§ 103-09 Periodic Inspection of Retaining Walls.
RCNY § 103-09
(a)Definitions. For the purposes of this section, the following terms have the following meanings. Acceptable report. A report of critical examination filed by a qualified retaining wall inspector that meets the requirements of the Administrative Code and this section as determined by the Department. Amended report. A report of critical examination filed by a qualified retaining wall inspector who certifies that the unsafe conditions reported in the initial report have been repaired and that the retaining wall is no longer unsafe. Appurtenance. A retaining wall element including, but not limited to, fences (including attachments and other hardware), lighting fixtures, railings, protective screening, signs, mesh wires for gabion walls, coping, and any non-structural components attached to or protruding from the retaining wall. Close-up inspection. A physical examination performed on a retaining wall for the purpose of performing a critical examination. Critical examination. An examination conducted to review a retaining wall and all parts of it, including any appurtenances of such wall, to determine whether the retaining wall and its parts are either safe, unsafe, safe with minor repairs, or safe with a repair and maintenance program and whether, in the judgment of a qualified retaining wall inspector, it requires remedial work. Filed report. A report is deemed filed with the Department when it has been received by the Department. The filed report must be completed in accordance with the provisions of paragraph (3) of subdivision (c) of this section. Filing window. The one-year period during which an acceptable report for a particular retaining wall may be filed with the Department without penalty. Height (of retaining wall). The vertical distance, measured from the ground surface above the toe of the wall to the top of the wall, wall stem, or wall step for tiered walls, including any parapets or fencing intended for retaining material. Maintenance. The cyclical or recurring upkeep of a retaining wall including, but not limited to, vegetation removal, weep holes, cleaning wall drains, removing debris from culverts, replacing dislodged chinking, painting soldier piles, cleaning and sealing concrete and wood facings. Physical examination. Hands-on engineering inspection of retaining walls and appurtenance elements applying various methods of examination other than visual, including, but not limited to, sounding, probing, coring, testing, soil test pits and soil borings. Public right-of-way. A public highway, railroad, street, avenue, alley, public driveway, sidewalk, roadway or any other public place or public way. Qualified retaining wall inspector ("QRWI"). A qualified retaining wall inspector as defined in 1 RCNY § 101-07. Repair. The non-routine fixing and restoring of wall elements to their intended function, including, but not limited to, resetting dislodged stonework, repointing stone masonry, re-grading or reseeding adjacent slopes, patching concrete spalls, mending damaged wire baskets, and repair or replacement of the drainage system. Report of critical examination ("Report"). A written report filed with the Department by a QRWI clearly documenting the conditions noted during the assessment; areas that need repair, maintenance, or engineering monitoring; a final wall rating; and any other requirements mandated by this rule. Report filing cycle. The five-year time interval established by the Commissioner for the filing of each successive report for each successive critical examination of every retaining wall subject to the requirements of Article 305 of Title 28 of the Administrative Code. Retaining wall. A wall that resists lateral or other forces caused by soil, rock, water, or other materials, thereby preventing lateral displacement and the movement of the mass by sliding to a lower elevation. Such term does not include basement walls and vault walls that are part of a building, and underground structures, including but not limited to utility vault structures, tunnels, transit stations and swimming pools. Safe condition. A wall rating in which a retaining wall is determined to be fully functional with no action required at the time of assessment and that will not become unsafe during the next five years. Safe with minor repairs ("SMR") condition. A wall rating in which a retaining wall is found at the time of assessment to be safe but requires minor repair or routine maintenance within the next five years to correct minor deficiencies in order to minimize or delay further wall deterioration and remain safe. Safe with repairs and/or engineering monitoring ("SREM") condition. A wall rating in which a retaining wall is found at the time of assessment to be safe but requires repair within the next five years, but not less than one year, to correct deficiencies in order to prevent its deterioration into an unsafe condition during that five-year period. In addition to repair, the QRWI deems it necessary to regularly monitor and/or investigate further the retaining wall to determine the nature or cause of observed distress and what action may be required. Staggered filing cycle. The separate time intervals for filing reports as determined by borough beginning January 1, 2024, and continuing thereafter for each subsequent report filing cycle. Subsequent report. A technical examination report that is filed by a QRWI after an acceptable report in order to change the status of a retaining wall for that reporting cycle to reflect changed conditions or the recommended time frame for repairs of SREM or unsafe conditions, except where an amended report should be filed. Unsafe condition. A condition of a retaining wall and any appurtenances found at the time of assessment that is a hazard to persons or property and requires repair within one (1) year of completion of critical examinations. In addition, any condition that was reported as SREM in a previous report and that is not corrected at the time of the current inspection must be reported as an unsafe condition.
(b)Responsibilities of qualified retaining wall inspectors.
(1)A QRWI must conduct critical examinations and file reports in accordance with this section and § 28-305.4 of the Administrative Code.
(2)A QRWI must maintain records of inspections and tests for at least six years and must make such records available to the Department upon request.
(3)A QRWI must maintain insurance coverage as set forth in paragraph (7) of subdivision (b) of 1 RCNY § 101-07. Copies of such insurance policies must be made available to the Department upon request.
(4)A QRWI must be in good standing with the New York State Education Department and the New York City Department of Buildings.
(c)Critical examinations.
(i)Before performing a critical examination of a retaining wall, the QRWI retained by or on behalf of the owner must review the most recent report and any available previous reports, structural design or repair drawings, and violations. The Department will maintain a file of such reports submitted in conformance with Article 305 of Title 28 of the Administrative Code and provide copies upon payment of fees set forth in the rules of the Department.
(ii)Examination of retaining walls and appurtenances thereof pursuant to § 28-305.4 of the Administrative Code and this section must be performed by or under the direct supervision of a QRWI retained by the owner of such wall or a representative of the owner.
(iii)The QRWI must design and implement an assessment program that is specific to the retaining wall to be assessed, including, but not limited to, observations of the entire length of the wall from both sides of the retaining wall, data collection and method of evaluation. The assessment program and methods to be employed must be based on the consideration of the wall construction type, wall function, year built, location, age of materials, specific exposure to environmental conditions, and the presence of specific details and appurtenances. Consideration must be given to the retaining wall's history of maintenance and repairs as described in previous reports and submittals to the Department, if applicable. Professional Engineers, individuals with a bachelor's degree in engineering and three years of relevant experience, or individuals with five (5) years of relevant experience working under the QRWI's direct supervision may be delegated to perform selected inspection tasks other than the final inspection.
(iv)The methods used to assess the retaining wall in question must permit a complete critical examination of the wall, including, but not limited to, retaining wall type, cross sections, architectural finishes, selective probes, cores, measurements of wall dimensions, including, but not limited to, thickness and soil investigation.
(v)The QRWI must utilize a professional standard of care to assess the condition of the retaining wall and surrounding elements that impact the wall's stability. The known history of the retaining wall, the nature of the materials used, and the conditions observed will dictate the extent of the critical examination, provided, however, that the following elements must be assessed whenever they are present: (A) Primary wall elements, including, but not limited to, piles and shafts, lagging, anchor heads, wire or geo-synthetic facing elements, bins or cribs, concrete, shotcrete, mortar, manufactured block or brick, placed stone and wall foundation material. (B) Secondary wall elements and appurtenances, including, but not limited to, wall drains and water management systems, architectural facing, traffic barrier, fencing, roads, sidewalks, shoulders, upslope, downslope, lateral slope, vegetation, culverts, curbs, berms and ditches.
(vi)The QRWI must amend the scope of the critical examination and add additional testing and investigation as required to characterize wall distresses, overall performance or if distresses warrant additional investigations.
(vii)During the course of the critical examination, photographs must be taken and maps made to document the exact location of all distresses that require repair, maintenance, or monitoring, or that cause a retaining wall to have a final wall rating of unsafe, SREM, or SMR.
(viii)Upon the discovery of an unsafe condition, the QRWI must immediately notify the Department and the owner of the property on which the retaining wall is located. The QRWI must identify the location of any unsafe condition, advise the owner on the appropriate protective measures to be taken, and include the recommended type and location of public protection in the notification to the Department.
(ix)A critical examination is complete when the QRWI has conducted a final physical inspection to determine that the retaining wall conditions described in the report are consistent with actual conditions. Such final inspection must, at a minimum, include an in-person visual examination of the entire length from both sides of the retaining wall. A drive-by inspection is not acceptable.
2.If a retaining wall is categorized as unsafe: A. The QRWI must provide the time frame for repairs to be completed to bring the retaining wall to SREM, SMR, or safe status and must indicate the date by which the work will be completed (MM/DD/YYYY); and B. Time frames of more than five (5) years will not be accepted. (N) A list and description of the work permits required to accomplish the necessary work. If no work permits will be required, the reason must be indicated; (O) All photographs must be dated, printed in color, clearly legible, and high resolution. Digital photos must be a minimum of 800 x 600 pixels. Photographs must be arranged into PDF no larger than 11" x 17". The following photos must be submitted: 1. Elevation photos. Color photographs of at least one view of the entire public right-of-way facing elevation for all reports, regardless of the retaining wall's filing condition; 2. Representative photos. Color photographs showing the general conditions of the retaining wall must be included with the report. Additionally, photographs of the high side of the retaining wall, including ground conditions immediately behind and in the front of the retaining wall are also required.
3.Detailed condition photos. Color photographs of specific conditions must be clearly labeled and indicate the status designation. The locations of conditions required by item H of this subparagraph (iii) must be provided. A. All SREM, SMR, and unsafe conditions must be cataloged. B. If retaining wall status is safe, submit a minimum of three typical conditions. (P) The classification of the retaining wall for the current report filing cycle, as determined by the following guidelines: 1. If there are no unsafe conditions, no conditions that are SREM or SMR, then the retaining wall is classified as safe.
4.If there is at least one condition that is SMR and there are no unsafe or SREM conditions, then the retaining wall must be classified as SMR.
5.A report may not be filed describing the same condition at the same location as SREM for two consecutive report filing cycles. The QRWI must certify that all of the conditions identified in the previous report as requiring repair have been corrected, or the retaining wall must be classified as unsafe; (Q) The seal and signature of the QRWI who performed the critical examination, or under whose direct supervision the critical examination was performed.
(x)Failure to submit a revised report addressing the Department's objections within one (1) year of the initial filing requires a new critical examination, including a new close-up inspection.
(xi)A subsequent report may be filed within a five-year report filing cycle to change a retaining wall's status or the completion date for repairs of SREM or unsafe conditions for that cycle.
(5)Unsafe conditions.
(6)Conditions classified as SREM.
(d)Civil penalties.
(e)Full or partial penalty waivers; eligibility and evidentiary requirements. Owners may request a waiver of penalties assessed for violation of Article 305 of Title 28 of the Administrative Code, or rules enforced by the Department. Requests must be made in writing and must meet eligibility and evidentiary requirements as follows: (1) Owner status.
