Owners of applicable buildings (generally those greater than six stories in height) must have their exterior walls and appurtenances inspected by a licensed professional engineer or licensed architect every five years. A report based on this "Critical Examination" must be filed with the Department of Buildings.

Building owners are required to comply with the provisions of:

• New York City Building Code section 27-129 ("the law"). This section contains the text of Local Law 10 of 1980, as amended by Local Law 11 of 1998.   (This link takes you to the Table of Contents of Subchapter 1 (Administration and Enforcement) of the NYC Building Code. To read this section, scroll down to Sec. 27-129 on page 9 of 38.

• Rule 32-03 Governing Periodic Inspection of Exterior Walls and Appurtenances of Buildings, enacted by the New York City Department of Buildings, as amended on January 13, 1999, stipulating specific inspection and filing requirements, amplifying the provisions of section 27-129.  (This link takes you to "Appendix A" (Table of Contents) of the DOB Rules.  To read this rule, click on "32-03" in left-hand column under Chapter 32 on page 4 of 6.)

The law applies to all buildings within the five boroughs of the City of New York greater than six (6) stories in height.

• The law applies to all buildings with six or more stories above a basement¹.

• Buildings with six stories above a cellar² are, in most cases exempt. The law applies, however, to portions of such buildings with walls greater than six stories in height, (for example: buildings situated on sloping sites, or buildings with depressed courts or yards larger than a specified area). The applicability of the law is determined by actual site conditions, and not solely on the description of the building contained on the Certificate of Occupancy.

All exterior walls of applicable buildings are affected, with the following exception:

Exterior walls greater than six stories in height of otherwise non-applicable buildings are affected.

Standard reporting periods have been established for filing of reports of critical examinations. They are two years in duration, and occur in five year cycles. For example, the fifth cycle standard reporting period ran from February 21, 2000 to February 21, 2002.

The sixth cycle commences February 21, 2005 and runs through February 21, 2007.

The owner must retain a Professional Engineer or Registered Architect to conduct the critical examination - an examination conducted to review the exterior of a building and all parts thereof to determine their condition, and whether they require remedial work.

The engineer or architect is required to carefully review the most recent report, and any previous available reports. If these reports are not in the possession of the building owner, copies are available from the Department of Buildings.

The engineer or architect determines the methods employed in the critical examination. The methods used must permit a complete inspection of the building.

A physical examination from a scaffold or other observation platform is required for a representative sample of exterior wall. The extent of the sample is left to the discretion of the engineer or architect, but must include at least one physical examination along a path from grade to top of wall on a street front, using at least one scaffold drop or other observation platform configuration.

The engineer or architect must exercise a professional standard of care to detect fracturing of terra cotta, or masonry. Should evidence exist of loosening of anchors or supports, he or she must order any special tests or inspections that may be required.

For landmarked buildings, or those located in a landmarked district, the removal of portions of the façade in order to facilitate the performance of any tests may require a permit from the Landmarks Preservation Commission (LPC).

The critical examination report must document the condition of exterior walls and appurtenances as either safe, unsafe, or safe with a repair and maintenance program.

• Safe: A "safe condition" 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."

• Unsafe: An "unsafe condition" is defined as "a condition of a building wall, any appurtenances thereto, or part thereof that is dangerous to persons or property and requires prompt remedial action."

If the engineer or architect who conducts the critical examination reports an "unsafe condition," the owner must immediately commence repair or reinforcement, and undertake such measures (e.g. installation of a sidewalk shed) as may be required to remedy the condition and to secure public safety. All unsafe conditions are to be corrected within 30 days from the filing of the critical examination report. Extensions of up to 90 days may be granted by the Commissioner, if certain conditions are met.

The engineer or architect shall inspect the premises and file a detailed amended report stating the condition of the building with the Borough office within two weeks after repairs to correct the unsafe condition have been completed.

• Safe with a repair and maintenance program (SWARMP): "Safe with a repair and maintenance program" 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 during that five-year period into an unsafe condition."

Conditions thus classified must be repaired in accordance with the inspecting engineer or architect's recommended time frame - but in all cases prior to the next cyclical inspection deadline. An architect or engineer may not file a report with the same condition on a building classified as "safe with a repair and maintenance program" (SWARMP) in two consecutive filing periods. The report filed in the following inspection cycle must attest to the correction of all conditions identified in the earlier report as SWARMP.

Note: This provision, enacted under Local Law 11/98, just prior to Cycle 5 (2000 - 2002) was a major departure from previous cycles, in which conditions described as "precautionary" only had to be monitored, and could be repaired at the owner's discretion.

The engineer or architect must prepare a report for submission to both the owner and the Department of Buildings.

The DOB has issued detailed Instructions for Submitting Local Law 11/98 Cycle 6 Report for Architects and Engineers and Building Owners, prompting the inspecting professional to more carefully document observations and findings. (There are no procedural changes for the inspections themselves.) The Instructions amplify and clarify reporting requirements already on the books.

The Instructions also contain the following note, pertaining to window air-conditioning units, window-guards and other appurtenances:  "Building Owners shall make sure all appurtenances are securely installed, stable and properly supported.  [Refer to Rules 1 RCNY §32-03 (b)(3)(ii)(G)].

The report must bear the seal and signature of the professional under whose supervision the critical examination was performed.

The written report must be accompanied by a signed statement by the building owner acknowledging receipt of a copy of the report and acknowledging "awareness of the required repairs, if any, and the time frame for same."

If the engineer or architect performing the critical examination detects an unsafe condition, he or she must notify the owner and the Department of Buildings immediately in writing.

The DOB has issued a new standardized form for the Notification of Unsafe Conditions, and an Operations Policy and Procedure Notice (OPPN #1/2005): Procedure for LL 11/98 Unsafe Conditions Notification.

The OPPN is applicable to Unsafe Conditions observed during the Cycle 6 critical examination.  It is NOT applicable to the “default” Unsafes resulting from uncorrected Cycle 5 SWARMP conditions.

In essence, the OPPN outlines the following procedure: 

• The inspecting professional immediately notifies the DOB and the Owner of unsafe conditions, using the new standard form.

• The Owner must immediately commence repairs and install safety measures.  The DOB will send an inspector to the site within approximately 2 days after receipt of the notice, 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 may write a Special Report.  It is more likely that the inspector will write one or more DOB violations, such as failure to maintain (27-127), or inadequate protection (27-1021).

• DOB violations are not as onerous as Environmental Control Board (ECB) violations.  DOB violations are used by the DOB to encourage timely repair and track cases.  (If procedures are followed, DOB violations will not necessarily result in fines.  ECB violations will require court appearances, and result in fines in almost all cases.)

• The DOB inspector will conduct a follow-up inspection 10 days after the Unsafe report is filed.  If conditions have not been repaired, and no safeguards are in place, the inspector may write one or more ECB violations.

All unsafe conditions must be corrected within 30 days. Renewable extensions of up to 90 days may be granted by the commissioner, based on documentation provided about the status of safety measures installed and the progress of any required repairs.

Requests for extensions are filed with the DOB Local Law Enforcement Unit on either the Local Law 11/98 Initial Extension of Time Request form or the Additional Extension of Time Request form.  The forms specify the required documentation.

Section 27-129(f) of the NYC Building code stipulates that an owner who refuses or neglects to comply with any provision of Local Law 10 may be punished by a fine of up to $1,000.00, or by imprisonment of up to six (6) months, or both, and any such person shall, for each offense, be subject to the payment of a penalty of $250.00 per month for each month there is non-compliance.

Violations will be issued by the DOB in the following cases:

• Violations will be issued in cases where the "end of cycle" filing deadline has not been met. A fact sheet entitled "Resolving Department of Buildings Violations," found on the DOB website, stipulates that a late filing penalty of $150 per month will be assessed for each month beyond the filing deadline that a report has not been filed. (For "NRF" or "No Report Filed" violations.)

• Violations will also be issued in cases where "unsafe" conditions have been reported to the DOB. The type of violation will depend on the severity of the condition reported. See "Notification of Unsafe Condition," above.

Forms and Information

FLASH!!  DOB Announces "New" Alternative Filing Program (August 21, 2006)

Beginning August 21, 2006, the Department of Buildings is offering an alternative filing program for LL 11/98 buildings which meet specific requirements.  The new program establishes a single nine (9) month filing "extension," to allow the repair of Cycle 5 "SWARMP" conditions will not be accomplished by the "regular" February 21, 2007 Cycle 6 filing deadline.  Under certain conditions, the building may also be exempted from sidewalk shed requirements, as long as pedestrian safety is not compromised.   The deadline to file for the alternative program is November 21, 2006.

For more information and to find out if you qualify, view the following:

• DOB Flyer   
• DOB Factsheet
• DOB  Process Flow Chart

Cycle 6 is here  

The sixth inspection cycle mandated by NYC Local Laws 10/80 and 11/98 commenced on February 21, 2005 and will run through February 21, 2007.

In Cycle 6, for the first time, all defects classified as SWARMP during the previous inspection cycle, must be corrected prior to filing the Cycle 6 report, but by the end of Cycle 6 (February 21, 2007), at the very latest.

In Cycle 6, the updated DOB Technical Report Form (TR-6) requires a second certification by the building owner that conditions identified as SWARMP in Cycle 5 have either been corrected, or are classified in the Cycle 6 reported as “Unsafe.” This is in addition to the certification by the Owner acknowledging awareness of required repairs, if any, and the recommended time-frame for same.  See also: Instructions for TR-6

The DOB has issued detailed Instructions for Submitting Local Law 11/98 Cycle 6 Report for Architects and Engineers and Building Owners, prompting the inspecting professional to more carefully document observations and findings. (There are no procedural changes for the inspections themselves.) The Instructions amplify and clarify reporting requirements already on the books, thereby “raising the bar” for inspecting professionals.

Cycle 6 reports require, for example:

• overall photographs of each façade, as well as detail photos of defects observed,

• recommended time-frames for required repair of Cycle 6 SWARMP conditions in “month/year” format. (The DOB claims it will be able to track time-frames falling between cycles.)

• itemized comparison of Cycle 6 and Cycle 5 SWARMP conditions, to confirm whether or not Cycle 5 defects have been corrected

• for required Cycle 5 repairs: documentation that work permits have been obtained, and applications have been properly signed off   

The Instructions also contain the following note, pertaining to window air-conditioning units, window-guards and other appurtenances:  "Building Owners shall make sure all appurtenances are securely installed, stable and properly supported. [Refer to Rules 1 RCNY §32-03 (b)(3)(ii)(G)].

The DOB has also issued a new standardized form for the Notification of Unsafe Conditions, and an Operations Policy and Procedure Notice (OPPN #1/2005): Procedure for LL 11/98 Unsafe Conditions Notification. 

The OPPN is applicable to Unsafe Conditions observed during the Cycle 6 critical examination.  It is NOT applicable to the “default” Unsafes resulting from uncorrected Cycle 5 SWARMP conditions. 

In essence, the OPPN outlines the following procedure: 

• The inspecting professional immediately notifies the DOB and the Owner of unsafe conditions, using the new standard form.

• The Owner must immediately commence repairs and install safety measures.  The DOB will send an inspector to the site within approximately 2 days after receipt of the notice, 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 may write a Special Report.  It is more likely that the inspector will write one or more DOB violations, such as failure to maintain (27-127), or inadequate protection (27-1021).

• DOB violations are not as onerous as Environmental Control Board (ECB) violations.  DOB violations are used by the DOB to encourage timely repair and track cases.  (If procedures are followed, DOB violations will not necessarily result in fines.  ECB violations will require court appearances, and result in fines in almost all cases.)

• The DOB inspector will conduct a follow-up inspection 10 days after the Unsafe report is filed.  If conditions have not been repaired, and no safeguards are in place, the inspector may write one or more ECB violations.

All unsafe conditions must be corrected within 30 days. Renewable extensions of up to 90 days may be granted by the commissioner, based on documentation provided about the status of safety measures installed and the progress of any required repairs.

Requests for extensions are filed with the DOB Local Law Enforcement Unit on either the Local Law 11/98 Initial Extension of Time Request form or the Additional Extension of Time Request form.  The forms specify the required documentation.

(Unfortunately, permit requirements for emergency installation of sidewalk sheds and/or emergency repairs are not covered in the OPPN.)

With Cycle 6 upon us, it is important that building owners and managers develop a compliance strategy.

We recommend the following:

1. Confirm the Local Law 11 status of your building now. The easiest way to check the Local Law 11 status of a building is to use the DOB Building Information (BIS) System contained on the DOB website.

• On the "BIS Web Query" on the right-hand side of the screen, simply type the address.  You may also search based on the "block and lot" information for the subject building by using the more detailed Building Information Search Form.

• On the "Property Profile Overview" screen, click on the "Façade Status Information" line. The Local Law 11 classification of the building will appear on the "Initial Filing Status" or "Subsequent Filing Status" line.

2. Obtain a copy of the Cycle 5 report, particularly if your building was classified "SWARMP" or "Unsafe" during Cycle 5. Review the Cycle 5 report to ascertain details of the inspection, and identify conditions requiring repair. 

• If you have a copy of the Cycle 5 report (including the Form TR-6) in your possession, you can confirm the status of the building under Item 7: "Current Field Status." One of three boxes will be checked: Safe, Safe with a Repair Maintenance Program, or Unsafe.

Note: You must confirm that the Cycle 5 Form TR-6 and accompanying critical examination report you have in your possession are "valid," meaning that they have been accepted by the DOB, and are the latest copies on file. This step is necessary to avoid basing the Cycle 6 inspection and report on an invalid or superseded Cycle 5 report.

The best way to confirm that a report is valid is to check the date that the report was stamped "Received" by the DOB against the date listed on the DOB BIS System as the "Initial Filing Date" or "Subsequent Filing Date," under the "Façade Status Information" screen, as described above, under "Confirm the Local Law 11 status of the subject building now " If the dates match, the report should be valid.

• If you do not have a "valid" hard copy of the Cycle 5 report in your possession, you should obtain one now. The Cycle 5 Form TR-6 and report will be required for the professional to perform the Cycle 6 inspection. Copies of the Cycle 5 report may be obtained for a fee from the local borough office of the DOB.

3. Based on the Local Law 11 status of the building, action may be required:

• If the building was classified "Safe" in the Cycle 5 report:

Congratulations! Your obligation for Cycle 6 is simply to have a critical examination made, and a report filed with the DOB prior to the Cycle 6 (between February 21, 2005 and February 21, 2007).

• If the building was classified as "Unsafe" in the Cycle 5 report:

Confirm that required repairs were made and that an "Amended" report was filed with, and accepted by, the DOB. The Amended report would document the removal of the unsafe conditions, and re-classify the building as either "Safe" or "Safe with a Repair and Maintenance Program" (SWARMP)

• If the building was classified as "Safe with a Repair and Maintenance Program," (SWARMP) during Cycle 5, in either an "Initial" or "Subsequent" filing:

You must correct conditions identified in the report as SWARMP in accordance with the inspecting engineer’s or architect's recommended time frame - but in all cases prior to the filing of the Cycle 6 report, which is due on or before February 21, 2007.

If the conditions identified as SWARMP in the Cycle 5 report have been repaired, and a Work Permit was obtained, save copies of all applications, Work Permits and Completion Letters. The DOB will request documentation that work has been completed, in connection with the Cycle 6 report.

4. Certain façade repairs require Work Permits.

Permit requirements for façade related work are spelled out in DOB Technical Policy and Procedures Notice (TPPN) #1/99. Save copies of all DOB applications, Work Permits and Completion Letters for applications related to façade repairs. The DOB will request documentation that "Cycle 5" work has been completed, in connection with the Cycle 6 report.

5. Plan ahead.

• If your building was classified as SWARMP during Cycle 5, any conditions identified as requiring repair, that have not already been corrected, should be repaired as soon as possible, commencing now. (Be sure to obtain required Permits.) Any new façade defects which have presented themselves since the Cycle 5 inspection can be addressed at the same time, if practical.

Please note that according to Local Law 11/98 "new" SWARMP conditions identified during the Cycle 6 inspection do not have to be repaired prior to the February 21, 2007 Cycle 6 closing date. (Any "new" Cycle 6 SWARMP conditions would have to be repaired within the professional’s recommended time frame - but in all cases prior to the filing of the Cycle 7 report.)

• Have your building inspected early in the Cycle 6 period, to confirm that required Cycle 5 repairs have been made.

• In planning any required repairs, you should also consider that the Cycle 6 February closing date occurs in late winter. In most winters, exterior restoration projects are generally shut-down in November due to the cold weather.

• Furthermore, because this is a new requirement for Cycle 6, some owners and managers may be caught off-guard. There may be a high volume of repair work underway toward the end of the cycle, taxing resources, and resulting in increased prices.

6. Get started NOW, but don’t panic!  You should make every effort to meet the Cycle 6 “repair” deadline.  However, if for some (justifiable to the DOB) reason your building may not be in a position to repair all the Cycle 5 SWARMP conditions by the Cycle 6 "filing" deadline, the DOB has made provision to obtain limited extensions of time to complete repairs without incurring large financial penalties. (More on this later.)  Be sure to file your report on time, even if it contains "administrative" Unsafes.

The Department of Buildings has updated its website to include a Local Law 11/98 (Facade) Guide, which contains Form TR-6 (Technical Report Periodic Inspection of Exterior Walls and Appurtenances), as well as procedural requirements for Cycle 6 reporting, as described above.

Updates will be posted in this website as soon as new information becomes available.

Back to top