An owner should submit all five listed forms of proof. DHCR’s consideration may not be limited to these five
items as its review of IAIs is fact intensive and an individualized process regardless of whether it is part of an
administrative proceeding or the subject of an independent investigation.
Additionally, IAI review involves DHCR’s assessment of the evidence offered so that there is no guarantee that
any particular piece of proof will be dispositive. For example, an invoice or contract with less than complete
specificity may not be sufficient. DHCR, in every case, has the authority to request information it believes is
necessary to reach a proper determination including requests for additional evidence indicating the installation
was completed, paid in full and otherwise appropriate to support a rent increase. Additional documentation
should always be provided if possible, and it should be provided as requested to avoid a more protracted
administrative or investigative proceeding. If an owner is unable to provide these items or any item requested,
then an explanation must be provided and DHCR will determine whether the proof given is sufficient.
During the processing of an overcharge proceeding based on a referral by the Tenant Protection Unit (TPU)
after an investigation, the Rent Administrator of the Overcharge Processing Unit may limit its independent
review of the rent overcharge proceeding to a de novo analysis of the facts and evidence submitted to the TPU
in the earlier investigation.
B. Lump Sum Costs