Project Requirements - Alteration - Multiple Dwelling Unit -Buildings

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Project Guidelines for Design Professionals
Engineers (PE) & Architects (RA)
Local Law 108/2019

Project Guidelines for Design Professionals

Engineers (PE) & Architects (RA)

Local Law 108/2019


Design Professional Requirements:
Multiple Dwelling Unit (Alterations)

Applicability of Code and Zoning

An Alteration project could be filed for review under either the current Codes, the 2014 NYC Construction Codes, Administrative (AC), Building (BC), Plumbing (PC), Fuel Gas (FGC), and Mechanical Codes (MC), or under Prior Codes, such as the 1968 Code, 1938 Code or earlier Codes, depending on the age of the existing building; reference AC 28-101.2. It is the responsibility of the Registered Design Professional to date the building to determine the applicable Codes.

However, there are exceptions if Prior Codes are used, per (AC 28-101.4.3). For example, the 2014 Code must be used for some accessibility requirements, certain alteration work of mechanical, plumbing, sprinkler, fire protection and/or fuel gas systems, specific building elements such as security grilles, handrails, guards, roofs, etc., and certain kinds of structural work. Alteration work must also comply with the 2011 NYC Electrical Code and the current NYC Energy Conservation Code. The following Reference Guides provide instructions:

Energy Code: Supporting Documents How to Guide

Energy Code (based on 2011 NYCECC): Tabular Analysis

Energy Analysis (based on 2011 NYCECC): How to Guide

In flood plains, BC Appendix G must be considered when performing alterations.

When required by the project scope of work, the building must also comply with the rules, regulations, laws and codes of other city or state agencies, such as the NYC Fire Department (FDNY), NYC Environmental Protection (DEP), NYC Transportation (DOT), NYS Department of Environmental Conservation (DEC), NYC Landmarks Commission (LPC), NYC Department of Parks and Recreation (DPR), and others.

Note: The following is a list of key zoning, Code and other regulations that may be relevant in the project design, it is not comprehensive.

Codes

Project Element

Applicable Code and Regulations

Current Code*

Prior Codes

2014

1968

1938**

Administrative

2014 AC 28-101.4.5 and Administrative Code

2014 AC 28-101.4.3 -Optional Use of 1968 Code, AC 28-101.4.5, AC 27-114, AC 27-120

2014 AC 28-101.4.3, AC 28-101.4.5, and 1968 AC 27-114, MDL Article 2

Accessibility

2014 BC Chapter 11, and Appendix E, Appendix N, and Appendix P

Building Heights & Areas

BC Chapter 5, Table 503

AC 27-293 through AC 27-306, Tables 4-1 and 4-2

AC 26 Article 5, AC 26-254

Construction Types

BC Chapter 6

AC 27-269 through AC 27-287

AC 26 Article 4

Egress

BC Chapter 10 and BC Appendix S

AC 27-354 through AC 27-396.6

Article 7

Elevators

2014 BC Chapter 30 and BC Appendix K

Energy Efficiency

2016 NYC Energy Conservation Code

FDNY Access

BC 501.3.1, BC 502.1, FC Chapter 5

1968 AC 27-291, AC 27-292, FC Chapter 5

FC Chapter 5, MDL 54

Fire Protection

BC Chapter 9, Appendix Q,

2014 AC 28-315.2,2014 BC Chapter 9,and Appendix Q

AC 26 Article 16, Article 17, MDL Article 3, Title 2

Fire Resistant Ratings

BC Chapter 7

AC 27-318 through AC 27-353.3

AC 26 Article 11

Flood Resistant Construction

2014 BC Appendix G

High Rise Buildings

BC 403

2014 AC 28-101.4.3, AC 28-102.4

2014 AC 28-101.4.3, AC 28-102.4.3

Interior Environment

BC Chapter 12, and MC Chapters 4 through 6,

AC 27-725 through AC 27-770

1938 AC Article 6, 1938 Article 12, 1938 Article 15, HMC Subchapter 3, and MDL Art. 3, Title 1

Interior Finishes

BC 803.3

AC 27-348, Table 5-4

Materials

BC Chapter 14, BC Chapters 19 to 26

Subject to applicable provisions of the 2014 BC and 1968 AC 27-600 through AC 27-651

Subject to applicable provisions of the 2014 BC and 1938 AC Article 8, Article 9, and Article 19

Roof Assemblies and Rooftop Structures

BC Chapter 15

Subject to applicable provisions of the 2014 BC and 1968 AC 27-338

Subject to applicable provisions of the 2014 BC and 1938 AC 26 Article 11

Safeguards During Construction

2014 BC Chapter 33

Structural, Soils and Foundation

2014 BC Chapter 16 and Chapter 18

2014 BC 1601.2 BC 1805.3, BC 1814, 1968 AC 27-580 through AC 27-724

2014 BC 1601.2 and 1938 AC 26 Article 9

Use and Occupancy Classification

BC Chapter 3

AC 27-234 through AC 27-242, AC 27-263 through 27-266

Article 4 and Article 13

Other Guidelines

Antennas

See Renovation Antenna Guidelines

Boiler

See Building Systems Boiler Guidelines

Building Pavement Plan

See BPP - Alteration Project Guidelines

Construction Equipment

See Construction Equipment Guidelines (Scaffold, Hoists, Chutes, Fences, Sidewalk Sheds, Mechanical Construction Equipment)

Curb Cuts

See Renovation Curb Cut Guidelines

Demolition

See Partial Demolition Guidelines

Emergency Power Backup Systems

See Building Systems Emergency Power Guidelines

Encroachments onto Public Right of Way

See Public Right of Way Guidelines

Façade

See Façade Guidelines

Foundations, Shoring, Underpinning

See Shoring/Underpinning of Foundation/Retaining Wall/Flag Pole/Sign Ground Structure

Mechanical

See Building Systems Mechanical Guidelines

Plumbing

See Building Systems Plumbing Guidelines

Signs

See Renovations: Sign Guidelines

Solar Panels

See Building Systems Solar Guidelines

Sprinkler

See Building Systems Sprinkler Guidelines

Standpipe

See Building Systems Standpipe Guidelines

Swimming Pools

See Outdoor Swimming Pools Guidelines

* Note: New applications for buildings erected under the 2008 Code must comply with the 2014 Code, as required by AC 28-101.4 & AC 28-102.4.3.
** Note: Your building may be governed by a Code prior to 1938 based on the Code at the time it was built.

Zoning

Use Regulations

Multiple Dwellings, which are residential buildings with 3 or more dwelling units, are permitted in various residential districts (R3-2, R4, R5 and R-6 through R10) and commercial districts (C1 through C6).

Non-conforming Use

Per ZR 12-10, a non-conforming use is any lawful use, of a building which does not conform to any one or more of the applicable zoning use regulations of the district in which it is located. Existing non-conforming uses may remain per regulations outlined in ZR 52-00.

(E) Designations
An (E) designation provides notice of the presence of an environmental concerns pertaining to contamination from hazardous materials, high ambient noise level or unhealthy air present on a lot. Refer to BB 2014-026, ZR 11-15, ZR Appendix C Table 1 and Table 2.

The following work on an (e) designated property is subject to the review and approval by the Office of Environmental Remediation (OER):

Excavation, or any soil disturbed in such a lot: Mitigate impact from any hazardous material contamination present, typically by creating a creating a hazardous material removal project with DEC and DEP.

In such a lot, building work that includes any ventilation or exhaust systems: Mitigate impact from poor air quality present in area, typically through increased air filtration

In such a lot, any exterior building work: Mitigate adverse impact from high ambient exterior noise levels present, typically through different forms of sound insulation

Special (and Sub) District Provisions (ZR Articles VIII – XIII)
NYC special districts are designated within an existing district or across multiple districts to modify either use and/or bulk provisions and further restrict or expand the underlying district’s provisions. For example, Long Island City, Downtown Brooklyn, Greenpoint Williamsburg, and Midtown are special districts. If the property is in a special (and/or sub) district, special requirements may apply.

Bulk Regulations
Bulk regulations are adopted in order to protect residential areas against congestion and to encourage the development of desirable and stable residential neighborhoods. In order to achieve these purposes, a direct control of density as well as of the physical volume of buildings is established. They consist of ZR regulations for the zoning lot’s size, its required yards, open space, lot coverage, building height (envelope compliance) and setbacks, and sometimes density, which is the permitted number of dwelling units on a zoning lot. Refer to ZR Article II, Chapter 3, as well as Quality Housing. (See below)

Height Factor. As per ZR 12-10, the height factor of a zoning lot is equal to the total floor area of building(s) divided by the lot coverage.

Sky Exposure Plane. Per ZR 12-10, a sky exposure plane is a building’s front or rear inclined plane which also regulates the height of a building.

NYC (Development Rights). Generally refers to the maximum amount of ZR 12-10 defined floor area permissible on a zoning lot, distributed among the tax lots within such zoning lot. Transferable development rights and transfer of “air rights” have specific requirements which may include zoning exhibits and easement agreements as mentioned further in this document under Other Regulations References.

Tower. Per ZR 23-65, in non-contextual R9 and R10 districts, tower portion (s) of building(s) may penetrate an established sky exposure plane.

Height limitation for narrow buildings (Sliver Law). As per ZR 23-692, buildings in certain zoning districts, on lots that are less than 45’ feet wide, have height restrictions.

City Planning Special Permits and Certifications. In certain districts and certain special districts, various aspects of a building, such as public plazas, waterfront properties, large-scale residential development, and rooftop greenhouses, require special reviews by the City Planning Commission. An Environmental Quality Review (EQR) often accompanies such requests for special permits or certifications.

Uniform Land Use Review Procedure or ULURP. For non as-of-right buildings, City Planning reviews an application for completeness prior to the start of the formal public review of an application, This time period between an applicant's first contact with DCP to the start of ULURP is called the Pre-Certification process. The pre-certification process involves two parallel reviews: a land use review of the application to ensure that it is complete and technically accurate and an environmental review whose purpose is to disclose and analyze potential impacts that the development proposal may trigger. Once these two concurrent reviews are complete, the application can begin the public review process.

Commercial buildings, establishments and/or uses are permitted in C1 through C8 districts and/or such commercial district overlays in residential zoning districts, M1, M2 and M3 zoning districts, and several other special zoning districts. See ZR 32-00 through ZR 32-50 and subsections.

Accessory uses (ZR 12-10 Accessory Use), such as areas for off street parking or loading berths, storage, mechanical and/or electrical spaces, etc.

Non-conforming use(s) per

Commercial Regulations

Floor Area (ZR 33-10 and subsections)

Yards and Courts (ZR 33-20, ZR 33-30 and ZR 33-50 and subsections), including permitted obstructions

Height and Setback, Base Plane, Rear and Side Setbacks (ZR 33-40 and subsections), including permitted obstructions

Any permitted vertical enlargements and construction equipment projections in any Flight Obstruction Areas shall comply with ZR 61-10 and ZR 61-20

Non-complying bulk per ZR 54-00

Lot Area and Width

No limitations on lot area and width for buildings with commercial and/or community facility uses

Special Purpose Districts
If enlargement or conversion occurs within a Special (and Sub) District, see modifications of use, bulk, parking, and other zoning regulations outlined in ZR Articles VIII through XIII.

Permitted Obstructions

Permitted yard obstruction (ZR 23-44)

Building height and setback (ZR 23-62 and subsections)

Obstructions beyond height limit (ZR 23-62)

Court or open space (ZR 23-87)

Balconies (ZR 23-13)

Special Urban Design Guidelines
Established to strengthen the relationship of developments with existing
buildings and to improve the quality of the streetscape by:

maintaining the visual continuity of developments at street level;

enhancing the visual character of the neighborhood; and

reducing conflict between pedestrian and vehicular circulation (ZR Article II, Chapter 6)

Commercial Zoning District Guidelines
Bulk Regulations for Residential Buildings in Commercial Districts (ZR 34-00)

Special Flood Hazard Areas (ZR 64-00)
Buildings located in a flood zone that are raised and moved, or that are flood-proofed, must comply with ZR Article VI, Chapter 4 and BC Appendix G, in order to protect such structure in the event of a flood. The special provisions of this chapter shall apply only within the Flood Zone and they shall supersede, supplement or modify all other chapters of the Zoning Resolution.

Parking Regulations (ZR 25-00)
Parking Regulations provide needed space off the streets for parking in connection with residences, to reduce traffic congestion resulting from the use of streets as places for storage of automobiles, to protect the residential character of neighborhoods, to provide for a higher standard of residential development within the City, and to promote and protect public health, safety and general welfare.

Bicycle Parking Regulations (ZR 25-80)
The number of accessory bicycle parking spaces provided is intended to promote a healthier, cheaper, energy efficient means of transportation to the residents of NYC. The regulations address the total area, in square feet, of bicycle parking spaces and the total area excluded from the calculation of floor area. Such spaces shall be Noted on the Certificate of Occupancy.

Waterfront Area or Block (ZR 62-00)
Special regulations applying to established waterfront areas are designed to guide development along the City's waterfront and in so doing to promote and protect public health, safety and general welfare.

Quality Housing Regulations
The Quality Housing Program consists of specific bulk requirements set in ZR Article II, Chapter 8 and ZR Article III, Chapter 5, in which, if a building adheres to such bulk requirements it may be required or to conform to additional standards and/or provide additional requirements, such as recreation space or laundry rooms, lighting, etc. as set forth in ZR Article II, Chapter 8

Board of Standards and Appeals (ZR 72-00)
Has the power to modify the Zoning Resolution after review and public hearing.

Buildings in Multiple Zoning Districts (ZR 77-00)
Applies to whenever any zoning lot is located in two or more districts in which different uses are permitted.

Large Scale Residential Developments (ZR 78-10)
Residential developments with a total of at least 500 dwelling units, except duly authorized urban renewal projects.

Planting (ZR 23-00)
The Zoning Resolution establishes requirements for trees and other plantings to improve the overall quality of neighborhoods.

Inclusionary Housing and Mandatory Inclusionary Housing (ZR 23-90)
If Inclusionary Housing is utilized in a building’s design, a certain percentage of apartments shall be reserved for low income families in exchange for less restrictive regulations in the Bulk and Parking ZR sections referenced above. The applicant shall also obtain HPD approval.

Private Roads (ZR 26-20)
Special regulations for parking and bulk on a right-of-way other than a “street” as defined in ZR 12-10. A private road can be privately owned, an unopen area not intended for public use, and/or unmapped (not on the City Map). See General City Laws (GCL) 35 and GCL 36.

Flood Plain
Buildings located in a flood zone area shall comply with ZR Article VI, Chapter 4, and BC Appendix G. DEC approval is required for proposed construction in Tidal Wetlands and/or Freshwater Wetlands.

Other Regulation(s) for Reference

Building Bulletins

BB 2008-001 – Accessory Spaces Under 10% per Story

BB 2008-003 – Mezzanine Floor Area Exemptions

BB 2008-009 – Incidental Use Areas and Accessory Occupancies

BB 2009-008 – Airport Referenced Imaginary Surfaces/Airport Approach Districts

BB 2009-012 – Work in Tidal Wetlands and Coastal Erosion Hazard Areas

BB 2009-023 – Smoke Detectors in Elevator Lobbies and Machine Rooms

BB 2012-008 – Permitted Cellar size

BB 2013-001 – Kitchenettes

BB 2014-001 – Privately Owned Mapped Streets for Zoning Purposes

BB 2014-003 – Modular Units

BB 2014-017 – Special and Progress Inspections

BB 2014-026 – Little (e) Designations

BB 2015-008 – Easements and Restrictive Declarations

BB 2015-017 – Opening in the Exterior Wall

BB 2016-012 – Calculating Floor Surface Area

BB 2017-008 – Ambulance Stretcher Accommodation in High Rise Elevators

Policies and Procedures Notices

TPPN 10/88 – Construction Adjacent to Historic Structures

TPPN 14/88 – Substantiating Existing Use

TPPN 2/96 – Side Yard Requirements for Building Separation

OPPN 07/97 – Private Streets or Roads

TPPN 04/03 – Decks, Terraces, Porches, Breezeways

Local Laws

LL 07/04 – Requirements for Carbon Monoxide Detecting Devices

LL 112/13 – Requirements for Smoke Detecting Devices in Class A Multiple Dwellings

LL 75/11 – Requirements for Periodic Replacement of Carbon Monoxide Alarms

LL 37/07 – Illegal conversions from Industrial/Manufacturing to Residential

LL 47/15 – Notice to Tenants for Service Interruptions

Directives & Memoranda

Memo 5-18-78 – Zoning Lot Certification / Zoning Exhibits

Multiple Dwelling Law (MDL)
A New York State Law enacted on April 18, 1929, to establish and maintain proper housing standards in multiple dwelling buildings of varying age and type, which supplements the applicable New York City code for such multiple dwellings, and includes regulations for light, air, sanitation and fire protection. The MDL applies to alterations of existing multiple dwellings and conversions to multiple dwellings.

The MDL classification of a building (old law tenement, new law tenement, heretofore erected, hereafter erected, and others) depends on when the building was erected or converted to a Multiple Dwelling. Plans shall indicate applicable MDL Notes. DOB forms must be accurately filled out with the MDL classifications and Codes being used to ensure compliance. More information is currently available in the Instructions for the PW-1 form.

Housing Maintenance Code
A New York State Law that establishes the minimum standards for health and safety, fire protection, light and ventilation cleanliness, repair and maintenance and occupancy in all residential dwellings, multiple dwellings and 1 and 2 family homes, and which supplements the applicable New York City code. Plans shall indicate applicable HMC Notes to ensure compliance.

Fire Code

FDNY Vehicle Access – FC Chapter 5

Per FC 501.4.2, lawfully existing fire department access roads on and before June 31, 2008, may remain. Otherwise:

Frontage space of minimum 30’ x 30’ area adjoining the primary entrance and accessible from a public street or fire apparatus access road, otherwise FDNY approval required per FC 502.1, FC 503.

Where the frontage space to a building does not directly front on a public street, a Fire Apparatus Access Road, as defined in FC 502.1, shall be provided from the public street to the frontage space per the requirements of FC 503.2. This can be accomplished by utilizing a Public Street or Private Road, both of which are defined in FC 502.1.

A Public Street shall be more than 34’ wide curb to curb per FC 503.3.2, otherwise altered and/or converted building shall be provided with sprinklers, as per FC 501.4.3 or FDNY waiver from these provisions will be required.

Dead end public street is within 150’ in length without an FDNY turnaround, otherwise fully sprinkler the building or FDNY approval required per FC 503.3.1. Dead-End fire apparatus roads shall not exceed 400 feet in length without FDNY approval per FC 503.2.9.

Fire Dept. Rooftop Access – FC Chapter 5

Rooftop access and obstructions for buildings and roof setbacks 100 ft. or less in height per FC 504.

2016 NYC Energy Conservation Code (NYCECC)

The NYCECC is a Code that regulates the design and construction of buildings for the effective use of energy.

Professional’s Statement on PW1 Section 10

Owner’s Statement on PW1 section 26

Energy Analysis on Plans (REScheck: 3 story buildings) (COMcheck: 4 stories and above)

Supporting Documentation (window/door schedules with U/SHGC values, exterior envelope details with R values, heating/mechanical systems sizing, efficiency ratings and controls, reflected ceiling plans and lighting legend)

When required by the project scope of work, the alteration must also comply with the rules, regulations, laws and codes of other city agencies, such as the NYC Fire Department (FDNY), NYC Transportation (DOT), NYC Landmarks Commission, NYC Transit (MTA), Department of Environmental Protection (DEP), and others.

Guidelines for Submission of Alteration Project Plans

Prior to design and construction document preparation, the Registered Design Professional must perform a pre-design review that analyzes all of the existing conditions and other components affected by the proposed scope of work. The information provided on the drawings must clearly describe all of the work required for the code compliant execution and completion of the project per AC 28-104.

The Department’s guidelines provide an organized approach for the preparation of construction documents, facilitating the plan review process. Drawings shall clearly indicate existing site conditions and proposed conditions affected by the scope of work.

Complete Submission of Construction Documents

Construction drawings should represent complete work, including multiple disciplines such as architectural, structural, civil, plumbing, electrical, mechanical, fire protection, and others. There must be close coordination between all disciplines for the proposed scope of work to ensure code compliance; reference AC 28-104.7, BC 107.2, BC 1603 and Plan Examination Guidelines – Minimum Requirement for Review if Design Drawings, Revised 4-30-2014. A complete submission of drawings should include:

A complete submission of drawings should include:

Construction Documents. Drawings and specifications necessary to convey essential information such as general Notes, floor plans, elevations, building sections, schedules and details. Reference the applicable Building Codes and Notes on the drawings as required to demonstrate code and zoning compliance. Where essential to clarify overall layouts and details, a north arrow and a scale should be included on the drawings; a graphic scale recommended. Provide a title block with a 3 inch x 3 inch space for DOB approval stamp.

Initial Survey. A site survey showing all existing conditions prepared by a NYS licensed Land Surveyor.

Title Sheet. Should clearly describe the project location, including the adjacent streets, properties, FIRMS, etc. and a graphical scale. Drawing Notes should include the building name and address, names and contact information of all parties involved, occupancy classification, zoning use group, construction classification, the project’s scope, a list of related job filings/applications, a list of special and progress inspections, and the building’s primary structural system.

Drawing Index. Recommended to clearly identify all the information that may be involved.

Site/Plot Plan. Clearly show the size and location of the lot, show all existing structures on the zoning lot, and include all dimensions and other relevant information such as streets, zoning map(s), a dimensioned plan showing all bulk requirements, existing public utilities and features, adjacent buildings, curb cuts, north arrow, etc. Clearly identify the area of proposed work.

Floor Plans. Show existing and proposed conditions; clearly identify rooms’ names and square footages. Coordinate between all trades/disciplines to ensure that the proposed scope of work is complete and shown on all submitted discipline drawings. Where required, drawings must indicate wall types, including required fire ratings for partitions, ceilings, walls; location of penetrations through fire rated assemblies; schedules for doors, windows and finished materials; accessibility compliance; Code and zoning analysis cross references, sprinkler/fire protection design; and life safety plans including travel distances, egress calculations and occupant loads.

Exterior Elevations. Required if the project involves the alteration or modification of the building’s exterior and in some cases also required for interior alterations that may impact the facade. Show any altered exterior surfaces, including openings, fenestration, floor heights, head heights, control joints, adjoining grade levels compared with NAVD, foundation lines, materials, zoning analysis cross references, chimney and vent heights and penetrations. Interior elevations may be required to demonstrate compliance with Code.

Building Sections. Might be required for documenting some types of alteration projects. Building cross sections, indicating adjoining grade levels, curb levels, base plane elevations, floor, ceiling and roof levels, base flood elevation, foundation footings and required fire ratings (see also Shoring and Underpinning Guidelines).

Detail Drawings. These drawings contain significant information required to communicate the scope of work, in a magnified form, including curb cut details, partition types, thermal envelope of the building, interior partitions, roofs, millwork details and other elements unique to the building.

Schedules. Door, window and saddle schedules, mechanical schedules, finish materials and hardware schedules to indicate full scope of work.

Building System Schedules. Schedule of equipment showing Make, Model, capacity, fuel type, heat input/output, efficiency, maximum pressure, GPM, RPM and electrical characteristics. See relevant Building Systems Guidelines (Mechanical, Plumbing, Sprinkler, and/or Standpipe) for more information.

Specifications. All manufacturers’ instructions and materials cut sheets for equipment to be used in the manufacturing process, as required.

NYC Energy Conservation Code. If the project scope includes one of the following, then energy analysis is required on the plans:

Exterior wall/roof/floor replacement

Glazing, skylights, door replacement

Vestibules

Interior Lighting fixtures

Replacement of Heating/Cooling Systems

Alteration of mechanical ducts

Alteration of heating/cooling piping

Alteration of heating systems > 600,000 BTU/h, or cooling systems > 480,000 BTU/h

If applicable, additional elements required on drawings include:

Accessibility for persons with physical disabilities to comply with BC Chapter 11

Facade and parapet walls with details

Lot Line windows and openings in accordance with permitted percentages

Interior elevations and details, including information required to show accessibility compliance

Building systems and equipment details*

Flood zone compliance

Light and Air calculations for habitable rooms in residential projects

Site Safety Plans as required by scope of work

Current Site Survey prepared by a licensed land surveyor.

Builders Paving Plan ( BPP) **

* Refer to Project Guidelines for Building Systems Installation and Modification projects.
** Refer to Project Guidelines for Builders Paving Plan.
Refer to Minimum Requirement for Review of Design Drawings.

Submission of Construction Documents

When submitting the construction documents to DOB, the Registered Design Professional, who is the Applicant of Record, is responsible for submission of complete set at filing: application, drawings, and coordination of required documents as summarized below.

Application Intake. The online submission of project application shall occur by completing the intake form with key project information. Based on the project’s scope, the applicant may be required to complete the following sections:

Remittance of Project Application Fees

Required Items for Professional Certification (PC1 form)

Initial Site Survey

Federal Emergency Management Agency Flood Insurance Rate Maps – FIRMs

Borings, Soil and Percolation tests (TR-2, TR-3, and/or TR-4 forms)

Zoning Exhibits I, II, III, IV or V (as required)

Zoning Diagram (ZD-1 form)

Project Work Details (PW-1 and Schedule B Forms)

DEP House Connection or Site Connection

Schedule A (PW-1A form)

Schedule C (Boilers) if applicable – Refer to Construction Project Guidelines for building systems projects.

Sewer Drain (House) Connection, if needed. (SD-1/SD-2 Form)

Special Inspections (TR-1 Forms)

Eligibility for Exemption from Energy Code Review (PW-1 Form)

Energy Code Progress Inspections (TR-8 Form)

Letter of confirmation from SHPO for historic status – if applicable

Department of Finance (RP-602) for Apportionments or Mergers

Drawings. The alteration project drawings should reflect clear scope of work and include all affected systems. Examples of this are as follows:

Designator -
Sheet Number:

Sheet Description

T-001.00

Title Sheet, Site Plan, Drawing Index, General Notes, required special/ progress inspections list, and Legends

A-100.00

Existing and Demolition Floor Plans

A-101.00

Proposed Floor Plans

A-200.00

Proposed Reflected Ceiling Plans

A-300.00

Proposed Enlarged Floor Plans

A-301.00

Proposed Interior Elevations and Details

A-400.00

Existing and Proposed Façade Elevations

A-401.00

Existing and Proposed Cross Sections

S-100.00

Structural Plans and Details

S-101.00

Structural Floor Plans and Details

P-100.00

Floor Plans - Plumbing

P-101.00
Plumbing Riser Diagram – Gas Riser Diagram - Piping

P-102.00
Plumbing Fixture Schedules – Plumbing Details

SP-100.00

Sprinkler Floor Plan

SP-101.00

Sprinkler Riser Diagram and Details

M-100.00
Mechanical System Equipment and Schedules

M-101.00
Reflected Ceiling Plan for Mechanical System

EN-100.00

Energy Code Analysis

FS -100.00

Fuel Storage Equipment and Systems (if applicable)

EQ-100.00

Equipment (various, if applicable)

Drawing Legend to include: Symbols, abbreviations, Notes and definition, and list all applicable Building Code section numbers

Recommended Drawing Designators
A: Architectural: Mandatory designation for drawings showing architectural work.
S: Structural: Mandatory designation for drawings showing structural work.
P: Plumbing: Mandatory designation for drawings showing Plumbing work including riser diagrams and plumbing details
SP: Sprinkler: Mandatory designation for drawings showing sprinkler work including floor plans, riser diagram and sprinkler system details
M: Mechanical: Mandatory designation for plans showing mechanical work
EN: Energy Analysis: Mandatory designation.

Required Documents. Based on buildings location and designation, and the project’s scope of work, the following submissions may have to accompany the drawings at intake:

Easements and Restrictive Declarations Form, if applicable (BB 2015-008)

DEP – HCP and SCP forms for sanitary and storm water connections to street

OER authorization – as required by ZR little E designation

FDNY – Fire Protection Plan

Notification, per FC 901.7.5, if doing construction work that impacts fire protection

Letters of Notification if on a mapped undeveloped street

Mayor’s Office for People with Disabilities (MOPD)

Federal Emergency Management Agency Flood Insurance Rate Map – FIRMS

MTA – Metropolitan Transit Authority Approval, if applicable

DOT Approval

Landmark approval, if applicable

Public Design Commission Approval, if applicable

NYC DPR – ST1 (Street Trees)

City Planning – approval or certification if required by ZR

BSA approval, if applicable

HPD approval - for inclusionary housing residential part of mixed use building, as required by ZR

DEC – if in coastal erosion hazard area or wetlands

SRO MD Anti-Harassment checklist for residential

Mayor’s Office Waiver of some ZR Requirements under very limited circumstances

HPD Certificate of No Harassment for residentialLoft Board (DOB) – approval required to submit loft conversion application to the Department; if applicable, for residential part of mixed use building

Plan Review for Approval or Acceptance, and Audit.

Plan Review ─Following submission of a complete set of construction documents, the application is assigned for review to a DOB Plan Examiner.

Professional Certification – The Applicant of Record may professionally certify that a project’s design is in accordance with the NYC Code, Zoning Resolution, and all applicable Rules and Laws.

Zoning Check. Immediately after the permit issuance of a professionally certified application, DOB performs a Zoning Check to ensure general compliance with the Zoning Resolution and Code.

Audit. Professionally certified applications may also be subject to audit.

Post Approval Amendments. Any changes to approved scope of work that are significant and substantive will require submission of revised documents and /or plans for post approval amendment (PAA). Approval for an amendment must be obtained before the work is completed. Any substantive changes require a PAA; however, these changes must be shown on plans and included in the ‘as built’ submission at the end of the project (AC 28-104.3).

Expanding or reducing the size or quantity of the project tax or zoning lot(s)

Vertical and Horizontal Enlargements - Any addition to the floor area

Conversions - An expansion of an occupancy classification or use group, or any similarly new use in an area not previously used for such purpose.

A reduction to an existing building’s floor area that impacts the Certificate of Occupancy.

Structural changes

Egress Modifications – Any change in the exiting width, length of travel distance, or exit way/exit door location(s), or occupancy load of exits, or any change in number of required exits in a building

Expanding scope of work to add, replace or modify building equipment or roof systems

Any addition or removal of plumbing, gas or mechanical risers

Any reduction below the minimum number of Code required fixtures

Any changes to roof drains

Any alteration of gas appliances and other system components

Changes to scope of work that require additional Special or Progress Inspection(s)

Adding or removing any accessory automobile parking spots or modifying the type of parking space (interior, exterior, attended, etc.).

Adding or removing any accessory bicycle parking spots

Any modification to shape of building envelope

Any modification to building’s thermal envelope that impacts compliance with the Energy Code, such as modifying the exterior wall or roof system (insulation), modifying the thermal quality of glass, etc.

The following list, while not all inclusive, are examples of some of the substantive changes that must be submitted for review to amend the approved plans:

As-Built Submission. All changes must be submitted in an ‘As-built’ drawing at the end of the project.

REFERENCE Note: Organizations like the AIA, CSI and National Institute of Building Sciences work jointly to create national standards for consistent documentation and data organization, to assist in communication and coordination across the design and construction industry.
(Visit http://www.nationalcadstandard.org for more information.)

Special Inspections

As per BC Chapter 17, new building work may require certain Special and Progress Inspections to be performed during and at the end of construction as outlined in the table below. Prior to approval, the Applicant of Record is required to identify all required Special and Progress Inspections per BC 1704.1. Prior to DOB permit issuance, the owner must typically engage a registered Special Inspection Agency (SIA) who will take responsibility for the Special and Progress Inspections. The Applicant of Record may perform these inspections if they are also an SIA. Inspection discrepancies and hazardous conditions shall be reported to the super-intendment of construction, as well as to the site safety coordinator or site safety manager, for correction, per BB 2016-006 and 1 RCNY 101-06. Per BC 1704.1.2, the contractor cannot hire the special inspector.

Based on the scope of work, a new building project may be required to comply with the following Special and Progress Inspection requirements: (See BB 2014-017 for a more comprehensive Table).

Structural Steel

May include steel welding, High Strength Bolting and Steel Details (BC 1704.3).

Concrete Cast-In-Place

Required where the total concrete placement on a given project is more than 50 cubic yards or other conditions (BC 1704.4). Precast may be needed during façade renovation project Also see BC 1905.6, BC 1905.3, BC 110.3 and BC 1913.10

Concrete Precast

Are subject to Special Inspections in accordance with Section BC 1704.4

Concrete Prestressed

Are subject to Special Inspections in accordance with Section BC 1704.4

Masonry

Load bearing masonry, glass unit masonry and masonry veneer shall be inspected and verified in accordance with the requirements of sections BC 1704.5.1 through BC 1704.5.3, depending on the structural occupancy category of the building or structure.

Wood – Installation of Metal-Plate-Connected Trusses

Metal-plate-connected wood trusses shall be subject to special inspection in accordance with Section BC 1704.6.2.1 and BC 1704.6.2.2).

Wood – Installation of Prefabricated I-Joists

Are subject to Special Inspections in accordance with Section 1704.2 and the requirements of Section BC 2303.1.2 (BC 1704.6.3).

Subgrade Inspection, Subsurface Conditions, Borings and Test Pits

Are subject to Special Inspections in accordance with Section BC 1704.7

Wall Panels, Curtain Walls and Veneers

Required for exterior architectural wall panels and the anchoring of veneers designed for installation on buildings above a height of 40 feet (BC 1704.10). Special Inspection of masonry veneer on such structures shall be in accordance with Section BC 1704.5.

Sprayed Fire-Resistant Materials

Special Inspections for sprayed fire-resistant materials applied to floor, roof and wall assemblies and structural members shall be in accordance with Sections BC 1704.11.1 through BC 1704.11.

Structural Stability – Existing Buildings

Alteration of existing structural systems or elements, such as columns, girders, beams, bearing walls, etc. where the stability or integrity of a structural system is to be temporarily diminished, in accordance with Sections 1704.20.6 through 1704.20.10.

Excavations – Sheeting, Shoring, Bracing and Underpinning

Methods employed to protect the sides of excavations shall be subject to Special Inspections in accordance with Sections BC 1704.20.2 through BC 1704.20.10 and BC 1704.20.2.

Fire-resistant Penetration and Joists

Special Inspections for penetration of fire-resistant elements and assemblies; and related fire-stops in accordance with Sections BC 1704.27.1 and BC 1704.27.2.

Flood Zone Compliance

Special Inspection for flood zone compliance shall be as required by BC Appendix G105 and BC 1704.29. Also BC 1704.5 if raising or moving a building for flood zone compliance and BC 110.3 to record lowest floor elevation

Structural Wood Frame

Progress Inspections shall be performed for wood structural framing to determine compliance with the approved construction documents as per BC 110.3.3.

Fire-Resistance Rated Construction

Fire-resistance-rated partitions, floors, ceilings, shafts, and shutters as per BC 110.3.4.

Luminous Egress Path Markings

Various egress path components marked with luminous signs and other markings per BC 1704.30 and BC 1024.8

Post-installed Anchors

The installation of post-installed mechanical anchors, adhesive anchors, and screw anchors shall comply with Table BC 1704.32. The special inspection shall include the verification of compliance with approved construction documents and standards established by the commissioner pursuant to AC 28-113.2.2 of the Administrative Code and BB 2014-018, BB 2014-019

Seismic Isolation Systems

Structure in compliance with seismic isolation requirements in BC 1707.8, BC Chapter 16 and/or 1968 RS 9-6.

Energy Code Compliance Inspections

Penetrations through thermal envelope: Must be sealed to minimize air leakage as per NYCECC R402.4 and C402.5.

Dampers integral to building envelope: outdoor air dampers must close when system is off

HVAC & Service Water Heating Equipment: As per C406.2, exceeds by 10 percent the minimum sizing and efficiency requirements as per NYCECC Tables C403.2.3(1) through C403.2.3(7), C403.2.3(11), and C403.2.3(12) and Table C404.2

HVAC & Service Water Heating System Controls: Applicable part-load, reset, temperature controls as per NYCECC C403.2.4 and C404.6

Piping insulation: minimum thickness of 1” to 5”, required on piping carrying fluids >105F as per NYCECC Table C403.2.10 and C404.4

Maintenance Information: Shall be furnished for installation of new equipment as per NYCECC R303.3 and C303.3

Permanent Certificate: Shall list type and efficiency of heating, cooling, and/or service water heating systems as per NYCECC R401.3

Electrical Energy [metering] Consumption: The presence and operation of individual meters or other means of monitoring individual tenant spaces and apartments shall be verified by visual inspection per 1 RCNY 5000-01(h)1 & 2 – IC1, IIC1, NYCECC C405.6 and C405.7

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