NYC's facade inspection laws continue to evolve. Effective January 28, 2011, a new Department of Buildings (DOB) Rule modifies the requirements of NYC Local Law 11.
Rule 103-04, as it is called, “re-numbers” and amends and the prior DOB Rule 32-03. The amended rule incorporates significant changes that impact property owners and managers.
Compliance with the requirements of NYC’s facade inspections laws (Local Laws 10 and 11), is now governed by
Rule 103-04.
Scroll down for information on the following:
Staggered Sub-cycles explained
Other key changes enacted at the start of Cycle 7: The DOB Raises the Bar
New DOB Rule 103-04 supersedes prior Rule 32-03
The Clock is Ticking on Cycle 7: It is time to develop an Action Plan
Staggered Sub-cycles explained
The seventh inspection cycle (Cycle 7) commenced on February 21, 2010 and will run through February 21, 2013. In August 2007, Mayor Bloomberg signed Local Law 38 of 2007, which required the Buildings Commissioner to establish "staggered inspection cycles" for buildings governed by the facade inspection requirements of Local Laws 10 and 11. The new law spreads the approximately 12,500 inspection reports processed by the DOB over a three year period. In February 2009, at the start of Cycle 7, the DOB amended its rule detailing the staggered inspection cycles as well as other changes in inspection and reporting requirements.
The following summarizes the new "staggered" filing deadlines for Cycle 7.
Buildings are divided into three groups, based on the last digit of their respective "Block" number (as in "Block and Lot").
For the first group of buildings (Sub-cycle 7A): "Block" numbers ending in the numbers 4, 5, 6 or 9, an "acceptable report" shall be filed with the DOB between February 21, 2010 and February 21, 2012. (The "filing window" for this group of buildings is 24 months in length. The window occurs exactly when it would have, had the staggered deadlines not been introduced.)
For the second group of buildings (Sub-cycle 7B): "Block" numbers ending in the numbers 0, 7 or 8, an "acceptable report" shall be filed with the DOB between February 21, 2011 and August 21, 2012. (The "filing window" for this group of buildings is 18 months in length. The window commences 12 months later than it would have, had the staggered deadlines not been introduced.)
For the third group of buildings (Sub-cycle 7C): "Block" numbers ending in the numbers 1, 2 or 3, an "acceptable report" shall be filed with the DOB between February 21, 2012 and February 21, 2013. (The "filing window" for this group of buildings is 12 months in length. The window commences 24 months later than it would have, had the staggered deadlines not been introduced.)
In Cycle 8 commencing in February 2015, and in succeeding cycles, the staggered filing windows will be normalized – three overlapping 2 year windows.
Other key changes enacted at the start of Cycle 7: The DOB Raises the Bar
In addition to implementing staggered inspection cycles and other additions, the amended rule clarifies existing requirements, with the intention of improving the quality of the reports filed, and as noted in the "Statement of Basis and Purpose" accompanying the amended rule, "making it easier for the DOB to review the reports, and for DOB inspectors to perform follow-up inspections, thus further ensuring public safety."
Other "additions" to the amended DOB Rule (now Rule 103-04), as adopted, include the following:
The terms "Registered Architect" and "Professional Engineer" are replaced with the term "Qualified Exterior Wall Inspector (QEWI)." A QEWI is defined as a "registered design professional with at least 1 year of relevant experience." (per DOB Rule 101-07, as amended)
Detailed requirements for the written reports, covering content and format, and a definition of "acceptable report," to clarify that merely filing a report is insufficient to satisfy requirements of the code. The report must be thorough and contain all the required information - in the specified sequence (from A to P), to be deemed "acceptable" by the DOB.
A prohibition on window air-conditioners being listed as "safe with a repair and maintenance program (SWARMP). Air conditioners will only be able to be reported as "safe" or "unsafe."
A "time frame" in date certain format (mm/YYYY) for repairs performed pursuant to a SWARMP assessment which will make it easier for the DOB and for the Owner to know when the repairs need to be completed.
A requirement that the report be filed with the DOB within 60 days of the date in which the QEWI completes the critical examination. (The last site visit, not the scaffold drop.)
Information on riggers performing scaffold drops, to enable the DOB to "verify that the close-up inspection was actually performed, and will indicate by whom it was performed, thus facilitating any necessary follow-up investigations."
A statement that "financial considerations shall not be accepted as a reason for granting "extensions" and/or "further extensions" of time for the correction of unsafe conditions.
The DOB will accept the filing of "subsequent" reports within the five-year reporting filing cycle, to indicate revised conditions that change a building's filing status for that cycle. (For example. After Cycle 6 SWARMP conditions have been repaired, with all permits and sign-offs obtained, a Subsequent report may be filed with the DOB changing the buildings classification to "Safe."
New DOB Rule 103-04 Supersedes prior Rule 32-03
Effective January 28, 2011, a new Department of Buildings (DOB) Rule modifies the requirements of NYC Local Law 11. Rule 103-04, as it is called, “re-numbers” and amends the prior DOB Rule 32-03. The amended rule incorporates significant changes that impact property owners and managers.
Compliance with the requirements of NYC’s facade inspections laws – Local Laws 10 and 11 - is now governed by Rule 103-04. Highlights of the rule, as amended, include:
Stiffer civil penalties:
An owner who fails to file a critical examination report will face a penalty of $1,000 per year. There is an additional $250 per month penalty for late filing, commencing the day following the filing deadline.
An owner who fails to correct any Unsafe condition will face a penalty of $1,000 per month, until the condition has been corrected, and an acceptable amended report has been filed. The penalty may be waived if the owner has been granted an extension.
Filing fees have been added/increased:
The fee for initial filing of the Local Law 11 report: $265
The fee for filing an amended or subsequent report: $100
The fee for filing an application for an extension of time to complete repairs: $135 (for a 90 day extension.)
The owner is responsible to alert the DOB if the “SWARMP” repair time-frame will be exceeded: The owner must notify the DOB if the prior cycle’s SWARMP (safe with repair and maintenance) conditions will not be repaired within the time-frame stated in the prior cycle report. The owner may apply to the DOB for an extended time-frame based on “justification” of the request by the owner’s professional engineer or architect. The DOB “may approve or disapprove such a request.”
Earlier removal of Sidewalk Sheds is possible: Sidewalk sheds must remain in place after Unsafe conditions have been repaired until an Amended report has been accepted by the DOB, however, the owner’s professional, may request permission for the removal of the shed by submitting a signed, sealed statement certifying that an inspection was conducted, the conditions were corrected and the shed is no longer required. Permission to remove the shed may be granted “in the Commissioner’s sole discretion.”
Critical Examination Reports must not become stale: The critical examination report must be filed with the DOB within 60 days of completion of the final visual inspection, and not more than one year after the completion of the close-up inspection (scaffold drop).
The Clock is Ticking on Cycle 7: It is Time to Develop an Action Plan
Sub-cycle 7A: February 21, 2011 marks the mid-point of Sub-cycle 7A. Owners with buildings in Sub-cycle 7A have 12 months remaining in which to file Cycle 7A critical examination reports with the DOB. Any Cycle 6 SWARMP (safe with a repair and maintenance program) conditions that have not been repaired at the time the report is filed with the DOB will default to Unsafe, triggering violations and potential penalties. If your building falls in Sub-cycle 7A and has un-repaired Cycle 6 SWARMP’s, you should take action NOW.
Sub-cycle 7B: February 21, 2011 marks the start of Sub-cycle 7B. Sub-cycle 7B is 18 months in length. The Sub-cycle 7B reporting period ends on August 21, 2012, and not in February, as has been the convention for the past 30 years. This which will certainly catch some building owners off-guard. If your building falls in Sub-cycle 7B, you should develop your compliance strategy NOW, particularly if your building has unrepaired Cycle 6 SWARMP’s.
Sub-cycle 7C: This Sub-cycle does NOT officially commence until February 21, 2012. However, this Sub-cycle is only 12 months in length. The Sub-cycle 7C reporting period ends in February 2013 - 24 months from now. NOW is not too soon to develop your compliance strategy – especially if your building has un-repaired Cycle 6 SWARMP’s.
We can help you develop a cost-effective Cycle 7 compliance strategy. Remember, any unrepaired Cycle 6 SWARMPS must be addressed or they default to Unsafe at the end of your applicable Sub-cycle.
Initial Reports for Recent New Buildings (2002-2008) Are Due in Cycle 7
If a building’s First Temporary Certificate of Occupancy (TCO #1) was issued between 2002 and 2008, and the building is over 6 stories in height, the initial Local Law 11 façade inspection report for the building is probably due within the current Cycle 7 filing period, which runs between February 21, 2010 and February 21, 2013. The filing requirements are summarized in the Table below.
The Date of the First Temporary Certificate of Occupancy (TCO #1) for a recently constructed new building can be obtained from the DOB Buildings Information System (BIS) website. For assistance in identifying the date of TCO #1, please contact us.
The DOB Rule governing façade inspections requires that initial reports for new buildings be filed 5 years from the date the first Temporary Certificate of Occupancy was issued. For the current Cycle 7, the DOB requires initial reports for buildings for which the fifth anniversary of TCO #1 falls prior to or within the current applicable Sub-cycle (7A, 7B or 7C), based on the last digit of the building’s block number.
**Note: If the fifth anniversary of TCO #1 falls beyond the applicable Sub-cycle end date, the initial report is due during the applicable Sub-cycle of Cycle 8, which commences in February 2015.
Further information on DOB requirements will be provided as it becomes available. For specific questions or development of Cycle 7 compliance strategies, please contact me.
David May, RA, Principal
dmay@superstructures.com
(212) 505-1133
