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Design Professional Requirements:
1- and 2-Family Mixed Use (Alterations)

Applicability of Code and Zoning

An existing one or two-family mixed use building alteration project must be filed under the current 2014 NYC Construction Codes (Building, Plumbing, Fuel Gas and Mechanical Codes) unless otherwise allowed per AC 28-101.4.3, under prior codes, such as the 1968 Code, 1938 Code or earlier codes, depending on the age of the existing building; reference Administrative Code (AC) section AC 28-101.

However, per AC 28-101.4.3, there are exceptions if prior codes are used. For example, the 2014 Code must be used for certain alteration work of mechanical, plumbing, sprinkler, fire protection and/or fuel gas systems, and specific building elements such as roofs or certain kinds of structural work, as well as the current NYC Energy Conservation Code (NYCECC), NYC Electrical Code and other applicable local laws. The Administrative Code section AC 28-101.4.5 also limits the amount/size of an enlargement for which prior codes are allowed to be applied to the building.

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

Alterations of one- or two-family residential buildings shall also comply with the Housing Maintenance Code (HMC).

Flood resistant construction, BC Appendix G, must be considered when performing Alterations.

*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 and Administrative Code

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

2014 AC 28-101.4.3, AC 28-101.4.5 and 1968 AC 27-114

Accessibility***

2014 BC Chapter 11, and BC Appendix E, BC Appendix N and BC Appendix P as applicable, BC 1101.3

Building Heights and Areas

BC Chapter 5,Table 503

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

AC 26 Article 5 C26-254 BB 2016-012

Construction Types

BC Chapter 6

AC 27-269 through 27-287

AC 26 Article 4

Egress

BC Chapter 10 and BC Appendix S

AC 27-354 through 27-375

AC 26 Article 7

Elevators

2014 BC Chapter 30 and BC Appendix K

Energy Efficiency

2016 NYC Energy Conservation Code (‘R’ Chapters)

Fire Department Access

BC Chapter 5 and FC 503

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

1938 AC 26-550.1(d), FC Chapter 5

Fire Protection Systems

BC Chapter 9 and BC Appendix Q

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

Fire Resistance Rated Construction

BC Chapter 7 and BC Appendix M

AC 27-318 through 27-342, 27-345

AC 26 Article 11

Flood Resistant Construction

2014 BC Appendix G

Interior Environment

BC Chapter 12 and MC Ch. 4 through 6

AC 27-725 through
27-770

AC 26 Article 6, Article 12 and Article 15

Interior Finishes

BC Chapter 8

AC 27-348 through 27-351

AC 26 Article 11, Sub-Article 9

Materials

BC Chapters 14 and 19 to 26

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

Subject to applicable provisions of the 2014 BC, and 1938 AC 26 Article 8 and Article 19

Plumbing Fixtures

PC 403

Via PC 102.4.2.1

Roof Assemblies and Rooftop Structures

BC Chapter 15 and BC Chapter16

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

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

Safeguards during Construction

2014 BC Chapter 33

Structural, Soils and Foundation

BC Chapter 16 and BC Chapter 18

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

2014 BC 1601.2 and 1938 AC 26 Article 9

Use and Occupancy Classification

BC Chapter 3

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

AC 26 Articles 4 and Article 13

Other Guidelines:

Antennas

See Antennas Guidelines

Boiler

See Boiler - Building Systems Guideline

Building Pavement Plan (BPP)

See BPP - Alteration Project Guideline

Construction Equipment

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

Curb Cut

See Curb Cut - Renovation Project Guideline

Deck/Porch/Swimming Pool

See Deck/Porch/Swimming Pool Guidelines

Encroachments onto Public Right-of-Way

See Public Right-of-Way Encroachments Project Guideline (architectural & entrance details, ramps, marquees, canopies, underground vaults, awnings, balconies, etc.)

Foundation, Shoring, Underpinning

See Shoring – Underpinning, Excavation, Foundation Work Project Guideline

Greenhouse

See Greenhouse Guidelines

Mechanical

See Mechanical - Building Systems Guideline

Mixed Use Building

See Mixed Use Guidelines

Plumbing

See Plumbing - Building Systems Guideline

Solar Panels

See Solar - Building Systems Guideline

Sprinkler

See Sprinkler - Building Systems Guideline

Emergency Power Systems

See Emergency Power - Building Systems Guideline

Swimming Pools

See Outdoor Swimming Pools Guidelines

Greenhouse

See Greenhouse Guidelines

Detached Garage

See Detached Garage Accessory to 1- and 2-family New Building Project Guideline

Sidewalk Shed

See Sidewalk Shed Construction Equipment Guideline

* 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

Project Element

Applicable Zoning Regulations

Definitions

ZR 12-10

Use Regulations

  • Residential
  • Commercial
  • Community

ZR 22-11, ZR 22-12, ZR 12-10, ZR 22-42, and ZR 52-00,
ZR 32-00, ZR 24-00

Accessory Uses

ZR 12-10

Bulk Regulations (Mixed Use)

ZR 35-00 and subsections

Special Purpose Districts

ZR Articles VIII to XIII

(E) Designations

ZR 11-15, ZR Appendix C, Table 1 and Table 2

Permitted Obstructions

  • Residential
  • Commercial
  • Community

ZR 23-12, ZR 23-44, ZR 23-62, ZR 23-87, ZR 33-23, ZR 33-42, and ZR 24-33

Parking Regulations

  • Residential
  • Commercial
  • Community

ZR 25-00 and subsections
ZR 36-00 and subsections
ZR 36-00 and subsections

Street Trees

  • Residential
  • Commercial
  • Community

ZR 23-03
ZR 33-03
ZR 24-05

Private streets or roads

ZR 26-20

Waterfront Area or Block

ZR 62-00 and subsections

Flood Hazard Areas

ZR 64-00 and subsections

Use Regulations

Single family detached residences are considered to be Zoning Use Group (UG) 1, per ZR 22-11, while all other one or two family home types are UG 2. There are limitations on locations for 1 and 2 family homes in Use Group 2 per ZR 22-12.

Accessory Uses

Per, ZR 12-10, an Accessory Use is a use typically found in connection with a property and/or building’s main use, such as off street parking spaces, garages, storage sheds, swimming pools, greenhouses or home occupations.

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.

Special Purpose Districts

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, natural areas, hillsides, Greenpoint-Williamsburg, are special districts. If the property is in a special (and/or sub) district, special requirements may apply. Refer to ZR Articles VIII to XIII.

(E) Designations/Environmental Restrictions

  • An (E) designation provides notice of the presence of an environmental requirement pertaining to potential hazardous materials contamination, high ambient noise levels or air emission concerns on a particular tax lot. Refer to BB 2014-026, ZR 11-15 and ZR Appendix C Table 1 and Table 2.
  • Appendix C
    1. Potential hazardous material contamination: for excavation or any soil disturbing in a lot with (E) designation
    2. Air quality impacts: for renovation that involves ventilation or exhaust system in a lot with (E) designation
    3. Noise quality impacts: for exterior work in a lot with (E) designation

    • Scope of work subject to Office of Environmental Remediation approval (OER):

Permitted Obstructions

Parking Regulations

The Parking regulations, ZR 36-00, require off-street parking for cars in connection with mixed use buildings. ZR 36-00 may refer to ZR 25-00 for off-street parking in connection with residential buildings.

Driveways

The Zoning Resolution for Driveway Regulations, ZR 25-00 and ZR 36-00, establishes the location, required width, and height, as they must remain unobstructed.

Lower Density Growth Management Area (LDGMA) – where applicable

This is applicable only in Bronx Community Board 10 and the entire borough of Staten Island if in certain zoning districts. Reference definition of Lower Density Growth Management Area in ZR 12-10.

Street Trees

The Zoning Resolution establishes requirements for street trees to improve the overall quality of neighborhoods, ZR 23-03, ZR 33-03, and ZR 24-05.

Private Streets or Roads

There are special regulations for parking and bulk on private, unmapped or not open streets. (ZR 26-20)

Inclusionary Housing and Mandatory Inclusionary Housing

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 Bulk and Parking regulation sections referenced above. The applicant shall obtain HPD approval. (ZR 23-90)

Quality Housing Regulations

Quality Housing Program, as promulgated by sections ZR 23-15, and ZR 34-011, is mandatory in contextual zones with A, B or X suffices and optional (with exceptions) in other R6-R10 zones and it introduces additional requirements to the provisions for use and bulk. (ZR 28-00)

Waterfront Area or Block

Flood Hazard Areas

If enlargement or conversion occurs within a flood hazard area, see modifications of bulk, parking, use and other zoning regulations outlined in ZR 64-10 through 64-90, and all subsections.

Other Regulation(s) for Reference

Building Bulletins

Technology Management Bulletins (FDNY):

Memoranda

Policies and Procedures Notices

Rules

  • 1 RCNY 23-01 – Non-Commercial Greenhouses as permitted obstructions – see separate guidelines for green houses

Housing Maintenance Code (HMC)

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 1 and 2 family dwellings, and which supplements the applicable New York City code. Plans shall indicate applicable HMC Notes to ensure compliance. Per FC 501.4.2, lawfully existing fire department access roads on and before June 31, 2008, may remain. Otherwise:

  • Fire Code (FC)
  • Primary entrance is located within 30’ of public street, otherwise FDNY approval shall be required (FC 502.1, FC 503, FC 504)
  • 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 (FC 503.3.1).
  • Roof top access and obstructions (FC 504.4)

2016 NYC Energy Conservation Code (NYCECC)

  • This Code regulates the design and construction of buildings for the effective use of energy. NYCECC 2016 Chapter C4 governs the Energy Code requirements for Mixed Use buildings.
  • Professional’s Energy Compliance Statement
  • Energy Analysis on Plans (COMcheck or Tabular Analysis)
  • 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.

Other Agency Requirements

Additionally, Alteration projects must also comply with the rules, regulations, laws and codes of other city agencies, such as the NYC Department of Parks and Recreation (DPR), Fire Department (FDNY), NYC Environmental Protection (DEP), NYS Department of Environmental Conservation (DEC), NYC Landmarks Preservation Commission (LPC), and others.

  • DEP and FDNY regulate location of fire hydrants
  • DEP regulates catch basins and associated street infrastructures
  • DPR regulates tree and sidewalk plantings (Refer to DPR Tree Planting Standards
  • Flood Insurance Rate Maps (FIRM) - FEMA Letter of Map Revision (LOMR) or Letter of Map Amendment (LOMA)
  • Public Design Commission (PDC) review and approve Distinctive Sidewalk material
  • LPC landmark district approval
  • Utility companies regulate utility poles
  • MTA regulates sidewalk grates, subway entrances and bus stops
  • The United States Postal Service regulates mailboxes location
  • DEC for Freshwater or Tidal Wetlands

Guidelines for Submission of Alteration Project Plans

Prior to preparing the design documents and construction drawings, the Registered Design Professional must perform a pre-design review that analyzes all of the existing building elements, systems and other components affected by the proposed scope of work, to verify a code compliant renovation of the building. Based upon the complexity and scale of the project, 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 or 2014 BC 107.2.

An organized approach for the preparation of construction documents, as outlined in the following section, will facilitate the plan review process.  Where applicable, the drawings shall clearly indicate existing condition, proposed condition and any area affected by the scope of work.

Complete Submission of Construction Documents

Construction documents should represent the entire scope of work, including all disciplines such as architectural, structural, plumbing, electrical, mechanical, energy code compliance, and others, as applicable. There must be close coordination between all disciplines to ensure code compliance; reference AC 28-104.7 and BC 107.2 for information on submittal of and required construction documents. A complete submission of drawings should include:

  1. Construction Documents. Drawings necessary to convey essential information such as floor layouts, elevations, schedules and details. The applicable Building Codes and Notes should be stated on the drawings as required to demonstrate code and zoning compliance. A scale, at a minimum 1’-0” = 3/32”, should be indicated on the drawings; a graphical scale is recommended. A designated 3 inch by 3 inch area shall be provided on the drawings for DOB approval stamps.

    • 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 and properties, and a graphical scale on a site/plot plan. Drawing Notes should include Building Code occupancy classification, zoning Use Group, zoning analysis of bulk, Building Code construction classification, the project’s scope of work, site safety Notes and drawing index. The title sheet should include a drawing index, site plan, Zoning Analysis, and Special and Progress Inspections.

      • Drawing Index. A list that clearly identify the location of all associated construction drawings, sheet designations and page number.

      • Site/Plot Plan. Clearly show the size and location of the lot, show all existing/proposed structures on the zoning lot, and include all dimensions of yards, building footprint, number of parking/bicycle spaces and other relevant information such as streets, adjacent buildings and their required front and side yards, number of stories, curb cuts, north arrow and street trees. The area of proposed work shall be clearly identified on the site/plot plan.

      • Zoning Analysis. With calculations for Zoning Resolution (ZR) allowable floor area, heights, yards, open space, and other ZR requirements as previously discussed in this document.

      • Special and Progress Inspections. Indicate all required Special/Progress inspections based on the scope of work

  • Floor Plans. Show existing and proposed conditions along with dimensions; clearly identify rooms’ names and use them consistently between the different discipline drawings. Coordinate between all trades / disciplines (architectural, structural, mechanical, plumbing, sprinkler and standpipe) to ensure that the proposed scope of work is complete and shown on all submitted discipline drawings. For example, where required, architectural drawings must indicate fire rating for partitions, ceiling, walls, and floors; location of penetrations through fire rated assemblies; and material finishes. Indicate the means of egress, schedules for doors and windows, finish materials, accessible route, site access, parking requirements and other requirements.

  • Elevations. Show proposed exterior conditions, base elevations, building and floor heights, materials, roof pitch, windows, doors, or other penetrations in the building’s exterior envelope, such as vents and fresh air intakes.

  • Sections. These include but are not limited to full building cross sections indicating the building wall heights from foundation and footings through framing to roof; also indicating curb cuts. These sections should provide detailed wall sections, framing, exterior and interior dimensions.

  • Detail Drawings. These drawings contain significant information required to clearly communicate the scope of work, in a magnified form, such as structural connection details, wall type details, roofing details, pedestrian protection, curb cuts, post installed anchors, drywells, plumbing, mechanical and/or fire protection.

  • Riser Diagrams. These diagrams must indicate vertical and horizontal piping of all supply (water, gas, and oil), return (wastewater), ventilation, including elevations across floors. See relevant Building Systems Guidelines (Mechanical, Plumbing, Sprinkler, and/or Standpipe) for more information.

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

  • Schedules. These could include structural (column and beams), door, window, hardware and finishes.

  • NYC Energy Conservation Code (NYCECC).  Drawings shall be detailed to include all information needed to support the energy analysis. Drawings should indicate the following:
    • Foundation and footing insulation
    • Exterior wall/roof/floor replacement
    • Vertical glazing, skylights, door replacement
    • Vestibules
    • Exterior/Interior Lighting
    • Heating/Cooling Systems
    • Mechanical Ducts
    • Heating/Cooling Piping
    • Solar-ready Roof Plan

If applicable, additional elements required on drawings include:

  • Accessibility details and diagrams, indicating compliance with BC Chapter 11
  • Façade and parapet walls with details
  • Lot Line windows and openings in accordance with permitted percentages
  • Interior elevations and details
  • Building systems and equipment details*
  • Flood zone compliance
  • Light and Air calculations for habitable rooms in residential projects
  • Support of excavation drawings

*Refer to Project Guidelines for Building System Repair Projects.
Refer to Minimum Requirement for Review of Design Drawings.

Submission of Construction Documents

The Registered Design Professional, who is the Applicant of Record, is responsible for a complete submission of construction drawings when filing with the DOB, which includes the project application, drawings, and coordination of documents as summarized below.

  1. 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:

    • Project Work Details (PW-1 and Schedule B Forms)
    • Schedule A – Occupancy/Use (former PW-1A)
    • Cost Affidavit (former PW3)
    • Special Inspections (former TR-1 Forms)
    • Energy Code Progress Inspections (former TR-8 Form)
    • Remittance of Project Application Fees
    • Concrete and soil conditions (former TR-2, TR-3, and/or TR-4 forms)
    • Street Tree Checklist (former ST1) – if applicable
    • Plot Diagram (former PD1)
    • Zoning Exhibits (Exhibits 1 through 5, varies by ownership)
    • Easement and/or Restrictive Declarations
    • Zoning Diagram (former ZD1)
    • Site Survey
    • FEMA Map – if within a flood zone area
    • Required Items for Professional Certification (former PC1) – if applicable
    • Professional and Owner Certification (former POC1) – if applicable
    • Application for mergers or apportionments (former RP602 form)

  1. DOB Review or Professional Certification: When submitting, the Applicant of Record may either submit for a DOB Review, or based on owner’s consent may elect to professionally certify.

  2. Drawings. The alteration project drawings should clearly reflect the 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
    Z-100.00

    Zoning information and analyses.
    SOE-100.00

    Support of excavation drawings, details, and notes
    FO-100.00

    Proposed building foundation, footings, details, and notes
    A-001.00

    Details and Notes: Construction, Accessibility, and Pedestrian Protection
    A-100.00

    Proposed Floor Plans
    A-200.00

    Proposed Reflected Ceiling Plans
    A-300.00

    Proposed Enlarged Floor Plans
    A-400.00

    Proposed Façade Elevations
    A-401.00

    Proposed Cross Sections
    S-100.00

    Structural Plans and Details
    P-100.00

    Floor Plans - Plumbing
    P-101.00

    Plumbing Riser Diagram – Gas/Oil Riser Diagram – Piping, Sewer 
    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

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

    Recommended Drawing Designators

    T: Title Sheet: Mandatory designation for title sheet/cover sheet
    Z: Zoning: Mandatory designation for drawings that included zoning information and analyses
    SOE: Support of Excavation: Includes excavation, fill, underpinning, sheeting, shoring, bracing, piling, etc. Mandatory designation when filing construction documents with support of adjoining properties and structures during construction.
    FO: Foundation: Mandatory designation whenever foundation work is filed.
    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
    SD: Standpipe: Mandatory designation for drawings showing standpipe work including floor plans, riser diagram and standpipe system details
    M: Mechanical: Mandatory designation for plans showing mechanical work
    EN: Energy Analysis: Mandatory designation.

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

    • DEP or OER authorization – HCP and SCP forms for sanitary and/or storm water connections to street
    • FDNY –
      • Notification, per FC 901.7.5, if doing construction work that impacts fire protection, which in 1 and 2 family homes may be just smoke detectors, carbon monoxide detectors and sprinklers
      • Letters of Notification if on a mapped undeveloped street
    • Letter of No Objection (LNO) - Older buildings with no C of O
    • Tenant/Occupant Protection Plan
    • MTA – Metropolitan Transit Authority approval
    • DOT – NYC Department of Transportation approval 
    • LPC – Landmark Preservation Commission approval
    • NYC DPR – ST1 (Street Trees)
    • City Planning – approval or certification if required by Zoning Resolution (ZR)
    • BSA approval, if applicable
    • HPD approval - for inclusionary housing residential, as 1 or 2 family home trade-off for other dwelling units in larger multiple dwelling type buildings, as required by ZR
    • DEC – if in coastal erosion hazard area or wetlands
    • SRO Anti-Harassment checklist for residential

  1. DOB Plan Review or Professional Certification.  Following submission of a complete set of construction documents, the application is assigned for review to a DOB Plan Examiner. The Applicant of Record, based on the owner’s consent, may elect to professionally certify and the application may be subject to audit. Plan review or audit of the submission by Plan Examiner or Auditor may result in either approval or disapproval, or in acceptance or fail, respectively. Following plan review disapproval or audit fail, a notice of objections is sent to the Applicant of record and Owner. Objections must be resolved through appointments or similarly utilize electronic submissions with the DOB Plan Examination or Audit staff following which the application is approved or accepted.

  2. Post Approval Amendments.  Any changes to approved scope of work that is significant and substantive will require submission of revised document and /or plans for post approval amendment (PAA). Approval for an amendment must be obtained before the work is completed. Changes that are not substantive do not 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).

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:

  • Expanding or reducing the size or quantity of the project’s tax or zoning lot(s)
  • Change in Use Group or Occupancy Classification - An expansion of an occupancy classification or use group, or any similarly new use in an area not previously used for such purpose.
  • Changes to the zoning analysis including but not limited to addition or removal of floor space, floor area (as defined by ZR 12-10), and building height in the same or different story not shown on approved plans.
  • Structural changes
  • Changes to approved plumbing and/or gas fixtures and equipment (See Plumbing Guidelines for more information)
  • Addition or removal of yard drains, drywell or septic systems, connections to public street services (See Plumbing Guidelines for more information)
  • Changes to scope of work that require additional or the elimination of Special or Progress Inspection(s)
  • Addition of work type(s) not already indicated
  • Adding or removing rooms or modifications to the size of a habitable space.
  • Changes in quantity of dwelling units; or significant changes in function of areas and rooms from what was shown on approved plans.
  • Expand scope to add or replace building equipment, fences, sheds, or similar obstructions within yards or on roofs
  • Increasing paved, or similarly impermeable areas
  • Adding or removing any accessory parking spots
  • Changes to the means of egress

    • Note: Revisions to drawings shall be clearly marked to highlight any of the above changes; the change should be bubbled, numbered and dated

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

    2. 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.

Special Inspections

As per Chapter 17 of the Building Code, alteration 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 (BC 1704.1). Prior to DOB permit issuance, the owner must 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 for correction to the superintendent of construction, as well as to the site safety coordinator or site safety manager, 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, an Alteration Project may be required to comply with the following Special and Progress Inspection requirements:

Structural Steel

May include steel welding, High Strength Bolting, Cold Formed Steel and Steel Details, including seismic isolation (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). Also see BC 1905.6 and BC 1905.3, and BC 113.5 and BC 1913.10.

Concrete – Precast

Are subject to Special Inspections in accordance with BC 1704.4.

Concrete - Prestressed

Are subject to Special Inspections in accordance with BC 1704.4.

Masonry

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

Wood – Installation of High-Load Diaphragms

High-load diaphragms shall be installed with special inspections as indicated in BC 1704.6.1. Limited to 5 story construction.

Wood – Installation of Metal-Plate-Connected Trusses

Metal-plate-connected wood trusses shall be subject to special inspection in accordance with BC 1704.6.2.1 and BC 1704.6.2.2. Limited to 5 story construction.

Wood – Installation of Prefabricated I-Joists

Are subject to Special Inspections in accordance with BC 1704.2 and the requirements of BC 2303.1.2, (BC 1704.6.3). Limited to 5 story construction.

Subgrade inspection, subsurface conditions, borings and test pits

Subject to Special Inspections in accordance with BC 1704.7.

Deep Foundation Elements

Are subject to Special Inspections in accordance with BC 1704.8.

Helical Piles

Are subject to Special Inspections in accordance with BC 1704.8.5.

Vertical Masonry Foundation Elements

Subject to Special Inspections in accordance with BC 1704.9.

Wall Panels, Curtain Walls and Veneers

Per BC 1704.10, special inspection is required for exterior architectural wall panels and the anchoring of veneers designed for installation on buildings above a height of 40 feet. Special inspection of masonry veneer on such structures shall be in accordance with BC 1704.5.

Sprayed fire-resistant materials

Subject to Special Inspections in accordance with BC 1704.11.

Mastic and Intumescent Fire – resistant Coatings

Special inspections for mastic and intumescent fire-resistant coatings applied to structural elements and decks shall be in accordance with AWCI 12-B. Special inspections shall be based on the fire-resistance design as designated in the approved construction documents as per BC 1704.12.

Exterior Insulation and Finish Systems (EIFS)

All EIFS applications installed more than 15 feet above adjacent finished grades and alterations to existing EIFS installations more than 15 feet above adjacent finished grades shall be in accordance with BC 1704.13.

Alternative Materials

Subject to Special Inspections in accordance with BC 1704.14.

Smoke Control Systems

Smoke control systems shall be tested by a special inspector in accordance with BC 1704.15.1 and BC 909.

Mechanical Systems

Mechanical systems requiring a certificate of compliance in accordance with AC 28-116.4.1 of the Administrative Codeshall be inspected for conformance with the approved construction documents as per BC 1704.16.

Fuel Oil Storage and Fuel – Oil Piping Systems

Fuel-oil storage equipment, including tanks, pumps, valves, transfer, return, fill and vent piping, hangers and bracing, fill and vent terminals, and related systems regulated by MC 1308 of the New York City Mechanical Code. See BC 1704.17 for additional information.

High - Pressure Steam Piping (Welding)

High-pressure-steam piping and high temperature hot water piping shall be subject to a special inspection in accordance with BC 1704.18.

High Temperature Hot Water Piping (Welding)

High-pressure-steam piping and high temperature hot water piping shall be subject to a special inspection. See BC 1704.18 for additional information.

High – Pressure Fuel – Gas Piping (Welding)

Per FGC 403.1.1, all welded gas distribution piping is subject to a special inspection. See BC 1704.19 for additional information.

Excavations– Sheeting, Shoring, Bracing, & underpinning

Methods employed to protect the sides of excavations, or to protect adjacent underpinned structures, shall be subject to Special Inspections in accordance with BC 1704.20.2 through 1704.20.10 and BC 1814.  

Mechanical Demolition

Where mechanical demolition equipment, other than handheld devices, is to be used in the full or partial demolition of a building from within the building, or is to be used within the building to remove debris or move material, such demolition operation shall be in accordance with BC 1704.20.4.

Soil Percolation Test – Private On-site Storm Water Drainage Disposal Systems and Detention Facilities

Subject to Special Inspections in accordance with BC 1704.21.1.2.

Private On-site Storm Water Drainage Disposal Systems and Detention Facilities Installation

Subject to Special Inspections in accordance with BC 1704.21.2.

Individual On-site Private Sewage Disposal System Installation

Subject to Special Inspections in accordance with BC 1704.22.

Soil Percolation Test – Individual On-site Private Sewage Disposal Systems

Subject to Special Inspections in accordance with BC 1704.22.

Sprinkler Systems

Subject to Special Inspections in accordance with BC 903 and 1704.23. See Sprinkler Project Guideline.

Standpipe Systems

Per BC 1704.24, Standpipe systems Special Inspections are required to verify installation of materials, fitting hangers’ assemblies and signage, are per approved documents.

In addition, Special Inspection must ensure that painting of system complies with BC 905.11 and BC 905.11.5. This portion of the inspection may be conducted periodically at incremental stages matching the progress of the work.

Special inspector shall witness all required tests, both Hydrostatic* and flow tests and ensure submission of Form FP 84 to FDNY.

See Standpipe Project Guideline.

Heating Systems

Subject to Special Inspections in accordance with BC 1704.25. See Mechanical Project Guideline.

Chimneys

Subject to Special Inspections in accordance with BC 1704.26.

Fire-resistant Penetration and Joists

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

Aluminum Welding

The Special Inspections for structural aluminum elements of buildings and structures shall be as required by BC 1704.28.1.

Flood Zone Compliance

Special Inspection for flood zone compliance shall be as required by BC Appendix G and BC 1704.29, as well as BC 1704.5.

Luminous Egress Path Markings

The installation of photoluminescent egress path markings shall be subject to special inspection in accordance with BC 1704.30. The special inspector shall verify that approved photoluminescent egress path markings were provided and installed in accordance with DOB rules and regulations, the approved construction documents, and manufacturer’s instructions.

Emergency and Standby Power Systems (Generators)

Emergency and standby power systems shall be installed in accordance with the New York City Electrical Code, NFPA 110 and NFPA 111, and BC 2702.

Post-installed anchors

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

Seismic Isolation Systems

There shall be periodic special inspection during the fabrication and installation of isolator units and energy dissipation devices, if used as part of the seismic isolation system as per BC 1707.8.

Concrete Design Mix

Subject to Special Inspections in accordance with BC 1905.3 and BC 1913.5 (former TR 3 form).

Concrete Sampling and Testing

Concrete sampling and testing shall be in accordance with BC 1905.6 and BC 1913.1.10 (former TR 2 form).

Preliminary

Subject to Special Inspections in accordance with AC 28-116.2.1 and BC 110.2.

Footings and Foundation

Footing and foundation progress inspections shall be made after excavations for footings are complete and any required reinforcing steel and required forms are in place as per BC 110.3.1.

Lowest Floor Elevation

In areas of special flood hazard, upon placement of the lowest floor, including the basement (for flood zone purposes), and prior to further vertical construction, the elevation inspection report required in Item 1 of Section BC G105.3 of BC Appendix G shall be submitted to DOB per BC 110.3.2.

Structural Wood Frame

Subject to Special Inspections in accordance with BC 110.3.3.

Fire-Resistance Rated Construction

Subject to Special Inspections in accordance with BC 110.3.4.

Energy Code Compliance Inspections

Progress Inspections per NYCECC:

  • Protection of exposed foundation insulation
  • Insulation placement and R values
  • Fenestration u-factor and product rating
  • Fenestration air leakage
  • Fenestration areas
  • Air sealing and insulation - visual
  • Air sealing and insulation -testing
  • Vestibules
  • Fireplaces
  • Shutoff dampers
  • HVAC and service water heat equipment
  • HVAC and service water heat g system controls
  • HVAC insulation and sealing
  • Duct leakage testing
  • Electrical energy consumption
  • Interior lighting power
  • Exterior lighting power
  • Lighting Controls
  • Electrical Motors
  • Maintenance information
  • Permanent certificate
  • In Solar Ready Requirements

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