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Project Checklists for Owner:
Creation and Alteration of Habitable Apartments in Basements or Cellars of 1- and 2-Family Buildings Mixed Use Buildings (Local Law 49 of 2019)

This section contains a list of questions/tasks to help Owners, who are responsible for hiring professionals to provide compliance with the NYC Construction Codes and other regulations discussed in the Project Guidelines.

The project design team should be hired and assembled by the Owner prior to beginning any construction. As an Owner, if you are unfamiliar with construction regulations, consult a Registered Design Professional or reference the NYC Construction Code and other regulations referenced in this guide for more information.

Checklists include:

Initial Project Checklist

DO

  • Consult with HPD: For homeowners participating in HPD’s program, consult with HPD on assistance with the conversion permitted under LL 49/2019, which may also include DOB fee waiver and other financial and technical guidance.
  • Pre-Project: Hire a Registered Design Professional, a Professional Engineer (P.E.) or Registered Architect (R.A.), to ensure your project is Code-compliant.
  • Initial Survey: If the scope of work includes the creation of window well or excavation, hire a NYS licensed Land Surveyor to furnish a site survey showing all existing conditions.
  • Boring or Test Pit, and Soil Percolation Test: If the scope of work includes the creation of a window well or excavation, hire a licensed professional to perform the work.
  • Project Plans: Only a Registered Design Professional can submit construction documents, including drawings and other submissions, to the Department for approval. Applications to DOB must be Alteration Type 1. Forms and all construction documents must indicate Alteration per LL 49/2019.
  • Asbestos Investigation: Have asbestos investigation performed on site to check for Asbestos Containing Material (ACM) that will be removed or disturbed.
  • Project Work: Hire a Licensed/Registered General Contractor to perform the work. When hiring a professional, have a written contract that includes the Contractor’s company name, address and license number(s).
  • Post Permit(s): Ensure permit is posted in a conspicuous place at the work site for the duration of the project work.
  • Work Completion: Ensure the Contractor has completed required DOB inspections and obtained sign-off to close out the completed work filed under the project permit. If required, commissioning must be filed with the Department prior to sign-off.
  • Radon Level Investigation: Have radon investigation performed on the proposed below-grade apartment location.
  • Certificate of Occupancy: Record the following building note for LL 49/2019 on Schedule A to appear on the certificate of occupancy:

    Alteration per LL 49 of 2019
    In accordance with LL 49/2019, such certificate of occupancy does not certify compliance with applicable laws with respect to parts of the building outside of the apartment created or altered pursuant to this local law.

  • When Required by DOB NOW: Owners must provide their email address to the Department to obtain correspondence, inspections and final sign-off of the project.

DON’T

  • Work Without a Permit: Do not begin work without a DOB permit. Property Owners and the people performing work without a permit may face violations with penalties, court appearances, and civil or criminal penalties.

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Prior to Application Approval Checklist

  • Hire a Registered Design Professional (RDP), P.E. or R.A., to consult and finalize scope of work.
  • Provide and consent to project submission requirements, and authorize the Registered. Design Professional, who is the Applicant of Record, to submit project plans (construction documents) for approval by the Department.
  • If Commissioning is required, hire a commissioning agent.
  • Project approval is required prior to beginning work.

*Note: The Owner of the building/property is ultimately responsible for the project, and their signature/consent is required for submission of the project application by their Design Professional, and Department approval. The Owner may attend plan examination appointments only if accompanied by the Applicant of Record or the Filing Representative.*

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Pre-Permit & On-going Project Work Checklist

Pre-Permit

  • Licensed Contractor: Hire NYC Licensed/Registered Contractor to obtain work permit in order to begin work.
  • Special Inspections: If the scope of work requires, hire the required Special Inspection Agency for performing Special/Progress Inspections.
  • Notify the Department: Prior to permit, provide the name(s) of the SIA(s) contracted to do the Special Inspections, using an online submission.
  • Commissioning: If commissioning is required, it must be completed prior to sign-off.

On-going

  • Site Safety: Property Owners must maintain their properties in a safe condition during the course of work.

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Project Completion Close-out Checklist

  • Special Inspections: If the scope of work requires, the contracted Special Inspection Agency hired must complete and submit results online to the Department.
  • Department Inspections: Make sure the Contractor has completed all Department of Buildings inspections and has obtained sign-off of the completed work.
  • Final Inspection and Sign-off: Confirm the Contractor has requested and passed a final sign-off inspection required by the Department.

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