FSI Architecture’s Guide to Navigating FISP and Cycle 9:
Under the Façade inspection Safety Program, (FISP), the New York City Department of Buildings requires owners of all buildings over six (6) stories, to be thoroughly inspected close-up for a safety evaluation and filed into record. The below includes information that may be helpful in understanding the history and importance of NYC Façade Inspections, learning about the new changes in FISP requirements, and planning for your Buildings needs in their respective FISP cycle.
The History of Local Law 11
On May 16, 1979 Grace Gold, a Barnard college freshman, was hit with a piece of masonry that fell from the seventh floor of a deteriorating building façade. Following this tragedy, the City looked to require mandatory façade inspections to assess a façade’s threat to public safety. The New York City Department of Buildings (DOB) began to mandate inspections of street-facing building facades when Local Law 10 of 1980 was signed into law by Mayor Ed Koch on February 21, 1980. However, it did not address all the concerns citizens had regarding façade safety.
Local Law 11 of 1998 was signed into law by Mayor Rudolph Giuliani in response to several accidents that had occurred after LL 10/79 has been put into effect. Local Law 11 fully superseded the requirements of Local Law 10 of 1980. Local Law 11 increased the number of façades that had to be inspected. Local Law 10 only required inspections with binoculars or a telescope, while Local Law 11 required close-up inspections. For buildings 65’ tall and higher, the New York City Department of Buildings (DOB) mandates regular façade inspections as required by Local Law 11 (LL11) of 1998.
Despite the City’s best interests in protecting the health, safety, and welfare of it’s occupants; tragic struck again. In 2013, a women was declared dead after falling to her death when a balcony railing collapsed. This prompted changes that included a higher level of inspections for façade appurtenances, balconies, guardrails, and handrails. Local Law 11 was amendment to include the requirement for nondestructive testing of balcony railings and associated components.
Local Law 11 has also been amended several times, most notably in 2007 for Cycle 6, and most recently in 2020 for Cycle 9. Local Law 11 is more commonly referred to as the Façade Inspection Safety Program (FISP). It is expected that the City will continue to improve Local Law 11 with each and every cycle, as technologies and construction types improve and change.
New York City has some of the most stringent laws for façade inspections in the world. Navigating the procedures and protocols can be complicated. However, there are several important aspects property owners, managers, and investors should note.
Understanding the Façade Inspection Safety Program
To comply with the requirements of the FISP, the building owner/property manager must hire a QEWI (Qualified Exterior Wall Inspector) to submit a TR6 (filing report) to the DOB for each FISP cycle. FISP requires that building owners submit a report prepared by a QEWI every 5 years (a cycle). The TR6 may not be approved on its first submission if the DOB requires additional information to be provided. Currently, the FISP is entering its 9th cycle. Below is an outline of the typical procedure.
The Typical FISP Procedure
1. Determine if building is applicable to the FISP (Local Law 11)
a. All buildings greater than six stories are applicable to FISP requirements.
b. Obtain building block and lot numbers, then determine which subcycle.
c. Check the DOB BIS, DOB NOW, and/or call the DOB Facades division.
2. Review the prior cycle’s report to determine if work should be completed before next cycle.
a. This determines if repairs are needed and if violations may be issued.
3. Determine filing deadline.
a. The DOB posts these dates at the start of each cycle.
4. Obtain QEWI to conduct inspection
5. Coordinate with QEWI to complete inspection
a. Since close-up inspections are required, costs should be allocated to allow the QEWI to conduct the inspection. This typically is done from a boom truck or scaffold.
6. Once the QEWI has completed the inspection, the FISP report (TR6) will be prepared
7. If facades are filed with SWARMP or Unsafe Conditions, it is recommended to hire a professional to design the repairs, and coordinate the construction.
FISP Cycle 9
Cycle 9 of the FISP opens February 21, 2020 and closes on February 21, 2024. The full cycle of FISP lasts for 4 years, and new cycles start every 5 years. If reports were filed for previous cycles, they may be amended by the QEWI if work was completed to address the items listed in the report.
FISP Cycle 9 Subcycles
Subcycles are staggered for several reasons. One is to reduce the chance of overburdening QEWIs and the DOB with inspections and processing reports for all buildings at the same time. Another reason is to allow the buildings time to address and resolve any issues from the previous cycle’s report/filng. Each cycle allows filings within the 2-year filing deadline as follows:
Below are the Subcycle divisions for Cycle 9A:
Subcycle | Building Block Number Ends in | Filing timeline
9A | 4 5 6 9 | February 21, 2020 – February 21, 2022
9B | 0 7 8 | February 21, 2021 – February 21, 2023
9C | 1 2 3 | February 21, 2022 – February 21, 2024
Example:
123 Fake St is block 239, lot 7501. This means that the FISP inspection must be completed and the report filed between February 21, 2020 and February 21, 2022. If not, then late fees will apply when the report is filed.
New Requirements for FISP Cycle 9
The most recent accidents resulted in the death of an Architect in midtown on December 17, 2019 and the death of a women in Queens on January 16, 2020. This has resulting in the DOB approving several changes to the FISP and additional requirements for the FISP filing procedures and inspections. These new requirements affect the cost and time required to complete the FISP reporting requirements. However, the effect of the new requirements depends on the building type, size and location. The updated rules may be reviewed online at this link.
The new requirements may extend the amount of time and money required to complete each Cycle’s required inspection. Some of the new requirements are as follows:
· “Close-up” inspections are required every maximum of 60’ intervals. This increases the number of “scaffold drops” or inspections associated with creating the report.
· Fines will be imposed when a façade’s SWARMP conditions are not addressed in a timely manner. These conditions may still exist at your building
· Status of the building’s facades will be posted at a public location in each building.
· Close-up inspections shall be performed at locations QEWI determines to be the most deleterious locations at intervals of the following:
Length of Façade Elevation Fronting Public Right of Way (L) | Minimum # of Physical Examinations
L < 60’-0” | 1
60’-0” ≤ L < 120’-0” | 2
120’-0” ≤ L < 180’-0” | 3
180’-0” ≤ L < 240’-0” | 4
240’-0” ≤ L < 300’-0” | 5
300’-0” ≤ L < 360’-0” | 6
For every additional 60’-0” of length of façade, one additional close-up inspection is required.
· “Posting of Conditions Certificate. A conditions certificate issued by the Commissioner must be posted in a frame with a transparent cover in the lobby or vestibule of the subject building within thirty (30) days of issuance. The certificate must indicate the most recent condition of the building’s exterior walls and appurtenances.” – The certificate can be generated by logging into DOB NOW: SAFETY.
FISP Reports Definitions
A FISP report contains the status of each of the facades on a building that are required to comply with the FISP requirements. The report will be filed as the condition of the most unsafe façade. Ie: Façade 1 is SAFE, Façade 2 is SWARMP, Façade 3 is UNSAFE. Then the report must be filed as UNSAFE, and this designation shall be displayed in a public location of the building.
The FISP inspection is conducted by the company of the QEWI and assesses the condition of the each of a buildings facades with the following statuses: Safe, SWARMP, and UNSAFE. The status of the building’s exterior walls must be displayed in a public location of the building. The following are the ways exterior walls may be filed in the report:
SAFE
A façade is considered SAFE typically only after recent work, or for well-maintained buildings. No maintenance required for the items listed. A SAFE façade means that façade repairs are not warranted for at least 5 years.
SWARMP – Safe with Repair and Maintenance)
SWARMP items may become safe in the timelines specified in the filing. The DOB rules state that SWARMP items automatically become UNSAFE after 5 years after the QEWI reports them. Some common SWARMP items may be: sealant, cracked mortar, hairline cracks, etc. The items listed in the report as SWARMP must be addressed before the next cycle. Items that may become imminently dangerous (ie: UNSAFE).
UNSAFE
Unsafe items are items that may cause public safety issues and must be repaired within 90 days. Some common Unsafe items may be: leaning walls, extensive spalling of masonry, loose sills, etc. When a report is filed UNSAFE, the QEWI must file a FISP3, unsafe notification, to the DOB. This triggers a DOB inspection of the facades to confirm the QEWI’s report and notification. Typically, violations are issued after this.
Although the QEWI may file a request for extension every 90 days, unsafe conditions should be addressed as often as possible to reduce fines imposed by the DOB.
What to do if a QEWI files UNSAFE:
Immediately provide protection of the public right of way at Unsafe facades.
This is typically completed by installing a sidewalk bridge (better known as a “shed” in NYC)
Request that the QEWI provide extension requests.
The DOB refers to these extensions as the FISP1 (Initial Extension Request) and the FISP2 (Additional Extension Request). The DOB decides the duration of the extension based on the documents provided by the owner and the QEWI. The duration typically lasts between 30-90 days, but exceptions may occur at the DOB’s discretion.
Retain a licensed profession (Registered Architect or Professional Engineer) to specify and file repairs
Violations may be issued at any time when a building has UNSAFE conditions. It is crucial that repairs are specified and a DOB application filed by a professional. This will allow the building to retain a contractor and resolve the unsafe items.
What should Building Owners and Property Mangers Do?
Benjamin Franklin has been attributed with saying – “An ounce of prevention is worth a pound of cure.” This is especially relevant when addressing building façade conditions. When repairs are delayed, conditions at the exterior walls will get worse. This causes the cost of repairs to increase. Not only at as a possible risk to public safety, but also as an expense to the building and as an inconvenience to building occupants. Some proactive recommendations for property managers and owners include:
· Tabulating tenant concerns with fenestration (windows, doors, etc.)
· Surveying building envelope (façade/roof, water infiltration, appurtenances) issues
· Consider asking your qualified professional about incorporating preventative technologies into the repair scope of work. This may reduce the cost of future repairs
· Before handling a new property, request a qualified professional to conduct a facade inspection to assess future concerns and estimated costs.
· Active monitoring of any issues by a professional
· Enacting regular maintenance protocol
FSI Architecture, PC has over 30 years of experience assisting property owners, managers, and tenants with façade inspections, repairs, restoration and rehabilitation. With 100s of buildings made safe, FSI can help a variety of clients and building needs. To assist with determining if your building is subject to FISP; please feel free to reach out to us via our contact form or by calling our office and speaking with Tom Cimillo at 212-645-3775.
Article Attributed to Matthew Hickey, RA c/o FSI Architecture, PC
March 2020