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Flashcards in NYC DOB Permiting Deck (34)
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Who Generally Files Plans and Pulls Permits

New York State licensed Professional Engineer (PE) or Registered Architect (RA)


What are the primary permit applications?

New Building (NB) and Alterations Type-1, 2 and 3


NB Permit

NB: Construction of new structures



ALT1: Major alterations that will change use, egress or occupancy



ALT2: Multiple types of work, not affecting use, egress or occupancy



ALT3: One type of minor work, not affecting use, egress or occupancy


7 Steps of Filing for a Permit for RA/PE

STEP1: Applicant pre-files application in a borough office
STEP 2: Applicant Goes to Cashier and pays the fee
STEP 3: Data Entry and Research (DARE) Unit enters application details
STEP 4: Department reviews application plan
STEP 5: Department perforates the plan
STEP 6: Applicant obtains permit
STEP 7: Post Permit Activities


Post-Approval Amendments

DOB requires filing a post-approval amendment when a minor change in the work is required or when RA/PE discovers they need to correct an error in the initial filing. (ie. Schedule A changes, Schedule B changes and scope of work changes.)


Is a PAA required when changing the name of the filing representative?

No, only a PW1 form is required.


Is a PAA required when changing the name of the applicant?

You MUST file a PAA with revised stamped drawings if the applicant is changing.


Is a PAA required when there is a minor plan change that does not change any information on the PW1?

No, an AI-1 (Additional Information) form is filed instead of submitting a PAA


Basic steps filing a PAA

1) Complete the PW1
2) Complete the appropriate schedules if the change affects information on the PW1’s/Schedule A’s/Schedule B’s.
3) Amend your plans if the change affects the plans and submit the A1 (Additional Information form) as required.
4) Submit your PAA application to the borough office.


When is an After Hours Variances (AHV) required?

PW5 Construction activity before 7:00 am, after 6:00 pm, or on the Weekend.


What must the owner do if asbestos is present filing wise?

Owners must demonstrate to the Department of Buildings that requirements for asbestos abatement have been satisfied before a DOB permit may be issued. Applicants must indicate on the PW1 whether the project requires abatement, does not require abatement, or is exempt.

Submit proper documentation to DEP's Asbestos Technical Review Unit (A-TRU)

Once abatement is complete the ACP20 (Asbestos Project Conditional Completion Form) or ACP21 (Asbestos Project Completion Form) must be submitted to the Department of Buildings before a DOB permit may be issued for any subsequent work.


Boiler First Test Inspections

New boiler installations and boilers that have undergone replacement of more than half their principal components or sections as defined by the Building Code, or whose fuel burners have been replaced, must be inspected by the Department before use. This Department inspection is known as the First Test Inspection.


Certificate of Occupancy

Key document used to certify the legal use and occupancy of a building. The Certificate describes how a building may be occupied, for example, a two-family home, a parking lot, a 40-unit multiple dwelling, or a store.

Owners must obtain a new or amended Certificate of Occupancy for new buildings or where construction changes the use, egress, or occupancy to an existing building before the building may be legally occupied.


Letter of No Objection

Buildings built before 1938 aren’t required to have a Certificate of Occupancy – unless later alterations changed its use, egress or occupancy. If you require proof of a building’s legal use – and it’s exempt from the CO requirement – contact the Department’s borough office where the property is located to request a Letter of No Objection.


Temporary CO

The department may determine that a property is safe to occupy, but there are outstanding issues requiring final approval. A Temporary Certificate of Occupancy – or TCO – indicates that the property is safe for occupancy, but it has an expiration date. TCOs typically expire 90 days after they are issued.



Concrete placed at any building under construction in New York City is required to be tested to ensure it meets the project's structural design requirements. Concrete testing must be performed by a licensed Concrete Testing Lab.

The Department's Concrete Unit performs audits of concrete testing in New York City.


Can a Permit Exclude Concrete Operations?

Applicants may be ready to obtain a permit to begin work before they are ready to begin concrete operations. The Department allows applicants to obtain a permit that authorizes work but prohibits concrete operations until concrete requirements are met.


Construction Codes Determination

CCD1 - Used to request a determination (formerly known as reconsideration, pre-consideration, or interpretation) for all issues non-zoning related, for a job or planned job, from the Department.

This filing can be used for interpretation or clarification of an existing construction code requirement. Additionally, any variances that are requested for a construction application can be submitted using this application.


Zoning Resolution Determination

(ZRD1) - ZRD-1’s are intended to interpret or clarify the zoning resolution. Any request for a variance to the zoning resolution must be filed with the Board of Standards and Appeals, or with the Department of City Planning. A variance cannot be granted via a ZRD-1 request.


Examples of when you need an ALT-1

If the work will require getting a new or amended Certificate Of occupancy then you must file an Alt 1.


Examples of when you need an ALT-2

If the work does not require a new or amended certificate of occupancy you can file an Alt 2.

Interior Apartment Renovations
Combining Apartments (In most cases)
Renovating a retail store but keeping the use as a store.
Renovating a restaurant as long as it stays a restaurant.
Removing a wall or building a new wall.
Adding a bedroom to an apartment (in most cases)
Alterations where you get a “letter of no objection”



Plan/Work Approval Application

- PW1 is the first document filed with the Department to begin the application process.
- Begin submission process for NYCDOB permits.



Schedule A: Occupancy/Use

Provides supplemental occupancy/use information to PW1.



Schedule B: Plumbing /Sprinkler/Standpipe

This addition to form PW1 (Plan/Work Approval Application) is required for all New Buildings and for any Alterations involving plumbing work. A separate PW1-B must be submitted for each work type filed and fill in only the applicable components for that work type (i.e., for an SP work type fill in only SP tagged items).



Schedule C: Heating and Combustion Equipment

Fuel Burning Equipment, Fuel Storage, Chimney, Boilers

This Technical Report shall be filed to demonstrate compliance for all inspections/tests required for the related job, in accordance with the New York City Construction Codes. The design applicant must identify the inspections and/or tests necessary prior to job approval. The director of the Special Inspection Agency and/or Approved Agency must submit to identify responsibility for performing Special inspections prior to permit issuance. Upon satisfactory completion of special inspections/tests, the director of the Special Inspection Agency and/or Approved Agency



Work Permit Application

Filed (with authorization of owner) by contractor or licensee in order to obtain a permit to perform work.

• Initial Permit
• No Work Permit: if application will not include any physical work to be performed
• Renewal Permit with changes: if application is to renew an existing permit, but changes to permit application information are required.
• Renewal Permit without changes: if application is to renew an existing permit and no changes to permit application information are required.



Equipment Use Application/Permit

This form shall be filed for all equipment specified in 27-185 of the Building Code of the City of New York. Equipment Use Permits shall be issued only after inspections and tests have been performed in accordance with 27-188 of the Building Code

Provide the specifications of the equipment:
• Provide the manufacturer’s name for each item
• Indicate the floor where the equipment will be installed
• Indicate the total number of items with identical specifications
• Provide the approval number (s) assigned by the Department of Buildings
Material and Equipment Acceptance Division, the Board of Standards and
Appeal and /or the serial number of the equipment.
• Provide the capacity of the equipment in BTU’s per hour