NYC Alteration Applications and Building Permits

New York City Construction Codes require a permit for most construction work, alteration work, and other work regulated by the Department of Buildings (DOB). Certain minor alterations, ordinary repairs, and other specifically identified categories of work may be exempt from the permit requirement. The current permit exemptions are established principally by New York City Administrative Code §28-105.4 and 1 RCNY §101-14. Work that is exempt from a DOB permit must nevertheless comply with all applicable Building Codes, Zoning Resolution, Energy Codes, and other laws and regulations. 

When a project requires a DOB filing, the type of alteration application depends on the nature of the proposed work and whether the project requires a new or amended Certificate of Occupancy (C of O). DOB currently recognizes three principal alteration classifications: Alteration Type 1 (Alt-1), Alteration Type 2 (Alt-2), and Alteration Type 3 (Alt-3).

Alteration Type 1

An Alteration Type 1 (Alt-1) application is generally used when the proposed work requires a new or amended Certificate of Occupancy. An Alt-1 may involve a change in use, occupancy, egress, or other conditions that require the legal occupancy or use of the building to be changed or amended.

An Alt-1 application is generally subject to comprehensive DOB review. Depending on the project, the review may include zoning, use and occupancy, egress, accessibility, structural requirements, fire protection, energy-code compliance, and other applicable provisions of the Construction Codes.

A new or amended Certificate of Occupancy is obtained after the permitted work has been completed and the required inspections and sign-offs have been satisfied. The specific requirements vary depending on the project.

Alteration Type 2

An Alteration Type 2 (Alt-2) application is generally used for an alteration involving multiple work types that does not require a new or amended Certificate of Occupancy.

For example, an apartment renovation may include architectural or partition work and mechanical and plumbing work without changing the building’s legal use or occupancy. Such work may be filed as an Alt-2 when the project meets the applicable filing requirements.

An Alt-2 does not, by itself, result in the issuance of a new Certificate of Occupancy. Upon completion, the applicable permits and inspections are signed off and, where appropriate, a Letter of Completion is issued.

Alteration Type 3

An Alteration Type 3 (Alt-3) application is generally used for an alteration involving a single work type that does not require a new or amended Certificate of Occupancy.

The work type classifications used by DOB include architectural, mechanical/HVAC, plumbing, sprinkler, fire suppression, fire alarm, and structural work. The exact filing requirements depend on the nature and scope of the proposed work. 

Directive 14

Many alteration projects are filed under the procedures established by Directive 14 of 1975. Under Directive 14, the Registered Architect or Professional Engineer assumes responsibility for specified aspects of code compliance and construction inspection in accordance with the applicable procedures. 

It is important, however, not to equate an Alt-2 or Alt-3 application automatically with a Directive 14 application. The filing classification and the inspection/sign-off procedure are related, but separate determinations. The applicable DOB procedure depends on the project and the work being performed.

Combining Apartments

In many cases, an owner may wish to combine two or more existing apartments into a larger residential unit. DOB Technical Policy and Procedure Notice (TPPN) 3/97 provides a specific procedure for combining apartments without requiring a new or amended Certificate of Occupancy when the requirements of the policy are satisfied. 

TPPN 3/97 permits qualifying apartment combinations in multiple dwelling buildings. The combination must adhere to the following requirements:

1. Must result in an equal or lower number of zoning rooms;
2. Egress from the building may not be altered under the application; and
3. The second kitchen generally must be eliminated or its plumbing connections addressed in accordance with the approved plans.

Where the requirements of TPPN 3/97 are satisfied, the work may be filed as an Alteration Type 2 rather than requiring a new or amended Certificate of Occupancy. Upon completion, DOB may issue a Letter of Completion specifically stating that a new or amended Certificate of Occupancy is not required for the apartment combination. 

Apartment Renovations

When an apartment owner or shareholder wants to renovate, a DOB filing may be required, depending on the scope of the work.

Generally, the following trigger a need to file with the DOB:

• Removal or alteration of interior partitions beyond the limits permitted as minor alterations or exempt work. In certain residential occupancies, limited removal of non-fire-rated, non-load-bearing partitions may be performed without a permit when the work is limited to the lesser of 50% of the wall surface or 45 square feet and satisfies the applicable conditions.

• Plumbing work that alters, rearranges, relocates, or permanently removes piping. Certain ordinary plumbing work and direct replacement of existing fixtures may be performed without a permit when the applicable requirements are satisfied.

• New or substantially altered ceilings, soffits, and suspended ceiling systems, depending on the scope and whether the work qualifies as a minor alteration or ordinary repair.

• New HVAC and air-conditioning systems, including most new split systems. Certain small packaged air-conditioning units and specific voluntary air-conditioning/ventilation systems are exempt under 1 RCNY §101-14.

• Apartment combinations or separations, subject to the applicable DOB filing requirements. Certain qualifying apartment combinations may be performed without a new or amended Certificate of Occupancy under TPPN 3/97.

• Electrical work, including new wiring, lighting installations, panels, and service modifications. Electrical work generally requires a separate electrical permit and must be performed by a properly licensed electrical contractor. 

• New or reconfigured interior stairs between floors, which are regulated construction and must comply with applicable requirements for stairs, egress, guards, and related construction.

• New exterior awnings and similar exterior installations, depending on applicable DOB exemptions.

• Other work affecting use, occupancy, egress, structural conditions, fire protection, or the legal configuration of a building may require a DOB filing even if the work appears minor.

Filing and Permits

Once the plans and supporting documents have been prepared and the DOB application has been filed and approved, the owner or contractor must obtain all required work permits before work commences.

A project may involve multiple work types and, consequently, multiple permits. For example, a renovation could involve architectural/partition work, mechanical work, and plumbing work. The applicable DOB work types and permits must be obtained for each regulated portion of the project.

The DOB’s current filing system uses work-type classifications such as OT (Other), MH (Mechanical/HVAC), and PL (Plumbing), among others. 

Inspections

Construction must be inspected in accordance with the requirements applicable to the particular project. Depending on the scope of work, inspections may be performed by DOB inspectors, Registered Architects or Professional Engineers, licensed tradespeople, special inspectors, or other qualified parties.

Projects may be subject to Special Inspections, Progress Inspections, controlled inspections, or other required inspections. Typical Special Inspection categories can include structural steel, concrete, firestopping, mechanical systems, and other regulated work. The required inspections are determined from the approved construction documents, applicable Construction Codes, DOB rules, and the specific requirements of the filing.

Completion and Sign-Off

When the construction is complete, all required inspections, permits, and sign-offs must be completed.

For an alteration that does not require a new or amended Certificate of Occupancy, completion of the required sign-offs may result in a Letter of Completion or other appropriate DOB sign-off documenting completion of the work.

For an Alt-1 project requiring a new or amended Certificate of Occupancy, the required inspections and sign-offs must be completed before the Certificate of Occupancy can be issued. 

The exact completion procedure varies according to the filing type, the work performed, and whether a Certificate of Occupancy is required.

Summary

In general, NYC alteration projects can be divided into three principal filing categories:

• Alteration Type 1 (Alt-1): Generally used when the project requires a new or amended Certificate of Occupancy.

• Alteration Type 2 (Alt-2): Generally used for projects involving multiple work types that do not require a new or amended Certificate of Occupancy.

• Alteration Type 3 (Alt-3): Generally used for projects involving a single work type that do not require a new or amended Certificate of Occupancy. 

Because the requirements depend on the scope and characteristics of each project, owners should determine the appropriate filing type, permit requirements, inspection requirements, and Certificate of Occupancy requirements before beginning construction.