Manhattan · Block 866 · Lot 76 · 10016

397 5 Avenue

8.5 floors · 156,751 sq ft · built 1906 · class O6 · owner of record: 9 East 36th Llc

34open violations
$12,500ECB/OATH penalties owed
0HPD class C (immediately hazardous)
66dto Energy audit and retro-commissioning (2026)

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New violations the morning after they're issued, plus deadline reminders. Free for one building.

Compliance deadlines

RequirementDueStatus
Annual parapet observation Check
Local Law 126 · By December 31 each year
What this is

If the building has a parapet facing a street, sidewalk or other public way, a competent person (such as a mason, engineer or architect) must observe it every year and the owner keeps the report for DOB on request. Detached one- and two-family homes are exempt. Agency page

Dec 31, 2026
in 66 days
Keep the report on file (not filed with DOB)
Energy audit and retro-commissioning (2026) Likely applies
Local Law 87 · Calendar year 2026
What this is

Buildings over 50,000 sq ft file an Energy Efficiency Report every ten years, in the year whose last digit matches the last digit of the tax block (block 866). Agency page

Dec 31, 2026
in 66 days
Due this year
Facade inspection report (Cycle 10A) Applies
Local Law 11 / FISP · Feb 21, 2025 to Feb 21, 2027
What this is

Buildings taller than six stories file a facade inspection report by a QEWI once every five-year cycle. Tax blocks ending in 4, 5, 6 or 9 are in sub-cycle 10A. DOB facade records for this building show $210,000 in late-filing or failure-to-file penalties. Agency page

Feb 21, 2027
in 118 days
No Cycle 10 report on record yet
Energy and water benchmarking Likely applies
Local Law 84 · May 1 each year
What this is

Buildings over 25,000 sq ft (this lot shows 156,751 sq ft) report energy and water use for the prior calendar year through ENERGY STAR Portfolio Manager. The city's Covered Buildings List is the final word on which buildings must file. Agency page

May 1, 2027
in 187 days
Annual filing
Building emissions report Likely applies
Local Law 97 · May 1 each year (extensions available)
What this is

Covered buildings file an annual greenhouse gas emissions report certified by a registered design professional. Buildings over their emissions limit owe penalties, so it pays to check early. Agency page

May 1, 2027
in 187 days
Annual filing
Gas piping inspection (2029 cycle) Likely applies
Local Law 152 · During 2029
What this is

Buildings with gas piping (except one- and two-family homes) need a periodic gas piping inspection by a licensed master plumber every four years. Community district 5 is on the 2029 cycle; certification is filed with DOB after the inspection. Buildings with no gas piping file a certification instead. Agency page

Dec 31, 2029
in 1162 days
Next cycle year 2029
Annual boiler inspection (1 boiler) Applies
Boiler inspection · By December 31 each year
What this is

Boilers are inspected each calendar year and the report is filed in DOB NOW: Safety within 14 days of the inspection (low-pressure boilers in residential buildings of 5 or fewer families are exempt). Latest report on record: 2026-08-05 (Accepted). Agency page

On file2026 reports accepted

Open violations

ECB / OATH (6) · $12,500 owed
IssuedViolationHearingBalance
Jan 7, 2026Construction CLASS - 1
AT TIME OF INSPECTION OBSERVED FACADE IS IN DISREPAIR AND FAILURE TO SUBMIT N1 ENGINEERING REPORT. STONE DEFECTS OBSERVED AT VARIOUS LEVELS ABOVE ALONG BOTH WEST 37TH STREET AND 5TH AVENUE, COMPLY WITH COMMISSI
#39172870H
Mar 19, 2026
DEFAULT
$12,500
May 5, 2025Construction CLASS - 2
FAILED TO PROVIDE SIDEWALK SHED PARAPET INFORMATION PANEL CONTRARY WITH BC-3301.9.2, CREATING HAZARDOUS FOR FDNY IN EMERGENCY TO EASY LOCATED THE SITE. WHERE A SIDEWALK SHED IS INSTALLED, A SIDEWALK SHED PARAPE
#39539835K
Jul 10, 2025
IN VIOLATION
$0
Mar 12, 2025Construction CLASS - 1
NOTED DEFECTS IN DECORATIVE STONE COLUMNS ALONG WEST 37TH STREET AT STREET LEVEL AND STONE DEFECTS OBSERVED AT VARIOUS LEVELS ABOVE ALONG BOTH WEST 37TH STREET AND 5TH AVENUE WHERE DECORATIVE STONE APPEARS MISS
#39141310H
Nov 14, 2025
IN VIOLATION
$0
Feb 28, 2023Construction CLASS - 2
27-929.1 FAILURE TO COMPLETE THE INSTALLATION OF A FULL SYSTEM OF AUTOMATIC SPRINKLERS AND FILE A FINAL SPRINKLER REPORT PREPARED BY A REGISTERED DESIGN PROFESSIONAL IN AN OFFICE BUILDING 100 FEET OR MORE IN HE
#37025431N
Dec 14, 2023
IN VIOLATION
$0
Mar 30, 2021Construction CLASS - 2
27-929.1 FAILURE TO COMPLETE THE INSTALLATION OF A FULL SYSTEM OF AUTOMATIC SPRINKLERS AND FILE A FINAL SPRINKLER REPORT PREPARED BY A REGISTERED DESIGN PROFESSIONAL IN AN OFFICE BUILDING 100 FEET OR MORE IN HE
#37020766M
Oct 21, 2021
IN VIOLATION
$0
Nov 15, 2019Construction CLASS - 2
SEC. A.C.27-929.1,FAILURE TO COMPLETE THE INSTALLATION OF A FULL SYSTEM OF AUTOMATIC SPRINKLERS & FILE A FINAL SPRINKLER REPORT PREPARED BY A REGISTERED DESIGN PROFESSIONAL BY 7/1/19,IN AN OFFICE BLDG 100 FEET
#37016373J
Jan 14, 2021
IN VIOLATION
$0
DOB (11)
IssuedViolationStatus
Dec 29, 2022CONSTRUCTION
FTM FACADE & APPURTENANCES. ON 12/24/2022 MULTIPLE FACADE STONE PANELS DISLODGED FROM BLDG EXTERIOR AND FELL TO PUBLIC SIDEWALK AT WEST ELEV, EXP4. DURING INSP ADDITIONAL DEFECTS OBSERVED INCL DAMAGED/WEATHERED DECORATIVE STONES/TERRA COTTA AT MULT LOCATION AT SOUTH & WEST ELEV REMEDY:IMMED RETAIN N
#FA0501GM
DOB VIOLATION - ACTIVE
Dec 27, 2022CONSTRUCTION
EMERGENCY WORK ORDER DUE TO DEFECTIVE FACADE AT ALL EXPOSURES 1,2,3 & 4 NORTH, EAST, SOUTH AND WEST ELEVATIONS, OBSERVED SPALLED/CRACKED/ DETERIORATED DECORATIVE STONE/TERRA COTTA/STONE IN SEVERAL LOCATIONS REMEDY: IMMED PROVIDE PUBLIC SAFETY MEASURES AROUND ALL THE EXPOSURES TO SECURE/PROTECT THE P
#FA0501GM
DOB VIOLATION - ACTIVE
Sep 6, 2019(OTHER BLDGS TYPES) - ELEVATOR AFFIRMATION OF CORRECTION
VIO ISSUED TO ELEVATOR - FAIL TO CORRECT DEFECTS ON 2017 CAT 1 INSP/TST TST
#01410
DOB VIOLATION - ACTIVE
Sep 6, 2019(OTHER BLDGS TYPES) - ELEVATOR AFFIRMATION OF CORRECTION
VIO ISSUED TO ELEVATOR - FAIL TO CORRECT DEFECTS ON 2017 CAT 1 INSP/TST TST
#01411
DOB VIOLATION - ACTIVE
Sep 3, 2019SPRINKLER
FAILED TO FILE FINAL SPRINKLER REPORT BY JULY 1, 2019
#NRF00235
DOB VIOLATION - ACTIVE
May 31, 2018NO REPORT AND / OR LATE FILING (FACADE)
FAILED TO FILE FISP CYCLE 8A TECHNICAL REPORT BY 02/21/2017
#00945
DOB VIOLATION - ACTIVE
Jan 26, 2018(OTHER BLDGS TYPES) - ELEVATOR AFFIRMATION OF CORRECTION
VIO ISSUED TO ELEVATOR - FAIL TO CORRECT DEFECTS ON 2016 CAT 1 INSP/TST
#01746
DOB VIOLATION - ACTIVE
Jan 26, 2018(OTHER BLDGS TYPES) - ELEVATOR AFFIRMATION OF CORRECTION
VIO ISSUED TO ELEVATOR - FAIL TO CORRECT DEFECTS ON 2016 CAT 1 INSP/TST
#01743
DOB VIOLATION - ACTIVE
Jan 26, 2018(OTHER BLDGS TYPES) - ELEVATOR AFFIRMATION OF CORRECTION
VIO ISSUED TO ELEVATOR - FAIL TO CORRECT DEFECTS ON 2016 CAT 1 INSP/TST
#01741
DOB VIOLATION - ACTIVE
Jan 3, 2017(OTHER BLDGS TYPES) - ELEVATOR AFFIRMATION OF CORRECTION
VIO ISSUED TO ELEVATOR - FAIL TO CORRECT DEFECTS ON 2015 CAT 1 INSP/TST
#01681
DOB VIOLATION - ACTIVE
Jan 3, 2017(OTHER BLDGS TYPES) - ELEVATOR AFFIRMATION OF CORRECTION
VIO ISSUED TO ELEVATOR - FAIL TO CORRECT DEFECTS ON 2015 CAT 1 INSP/TST
#01682
DOB VIOLATION - ACTIVE
DOB NOW Safety (17)
IssuedViolationStatus
Mar 17, 2026AEUHAZ FTC-AEU-HAZ
Active
Oct 10, 2025Elevators FTC-VT-CAT1-CO
Violation Issued-Failure To File 2024 Cat1 Test Affirmation of Correction
Active
Oct 10, 2025Elevators FTC-VT-CAT1-CO
Violation Issued-Failure To File 2024 Cat1 Test Affirmation of Correction
Active
Sep 6, 2019Elevators ACC1
Active
Sep 6, 2019Elevators ACC1
Active
Sep 3, 2019Sprinklers FTF-SP-FINAL
Active
May 20, 2019Elevators EVCAT5
Active
May 20, 2019Elevators EVCAT5
Active
May 20, 2019Elevators EVCAT5
Active
May 20, 2019Elevators EVCAT5
Active
May 20, 2019Elevators EVCAT5
Active
May 31, 2018Facades FISPNRF
FAILED TO FILE FISP CYCLE 8A TECHNICAL REPORT BY 02/21/2017
Active
Jan 26, 2018Elevators ACC1
Active
Jan 26, 2018Elevators ACC1
Active
Jan 26, 2018Elevators ACC1
Active
Jan 3, 2017Elevators ACC1
Active
Jan 3, 2017Elevators ACC1
Active
HPD (0)

None open.

Check the agency records

Always confirm on the city's own systems before acting: DOB BIS property profile · DOB NOW · HPD Online · Pay ECB/OATH penalties (CityPay)

City records as of Oct 26, 2026, 8:02 AM ET. BBL 1008660076.

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