Alterations of Existing Buildings

FILING AN ALTERATION APPLICATION

ALTERATIONS TO EXISTING BUILDINGS (No Change Existing Use/Occupancy)
Upon gathering the necessary Property Information about the building and Agencies Having Jurisdiction, a basic Project Scope can be established. The Department of Buildings (DOB) provides the public with all the necessary resources and guidelines on regulatory filing and permit procedures.

Final Directive 14: When referring to an alteration application as “Directive 14”, this means the final inspection will be conducted by either the Applicant of Record (RA, PE) or a 3rd Party Special Inspection Agency (SIA).

Final Directive 2: When referring to alteration application as “Directive 2”, this means the final inspection required to sign-off the application will be conducted by an inspector from Department of Buildings (DOB). Typically recommended when there is a change to existing means of egress that does not involve a Change to Use or Occupancy.

Applicant of Record: Refers to a licensed NYS Architect and/or Engineer (individual) assuming responsibility for the application filed and associated drawings/documents.

Special Inspection Agency (SIA): Qualified and DOB-registered inspection agency performing required special and/or progress inspections identified on the TR1-Form.

Special Enforcement Program (SEP): Special audit division within the DOB who inspect, and audit select Directive 14 alteration applications upon completion and submission of DOB sign-off documents.

Professional Certification (Pro-cert/self-cert): All applicants part of the application, together with the owner, agree to waive a review by DOB technical staff and certify that the application, drawings and supporting documents comply with applicable Codes & Regulations of NYC.

Standard review: Applicants file an application requesting a review by DOB technical staff for Code Compliance.

DOB- Work Types: Referred to as the scope of the project as indicated on the PW1 – Form. For the purpose of this eGuide, I will reference:

OT-General Construction: Refers to “Other” work type associated with Architectural or general construction (Also referred to as OT-Arch).

OT-Structural: Refers to “Other” work type associated with new or modifications to a buildings structural system

MH-Mechanical: Refers to Mechanical work and ventilation by mechanical means (not natural) including any demolition of existing equipment and/or ductwork

PL-Plumbing: Refers to Plumbing work including demolition and/or installation of fixtures and associated water, storm, sanitary or gas piping.

FP- Fire Suppression: Refers to Ansul systems or fire-extinguishing systems associated with kitchen exhausts used in commercial/manufacturing spaces (SBS Review Process).

FA- Fire Alarm: Refers to alterations or installation of fire alarm systems including installation and/or relocation of strobe, pull station, smoke/heat detection devices (FDNY Review Process).

SP – Sprinkler: Refers to alterations, removal, or installation of sprinkler systems including sprinkler heads but excluding sprinklers off the domestic (plumbing) line of less than 20 heads.

SD – Standpipe: Refers to alterations, removal, or installations of standpipe Systems including hose racks and Siamese connects (FDNY Review Process).

PREPARING A DOB ALTERATION APPLICATION (ALT-2 or ALT per DOB NOW - Build)
When filing an application with NYC Department of Buildings (DOB) for an Alteration to Existing Buildings, the Applicants of Record, together with the owner, may choose to file as follows:

STANDARD REVIEW PROCESS

DOB plan examiners review the filing drawings for code/zoning compliance. comments/objections issued by plan examiner based on review of drawings.

Plan examination appointments to remedy any objections issued.

Approval of application can take about 3 to 6 weeks which varies by borough and number of objections issued.

It is very rare that an alteration project has such a flexible schedule that would allow a 6-week timeframe to obtain DOB approval for an interior Alteration application (Alt2). Owners/clients often require that the Architect file as a professional certified application based on the schedule.

PROFESSIONAL CERTIFICATION

Applicants of Record (RA) certifies that the filing drawings comply applicable codes.

RA and Owner assume responsibility for the application without a review by a DOB plan examiner.

No appointments necessary, however there is a chance the application is audited after approval.

Approval is issued within 3-5 days of filing as opposed to 3-6 weeks for a standard application.

Depending on the scope of the alteration and the level of experience with NYC regulatory agencies, many Architects have no issue self-certifying. However, unless prohibited for legal and/or liability purposes, there are many Architects who should consider Professional Certification for Alteration type 2 applications with no change to egress, use or occupancy. This includes newly registered RA’s who are not as experienced with NYC filing regulations and who use this eGuide as an internal reference & resource.

FINAL INSPECTION BY APPLICANT OR SIA

When referring to an alteration application as “Directive 14”, this means the final inspection will be conducted by either the Applicant of Record (RA, PE) or a 3rd Party Special Inspection Agency (SIA). SIA is a qualified and DOB-registered inspection agency performing required special and/or progress inspections identified on the TR1-Form.

FINAL INSPECTION BY DEPARTMENT OF BUILDINGS

When referring to alteration application as “Directive 2”, this means the final inspection required to sign-off the application will be conducted by an inspector from Department of Buildings (DOB). Typically recommended when there is a change to existing means of egress that does not involve a Change to Use or Occupancy.

INFORMATION NEEDED TO PREPARE DOB APPLICATION

PRIOR to preparing the necessary paperwork associated with filing an Alteration type 2 application, the following information shall be provided.

1. ALL applications of record information including PE and/or RA license #; s

2. Cost of construction (estimated) separated by work-type:

OT-Architectural: (Cost of gen. constr. incl. demo/install partitions finishes etc.)
OT-Structural: (Cost of structural including beams in linear ft.)
MH-Mechanical: (Cost of Mechanical including equipment, piping & ductwork)
PL-Plumbing: (Cost of Plumbing including cap/remove/install fixtures & piping)
SP-Sprinkler: (Cost of Sprinkler including removal/install of SP heads & piping)
FA-Fire Alarm: (Cost of Fire Alarm including removal/install of devises and wiring)

3. Asbestos investigation report & DEP Control # for non-asbestos projects.
(Asbestos reports not required for buildings erected AFTER 1986)

4. List of required progress/special inspections

5. Ownership contact information and authorized signatory