for engineers who need the ground truth the data model and workflow encode. The per-order details (documents, deadlines, deployments) are in rulebook.md.
Sources: every instruction sheet, the contestation forms for 616/621/622/623/624/625, the RPO / 618-619-620 package, the Dismissal Request package and the Exemption application.
1. The three violation families and the order taxonomy
| Family | Orders | What it is |
|---|---|---|
| Hazard | 616, 617, 624 | A lead-based paint (LBP) hazard found in an occupied unit (Class C, immediately hazardous) |
| Turnover | 614, 621, 622, 623, 625 | Failure to do the required LBP turnover work when a unit was vacated and re-occupied (§27-2056.8) |
| Audit / Records (RPO) | 618, 619, 620 | Failure to produce LBP recordkeeping to HPD's Audit Unit. 618 is a full audit triggered by a DOHMH Commissioner's Order to Abate (COTA) (a lead-poisoning case); 619 covers annual-notice and investigation records only; 620 is a full routine (non-COTA) records audit |
| Local Law 31 | 626 | Failure to complete or prove the five-year XRF testing (LL31 of 2020; effective Aug 9, 2020, testing due Aug 9, 2025). Cured by submitting the XRF inspection report (positive and negative surfaces) with EPA certifications (and an inspector affidavit if tested after 8/9/2020) to the Audit Unit. $1,500 per violation. No abatement, no fee, no reinspection. Rare in practice. |
| Legacy / retired | 555, 614 | 555 (hazard) is dismissed with AF-3 and dust-wipe clearance for work done before Aug 1, 2004 (AF-3 also covers 610, 611, 612); 614 is a retired turnover order |
Hazard and turnover pairings (confirmed by the contestation form titles):
| Hazard | Turnover | Condition |
|---|---|---|
| 616 Presumed LBP | 621 Turnover — Presumed | Surfaces presumed LBP (pre-1960, child under 6), not yet tested |
| 617 Positive LBP | 622 Turnover — Positive | HPD XRF tested positive (0.5 mg/cm² or more; NYC LL66 of 2019, HPD-effective Dec 1, 2021), so it must be abated |
| 624 Inconclusive XRF | 625 Turnover — Inconclusive | HPD XRF inconclusive (0.5 mg/cm²), so LBP is presumed until resolved |
| — | 623 Turnover — general | Peeling or deteriorated paint at turnover, tied to the RPO / audit (the contest clock runs from the Record Production Order date); its unique extra contest ground is surface condition |
2. The four resolution paths
For every hazard or turnover violation, the owner (through the service provider) chooses one path:
- Contest — argue the violation should not have issued. File the order-specific contestation form before the correction date (the hazard 616 and 624 forms say mail at least 6 days prior; the turnover forms say no later than the correction date, and the instructions say at least 5 days prior). Grounds are in §3.
- Cure and certify — do the work, then file the Certification of Correction and affidavits by the correction date. Presumed orders can cure by proving negative with XRF instead of abating.
- Postpone — request an extension of the correction date (a first, then a second request), at least 5 days before the date. It buys time and does not resolve the violation.
- Dismiss — after the correction date has passed (overdue), request dismissal or reinspection (§6). For 616, 617 and 624 the overdue affidavit is AF-5.
3. The five contest grounds and per-order availability
| # | Ground | Proof needed | Available for |
|---|---|---|---|
| 1 | Length of tenancy — the tenant moved in before Aug 2, 2004 (623: before 10 years of the RPO date) | lease or initial-occupancy documentation | all |
| 2 | Building age — built 1960 or later, no LBP knowledge, no prior tested LBP violations | Certificate of Occupancy | all |
| 3 | Existing HPD Lead-Free Exemption for the unit | an active exemption on file | all (but a positive finding revokes it) |
| 4 | Content of lead — prove no LBP | report, EPA certification and inspector affidavit (plus NYS lab analysis for paint-chip) | 616, 621, 623: XRF-negative or paint-chip · 624: paint-chip only (XRF cannot resolve an inconclusive-origin violation) · 625: paint-chip on the violation surface plus XRF or paint-chip on other surfaces · not 617 or 622 (positive; it cannot be disproved) |
| 5 | Surface condition — no painted friction surfaces; floors, sills and wells smooth and cleanable | (an inspection may verify) | 623 only |
The XRF-versus-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
| Service | Who (certification) | What it proves or does | Key thresholds |
|---|---|---|---|
| XRF testing | EPA-certified Inspector / Risk Assessor | Tests painted surfaces for LBP; proves no LBP (contest presumed or inconclusive), or finds a positive; the basis for exemptions | LBP is 0.5 mg/cm² or more (NYC LL66 of 2019, HPD-effective Dec 1, 2021; the federal EPA/HUD action level remains 1.0, and NYC's stricter standard governs HPD work). "Inconclusive" is device-specific, per each XRF's HUD Performance Characteristic Sheet: HPD's Viken Pb200i reads exactly 0.5 as inconclusive (→ 624 and 625), and HPD also treats a positive on a metal or ceramic substrate as inconclusive (L-06 624 rev 11/2025). The firm's SciAps X-550 has no inconclusive range: 0.5 is positive per its sheet, and a paint-chip cannot reclassify it. |
| Paint-chip sampling | EPA-certified Inspector/Risk Assessor plus a NYS-certified lab | Resolves an inconclusive XRF (lab-analyzed); the only accepted proof on a 624 or 625 violation surface | lab analysis (no LBP per LL1/2004) |
| Lead abatement | EPA-certified abatement firm plus Supervisor / Project Designer (plus Worker if an encapsulant is used) | CURES confirmed or presumed LBP: removal or replacement (→ Lead-Free) or encapsulation or containment (→ Lead-Safe) | encapsulation is not allowed on friction, impact or heat surfaces; chewable surfaces may be encapsulated with an approved hard, puncture-resistant encapsulant applied by certified applicators |
| Dust-wipe sampling | an independent EPA-certified Inspector/Risk Assessor (at least 1 hour after abatement; not the abatement firm or the owner) | Clearance test after abatement; required for every cure or certification work path | after 6/1/2021: floors 5, sills 40, wells 100 µg/ft² |
4a. Service triggers and scoping rules
| Service | Triggered by | Scoping rule |
|---|---|---|
| XRF testing | (a) any HPD or DOH lead violation where XRF is an allowable proof; (b) a local-authority request; (c) LL31 five-year testing; (d) voluntary — an owner or tenant wants the unit checked ("fear of lead") | Full unit or common area per service level; LL31 covers all required surfaces, with positives and negatives in the report |
| Lead abatement | (a) an HPD violation (617, 622 or any cure-by-work path); (b) a DOH violation; (c) a COTA (DOHMH Commissioner's Order to Abate); (d) voluntary after XRF — the firm's 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 the firm's XRF report's positive readings. The metal-substrate exception below may remove surfaces from the scope. |
| Dust-wipe sampling | only (a) post-abatement clearance (every abatement, including the AF-5 overdue route) or (b) the legacy 555 dismissal (AF-3 plus dust-wipe) | Rooms and components where abatement occurred |
| Paint-chip sampling | The gold standard of lead testing and the most expensive; used only when (a) XRF cannot resolve (inconclusive-origin: 624; the 625 violation surface); (b) the order is violation-specific to paint-chip; (c) the metal-substrate exception; or (d) a direct manager or owner request | Per the triggering surface or surfaces |
Metal-substrate exception. XRF can read the metal beneath the paint and produce a false positive on metal substrates. When the firm's own XRF report shows a positive on a metal substrate, the firm may take paint chips on top of that surface, and 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, and the 624 already routes to paint-chip-only resolution.
Chain-of-custody conventions:
- Every chain of custody names the lab vendor the samples are sent to for analysis.
- Violation-driven chains of custody: the standard clearance set per affected room is
three samples: floor, window well, window sill. Each is described room first, in HPD's own
room naming:
<Room> - <Surface>(for example "1st Room from North at East - Floor", "Kitchen - Window Well"). HPD names rooms positionally except Foyer, Kitchen, Bathroom and Private Hallway. Add an adjacent room next to the work where no abatement was done (normally a floor wipe, taggedAdjacent - <Room> - <Surface>) and a trailingBlank. - XRF-driven chains of custody (voluntary, or scoped from the firm's report): descriptions use whatever room names the XRF report used for the rooms where abatement happened.
5. Per-order resolution matrix
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 and a Certification of Correction.
- 617 (Positive) — No "content" contest (HPD's positive test cannot be disproved); contest only on age or exemption. Cure: must abate, then dust-wipe and 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 and dust-wipe.
Turnover orders (about window and door friction surfaces; the simplest removal is a negative friction-surface XRF proving no LBP, which means no turnover work was required). Overdue → documents to the Lead-Based Paint Unit (no fee, no AF-5).
- 621 (Presumed ↔ 616) — simplest: negative friction XRF; also tenancy, age, exemption and paint-chip (if inconclusive). Cure: turnover abatement and dust-wipe.
- 622 (Positive ↔ 617) — a 622 is normally co-issued with a 617 (HPD has already confirmed positive LBP, so work is known to be required). The certification form explicitly forbids a negative friction XRF (Options 4 and 5) on any window or door surface tested positive or with an open 617. So a 622 is cured by abating the positive surfaces plus dust-wipe; contest only on tenancy, age or exemption; it is not XRF-clearable when a 617 is open. A 622 cannot be dismissed while an open 617 exists in the apartment; resolve the 617 first.
- 623 (General, audit-tied; tenancy clock from the RPO date) — tenancy, age, exemption, negative friction XRF, paint-chip and surface condition (no painted friction surfaces; floors, sills and wells smooth and cleanable). Cure: turnover abatement.
- 625 (Inconclusive ↔ 624) — contest route: the violation surface is paint-chip only (XRF is not accepted there per the L-06 625 form); the other friction surfaces may use XRF-negative or paint-chip. Certification route: with no open 624 or 617 in the apartment, a negative friction-surface XRF (turnover certification Option 4) clears it, with no paint-chip needed, because the firm's X-550 reads a definitive negative where HPD's Pb200i was inconclusive. Cure by work: abatement. A 625 cannot be dismissed while the paired 624 is open.
Records, Local Law 31 and legacy (no abatement; certify or produce documents to the Audit Unit):
- 618 / 619 / 620 (RPO) — produce records: annual notice (AF-RPO2), investigation (AF-RPO3/4), work (AF-5 plus abatement), non-violation work (AF-RPO5), turnover (AF-RPO6/7) and LL31 testing (AF-RPO8/9). 619 is annual-notice and investigation only; 618 (COTA) and 620 (routine) cover all sections.
- 626 (LL31) — submit the XRF inspection report to the Audit Unit (no abatement).
- 555 / 614 (retired) — 555: AF-3 plus dust-wipe (work before Aug 1, 2004); 614: a retired turnover order.
Rule of thumb. Presumed (616, 621, 623) → XRF can clear it. Inconclusive (624; the 625 violation surface) → paint-chip required, XRF cannot. Positive (617, 622 surface) → must abate. Turnover is all about the friction surfaces.
5a. Cross-violation interdependencies
- A positive surface can never be XRF-cleared, only abated. This applies to 617 and to any 622 or turnover surface that tested positive (an open 617).
- A 622 is blocked by an open 617 in the same apartment: the 622 cannot be dismissed until the 617 is resolved (abated plus dust-wipe). The 617 and 622 commonly co-issue on the same friction surface.
- In general, when several orders cite the same surface or unit, resolving the underlying hazard order may be a prerequisite for clearing the paired turnover order. The workflow surfaces these dependencies so a user does not attempt an XRF-clear path that HPD will reject.
6. Dismissal — three distinct pathways
| Violation type | Pathway | Fee | Reinspection | Submit to |
|---|---|---|---|---|
| Hazard 616 / 617 / 624 | Dismissal Request (DR-1) plus supporting documents | Yes ($250 private / $300–$500 multiple dwelling by open-violation count / $1000 AEP) | Yes (unless HPDOnline already shows corrected) | Code Enforcement Borough Office |
| Turnover 614 / 621 / 622 / 623 / 625 | Documents plus reinspection by the Lead-Based Paint Inspection Unit | No fee | Yes | Lead-Based Paint Unit (212-863-5501 option 5) |
| Records 618 / 619 / 620 | Documents to the Audit Unit | No fee | No | Audit Unit |
| (overdue lead, before a formal DR) | AF-5 affidavit (616 / 617 / 624) | — | — | Code Enforcement |
The CV-1 post-dismissal self-certification excludes all lead orders 616–626 and cannot be used for lead.
7. Exemption — §27-2056.5(a)
An exemption removes the LBP presumption for a unit or building, so the owner no longer gives annual notices or does annual inspections. Eligibility: pre-1960, three or more units (a multiple dwelling), validly registered, and no open 617 or 618 violations.
| Status | Meaning | Ongoing obligation |
|---|---|---|
| Lead-Free | every tested surface is negative, or LBP was permanently removed or replaced | none (permanent unless revoked) |
| Lead-Safe | LBP abated by encapsulation or containment (not permanent) | a monitoring plan: a visual inspection at 1 month, 6 months, then annually; a risk assessment every 2 years; records kept 10 years; for the life of the surface (20 years or more) |
The 1 month, 6 months, annual visual ladder applies to encapsulated surfaces. The application's own printed "Lead Safe Monitoring Plan" instructions make contained surfaces annual-only, with no 1-month or 6-month visit.
The service that produces an exemption is an XRF inspection (plus abatement and dust-wipe clearance if LBP is found). An exemption is revocable (new LBP evidence, a containment failure, a recordkeeping lapse, a new DOHMH or HPD order). A positive finding during a 622 contest automatically revokes any existing exemption.
8. Multi-user model — role to allowed actions
Each step of cure, contest and dismiss is done by a role; the client sees a read-only or owner-action subset. In the app these are permission-based roles (see permissions); this table is the legal and operational division of labor.
| Role | Can do |
|---|---|
| Inspector (EPA certification) | XRF testing, paint-chip sampling and dust-wipe clearance; upload inspection reports and field affidavits; confirm or correct the unit address |
| Abatement crew / Supervisor (EPA certification) | Record abatement work (method, rooms and components); upload the abatement firm affidavit and certifications |
| Floor-plan artist | Convert the inspector's hand-drawn plans into digital floor plans for the report package |
| Compliance | Assemble document packages, validate completeness against the order's matrix, generate the Certification of Correction, contestation, AF-5 and RPO affidavits, determine the path (contest, cure or dismiss), verify licenses |
| Project Manager | Intake, schedule inspectors, drive the pipeline, postponement requests |
| Billing | Invoice the owner for services; track lab and vendor costs |
| Client (owner or managing agent) | See their buildings, units, violations, live status and deadlines; receive and sign the owner Certification; download final packages. Sees only their own scope. |
| Admin | Everything |
Owner-only legal acts (must be the registered owner or agent): signing the Certification of Correction, the exemption application, the dismissal request and postponement requests.
9. What the system tracks
- Violation: order number, family (hazard, turnover, records), pair, class, status, issue / correct-by / certify-by dates, surfaces cited, rent-impairing flag, contestable flag, chosen path, and linked or blocking violations (for example a 622 blocked by an open 617 on the same surface or unit).
- Unit level: a child-under-6 "resides" flag (lives there, or 10+ hours per week, pre-1960), the tenant move-in date (contest ground 1), the lead-free or lead-safe exemption with expiry and monitoring schedule, and LL31 five-year test status (due Aug 9, 2025).
- Service records: the XRF report, paint-chip and lab analysis, abatement (firm, supervisor and worker certifications, method, per-room detail) and dust-wipe clearance (results against thresholds, independence), each with EPA-certification validity windows and notarized affidavits.
- Path artifacts: the contestation form, grounds and evidence; the certification of correction; AF-5; the dismissal request (fee tier, unit and pathway); postponements (first and second); RPO sections; the exemption application, status and monitoring log.
- Deadlines and automation: the contest and postpone window (at least 5–6 days before the correct-by date), overdue → dismissal, exemption monitoring (1 month, 6 months, annual), LL31 testing, and EPA-certification expiries.