Local Law 11

1. Hire a QEWI
   A Qualified Exterior Wall Inspector (licensed Professional Engineer or Registered Architect with façade inspection experience) must be retained.
2. Hands-On Inspections
   • At least one “close-up” inspection (via scaffold, lift, or rope access) must be performed on a representative portion of each building façade.
   • Inspections include visual checks, probing masonry joints, evaluating windows, lintels, cornices, balconies, parapets, water intrusion, and coatings.
3. Report Classification
   After inspection, the QEWI files a report classifying the building as:
   • SAFE: No work needed until next cycle.
   • SWARMP (Safe With a Repair and Maintenance Program): Defects that aren’t immediately hazardous but must be corrected within the current cycle.
   • UNSAFE: Conditions that pose immediate risks—repairs + pedestrian protection must be installed within 24 hours.
4. DOB Filing
   Reports are submitted via DOB NOW: Safety, along with fees.

Each FISP cycle lasts five years and is divided into three sub-cycles (A, B, C) based on the last digit of the building’s block number.

Current Cycle – Cycle 10 (2025–2030)

Reports filed late or outside the sub-cycle window are considered non-compliant.

The DOB Facade Unit has introduced an Amnesty program applicable to buildings for which FISP reports have not been filed in previous cycles.

In Cycle 10, buildings which have not filed FISP reports in previous cycles may file “early” Cycle 10 FISP reports for Sub-cycles 10B and 10C during Sub-cycle 10A, thereby stopping the clock on their Late Filing and No Report Filed (NRF) violations and penalties.

To take advantage of the Amnesty program, the building owner MUST pay all pending civil penalties accrued before the report is approved by the DOB Facades Unit.

The Amnesty program is outlined as follows:

• The building’s Cycle 9 status must be NRF (No Report Filed)
• The owner retains a QEWI (Qualified Exterior Wall Inspector) to conduct inspections, prepare and file a Cycle 10 report
• The QEWI uploads the report in DOBNOW
• Acceptable reports are conditionally accepted by the Facade Unit and civil penalties are assessed
• The owner pays the civil penalties within 10 days (failure to do so may result in incomplete filing or a rejected report and civil penalties continue to accrue)
• Once payment is received, the report receives final approval

Please note that once the above Cycle 10 Amnesty program report is approved, the building reverts to the applicable Sub-cycle (A, B or C) in Cycle 11, which runs from 2030 – 2035.

• The program applies to buildings greater than six stories in height, including buildings that are six stories above a basement and buildings that are six stories plus a “penthouse” floor. The program does not apply to buildings that are six stories above a cellar.
• A basement is a story partly underground but having more than one-half its 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 counted as stories in measuring the height of buildings. To confirm whether your building has a cellar or basement, check your Certificate of Occupancy.
• The program applies to all exterior walls on buildings situated on sloping sites that contain six (6) full stories plus one partial story, where more than half the height of that partial story is above existing grade and/or adjacent to open areas (e.g., areaways, yards, ramps).

• The program mandates a Critical Examination of the building’s exterior walls by a Qualified Exterior Wall Inspector (QEWI) during a two-year window within cycles occurring every five years. The DOB requires comprehensive facade examination and detailed reporting requirements with a description of observations and photographic evidence of inspections.
• 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.)
• Physical inspection requirements include examinations performed at intervals of not more than 60 feet on all walls fronting on a public right-of-way. All physical examinations shall occur along a path from grade to the top of an exterior wall using at least one scaffold drop or other observation platform configuration, including all exterior wall setbacks. “Public right-of-way” has been defined as any street, avenue, roadway, or other public place or public way.
• In Cycle 9 (and every second cycle thereafter), there is a specific focus on “cavity walls.” At minimum, a single probe at the location of each physical inspection will be required, and there must be an adequate number of probes to determine the presence, condition, and spacing of wall ties. The requirement for probes may be waived in certain limited cases, as defined in the Rule.
• Note: “Cavity walls” of the type often found on post-WWII apartment buildings, and other more recent masonry veneer type structures, are defined as “an exterior wall system consisting of an exterior veneer with a backup wall whereby the exterior veneer relies on a grid of metal ties to the backup wall for lateral stability. The two layers of wall are separated by an air cavity which may or may not be filled with insulation.”

• A QEWI who becomes aware of a physically UNSAFE condition during a Critical Examination inspection is required to immediately notify the DOB and the building owner using a “Notification of UNSAFE Conditions” (FISP3) form.
• The QEWI’s report on UNSAFE conditions must recommend the type and location of public protection and include a photograph and detailed information on the location of each condition.
• The owner must immediately commence repairs or reinforcement and install a sidewalk shed or other measures to secure public safety. Any UNSAFE condition must be corrected within 90 days.
• In cases where, due to the scope of the repairs, the UNSAFE conditions cannot be corrected within 90 days, renewable Extensions of Time may be granted by the Commissioner if certain conditions are met. After the UNSAFE condition has been satisfactorily repaired or stabilized, the QEWI files an “Amended“ report with the DOB in which the UNSAFE condition is re-classified as either SAFE or SWARMP, as the case may be. (See “Extensions of Time, below).
• Sidewalk sheds must remain in place after UNSAFE conditions have been repaired until an Amended report has been filed with the DOB, permit signoffs have been obtained by the owner, and a DOB inspector has visited the site and confirmed that no UNSAFE conditions remain. The Amended report will then be stamped “accepted” by the DOB.
• Under certain circumstances, the QEWI 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 all or part of the shed may then be granted based on an inspection by a DOB inspector.
• For buildings classified as UNSAFE because of an unrepaired prior-cycle SWARMP condition, immediate notification of the DOB (by FISP3) is not required, unless a condition is observed to be physically hazardous at the time of the inspection. However, upon filing of the current cycle report with the DOB, the condition is subject to violation and must be repaired immediately. There is no distinction in the building code or DOB Rule 103-04 between physically UNSAFE conditions and what are informally termed “Administrative” UNSAFE conditions.

When the DOB has been notified of an UNSAFE condition (regardless of whether the UNSAFE report is based on a physically hazardous condition observed in the field or an unrepaired prior-cycle SWARMP condition described in a Critical Examination Report), compliance with 1 RCNY §103-04 requires the building owner do the following:

• Immediately install public safety measures such as a sidewalk shed, construction fence, etc., at the UNSAFE locations.
• Correct UNSAFE conditions within 90 days from the date the DOB was notified of the UNSAFE conditions.
• When the UNSAFE conditions have been corrected, file an Amended FISP Critical Examination Report with the DOB within 15 days.
• Most UNSAFE conditions cannot be corrected within the allotted 90 days. Therefore, the owner may file with the DOB for renewable “Extensions of Time.” The DOB will typically grant “Initial” and “Additional” extensions of up to 90 days, upon submission of forms FISP1 or FISP2 and a letter from an architectural or engineering firm describing the scope of work to be completed, the timetable for completion and confirmation that safety measures (e.g., sidewalk shed) are in place.
• Extensions are required to be renewed every 90 days, by requesting Additional Extensions, until the UNSAFE conditions have been satisfactorily corrected, and an Amended Critical Examination Report has been filed and accepted by the DOB.

For buildings categorized as UNSAFE, the QEWI must provide a recommended timeframe (MM/DD/YYYY) for repairs to be performed to bring the building to SWARMP or SAFE condition. It is the owner’s responsibility to notify the DOB of any deviation from the recommended timeframe, and/or provide a subsequent report by the QEWI, including supporting documentation justifying a request for a new timeframe. Timeframes of more than five years will not be permitted.

• UNSAFE conditions:
  • Immediate protection required (sidewalk shed, netting, fencing).
  • Repairs must be completed within 90 days unless an extension is approved.
  • Amended report must be filed within 2 weeks after repairs.
• SWARMP conditions :
  • Repairs must be completed before the end of the cycle.
  • Failure to correct SWARMP before the next cycle automatically converts them into UNSAFE violations.

• Initial Filing Fee: $425 per façade report.
• Amended / Subsequent Filing: $85 each.
• Penalties:
  • Late filing → $250/month until report submitted.
  • Failure to file → $1,000/year plus additional DOB enforcement.
  • Failure to correct Unsafe → $1,000/month until issue resolved.
  • Failure to install required pedestrian protection → $10/day.

An April 2013 DOB amendment to Rule 103-04 imposed a new “fall protection” requirement that balcony railings and guards be inspected “to ensure that their components (balusters, intermediate railings and panel fillers) are positively secured against upward movement (e.g., by welds, bolts, or screws).”

In the context of FISP, “balcony” is used as a general term encompassing the entire balcony structure, including handrails, guards, railings, and connections.

The details of this inspection are outlined in the DOB Memo issued on May 5, 2014, which stipulates:

• All railings and guards must be inspected for both structural stability and code compliance.
• Code compliance will include inspection of the railings and guards with respect to codes in effect at the time they were installed or substantially altered.
• If the observations reveal that the balconies, handrails, or connections are UNSAFE, then the balcony, terrace, roof or other area must be vacated until the defective condition has been repaired and made SAFE

In 2016, the DOB launched its DOB NOW: Safety web portal where all FISP actions occur online. Building owners, their representatives, and their QEWI’s conduct all facade-related interactions with each other, and with the DOB, through DOB NOW.

The DOB NOW Digital Filing Process

• The QEWI, retained by the owner, conducts the critical examination of the building facades, railings, guards, and appurtenances, and prepares a FISP Critical Examination Report in the prescribed DOB NOW digital format.
• The QEWI uploads the Report, together with an electronic TR6 Technical Report form, and all required supporting documents (including the QEWI’s seal and signature), to DOB NOW as an “Initial Filing.” (In this case, “Initial Filing” means the first filing for the current Cycle). DOB NOW issues a tracking “Filing Number.”
• The owner (or owner’s representative) logs into DOB NOW and reviews the QEWI’s report.* If it is acceptable, the owner electronically signs the Owner’s Statement acknowledging his/her understanding of the QEWI’s report and certifying to the DOB that any SWARMP conditions from the previous cycle have been corrected. *To simplify the owner’s review of the report, SUPERSTRUCTURES provides a PDF version of the FISP Report to our clients for review and comment.
• The owner pays the filing fee as well as any other required payments (e.g., Late Filing fees or other penalties when removing violations) online.
• The QEWI makes a final review of the filing, makes any necessary changes, confirms that fees have been paid, and transmits the completed report via DOB NOW.
• When the TR6/FISP Report has been successfully uploaded, DOB NOW will send an email notification to both the owner (or owner’s representative) and the QEWI with the following subject line: “Initial TR6 has been filed for 123 Main St with Filing Number TR6-1232456-8A-I1.”
• When the DOB has completed its review, DOB NOW will send an email to both the owner (or owner’s representative) and the QEWI notifying them that the Initial Filing has been accepted or rejected.
• In cases where the Initial Filing has been rejected, the DOB NOW email will include review comments, along with a note that an acceptable report must be filed within 45 days of the date of the email, in order to keep the current Initial Filing date and filing fee. The QEWI (and owner, when necessary) address the DOB NOW comments and re-submit the Initial TR6/FISP Report to DOB NOW.
• Once the Initial TR6/FISP report has been uploaded to DOB NOW, all subsequent compliance actions are filed in the system. These actions include: Subsequent or Amended Report and TR6 filings, UNSAFE notifications (FISP3), Initial and Additional Extension Requests (for unsafe repairs), sidewalk shed removals, and others.

• Cracked or spalling masonry, terra cotta, limestone, brownstone, granite.
• Loose or deteriorated parapets, cornices, decorative elements.
• Rusting or failing lintels and steel supports.
• Damaged balconies, railings, and waterproofing.
• Poor or failing sealants, coatings, and waterproof barriers.

✔️ Public Safety: Prevents accidents from falling masonry and façade collapse.
✔️ Financial Protection: Avoids fines, lawsuits, and insurance complications.
✔️ Property Value: Maintains curb appeal and structural integrity.
✔️ Legal Obligation: Non-compliance can result in DOB violations, liens, and public safety enforcement.