§ 2-11 Repair, Restoration, Replacement and Re-creation of Building Facades and Related Exterior Elements.
RCNY § 2-11
(a)Introduction. This section authorizes LPC Staff to approve applications for work to repair, restore and re-create building facades and related exterior elements in order to maintain, restore, replace, re-create and, in certain instances, recall original or historic exterior architectural elements. LPC Staff reviews these applications with the presumption that historic materials should be maintained, repaired and replaced in-kind whenever possible. This approach results in the most authentic and sympathetic interventions and preserves the design, materiality and engineering of the historic building or improvement and its features. Furthermore, the use of historic materials and methods typically ensures compatibility with surrounding materials in terms of expansion and contraction, permeability and absorption, and structural capacity, among other things. Most historic material are proven to be long-lasting and durable when properly maintained, and will age and perform in a predicable way in support of the long-term economic viability of their continued use. Notwithstanding the preference for original and historic materials, LPC Staff may consider alternative repair methods and substitute materials in certain situations as set forth in this subdivision, while in other situations use of substitute materials is prohibited. For purposes of this section, the term "primary facade" means: (1) a facade fronting a street or public thoroughfare that is not a street, such as a mews or court; (2) A visible facade that possesses a level of design or significant architectural features that are commensurate with the building's street-fronting facade(s), and where such facade (i) faces but does not front a street, such as a setback facade, or (ii) is part of a dominant massing element where at least one facade is street-fronting or street-facing, such as a tower element; or (3) A facade with a primary entrance to the building.
(b)General Conditions and Requirements.
(1)Probes and other investigative work. No permit is required for non-intrusive investigative work or probes, provided the work is fully reversible and does not damage any historic fabric, and further provided that the existing condition is reinstated upon completion. LPC Staff may approve and issue an approval for selective intrusive investigative work or probes in order to assess the current condition of building materials and systems, or for the temporary removal of a feature or portion of a feature in order to make a mold for replication, if the proposed work meets all of the following applicable criteria: (i) The probes or removal(s) are requested in connection with an anticipated or open application for work, or for an approval that has been granted; (ii) No more material will be removed than is necessary to discover the underlying condition or make the mold for replication and, where possible, removal will be limited to non-character defining features and materials; (iii) The probe(s) or removal(s) will be performed in an unobtrusive location; (iv) Temporary protection of the area being probed will be provided; and (v) Where original fabric is removed in connection with the probe, it will be re-installed to match the original condition, or if necessary the material will be replaced in-kind. For removals in connection with making a mold for replication, the original fabric will be re-installed or adequate protective measures will be taken to ensure that the facade is kept watertight until such time as the reinstallation or replacement of the feature is complete.
(2)Documentation and assessment of deteriorated conditions. The applicant must provide current photographs of the building as documentation of deteriorated conditions, along with a written scope of work summary. Where replacement of large quantities of materials and/or significant architectural features is proposed, the applicant must provide an assessment of the deteriorated conditions warranting such replacement(s). Repair will be given priority over replacement if feasible.
(3)Physical and aesthetic characteristics of materials and features. In all cases, except where noted, the repair, restoration, replacement or re-creation must match the original or historic materials and features in terms of its physical and aesthetic characteristics, including design, detail, profile, dimension, material, texture, tooling, dressing, color and finish, as applicable.
(4)Specifications. The specifications, methods and materials for the repair, restoration, replacement or re-creation must be identified and described by the architect, engineer or contractor as part of a written scope of work or specifications manual or on the filing drawings.
(5)Samples. LPC Staff may, prior to commencement of the work and as a condition of approval or as a stipulation for continuing work, require that samples of work, including samples of materials, methods and finishes, be prepared for review and approval. The applicant may notify the LPC Staff by letter or email that the samples are ready for review. LPC Staff may request photographs of the samples or delivery of the samples to the LPC Staff member prior to the site visit. Work may not commence or proceed until LPC Staff has approved the sample(s). With respect to a request for samples: (i) Samples of joint preparation for repointing work at primary facades of a small size and at locations requiring repointing will be provided prior to raking or cutting the entire facade(s); (ii) The applicant must provide at least two (2) samples of pointing, masonry repairs, and/or replacement unit masonry, of a size to be determined by LPC Staff, and the samples must be located at areas requiring the repairs where reasonable and feasible; (iii) Samples must be adequately set or dried prior to photographing or contacting LPC Staff to arrange for a site inspection; (iv) Samples approved by LPC Staff will serve as the standard for the entire job; and (v) For certain scopes of work, such as large amounts of masonry replacement or facade reconstruction, LPC Staff may require a separate sign-off of the samples, including stopping work and submission of photographs or a site visit, once a portion of the work, as stipulated by LPC Staff, has been completed.
(6)Shop drawings. LPC Staff may, prior to issuance of a permit, or prior to commencement of the work and as a condition of approval or as a stipulation for continuing work, require the submission and approval of shop drawings for the in-kind replacement of significant architectural features.
(7)Environmental conditions. The repair, restoration, replacement, or reconstruction of mortar joints and unit masonry will be performed only when the temperature remains at a constant 45 degrees Fahrenheit or above for a 72-hour period from the commencement of the work. Other means and methods for providing a comparable controlled environment, such as providing heated enclosures or heating the material itself, may be considered on a case-by-case basis subject to review and approval by LPC staff.
(c)Repair or Restoration of Facade Materials and Features. Where the applicant has provided documentation, assessment, and specifications, as applicable, LPC Staff will approve repair or restoration of deteriorated facade materials and features as provided below.
(i)Painting facades and features that were originally or historically painted and are currently unpainted. LPC Staff will approve painting facades and building features that historically were painted in order to protect them from damage or return them more closely to their historic appearance if the proposed work meets all of the following applicable criteria: (A) The paint will match original or historic paint in terms of physical and aesthetic characteristics, and the color will be in keeping with the historic color palette of the building's type, style, and age, except that in the case of historic masonry the proposed color will match the color of the underlying masonry, unless the color is part of a significant later alteration. For Individual Landmarks, if a substantial portion of the paint on a primary facade is being removed, the applicant must perform a paint analysis unless one already exists; (B) A particular finish that is already required pursuant to an LPC Modification of Use or Bulk, or was an important criterion for an approval of a Certificate of Appropriateness application, will be maintained.
(ii)Painting non-original or altered features or facades. LPC Staff will approve the painting of facades or features that are not original, or were altered or damaged prior to designation, in order to improve their appearance or conceal non-original materials, if the proposed work meets all of the following applicable criteria: (A) The paint will blend with the surrounding materials, helping the feature recede from view; or (B) The paint will be harmonious with other elements on the building or adjacent buildings, thereby helping unify the appearance and relationship of the elements. (C) Repainting a facade or feature to match the existing condition does not require a permit, provided the existing condition is grandfathered or approved by the Commission. Any perceptible change in color will require a permit, subject to the conditions set forth in paragraph (2)(A) and (B) of this subdivision. See subparagraph (iii) below for use of non-paint coatings, as applicable.
(iii)Coating masonry facades and features. LPC Staff will approve coating masonry facades and building features with non-paint material, such as a mineral coating or stain that is absorbed into the substrate and/or bonds with it, in order to protect them from damage, if the proposed work meets all of the following applicable criteria: (A) Water infiltration has occurred or is occurring through the facade or feature due to its deteriorated surface condition; or (B) The base of the facade has been subjected to graffiti on a recurring basis; and (C) The coating will be highly breathable, and in most cases will be clear with a dull finish to maintain the appearance of the underlying masonry unless some coloration is desirable to conceal prior non-matching repairs or surface damage; and (D) The coating will not be a waterproofing product, unless such product already exists on the building facade or feature and cannot be removed without damaging the underlying material, and the scope of recoating is limited to touching up small areas. A larger scope of recoating, or complete recoating, may not be approved if there is potential for diminishing breathability and damaging the facade or feature due to build-up of multiple layers of the coating.
(8)Repair of cast and wrought iron and other cast or extruded ornamental metals. LPC Staff will approve an application to repair cast, wrought or extruded metal elements by removing, repairing and reinstalling existing elements, if the proposed work meets all of the following applicable criteria: (i) The cast, wrought or extruded metal repair will match original or historic cast and wrought iron and other cast or extruded ornamental metals in terms of physical and aesthetic characteristics; (ii) Materials and methods for anchoring, fasteners, welding, patching, filling and/or sealants will be compatible with the cast and wrought iron and other cast or extruded ornamental metals, and will be discreet or concealed from view.
(9)Repair of wood features. LPC Staff will approve an application to repair wood elements by removing, repairing and reinstalling existing elements, if the proposed work meets all of the following applicable criteria: (i) The wood repair will match original or historic wood in terms of physical and aesthetic characteristics; and (ii) Materials and methods for anchoring, fasteners, patching, filling, piecing-in ("Dutchmen" repairs), consolidating, or other reinforcement will be compatible with the wood, and will be discreet or concealed from view.
(10)Repair of other materials. LPC Staff will approve the repair of other materials or building facades that do not fall into any of the previously described categories, including but not limited to laminates, plastic and synthetic rubbers, curtain walls, and poured concrete, if the repair will match original or historic material in terms of physical and aesthetic characteristics. In connection with such repairs, LPC Staff may approve the repair of minor portions of these other materials with substitute materials that otherwise match the physical and aesthetic characteristics, provided the use of substitute materials will not detract from the original materials.
(d)Replacement of Deteriorated Architectural Features. Where the applicant has provided adequate documentation and assessment that an architectural feature cannot be repaired and retained, typically in the form of a descriptive analysis and photographic and/or other evidence, LPC staff will approve replacement of such a feature as provided below. For purposes of this subdivision, "architectural feature" means both the individual components (e.g., cornice, lintel, band course or column) and the material (e.g., brick, stone, wood or terra cotta) that comprise the basic facade material.
(iv)Requirements for the replacement of historic materials in-kind and the use of substitute materials are as follows: (A) Cast iron. Replacement of cast iron with a painted finish must be in-kind at or below the sixth story at the primary facade(s), except that cast aluminum or another cast metal with a painted finish may be used. In addition to these provisions, above the sixth story at primary facade(s) and at secondary facades, substitute materials may also be used for limited quantities of discrete elements. At Individual Landmarks, substitute materials may not be used. (B) Cast metals and sheet metals. Replacement of cast metals and sheet metals with a natural finish, and wrought metals, must be in-kind at or below the sixth story at the primary facade(s). Above the sixth story at primary facade(s), substitute materials may be used. At Individual Landmarks, substitute materials may not be used. (C) Brick and stucco. Replacement of brick and stucco must be in-kind at any location on the building. At Individual Landmarks, substitute materials may not be used. (D) Cast and natural stone. Replacement of (historic) cast stone and natural stone (other than brownstone) must be in-kind at or below the sixth story at the primary facade(s), except substitute materials may be used for coping elements. In addition to these provisions, above the sixth story at primary facade(s), substitute materials may also be used at projecting cornices and balconies with weight and/or attachment issues when in-kind replacement has the potential to cause additional loss of surrounding materials, as determined by a licensed engineer; and for limited quantities of other discrete elements that are not part of a cladding field of similar units where physical and visual compatibility is critical. At Individual Landmarks, substitute materials may not be used, except for coping elements. (E) Brownstone. Replacement of brownstone may be in-kind at the primary facade(s), or cast stone may be used for facade elements and features, and cast stone or stucco over backup masonry may be used at stoops and areaway walls. At Individual Landmarks, stucco over backup masonry may not be used. (F) Terra cotta. Replacement of terra cotta must be in-kind at or below the sixth story at the primary facade(s), except substitute materials may be used for coping elements, as well as for limited quantities of other discrete elements that are not part of a cladding field of similar units where physical and visual compatibility is critical. In addition to these provisions, above the sixth story at primary facade(s), substitute materials may also be used at projecting cornices and balconies with weight and/or attachment issues when in-kind replacement has the potential to cause additional loss of surrounding materials, as determined by a licensed engineer. At Individual Landmarks, substitute material may not be used, except for coping elements, as well as for limited quantities of other discrete elements that are not part of a cladding field of similar units where physical and visual compatibility is critical. (G) Wood siding. Replacement of wood siding must be in-kind at the primary facade(s) and at Individual Landmarks, except that fiber-cement board may be used only if applicable building, fire or other code(s) prohibit the use of wood siding, provided the use of the substitute material is the minimum required by such code(s). (H) Painted wood and sheet metal. Replacement of painted wood and sheet metal elements must be in-kind at the primary facade(s), except that painted wood and sheet metal elements may be used interchangeably at facade elements that were historically used in a similar manner, such as cornices and bay windows; and other substitute materials may be used at elaborate top floor cornices less than 25 feet in length where any joints in the material would be hidden or obscured by the design elements. Above the sixth story at primary facade(s), substitute materials may be used. At Individual Landmarks, substitute materials may not be used. (I) Roofing material. Replacement of original or historic roofing, flashing, gutters, leaders, and/or decorative elements, or replace roofing where the original or historic roofing material has been removed, must meet all of the following applicable criteria: (a) The new roofing components will match the original or historic roofing components in terms of their physical and aesthetic characteristics; or (b) If the original or historic roofing is existing, LPC Staff may approve a substitute material at roofs of buildings six stories tall or less at the primary facade if the material is not visible from a public thoroughfare. For buildings seven stories tall or greater, substitute materials may be used at the primary and secondary facades if the material is not visible or minimally visible from a public thoroughfare, where because of the height or discreet presence the substitute material will not be discernible or will not call attention to itself or detract from the significant historic features of the building, or district if the building is in a historic district. In all cases, new visible flashing, gutters, leaders and/or decorative elements will match the original or historic materials. All substitute materials must satisfy the criteria of clause (c) below. This clause (b) does not apply to Individual Landmarks or buildings seeking or subject to a special permit ("Modification of Use or Bulk" or "MOU").
(v)Except as otherwise prohibited by the criteria of this subdivision, substitute materials may be approved at any location on a secondary facade not fronting on a publicly accessible thoroughfare if the substitute material will not be discernible or will not call attention to itself or detract from the significant historic features of the building, or district, if the building is in a historic district.
(e)Reconstruction of Facades. For buildings in historic districts, if the entire facade cannot be stabilized and repaired in-place, the applicant must provide a structural conditions report from a licensed professional engineer, an assessment of the existing materials and potential for unit masonry and other features to be salvaged and re-used, and fully-dimensioned survey drawings of the facade. The recommendation for reconstruction of a primary facade made by the engineer will be subject to peer review by an structural engineer contracted with by the Commission, who must concur with the recommendation in order for LPC staff to approve the application. Historic facade material must be salvaged and reused to the greatest extent feasible at primary facades. This subdivision (e) does not apply to Individual Landmarks or buildings seeking or subject to a special permit ("Modification of Use and Bulk" or "MOU").
(f)Re-Creation and Restoration of Missing Facade Features. LPC Staff will approve the re-creation and restoration of building facade element(s) (including but not limited to roofs and cornices, stoops, storefronts, window and door openings, window and door enframements, ironwork, porches and siding) to their original or historic appearance if they determine that the proposed work satisfies the following conditions: (1) The restoration would not cause the removal of original fabric or significant historic fabric (such as Victorian period features on an earlier structure) that may have been added over time, and the authenticity of the restoration is documented by: (i) Photographic evidence; (ii) Physical evidence on the building; (iii) Original or historic drawings or documents; or (iv) Matching buildings.
