New York City's Local Law 10 of 1980 was enacted shortly after a piece of masonry fell from the facade of a building on Manhattan's Upper West Side, killing a pedestrian. The New York City Council, in an effort to minimize the chances of such accidents ever occurring again, amended the NYC Building Code, mandating that owners of applicable buildings have their exterior walls and appurtenances periodically inspected by a licensed professional engineer or registered architect.
Local Law 10 of 1980, as amended and amplified by Local Law 11 of 1998, is the oldest continually enforced façade inspection law in the nation. These laws are now collectively referred to as Local Law 11. There are approximately 12,500 buildings subject to the inspection requirements of Local Law 11.
The first inspection cycle ran from February 21, 1980 to February 21, 1982. The second, from February 1985 to February 1987. The previous Cycle 6 reporting period ran from February 2005 to Feb 2007. Cycle 7 commenced on February 21, 2010 and will run through February 21, 2013.
To summarize the basic requirements of Local Law 11:
The law applies to buildings greater than 6 stories in height: buildings that are 6 stories above a basement - or buildings 6 stories with a "Penthouse" floor.
A BASEMENT is a story partly underground, but having more than one-half its of clear height above the grade plane.
A CELLAR is a story partly or wholly underground, but having one-half or more of its clear height below the grade plane; Cellars are not be counted as stories in measuring the height of buildings.
The law also applies to exterior walls greater than 6 stories in height, on otherwise non-applicable buildings. For example, buildings situated on sloping sites, or with depressed yards or courts larger than 900 sf.
The law mandates a critical examination of the building’s exterior walls and appurtenances by a licensed architect or professional engineer during a 2 year window, within cycles occurring every 5 years.
All exterior walls of applicable buildings are subject to examination. The only exemption is for walls less than 12 inches from the wall of an adjacent building.
A physical examination consisting of at least a single drop from a scaffold or other observation platform is required on a representative portion of a street wall.
A report based on the "critical examination" must be filed with the DOB.
Buildings, and conditions, are classified as ”Safe,“ ”Unsafe,“ or ”Safe with a Repair and Maintenance Program“ (aka SWARMP).
"SAFE" is defined as a ”condition of a building wall, any appurtenances thereto - or any part thereof not requiring repair or maintenance to sustain the structural integrity of the exterior of the building - that will not become unsafe during the next five years.
An "UNSAFE CONDITION" is defined as "a condition of a building wall, any appurtenances thereto, or any part thereof, that is hazardous to persons or property and requires prompt repair."
Professionals, who, during a critical examination, become aware of a physically ”Unsafe“ condition, are required to immediately notify the DOB and the building owner using a standard DOB form. The owner must immediately commence repairs, or reinforcement, and install a sidewalk shed, or other measures to secure public safety. All unsafe conditions are to be corrected within 30 days. Renewable extensions of up to 90 days may be granted by the Commissioner, if certain conditions are met. After the ”Unsafe“ condition has been satisfactorily repaired, or stabilized, the professional files an ”amended“ report with the DOB, in which the Unsafe conditions are re-classified as Safe or SWARMP, as the case may be.
”Safe with a repair and maintenance program“ (SWARMP) means a condition of a building wall - any appurtenances thereto, or part thereof - that is safe at the time of inspection, but requires repair or maintenance during the next five years in order to prevent its deterioration into an unsafe condition during that five year period.
Unsafe per Rule 32-03(b)(6)(iii), or "Administrative" UNSAFE: Any condition that was reported as SWARMP in a previous cycle that is not corrected at the time the "current inspection" shall be reported in the critical examination report filed with the DOB as an UNSAFE condition. (For example: Cycle 6 SWARMP conditions that have not been repaired at the time the Cycle 7 critical examination report is filed with the DOB must be reported as UNSAFE.)
Immediate notification of the DOB is not required for the "Administrative" UNSAFE conditions, unless a condition is physically hazardous at the time of the inspection, but upon filing of the report with the DOB, the condition is subject to violation and must be repaired immediately (as is the case for all UNSAFE conditions). There is no distinction in the building code or Rule 32-03 between UNSAFE conditions and what are informally termed "Administrative" UNSAFE.
"UNSAFE" Violations: When an Unsafe report has been filed, The DOB will send an inspector to the site to verify the extent of the hazardous condition, and the extent of any safety measures, provided and progress of any repairs undertaken. If adequate safety measures are in place and repairs are in progress, the inspector will write one or more DOB violations: ”failure to maintain.“
The DOB violations are not as onerous as Environmental Control Board (ECB) violations, which generally involve penalties and court appearances. DOB violations are used by the DOB to encourage timely repair and track cases.
The DOB inspector will conduct a follow-up inspection after the Unsafe report is filed. If adequate safeguards are not found to be in place, the inspector may write one or more ECB violations. ECB violations may also be issued 45 days after an Unsafe Report is filed in the event that the 90 day "Extension" paperwork is not filed with the DOB, or if the repair of the Unsafe conditions falls behind the schedule accepted by the DOB.
"NRF" Violations: There are two types of DOB and ECB violations which may be issued for non-compliance with the inspection requirements of LL 11:
No Report Filed (NRF): Failure of the owner to file a Critical Examination Report prior to the reporting deadline;
Failure to file an Amended Report: Failure of the owner complete the repairs and file an Amended Report, or alternatively, to request an extension of time to complete the repairs.
In Cycle 7, there is a late-filing penalty of $250 per month, until an acceptable report has been filed with the DOB. To remove these violations, it is necessary to present the following to the DOB: a TR-6 (Periodic Inspection of Exterior Walls and Appurtenances) form, stamped with the received and approved stamps and DOB staff initials; DOB Dismissal Letter (where applicable), a copy of the BIS internet "Façade" screen information; and payment of imposed penalty.
For "new" buildings, initial "critical examination" reports are due 5 years from the date of the first Temporary Certificate of Occupancy (TCO) for the building: For Cycle 7, this means, if the 5 year anniversary of a building's first TCO falls within the applicable "sub-cycle" (based on the last digit of the building's Block number), a report is due in Cycle 7. If the 5 year anniversary falls outside the Cycle 7 filing window, the initial report shall be due during the applicable sub-cycle of Cycle 8.
For specific questions or development of Cycle 7 compliance strategies, please contact us at
info@superstructures.com
