Let me try to explain the requirements for plan filing and approval for a small residential renovation project in New York City.
The New York City Building Code (NYCBC) Section 27-140 requires that a professional architect or engineer prepare and file plans with the Building Department when construction work is proposed that is not considered ordinary repairs.
Local Law 58 of 1987, commonly referred to as the “Handicap Law”, imposes a fine of up to ten times the filing fee for a violation that was found where construction work was done without a permit. Building owners and COOP Boards therefore require that the tenant or tenant shareholder file plans with the Building Department to comply with the law.
There are basically two types of filings of plans for renovations know simply as Type 1 and a Type 2. A Type 1 is for construction where a change in use, egress, or occupancy or enlargement is proposed along with the construction work. A Type 2 application is filed for construction work that does not affect the use egress or occupancy. Each type is reviewed by the Building department in a different manner.
A Type 1 application can involve a renovation which results in a change in use or occupancy, room count, dwelling unit count or enlargement. This type of application undergoes a full review which usually takes several weeks to several months to complete. Egress and zoning is checked along with compliance to the handicap laws.
A Type 2 application is usually done as a “Directive 14”. A Directive 14 is a Building Department memorandum that was issued by the Building Department in 1975 to allow the architect or engineer to take greater responsibility for code compliance of the plans. Therefore only a cursory review of the plans is done by the Building Department. These applications are generally approved in a relatively short time. Approximately 80% of the applications received by the Building department are “Directive 14” applications.
In many cases, when an apartment owner decides to combine or change the number of rooms a Type 1 application is filed. A recent change in Building Department policy allows the combining of apartments without changing the C of O. (TPPN 3/97). This is not the case in “Old Law Tenements” that have a Certificates of Occupancy which does not list the number of rooms or number of apartments.
When an apartment owner wants to renovate a bathroom or kitchen or change the location of a wall, generally a Type 2 application is submitted to the Building Department.
A Type 1 application generally will require a new or amended Certificate of Occupancy ( C of O). This is obtained after the a permit is issued, work is completed, and all inspections have been done. A separate C of O application is filed with the Building Department.
Once an Architect has successfully had the plans filed, examined and approved, the owner must have his contractor obtain a permit to perform the work. A separate permit for each type of work on a Type 2 application must be obtained. For example, if a renovation contains partition work (OT) and mechanical work (MH) and plumbing work (PL), three separate permits must be obtained from the Building Department.
During the course of construction, the work must be inspected. In a Type 1 application, inspections must be made for construction, plumbing, electric and elevators. Also controlled inspection for various items must be performed by testing labs or professionals hired to specifically perform this service. Typical controlled inspections are for fire stopping, mechanical ventilation, concrete, welding, etc. The New York City Building Code lists the requirements for all the controlled inspections that might be needed for a particular project.
In a Type 2 application, an architect does the construction inspection along with other controlled inspections. Plumbing, electrical, and elevators still must be inspected by the Building Department. Recently, a Policy and Procedure Notice was issued by the Building Department that allows licensed professional or plumbers to “self certify” plumbing installations.
When work is complete, the controlled inspections are signed by the professional, filed with the Building Department and a Letter of Completion is requested. If all permits have been obtained and all inspections performed successfully, the Building Department issues a letter of completion. This completes the final requirements for this type of application.
In a Type 1 application, filing the controlled inspections, and obtaining successful inspections by the Building Department results in the issuance of a new or amended Certificate of Occupancy.