FISP: Façade Inspection Safety Program
Under New York City’s Façade Inspection Safety Program (FISP), previously known as Local Law 11, owners of buildings with more than six stories above grade are required to have their street- and public-facing exteriors undergo close-up inspections within a two-year window every five years. A Qualified Exterior Wall Inspector (QEWI) must conduct this critical examination and electronically file a report summarizing the building’s conditions with the New York City Department of Buildings (DOB).
A Qualified Exterior Wall Inspector is either a Registered Architect (RA) or a Professional Engineer (PE) who has been determined by the Department of Buildings (DOB) to be able to correctly assess the conditions of a building. As of 2020 a design professional must have at least seven years’ relevant experience to become a QEWI. Any delegates carrying out the examination under the supervision of the QEWI must either be licensed Architects or Engineers, have three years’ relevant FISP experience along with a bachelor’s degree in architecture or engineering, or have five years’ relevant experience absent such a degree.
SAFE:
SWARMP:
UNSAFE:
Since February 2020, hands-on inspections are required at 60-foot intervals of every publicly accessible or street-facing façade. These inspections may be conducted by suspended scaffolding, Industrial Rope Access, or boom lifts. Other areas are typically inspected and documented using high-powered binoculars and high resolution cameras. Based on the status of the least safe façade the FISP report will be filed as either of the following three conditions:
The wall and its appurtenances require no repair work to maintain structural integrity within the inspection cycle.
(Safe With a Repair and Maintenance Program): Conditions are not immediately hazardous but could deteriorate and become unsafe within the next five years. The QEWI will establish a timeframe for completing repair work no sooner than 12 months after the report filing date, but no later than the filing deadline for the subsequent inspection cycle. The Building Owner must correct all such conditions by the time of the next inspection cycle, or the building will automatically be classified as UNSAFE. SWARMP conditions typically include slightly cracked or spalling masonry, deflected window lintels, and deteriorating mortar joints.
Conditions of the building walls or appurtenances are immediately hazardous to the public and must be addressed promptly; the QEWI must immediately file a FISP3 to notify the DOB and the Owner thereof. Additionally, any SWARMP conditions not repaired by the time of the next inspection cycle will be classified as UNSAFE. The Building Owner must immediately commence repairs or reinforcement and install public protective measures such as a sidewalk shed or structural netting to secure public safety. These protections must remain in place until a DOB inspector has visited the site and confirmed that no unsafe conditions remain.
Current FISP Cycle: 9C
Buildings greater than six stories in height with Block Numbers ending in 1, 2, or 3 must have their inspections completed and their FISP reports electronically submitted to the NYC Department of Buildings between February 21, 2022 and February 21, 2024.
Links
New enhanced FISP rule announcement
(effective February 2020)
NYC's most recent Façade Safety Report
(reflecting conditions in 2017)
Guidelines for safely installing window mounted Air Conditioning Units
History
Local Law 10 of 1980 was enacted after the tragic death of Barnard student Grace Gold, who was fatally injured after a piece of masonry fell from the seventh floor of an Upper West Side building. The NYC Building Code was accordingly amended to require periodical inspections of buildings taller than six stories. Over the years, further amendments have been made to the code, most notably with the passage of Local Law 11 of 1998 which was renamed the Facade Inspection Safety Program in 2010. This was also when the current system of staggered filings was introduced, as the DOB had been overwhelmed by the number of reports filed at the end of the unified 6th Cycle.
The façade safety program requirements have been ratcheted up over the years as accidents involving the city’s aging infrastructure keep occurring. A series of wall failures in 1997 and 1998 led to the Local Law 11 tightening the earlier requirements and eliminating the “precautionary” filing status. The much-publicized death of local Architect Erica Tishman in December 2019 when a piece of terra cotta fell from 17-story building near Times Square led to public pressure for stricter government oversight. Less than a month later a woman was killed in Queens when an aluminum-covered plywood panel fell on her.
On January 28, 2020 the DOB promulgated major changes to the Façade Inspection Safety Program, increasing the expense and time required to complete the filing procedures. Hands-on inspections are now required at every 60 feet along façades facing streets and public access ways. Special attention is now given to cavity wall buildings as this cohort of buildings is beginning to present façade safety concerns: Investigative probes are now required along every 60-foot interval of cavity wall facades every second cycle (i.e. every ten years), including checking the condition and presence of wall ties. Along with the additional drops required, this adds further significant cost to the inspection process.
Civil penalties have been increased across the board, specifically to force noncompliant owners to carry out repairs rather than treating fines as part of the cost of doing business. New fines have also been introduced. In a system akin to the health inspection ratings for restaurants, owners are now required to post a Conditions Certificate indicating the building façade’s status in the lobby. QEWI standards were also tightened with additional responsibilities and stricter requirements for who may carry out the examinations. The DOB also conducted a citywide sweep of building façades in the city and doubled the staff on the façade inspection team. NYC DOB offered an amnesty for owners who failed to file an 8th Cycle report from June until August 2020, but may not be offered again in future cycles.
The detailed FISP inspection and reporting requirements are specified in Rule 1 RCNY §103-04 Periodic Inspection of Exterior Walls and Appurtenances of Buildings.
Saghari Architectural Services PC
We have been performing exterior wall inspections in NYC for fifteen years, beginning during Cycle 5. Our team of experienced architects and specialists can perform your required inspection, file the necessary documentation, and develop and execute remediation programs as necessary. We can assist in developing a long-term FISP program to ensure the continued safety and compliance of your building, providing peace of mind within the scope of your building’s budget.
What are the Owner Requirements?
The façade evaluation filing window is determined by the last digit of a building’s block number. The 9th Cycle dates are laid out in the diagram to the right. Façade inspection reports are required for all buildings with exterior walls or parts thereof that are greater than six stories in height, including the basement (floor with more than half its wall height is above ground) but excluding cellars, regardless of what the Certificate of Occupancy states. Owners are required to have the Department of Buildings inspect the property and determine whether the building is required to file a FISP report. An Owner can request a Height Verification Request through the DOB NOW: Safety website.
New buildings receive a five-year grace period which begins once the first Temporary Certificate of Occupancy is issued. The building must then file during the next applicable cycle, once the 5-year grace period ends.
If a façade was classified as SWARMP in the previous cycle, it must have all repairs completed or it will be classified as UNSAFE – with the addition of a new $2,000 penalty as of the 9th Cycle. Buildings with ongoing construction cannot be classified as SAFE.
If a building is classified as UNSAFE, owners must immediately install public protective measures. If they fail to do so, the City may install protection at the owner’s expense. Owners of a building classified as unsafe have an initial thirty-day period in which they may complete repairs, with 90-day extensions typically granted by the DOB upon request (FISP1) by the QEWI. Additional extensions are called FISP2. No fines will be assessed as long as extensions are maintained. Within two weeks of completion, the engineer or architect administering the repair program (typically the QEWI who filed the initial report) files an Amended Report to upgrade the building status. Upgrading to SWARMP rather than SAFE is not recommended, as such applications tend to receive particular scrutiny from the DOB.
The façade inspection report must be filed digitally in the DOB NOW system no later than one year after the hands-on inspection is carried out and no more than 60 days after the final inspection by the QEWI. It is recommended that building owners promptly approve, pay for, and transmit QEWI reports to avoid the need for re-inspection.
FAQ
What are appurtenances?
Appurtenances include, but are not limited to, window frames, flagpoles, signs, parapets, railings, copings, guardrails, window guards, air conditioners, flower boxes, satellite dishes, and any other equipment or fixtures attached to or protruding from the façade. Since 2013 and 2015, supplemental inspections of guardrails, handrail elements, balconies, and fire escapes for structural stability and code compliance have been required.
For a limited period of the 8th Cycle, FISP reports had to provide permits for any greenhouses, sunrooms, and enclosures at terraces or balconies to demonstrate that they had been legally installed. The DOB has since rescinded this requirement, but the QEWI still must verify the structural stability of any such enclosures and that all their components are positively secured for the FISP report.
Railing and parapet requirements
New York City Building Code requires railings and parapets around stairwells, balconies, areaways, roofs, and such locations to be designed to resist the simultaneous application of a lateral force of 50 pounds per linear foot and an equal vertical load, both applied to the top of the railing. Their safety will be determined by lateral stability, the presence and overall condition of all components, and the condition of connections and anchorage points. Depending on the conditions observed, the QEWI may determine that all railings, rather than a representative sample, must be inspected. A regular maintenance program to maintain railings in safe conditions is recommended.
Handrails and guardrails must also be inspected for whether they are compliant with the code current at the time of installation. If they are not, the QEWI shall notify the Owner and note these items in the report. The DOB requires bringing all such non-code compliant items up to code by the end of the next FISP Cycle.
If UNSAFE conditions are observed, all areas protected by the rails in question must be vacated until conditions are made safe.
Fire Escapes
Fire escapes remain present on many residential buildings and must also be investigated for structural safety. Per NYC code, fire escapes must be maintained by the building owner at all times for public and occupant safety. Structural safety will be determined by the condition of connections and tiebacks, the overall condition of the steel. Minor maintenance such as scraping, priming, and painting is commonly required, while foreign items such as planters, grills, or bicycles stored by residents on the fire escapes will have to be removed.
Which Exterior Walls have to be inspected?
All exterior walls must be visually inspected, excepting any walls that are less than twelve inches from the exterior wall of an adjacent building. Close-up inspections have to be carried out at intervals of no more than sixty feet at any exterior walls fronting a public right-of-way. The QEWI is required to seek out “the most deleterious locations” for examination.
What are Unsafe conditions?
As per the NYC DOB, an unsafe condition is “a condition of a building wall, any appurtenances thereto, or any part thereof that is hazardous to persons or property and requires prompt repair. In addition, any condition that was reported as SWARMP in a previous report and that is not corrected at the time of the current inspection shall be reported as an unsafe condition.” This includes loose or cracked brickwork, mortar, or concrete; leaning parapet walls, cracked or broken windows, cracked or fractured terracotta, improperly secured window-mounted air conditioners or any other loose material that would be injurious to the public if it was to fall.
The well being of the public is paramount: a QEWI who notices a loose element that can easily be removed by hand should do so to prevent it falling. Determining the conditions of building elements is mainly done visually but can also be done physically by sounding them with a mallet or hammer. When a QEWI’s experience does not suffice to determine whether a condition is Unsafe or SWARMP, investigative probes may provide clarity.
Can a window-mounted air conditioner create an unsafe condition?
The DOB frequently rejects reports filed as safe because of air conditioners deemed to be mounted in an unsafe manner. Other unsafe items include improvised or loose supports, or weights placed atop air conditioning units by residents to minimize vibrations. It is recommended that buildings establish installation standards and make them known to the residents to allow owners to confirm the safety of all air conditioner installations when filing a FISP report.
Are there building materials or types that the DOB is specifically concerned with?
Currently, the DOB is requiring more comprehensive evaluations of terra cotta (as well as sandstone) elements, as there have been several cases of deteriorated units and previous repairs failing. Additionally, cavity wall assemblies are being carefully reviewed as cavity wall tie backs have been found to be deteriorated and, in some instances, completely missing. Any of these types of building assemblies may require further investigation to provide the Buildings Department with information to prove the building is Safe.
What is the difference between an Amended Report and a Subsequent Report?
An Amended Report is for changing the status of an already filed Unsafe Report to SWARMP or Safe. A Building’s classification cannot remain Unsafe until the next cycle, therefore an Amended Report must be filed after the repairs have been completed. A Subsequent Report changes the status of a SWARMP report to Safe. A Subsequent Report is not required but may only be filed during the current open cycle and not after the next filing cycle opens. An Amended Report can be filed at any time, regardless of timeframe.
What are the fees and fines?
The following filing fees are associated with FISP reports and applications:
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Initial Report: $425
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Amended or Subsequent Report: $425
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Application for an Extension of Time to complete repairs (for each 90-day extension): $305
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Note that the Department of Finance charges a 2% convenience fee on credit card payments.
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Failure to File an Initial Report: Failure of the owner to file an initial Critical Examination Report prior to the reporting deadline will result in a penalty of $5,000 per year immediately after the end of the applicable filing window.
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Late Filing (Initial Report): There is an additional penalty for failure to file of $1,000 per month, commencing the day following the filing deadline and ending on the filing date of an accepted report.
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Failure to Correct Unsafe Conditions: An owner who fails to correct any unsafe condition will face a penalty of $1,000 per month, to $1,000 per month with an additional penalty after Year 1 of $10 per linear foot of sidewalk shed per month, increasing by an additional $10 per linear foot per month in Years 2 through Year 5, until the sidewalk shed has been removed and associated permits for repairs have been signed off, unless an Extension of Time to complete repairs has been granted by the Commissioner.
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Failure to Correct SWARMP Conditions: An owner who fails to correct any conditions deemed Safe With A Repair and Maintenance Program in the time allotted is subject to a $2,000 penalty.
