Required Items Reference Guide

- 1 -

Background and Tips for using the Guide..........................................2

What you should know about Required Items....................................3

Reviewing Required Items on BISWeb................................................4

Table of Contents for Required Items .................................................7

General Required Items...................................................................... 9

Post-Approval Required Items.......................................................... 44

Helpful Information .............................................................................46

Required Item Comparison Chart......................................................47

Required Items Sorted by “When Required”....................................49

Index..................................................................................................... 52

- 2 -

Background and Tips for using the Guide

What is the Required

Items Reference Guide?

The Required Items Reference Guide is a publication made

available by the NYC Department of Buildings as a courtesy to the

public. The Guide establishes a clear, common standard for when

requirements apply to a particular job filing and how to satisfy each

requirement.

Are any Required Items

not included in the

Guide?

This version of the Guide does not include the Controlled

Inspection Required Items or Builders Pavement Plan (BPP)

Required Items (with one exception). Explanations for those

Required Items will follow in a future edition of the Guide.

How current is the

information in this version

of the Guide?

The information contained in the Guide is only as current as the

date it was published, which appears on the cover of the guide.

The online version of the Guide is continuously updated and

reflects the most current information. It is available at

http://www.nyc.gov/buildings.

Please note: changes and corrections do occur after printing.

Changes and corrections will be reflected in the online version of

the Guide and will not be printed until the next published version

of the Guide is released.

What happens after the

expiration date listed on

the cover?

Most of this version of the Guide will still be current, but check

the online version of the Guide for the most current information.

Because a change to a Required Item may happen at any point,

it is strongly recommended to always review the online version of

the Guide before taking any steps to satisfy a Required Item.

What else can I get from

the Guide?

Over time, the online version of the Guide will also feature a

number of helpful enhancements, such as:

• Links to reference information, including Building Code and

Zoning Resolution citations

• Forms and other documents that are required to be submitted

• Links to web sites for related city agencies

• Searching and sorting

What if I find an error in

the Guide?

If you notice an error that needs to be corrected in the Guide, or if

you have any suggestions for the Guide, please notify us at:

customerservice@buildings.nyc.gov

- 3 -

What you should know about Required Items

What is a Required Item?

Required Items indicate what requirements apply to a specific job,

and when they must be satisfied. Every job filing is unique. Scope

of work, location, and other variables determine which

requirements apply.

How does a Required

Item become associated

with a job?

A Required Item is associated with a job through the Buildings

Information System (BIS), a Plan Examiner, or a filing

professional.

• Programming in BIS adds the item. BIS automatically adds

certain requirements based upon programming logic following

pre-established business rules. For example, all NB and Alt 1

jobs require Final Construction Signoff.

• A Plan Examiner adds the item. During plan exam, the Plan

Examiner determines which requirements apply.

• A filing professional selects the item. On professionally

certified jobs, the professional indicates all items that are

required for the particular job on the PC-1 form (checklist for

Professional Certification). That information is then entered

into BIS by the NYC Department of Buildings.

How do I find out what

Required Items are

associated with my

filing?

Follow the steps on the next pages to track Required Items

using BISWeb.

Who can I contact if I

have questions?

If you have any questions, please e-mail us at

customerservice@buildings.nyc.gov or contact your local

borough office. Borough contact inf

ormation is available at

http://www.nyc.gov/buildings

Note The Guide may not

be a complete list of every item

required for a job.

- 4 -

Reviewing Required Items on BISWeb

If you have a property address:

Visit http://www.nyc.gov/buildings

and input the address into the BIS

web query on the home page

If you have a job number

instead of an address,

please skip to the next

page.

Scroll down and click on Jobs/Filings

on the Property Profile Overview

screen

Locate the job number you want to

check Required Items for and click on

that number

You will arrive at “Application

Data” screen

At this point, please skip to the

“Required Items Screen on

BISWeb” to continue

- 5 -

If you have a BIS job number:

Visit

http://www.nyc.gov/buildings

and navigate to BISWeb

Click “Enter

Buildings

Information System”

Then Click “Building

Information Search”

Scroll down to “Job Number” and

enter the job number in the field

provided

Click “GO” when ready

You will arrive at “Application

Data” screen

At this point, please

skip to the “Required

Items Screen on

BISWeb” to continue

- 6 -

Key to Understanding the Required Items Screen on BISWeb

Click “Items Required” to see

the required items list for that

job

Indicates total number of items

required for job

Denotes who can receive

documentation for this item

T: Plan Examiner Only

N: Clerical Staff

“PRI TO” denotes when the

documentation is required prior

to: APP: Approval

PER: Permit

SGN: Signoff

Required ID: Clerk who entered

the required item

Required Date: The date when

the required item was added to

the job

Received ID: Clerk or plan

examiner who received the

required item

Received Date: When the

required item was received

For TR-1 items denotes the

date the “ID of Responsibility”

was received

Date Certified: When TR-1

certification was received

Waiver: if an “X” appears, that

item is waived for this job

For each required item, a blank

space under a column means

that column is not required.

A “___” means that column

needs to be fulfilled for that

item

Changes the screen to show

only the items required prior to

the stages checked

Changes the screen to show

either all required items or only

open required items

Click “Redisplay” to change the

screen for the options selected

in J or K above. Click “Reset”

to reset the options to show all

items when “Redisplay” is

clicked

B C

*Denotes item that can only be received by technical staff.

- 7 -

Table of Contents for Required Items

Controlled Inspections and most BPP Required Items are not included

General Required Items................................9

Address: New House Number Approved* .......9

Adult Activity Approval.....................................9

Adult Establishment Approval*........................9

Anti-Harassment Area Checklist ...................10

Applications: Signoff Open Jobs ...................10

Asbestos ACP 7 or 5 or ASB 4* ....................11

Backflow Preventer .......................................11

Boiler (BL) Signoff .........................................12

BPP: Design Commission Approval -

Distinctive Sidewalk* .....................................12

BPP: Other Items ..........................................12

BSA Variance*...............................................13

BSA/CPC Approval*......................................13

Certificate of Occupancy ...............................13

Clinton District: HPD Certificate of Completion

of Lower Income Housing* ............................13

Clinton Special District Anti-Harassment

Checklist........................................................14

Construction (OT) Signoff..............................14

Cost Affidavit: Estimated ...............................14

Cost Affidavit: Actual .....................................14

CPC: Hudson Yards Initial Certification* .......15

CPC: Hudson Yards Final Certification*........15

Curb Cut: Provide Existing Number* .............15

Curb Cut (CC) Signoff ...................................16

Demolition Application...................................16

Demolition Job Signoff ..................................16

Design Commission Approval: City-owned

property*........................................................17

Detector: Carbon Monoxide...........................17

Detector: Smoke............................................18

Dir. 14 ID of Responsibility............................18

ECCCNYS Compliance Statement................18

Electrical Application for Sidewalk Shed

Lighting..........................................................18

Elevator Job Signoff ......................................19

Environmental “E” - DEP Notice to Proceed* 19

Environmental “E” - DEP Notice of

Satisfaction*.................................................. 19

Equipment (EQ) Permits............................... 19

Equipment Use (EUP) Permits ..................... 20

Excavation or Demolition: 5-Day Notice ....... 20

Fee: Adjustment (Scope of Work Changed) . 20

Fee: Civil Penalty for Legalization* ............... 20

Fee: Pay Deferred Fees* .............................. 21

Final Construction Signoff............................. 21

Final Electrical Signoff .................................. 21

Final Elevator Signoff.................................... 21

Final Plumbing Signoff.................................. 21

Final Sewer House Connection Signoff ........ 22

Fire Alarm (FA): FDNY Approval*................. 22

Fire Alarm/Signal System (FA) Signoff ......... 22

Fire Protection Plan (FPP): FDNY Approval* 23

Fire Retardant Treated Wood: FDNY

Certificate* .................................................... 23

Fire Suppression System (FP) Signoff.......... 23

Flood Zone: FEMA Elevation Certificate....... 24

Folder Review............................................... 24

Foreign Government Property: State

Department Letter*........................................ 24

Foundation Plan Approval............................. 24

Foundation Signoff........................................ 24

Fuel Burning (FB) Signoff ............................. 25

Fuel Storage (FS) Signoff ............................. 25

Gasoline Tank Signoff................................... 25

HPD: SRO MD Certificate of No Harassment*25

HPD: Inclusionary Housing Letter* ............... 26

HPD: Inclusionary Housing Eligibility

Certificate* .................................................... 26

Identify the Primary Job (PW1 §16).............. 26

Insurance: Disability...................................... 26

Insurance: Liability ........................................ 27

Insurance: Workers’ Compensation.............. 27

Insurance: Workers’ Comp. Waiver/Affidavit*27

Landmarks Approval*.................................... 28

*Denotes item that can only be received by technical staff.

- 8 -

Landmarks Signoff.........................................29

Local Law 58 of 1987 Waiver*.......................29

Loft Board Certificate*....................................30

Marquee (OT) Signoff....................................30

Masonry Manufacturer’s Statement...............30

Masonry Supplier’s Statement.......................31

Mechanical (MH) Signoff ...............................31

Microfilm: Additional Required.......................31

Microfilm: Initial..............................................31

PC Filing: Applicant/Owner Statements* .......32

Place of Assembly (PA) Signoff.....................32

Plumbing (PL) Signoff....................................32

Restriction: Deed*..........................................33

Restriction: Easement Agreement*................33

Restriction: Restrictive Declaration................34

Scaffold Permit ..............................................34

Self-certify Objections* ..................................35

Septic Installation: DEP Approval..................35

Sewer Connection: DEP SD-1 & SD-2*.........36

Sidewalk Shed Permit....................................36

Site Connection: DEP*...................................36

Site Safety Plan .............................................36

Sprinkler (SP) Signoff ....................................37

Sprinkler/Standpipe Electrical Letter..............37

Standpipe (SD) Signoff..................................37

Steel Affidavit: Preliminary* ...........................37

Steel Affidavit: Final*......................................38

Street: New Name Approved*........................38

Street: Unmapped - Notify Emergency

Agencies*.......................................................38

Street Tree Checklist .....................................38

Street Tree Sign-Off.......................................39

Subdivision Signoff* ......................................39

Survey: Initial.................................................39

Survey: Final .................................................40

Swimming Pool: DEP Approval.....................40

Swimming Pool: DOH Approval ....................40

Tax lot: Tentative Lot Number Issued*..........40

Tax lot: Final Lot Number Issued ..................40

Transit Authority Approval*............................41

Tree Removal: Outside Property Line/Parks

Approval*.......................................................41

Tree Removal: Special Zoning District/CPC

Approval*.......................................................41

Urban Renewal Area: HPD Approval*...........41

US Army Corps of Engineers Approval*........41

Violations: Clear All.......................................42

Water Supply (private): DOH Approval ........42

Waterfront Area Zoning Compliance*............42

Zoning Exhibit I: Certification*.......................42

Zoning Exhibit II: Certification*......................43

Zoning Exhibit III: Description and Ownership

Statement* ....................................................43

Zoning Exhibit IV: Certification*.....................43

Zoning Exhibit V: Certification*......................43

Post-Approval Required Items...................44

Escrow Letter (Attorney)................................44

Escrow Letter (Builder)..................................44

Fee: TCO Payment ($100)............................44

Temp Construction Signoff............................44

Temp Elevator Signoff (Hi-Rise Only) ...........45

Temp Plumbing Signoff - Partial Building......45

Temp Plumbing Signoff - Entire Building.......45

Update Final Construction Signoff.................45

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 9 -

General Required Items

This does not include Controlled Inspections and most BPP Required Items.

Items are sorted alphabetically by item description.

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

Address: New

House Number

Approved*

GCL § 35 & 36

Memo: 4/1/83

Select if the application

results in a new house

number.

Each new house number must be

accurately recorded in City records.

• Obtain house number verification

stamp on back of PW-1 from

Topographic Unit of Borough

President's Office. Submit stamp

with PW-1.

Adult Activity

Approval

ZR §32-01

ZR §42-01

OPPN 7/02, 6/98,

5/98, 8/96, 7/96

Select when filing a

professionally certified

application that includes

adult activity on the

premises.

When proposed use of a premises

involves adult activity, borough

referral to DOB legal for review is

required to ensure that the premises

is not an adult establishment.

• Must submit plans for plan exam

approval.

Adult Establishment

Approval*

ZR §32-01

ZR §42-01

OPPN 7/02, 6/98,

5/98, 8/96, 7/96

Select when establishing a

new or enlarging an

existing “adult

establishment” use as

defined by ZR §12-10.

For new adult establishments,

borough referral to DOB legal for

review is required to ensure that

Zoning permits the adult

establishment.

• Submit zoning plot diagram

showing conformance with ZR.

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 10 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

Anti-Harassment

Area Checklist

ZR § 93-90

ZR § 98-70

ZR § 121-50

ZR § 23-013

Automatically applies for

NB, A1 (all work types), A2

(PL, OT/GC and OT-Other

work types), A3 (OT/GC

and OT-Other work types),

subdivision, applications

located within Special

Hudson Yards District,

Special West Chelsea

District, Special Garment

Center P-2 Preservation

Area or Greenpoint-

Williamsburg Anti-

Harassment Area.

To preserve affordable housing,

certification from the Department of

Housing Preservation and

Development (HPD) is required to

ensure that development satisfies

legal requirements pertaining to the

eviction and relocation of tenants.

Or the applicant must state if the

proposed work is exempt from these

regulations.

• Submit Anti-Harassment Area

Checklist (HPD-1)

• If the work is not exempt, submit

HPD Certificate of No Harassment

or HPD Certification of Cure

Compliance

• As indicated on the checklist, some

exemptions may require

submission of HPD Determination

Applications:

Signoff Open Jobs

BC §26-222

MDL §301.1

NYC Charter

645(b)(3)d

This item will automatically

apply to NB and Alt 1

applications.

Upon issuance of a CO, the

department is certifying that the

building substantially complies with

the Building Code and other laws,

rules, and regulations, including that

no open applications are

outstanding.

• Ensure that all open applications

have been signed off.

• Note: A pilot project in Manhattan

allows final CO where open

applications exist subject to certain

criteria and limitations.

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 11 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

Asbestos ACP 7 or 5

or ASB 4*

LL 76/85

BC §27-198.1

AC §24-146.1

TPPN 2/87

OPPN 1/87,

10/87, 1/88, 4/88,

3/89, 17/89,19/90,

17/91, 9/93, 24/88

Select for all Alt 1, Alt 2 and

Alt 3 jobs, except Alt 1 jobs

for legalization of

demolition work completed

prior to April 1, 1987.

An asbestos report is required to

ensure that alteration work proposed

under this application complies with

the Asbestos Certification and

Containment Law (Local Law 76/85),

§27-198.1, and §24-146.1 (Dept of

Environmental Protection

regulations).

The ACP 7 report is required for any

friable “asbestos project.” The ACP

5 report is required for any friable

non-“asbestos project.” The ASB 4

report is required for any project

claiming an exemption from

asbestos certification.

• Submit ACP 7 if asbestos-

containing material, exceeding 10

sq. ft. or 25 linear feet, is to be

removed; AND submit proof of

payment receipt from DEP.

• Submit ACP 5 if no asbestos-

containing material is disturbed

exceeding 10 sq. ft. or 25 linear

feet.

• Submit ASB 4 if the work is exempt

from filing ACP 7 or ACP 5.

Backflow Preventer

(RPZ or Double-

Check Valve

Assembly)

RS 16, §107.18(5)

LL 67/77

OPPN 14/90

NYS Sanitary

Code 5-1.31

Select for all NB, Alt 1, Alt 2

applications and ARA’s

where the proposed work

involves a) a new

connection to public water

supply or b) installation of a

new sprinkler system or

any other device that might

cause a threat to the

potable water system.

Approval from the Dept of

Environmental Protection (DEP) for

installation of an RPZ or double-

check valve is required to prevent

contamination of the potable water

supply.

• Have device tested and obtain a

Gen. 215B form (RPZ test letter)

signed by the Testing Contractor

and Plumber and signed and

sealed by the PE or RA.

• Submit to Plumbing Division.

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 12 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

Boiler (BL) Signoff

BC §27-793

OPPN 6/93

LL 62/91

Select this item if the NB or

Alt 1 application has a

boiler (BL) application that

is filed under a separate

job number.

If filed separately from the main

application, the boiler (BL)

application must be signed off to

insure proper installation of a large

boiler (boiler rating higher than

350,000 BTU) to ensure that they

were installed safely.

• File PW-1C (Schedule C).

• On the PW-1 for the BL application,

identify the job number of the

related NB/Alt 1 in Sec. 16 or Part

A of Sec. 7.

• Obtain BL signoff from Boiler

division and provide letter of

completion.

BPP: Design

Commission

Approval -

Distinctive

Sidewalk*

NYC Charter

§854(b) & (e)

LL77/95

DOB Dir. # 2/78

Select for all BPP

applications on city-owned

property that deviate from

standard concrete color or

scoring pattern 5' x 5'

and/or add/alter exterior

walls or structures,

including but not limited to

fences, gates, steps,

curbing, distinctive paving,

benches, lamps, posts,

signage, traffic signals or

other similar structures on

city-owned property.

Approval from the Design

Commission is required to ensure

that work proposed receives

aesthetic merit.

• Obtain Design Commission

Certificate of Approval.

• Submit to Plan Examiner.

10. BPP: Other Items Please note: all Builders Pavement Plan Required Items are not listed in the Guide. Additional BPP Required Items will be incorporated in future

editions of the Guide.

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 13 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

11.

BSA Variance*

ZR §72-21

ZR §32-31

ZR §32-32

NYC Charter

666.6 & 666.7

MDL §310

Select for any application

where the proposed work

would be prohibited by

Zoning Res., Admin. Code

or MDL.

If work proposed under this

application does not comply with

Zoning Res., Admin Code, or MDL,

DOB may permit such work or

development only if applicant

obtains a variance from the Board of

Standards and Appeals (BSA).

• Obtain objection from plan

examiner or other appropriate

party.

• Obtain variance from BSA.

• Indicate calendar number and

conditions of approval on Schedule

12.

BSA/CPC Approval*

ZR § 72-21

ZR § 32-31

ZR § 32-32

OPPN 16/87

Select for any application

where the proposed work

requires a special permit,

authorization, or

modification by the BSA or

by the CPC.

If the proposed work requires a

special permit or authorization

pursuant to the ZR, DOB may permit

such work if applicant obtains

approval from the BSA and/or the

CPC.

• Obtain approvals from BSA and/or

CPC.

• Indicate calendar number and

conditions of approval on Schedule

13.

Certificate of

Occupancy

BC §27-213, 217

OPPN 6/93

This item will automatically

apply to NB and Alt 1

applications.

The Certificate of Occupancy (CO)

is an official legal document, which

states the permissible use and

occupancy of the premises.

• Submit CO Application (PW-6) to

CO Unit.

14.

Clinton District:

HPD Certificate of

Completion of

Lower Income

Housing*

ZR § 96-110(d)

(2)(ii)

Select for all A1 or NB jobs

located on a cure

requirement lot (other than

any Lower Income Housing

located on such cure

requirement lot)

To preserve affordable housing, the

Department of Housing Preservation

and Development (HPD) requires

that the affordable housing required

by the Clinton District restrictive

declaration to be completed in

compliance with the restrictive

declaration and that a temporary or

final certificate of occupancy has

been issued for each unit of the low-

income housing.

• Provide proof of temporary or final

certificate of occupancy indicating

CFRN Numbers and occupancy

restrictions for all low-income

housing and for all other tax lots on

the Cure Requirement Lot.

• HPD Certification of Completion of

Lower Income Housing

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 14 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

15.

Clinton Special

District Anti-

Harassment

Checklist

ZR § 96-00

ZR § 96-10

ZR § 96-108

ZR § 96-109

ZR § 96-110

ZR § 96-20

Automatically applies for

NB, A1 (all work types), A2

(PL, OT/GC and OT-Other

work types), A3 (OT/GC

and OT-Other work types),

subdivion, applications

located within Clinton

Special District.

To preserve affordable housing,

certification from the Department of

Housing Preservation and

Development (HPD) is required to

ensure that development satisfies

legal requirements pertaining to the

eviction and relocation of tenants.

Or the applicant must state if the

proposed work is exempt from these

regulations.

• Clinton Special District Anti-

Harassment Checklist (HPD-2)

• If the work is not exempt, submit

HPD Certificate of No Harassment,

HPD Certification of Cure

Compliance, or CPC Special

Permit

• As indicated on the checklist, some

exemptions may require

submission of HPD Determination

16.

Construction (OT)

Signoff

BC §27-156 Select this item if the NB or

Alt 1 application has a

“other construction” (OT)

application that is filed

under a separate job

number.

If filed separately from the main

application, a construction (OT)

application must be signed off to

ensure that related general

carpentry and construction work was

performed safely and complies with

Code.

• File OT work type.

• On the PW-1 for the OT

application, identify the job number

of the related NB/Alt 1 in Sec. 16 or

Part A of Sec. 7.

• Obtain OT signoff from

Construction division or provide

letter of completion for OT

application.

17.

Cost Affidavit:

Estimated

Select for Alt 1, Alt 2 and

Alt 3 applications.

A cost affidavit indicating estimated

costs is required to ensure

appropriate assessment of DOB

fees.

• Contractor to submit cost affidavit

form (PW-3) indicating estimated

cost of construction.

18.

Cost Affidavit:

Actual

Select for Alt 1 applications

only.

A cost affidavit indicating actual

costs is required to ensure

appropriate assessment of DOB

fees.

• Submit original, typed, notarized

final owner’s cost affidavit form

(PW-3) to fee estimator.

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 15 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

19.

CPC: Hudson Yards

Initial Certification*

ZR § 93-31 Select for NB and Alt 1

applications where

additional floor area is

proposed pursuant to

Hudson Yards District

Improvement Bonus.

In the Hudson Yards District,

maximum floor area may be

increased provided that an

acceptable contribution, certified by

CPC, be deposited into the Hudson

Yards District Improvement fund or

adequate security for such deposit

be provided.

• Provide an original letter from CPC

that certifies a contribution of funds

has been made or will be secured

for the Hudson Yards District

Improvement Fund.

• The letter must specify the square

footage of the development rights

yielded by the Hudson Yards

District Improvement Bonus.

20.

CPC: Hudson Yards

Final Certification*

ZR § 93-31 Select for NB and Alt 1

applications where

additional floor area is

proposed pursuant to

Hudson Yards District

Improvement Bonus.

In the Hudson Yards District,

maximum floor area may be

increased provided that an

acceptable contribution, certified by

CPC, has been deposited into the

Hudson Yards District Improvement

fund.

• Provide an original letter from CPC

that certifies a full contribution has

been made into the Hudson Yards

District Improvement Fund.

• If a full contribution was made prior

to application approval the Plan

Examiner may use the original

CPC letter already provided to

waive this item.

21.

Curb Cut: Provide

Existing Number*

BC §27-480

ZR §25-63,

25-631 and 632,

§36-53, 36-682,

44-43, 44-582

Select if the application

proposes use of an existing

legal curb cut.

Curb cut application numbers must

be identified to ensure that existing

curb cuts are legal.

• Identify existing curb cut job

number on the new plans.

• For pre-BIS jobs, indicate DOB

identification number on plans.

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 16 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

22.

Curb Cut (CC)

Signoff

BC §27-480

ZR §13-142(a)

Select this item if the NB or

Alt 1 application has a curb

cut (CC) application filed

under a separate

job

number. Requirement does

not apply to applications

reusing an existing legal

curb cut.

If filed separately from the main

application, the curb cut (CC)

application must be signed off to

ensure that new curb cuts and

modifications to existing curb cuts

(to provide access to off-street

parking) are registered and comply

with size and location controls.

• File CC application.

• On the PW-1 for the CC

application, identify the job number

of the related NB/Alt 1 in Sec. 16 or

Part A of Sec. 7.

• Obtain all required Department of

Transportation permits.

• Provide letter of completion.

23.

Demolition

Application

OPPN 6/90,

12/92, 9/93, 6/90,

24/87, 24/89,

10/92

This item will automatically

apply to all NB applications.

In order to construct a new building

on improved property, the existing

structure must be demolished

• Submit application for demolition of

existing structure or seek waiver of

requirement if property is not

improved.

24.

Demolition Job

Signoff

OPPN 6/90,

12/92, 9/93, 6/90,

24/87, 24/89,

10/92

This item will automatically

apply to all NB applications.

If an application to perform

demolition work is filed, the job must

be signed off to ensure that the

demolition work was completed

properly.

• BIS system must reflect demolition

job in “X” status (signed off).

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 17 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

25.

Design Commission

Approval: City-

owned property*

NYC Charter

§854(b) & (e)

LL77/95

DOB Dir. # 2/78

Select for NB jobs located

on city-owned property

where structure meets

qualifications set forth in

NYC Charter, Chapter 37,

Section 854(b).

Select for alterations to

existing structure located

on city-owned property

when alteration affects

exterior walls or structures,

including fences, gates,

steps, curbing, distinctive

paving, benches, lamps,

posts, signage, traffic

signals or other similar

structures on city own

property.

Approval from the Design

Commission is required to review for

aesthetic merit.

• Obtain Design Commission

Certificate of Approval.

• Submit to Plan Examiner.

26.

Detector: Carbon

Monoxide

BC §27-981.2

1 RCNY §28-02

RS 17-13, 17-14

Select for all NB, Alt 1, Alt 2

and Alt 3 jobs where

carbon monoxide detectors

are required to be installed

as a result of the work

being performed.

Most dwelling units and buildings in

occupancy group G (educational) or

H-2 (institutional) are required to

have detectors.

• Indicate location of carbon

monoxide detectors on plans.

• Where permitted to be battery-

operated, submit a notarized

affidavit signed by the owner.

• Where required to be hardwired,

submit letter from electrician or

P.E/R.A. indicating compliance.

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 18 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

27.

Detector: Smoke

BC §27-978 - 27-

981

1 RCNY §28-01

RS 17-11, 17-12

Select for all NB, Alt 1, Alt 2

and Alt 3 jobs where smoke

detectors are required to be

installed as a result of the

work being performed.

Most residential buildings are

required to have smoke detectors for

fire safety. Requirements vary by

building type.

• Indicate location of smoke

detectors on plans.

• Where permitted to be battery-

operated, submit a notarized

affidavit signed by the owner.

• Where required to be hardwired,

submit letter from electrician or

P.E./R.A. indicating compliance.

28.

Dir. 14 ID of

Responsibility

Dir. 14, 1975 This item will automatically

apply to D14 applications

with work type MH, EQ, CC

or OT.

When submitting applications via

Dir. 14, 1975, applicant must notify

DOB who will be responsible for final

inspection.

• Submit TR-1 indicating the

individual responsible for final

inspection.

29.

ECCCNYS

Compliance

Statement

Energy

Conservation

Construction Code

of New York State

This item will automatically

apply to all New Building

(NB) applications.

When submitting an application,

applicants must demonstrate

compliance with the Energy

Conservation Construction Code of

New York State.

• Place appropriate statement of

compliance or reason for

exemption on plans.

30.

Electrical

Application for

Sidewalk Shed

Lighting

BC §27-1021

LL 33/91

This item automatically

applies to all sidewalk shed

applications.

Only a licensed electrician can

install the lighting required for a

sidewalk shed.

• Provide either: a) copy of an active

electrical permit to install sidewalk

shed lighting or b) copy of a

BISWeb print out of an accepted

electrical application to install

sidewalk shed lighting.

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 19 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

31.

Elevator Job Signoff

BC §24-147 Select this item if the NB or

Alt 1 application involves

elevator work.

When an application to perform

elevator work is filed, the elevator

job must be signed off to ensure the

elevator work was completed

properly.

• Obtain Elevator job signoff from

Elevator division or provide letter of

signoff.

32.

Environmental “E” -

DEP Notice to

Proceed*

ZR §11-15

ZR § 93-051

ZR § 98-051

ZR § 104-05

ZR § 115-03

OPPN 2/05

Select for NB, Alt 1, Alt 2

and Alt 3 applications

where work is to be

performed on a lot

designated with an “E” on

the Zoning Map.

DEP must approve proposed work

that falls within the scope of ZR §§

11-15, 93-051, 98-051, 104-05 or

115-03 to ensure that all

environmental requirements have

been met or will be met upon

completion of the work.

• Submit either: DEP Notice to

Proceed, or DEP Notice of No

Objection, or Statement on AI-1

form describing why the proposed

work falls outside of the scope of

ZR §§ 11-15, 93-051, 98-051, 104-

05 or 115-03

33.

Environmental “E” -

DEP Notice of

Satisfaction*

ZR §11-15

ZR § 93-051

ZR § 98-051

ZR § 104-05

ZR § 115-03

OPPN 2/05

Select for NB, Alt 1, Alt 2

and Alt 3 applications that

receive approval upon

submission of a DEP

Notice to Proceed.

DEP must approve all work

completed pursuant to a Notice to

Proceed to ensure that the

completed work satisfies

environmental requirements.

• Submit DEP Notice of Satisfaction.

34.

Equipment (EQ)

Permits

BC §27-1001

Memo 4/12/76

Select for all applications

where construction-related

equipment will be used on-

site.

Equipment permits are required for

construction fences, certain

scaffolds and other construction-

related equipment to ensure safe

operation.

• Identify equipment types on PW-1.

• Obtain permits for equipment.

Inspection may be required.

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 20 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

35.

Equipment Use

(EUP) Permits

BC §27-185 and

27-190

Select for all applications

where service equipment or

systems indicated in §27-

185 are or will be installed.

Equipment use permits are required

for operation of service equipment or

systems, such as HVAC equipment

and systems, elevators, fuel burning

and fuel-oil storage, and certain

boilers.

• Identify equipment types on PW-4.

• Obtain plan approval from plan

examiner or PE/RA on file.

Construction inspector or applicant

must sign all equipment use

permits.

• If AC unit will be operated, file AC

equipment use card for tonnage

generated.

36.

Excavation or

Demolition: 5-Day

Notice

BC §27-165 and

27-169

Memo 10/19/88

Select if the application

involves excavation,

earthwork, or demolition.

When excavation, earthwork or

demolition is to occur, written

notification to all adjoining property

owners is required at least five days

prior to permit application. Additional

written notice is required prior to

commencement of work.

• Submit certified mail receipts and

copies of letters sent to owners of

adjoining lots at time of initial

permit application.

37.

Fee: Adjustment

(Scope of Work

Changed)

AC §26-210 and

§26-211

OPPN 2/97 & 4/99

Select if filing an

amendment or correction of

a post-approval

amendment and scope of

work has changed from

that originally submitted.

When scope of work changes, a fee

assessment is required that may

result in additional fees. Payment of

the additional fees is required prior

to approval of the initial job or if a

PAA, prior to approval of the PAA.

• See plan examiner and pre-filer for

determination of new fees.

• Pay fees at Cashier.

38.

Fee: Civil Penalty

for Legalization*

LL 58/88 Select if legalizing work

done after 1989 without a

valid permit

DOB issues civil penalties if work

was done after 1989 without a

permit. Work done without a permit

before 1989 is exempt from civil

penalties.

• See Fee Estimator

• Pay civil penalty fee at Cashier.

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 21 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

39.

Fee: Pay Deferred

Fees*

Memo 5/2/86 and

9/26/84

OPPN 2/94

APPN 1/93

Select if property qualifies

for fee deferral; certain

properties are eligible as

per APPN #1/93.

If the city or a tax-exempt institution

owns the property, the applicant

may defer payment of fees until

signoff when City properties are

transferred to private ownership.

• Pay fee at Cashier prior to seeking

CO (temporary and final).

40.

Final Construction

Signoff

BC §27-210 This item will automatically

apply to NB and Alt 1

applications.

A signoff from the Construction

Division is required to ensure that

completed work passes DOB’s

Construction inspection.

• Schedule Construction inspection.

• Obtain signoff.

41.

Final Electrical

Signoff

BC §27-210 This item will automatically

apply to NB and Alt 1

applications.

A signoff from the Bureau of

Electrical Control is required to

ensure that completed work passes

DOB’s Electrical inspection.

• Schedule Electrical inspection.

• Obtain signoff.

42.

Final Elevator

Signoff

BC §27-210 This item will automatically

apply to NB and Alt 1

applications.

A signoff from the Elevator Division

is required to ensure that completed

work passes DOB’s Elevator

inspection.

• Schedule Elevator inspection.

• Obtain signoff.

43.

Final Plumbing

Signoff

BC §27-210 This item will automatically

apply to all NB and Alt 1

applications and Alt 2

applications with a PL work

type.

A signoff from the Plumbing Division

is required to ensure that completed

work passes DOB’s Plumbing

inspection.

• Schedule Plumbing inspection or

conduct self-certified inspection.

• Obtain signoff.

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 22 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

44.

Final Sewer House

Connection Signoff

LL 65/96 Select for all applications

requiring a connection to

the city sewer system.

This item will automatically

apply to NB applications.

A final sewer house connection

signoff is required for new sanitary,

storm or combined sewer

connections. DOB should waive the

requirement if a septic system is, or

will be, installed.

• Obtain a satisfactory inspection

from a Buildings inspector, or

• Obtain a satisfactory inspection

from a DEP inspector and present

a copy of the DEP Sewer Card to

the Buildings’ Plumbing Unit

45.

Fire Alarm (FA):

FDNY Approval*

OPPN 3/91

TPPN 2/89

Memo 3/9/84,

1/22/83

1 RCNY §28-02

(e)(2)

Select if the application is a

fire alarm work type except

if filing per Dir. 14/75 for

mini class E, cabaret or

carbon monoxide detector

systems.

A letter of approval from the FDNY

Bureau of Fire Prevention for a Fire

Alarm (FA) work type is required to

ensure that the FA application has

met FDNY standards.

• Obtain a letter of approval from

FDNY Bureau of Fire Prevention

per procedures outlined in OPPN

3/91.

46.

Fire Alarm/Signal

System (FA) Signoff

BC §27-968 &

981.2

OPPN 3/91

Select this item if the NB or

Alt 1 application has a fire

alarm/signal system (FA)

application that is filed

under a separate

job

number.

If filed separately from the main

application, the alarm/signal/CO

detector system (FA) application

must be signed off to ensure that the

system was properly installed;

required for certain building types

and/or occupancy.

• File FA application with DOB.

• On the PW-1 for the FA application,

identify the job number of the

related NB/Alt 1 in Sec. 16 or Part

A of Sec. 7.

• Obtain FDNY approval letter prior

to DOB approval.

• Obtain FA application signoff from

FDNY and provide letter of

completion.

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 23 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

47.

Fire Protection Plan

(FPP): FDNY

Approval*

Dir. 1/81

BC §27-228.1 and

§27-228.2

Memo 12/5/86

OPPN 8/89

LL 16/84 & 5/73

For the types of buildings

listed in BC §27-228.1,

select for all NB and any

alteration application

involving change in use,

exceeding $1 million in cost

or resulting in amendments

to a previously issued Fire

Protection Plan.

A fire protection plan is describes

the key fire protection features of a

building.

• Submit Fire Protection Plan to

FDNY and DOB.

• Submit FDNY letter of approval to

DOB.

48.

Fire Retardant

Treated Wood:

FDNY Certificate*

Dir. 20/71

Memo 3/27/72

and 10/19/89

BC §27-328

Select if the application

involves the use of fire-

retardant treated wood.

A fire-retardant treated wood

certificate is required to ensure that

the wood used in work under this

application has been certified to

maintain a fire rating.

• Obtain a fire-retardant treated

wood certificate from FDNY.

49.

Fire Suppression

System (FP) Signoff

BC §27-232 Select this item if the NB or

Alt 1 application has a fire

suppression system (FP)

application that is filed

under a separate

job

number.

If be filed separately from the main

application, the fire suppression

system (FP) application must be

signed off to ensure that it was

properly installed for cooking

equipment.

The FP application must distinguish

between class A (water source) and

class C (chemical source) systems.

• File FP application with DOB.

• On the PW-1 for the FP application,

identify the job number of the

related NB/Alt 1 in Sec. 16 or Part

A of Sec. 7.

• Identify related mechanical work

type.

• Obtain FP application approval

from FDNY and submit to DOB to

obtain letter of completion.

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 24 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

50.

Flood Zone: FEMA

Elevation Certificate

BC §27-316(g)

TPPN 1/04

Select for all NB and any

alterations that are a

substantial improvement

where the property is

located in a flood zone.

An elevation certificate from FEMA

is required to assure that

construction in a flood zone meets

FEMA standards.

• Have P.E./R.A. certify elevation

using a FEMA elevation certificate.

• Submit to DOB

51.

Folder Review

This item will automatically

apply to NB and Alt 1

applications.

Before a Certificate of Occupancy is

issued, the department must insure

that all requirements have been

complied with.

• Obtain all necessary signoffs.

• Submit job folder with proper

documentation to CO Unit

52.

Foreign

Government

Property: State

Department Letter*

TPPN 5/94 Select for NB, Alt 1, Alt 2 or

Alt 3 jobs involving property

owned by a foreign

government.

Approval from the US State Dept is

required when work involves

property owned by a foreign

government.

• Submit letter of no objection from

Office of Foreign Missions of the

US Dept. of State.

53.

Foundation Plan

Approval

BC §27-163 Select this item if the NB or

Alt 1 application has a

foundation plan.

Foundation plans are required to

ensure that work done to a

foundation is properly completed.

• File application for foundation work.

• Obtain plan approval.

54.

Foundation Signoff

BC §27-163 Select this item if the NB or

Alt 1 application has a

foundation plan.

Foundation plans are required to

ensure that work done to a

foundation is properly completed.

• Obtain OT application signoff from

Construction Division and provide

letter of completion.

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 25 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

55.

Fuel Burning (FB)

Signoff

Memo 6/7/72 and

10/31/72

Select this item if the NB or

Alt 1 application has a fuel

burning (FB) application

that is filed under a

separate

job number.

If filed separately from the main

application, a signed off fuel burning

(FB) application is required to

ensure that fuel burning equipment

was properly installed.

• File FB application.

• On the PW-1 for the FB application,

identify the job number of the

related NB/Alt 1 in Sec. 16 or Part

A of Sec. 7.

• Obtain FB application signoff and

provide letter of completion.

56.

Fuel Storage (FS)

Signoff

OPPN 7/94

Select this item if the NB or

Alt 1 application has a fuel

storage (FS) application

that is filed under a

separate

job number.

If filed separately from the main

application, a signed off fuel storage

(FS) application is required to

ensure that DOB has authorized fuel

storage on the premises.

• File FS application.

• Obtain FS application signoff from

Boiler Division and FDNY to get

letter of completion.

57.

Gasoline Tank

Signoff

BC §27-440

LL 68/99

TPPN 6/00

Select this item if the NB or

Alt 1 application has a

gasoline tank (for

installation or modification)

that is filed under a

separate

job number.

If filed separately from the main

application, a signed off gasoline

tank application is required to

ensure that DOB has authorized

placement of a gasoline tank on the

premises.

• File gasoline tank application with

FDNY and DOB.

• Submit approval letters from NYS

Dept of Environmental

Conservation (DEC) and NYC Dept

of Environmental Protection.

58.

HPD: SRO MD

Certificate of No

Harassment*

BC §27198

28 RCNY §10-

03(a)(1)

AC 27-2093(e)

Select for every alteration

or demolition application

where the building is a

“single room occupancy

multiple dwelling”.

If the property is a single-room

occupancy (SRO) multiple dwelling,

a certification, waiver, or letter

exempting work from (HPD) is

required.

• Submit Certification or Waiver, or

letter exempting work from HPD.

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 26 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

59.

HPD: Inclusionary

Housing Letter*

ZR § 23-90

ZR § 23-95(f)

Select for all Compensated

Development jobs (jobs

that are eligible for an

increased floor area ratio

pursuant to HPD’s

Inclusionary Housing

Program).

To preserve affordable housing, no

building permit for a Compensated

Development job will be issued until

an acceptable Lower Income

Housing Plan is filed, approved and

certified by HPD.

• Provide letter from HPD that

certifies that the Lower Income

Housing Plan has been submitted

and approved. Letter specifies the

square footage of the Floor Area

Development Rights yielded by the

Lower Income Housing.

60.

HPD: Inclusionary

Housing Eligibility

Certificate*

ZR § 23-90

ZR § 23-95(f)

Select for all Compensated

Development jobs (jobs

that are eligible for an

increased floor area ratio

pursuant to HPD’s

Inclusionary Housing

Program).

To preserve affordable housing, no

temporary or final certificate of

occupancy can be issued until HPD

certifies that the Lower Income

Housing is complete and in

compliance with the Lower Income

Housing Plan.

• Provide original certified and

completed copy of HPD’s

“Inclusionary Housing Program

Certificate of Eligibility for Zoning

Bonus” containing HPD’s

embossed seal.

61.

Identify the Primary

Job (PW1 §16)

BC § 27-147

BC § 27-156

Select for any job if an

active NB or Alt 1

application exists for the

property.

When filing multiple applications for

a single project, the applicant must

identify the primary/master NB or Alt

1 job on each of the related job

filings.

• Identify the job number of the

primary/master job (NB/Alt1) in

Section 16 of PW-1 for the related

job filing.

62.

Insurance: Disability

BC § 27-160 This item will automatically

apply to all applications

except subdivisions.

Disability insurance which covers

the contractor and contractor’s

employees is required for all jobs

except “no work” permit types and

owner-pulled permits

• Submit DB 120.1 form or waiver

form WC/DB-100.

• Submit contractor tracking number

(if active)

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 27 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

63.

Insurance: Liability

BC §27-204(b)

BC §27-160

NYC Charter 2-20

OPPN 6/92

This item will automatically

apply to all applications

except subdivisions.

Liability insurance which covers the

contractor and contractor’s

employees is required.

• Submit ACORD form completed by

a licensed insurance broker

showing policy number and

effective date and DOB as

certificate holder.

• Submit contractor tracking number

(if active)

64.

Insurance: Workers’

Compensation

BC §27-160 This item will automatically

apply to all applications

except subdivisions.

Workers’ Compensation insurance is

required. DOB may waive the

requirement for applications

involving legalization or no work, or

work performed by the homeowner.

• Submit DB 120.1 form

• Submit a C106.2, GSA 105.2, SI

12, or U26.3 form. See Contractor's

Insurance Requirement sheet in

the Borough Office to verify form.

• Submit contractor tracking number

(if active)

65.

Insurance: Workers’

Comp.

Waiver/Affidavit*

BC §27-160 Select this item if

submitting a waiver/affidavit

for Worker’s Compensation

insurance

Workers’ Compensation insurance is

required. DOB may waive the

requirement for applications

involving legalization or no work, or

work performed by the homeowner.

• Submit waiver form WC/DB-100

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 28 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

66.

Landmarks

Approval*

Memo 1/7/76 and

7/6/88

TPPN 10/88

OPPN 19/88

OPPN 13/88

AC §25-301-321

1 RCNY

§ 21-01(d)

Select for all applications

where the property is an

individually landmarked

structure or is located

within a landmarked district

or contains a designated

interior that is landmarked.

Approval from the Landmarks

Preservation Commission (LPC) is

required to ensure that work

proposed under this application

does not affect property with a

landmarks designation.

• Submit to DOB drawings approved

and perforated by LPC and either a

“Permit: Certificate of No Effect” or

“Permit: Certificate of

Appropriateness,” or describe how

the proposed work is exempted

from LPC review pursuant to Memo

1/7/76.

Notes:

• For Alt 2 or Alt 3: LPC requires BIS

job # prior to LPC approval

• For NB or Alt 1: LPC requires BIS

job # and objection sheet (if

applicable) prior to LPC filing

• All zoning objections must be

satisfied prior to filing with LPC

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 29 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

67.

Landmarks Signoff

Memo 1/7/76 and

7/6/88

TPPN 10/88

OPPN 19/88

OPPN 13/88

AC §25-301-25-

321

1 RCNY

§ 21-01(d)

Select if the “Permit:

Certificate of

Appropriateness” issued by

LPC requires a Landmarks

inspection signoff as a

condition.

DOB requires that the work be

inspected and signed off by the

Landmarks Preservation

Commission (LPC) when LPC

places such a condition in the

“Permit: Certificate of

Appropriateness.”

• Submit LPC signoff to DOB.

• Submit “Permit: Certificate of No

Effect” to have this item waived.

68.

Local Law 58 of

1987 Waiver*

BC §27-292.6

LL 58/87

Select for all applications

seeking waiver of

compliance with LL 58/87.

Existing buildings that are unable to

comply with accessibility

requirements of the Code may apply

for a waiver as set forth in BC §27-

292.6.

• Obtain advisory opinion from

Mayor’s Office for People with

Disabilities (MOPD).

• Obtain Borough Commissioner

determination that waiver will be

granted.

• Submit PEO-1 form.

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 30 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

69.

Loft Board

Certificate*

MDL §284(1)(v)

29 RCNY §1-06:1,

2-01(1), (h), (o),

(m)

Select for Alt 1, Alt 2 or

Alt 3 applications where the

building is designated an

Interim Multiple Dwelling

(IMD) building by the Loft

Board.

Loft Board certificate is required for

alteration of a registered Interim

Multiple Dwelling (IMD) building.

Check the Loft Board website for a

list of IMD buildings or the BIS

Property Profile for LOFT

designation.

• Submit Loft Board certificate.

Applicant must resolve all DOB

objections prior to seeking Loft

Board certificate.

70.

Marquee (OT)

Signoff

AC §26-207,

§26.214(6) and

§27-504, 313

Select this item if the NB or

Alt 1 application has a

marquee (OT) application

that is filed under a

separate job number.

If filed separately from the main

application, a signed off marquee

(OT) application is required to

ensure that the marquee was

installed properly.

• File marquee application.

• On the PW-1 for the marquee

application, identify the job number

of the related NB/Alt 1 in Sec. 16 or

Part A of Sec. 7.

• Obtain marquee application signoff

from Construction Division or

provide letter of completion.

71.

Masonry

Manufacturer’s

Statement

BC §27-600

RS 10-1 & 10-2

Table 10-1 fn “c”

Select if the application

proposes the installation of

structural masonry.

A manufacturer's statement is

required to ensure that masonry

proposed for use meets quality

standards and is in compliance with

A.S.T.M. requirements.

• Submit a 10H form.

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 31 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

72.

Masonry Supplier’s

Statement

BC §27-600

RS 10-1 & 10-2

Table 10-1 fn “c”

Select if the application

proposes the installation of

structural masonry.

A supplier's statement is required to

ensure that masonry delivered to the

job site meets quality standards and

is in compliance with requirements

of the A.S.T.M.

• Submit a 10J form

73.

Mechanical (MH)

Signoff

BC § 27-157

BC § 27-162

Select this item if the NB or

Alt 1 application has a

mechanical (MH)

application that is filed

under a separate

job

number.

If filed separately from the main

application, a signed off mechanical

(MH) application is required to

ensure that mechanical work was

completed properly.

• File MH application.

• Identify on the main application’s

drawings the scope of work to be

filed under the related MH

application.

• On the PW-1 for the MH

application, identify the job number

of the related NB/Alt 1 in Sec. 16 or

Part A of Sec. 7.

• Obtain MH application signoff or

provide letter of completion.

74.

Microfilm:

Additional Required

APPN 3/92

APPN 3/00

Select for all applications

where the initial filing fee is

not sufficient to cover the

cost.

A payment for final microfilming is

required if the initial filing fee is not

sufficient to cover the cost.

• Pay final microfilm fee at Cashier.

• Submit receipt to CO unit.

75.

Microfilm: Initial

BC §27-157

OPPN 2/92 & 3/79

APPN 3/92 & 3/00

This item will automatically

apply to all applications

except subdivisions.

All job filings are required to be

microfilmed.

• Submit application that has been

stamped “Microfilm approved for

permit.”

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 32 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

76.

PC Filing:

Applicant/Owner

Statements*

This item will automatically

apply to all PC-filed

applications.

When an application is PC filed,

certain documentation must

accompany the electronic

submission to ensure that applicant

and owner agree to PC filing terms.

• Submit Statement and Signature

page signed and sealed by

Applicant.

• Submit Owner's Statement signed

by Owner.

77.

Place of Assembly

(PA) Signoff

OPPN 4/89

TPPN 20/88

BC §27-522

Select this item if the

application involves a Place

of Assembly (PA) job.

If Place of Assembly exists on the

application, the (PA) job must be

signed off to ensure safe egress

when a space is built to

accommodate assembly of 75

people or more. Requirement must

be clearly indicated in plan and at

building.

• File PA application for new or

modified interior/exterior layout.

• On the PW-1 for the PA

application, identify the job number

of the related NB/Alt 1 in Sec. 6.

• Obtain PA application signoff or

provide letter of completion.

78.

Plumbing (PL)

Signoff

RS 16-4 & 16-5 Select this item if the NB or

Alt 1 application has a

plumbing (PL) application

that is filed under a

separate

job number.

If filed separately from the main

application, the Plumbing (PL

application must be signed off to

ensure that plumbing fixtures were

installed properly.

• File PL application.

• Identify on the main application’s

drawings the scope of work to be

filed under the related PL

application.

• On the PW-1 for the PL application,

identify the job number of the

related NB/Alt 1 in Sec. 16 or Part

A of Sec. 7.

• Obtain PL application signoff or

provide letter of completion.

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 33 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

79.

Restriction: Deed*

Select if a restriction exists

on the deed to the property.

Certain deed restrictions limit the

use of the property and must be

properly noted.

• Submit copy of recorded deed.

80.

Restriction:

Easement

Agreement*

NYC Charter

§643, §645

LPPN 1/05, 1/04 &

1/92

TPPN 10/87

Select if an easement

agreement is required to

comply with Code.

When the restriction affects

more than one parcel

owned by different parties,

the agreement must be in

the form of an easement.

Proposed work or development

could be prohibited because of BC

requirements. DOB may accept

proof of an easement agreement

that provides for alternate means of

compliance.

DOB has approved the following

easement agreements for such use:

• Caretaker’s

Apartment

• Lotline

Window

• Driveway • Off-Site

Parking

• Egress • Party Wall

• Flood Zone • Light and Air

• Plumbing

System

• Student

Dormitory

• Submit proof of recordation of the

appropriate easement agreement

document and

• Submit to DOB all proposed

easement agreements for plan

examination review. For

professionally certified applications,

professional must certify the

easement agreement is the

appropriate format and satisfies all

statutory requirements. Otherwise

the professional must request

review by the General Counsel’s

Office and

• Approved easement agreement

must be signed by the fee owner,

acknowledged and recorded with

the County Register against all

affected tax lots and applicant must

submit proof of recording.

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 34 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

81.

Restriction:

Restrictive

Declaration

LPPN 1/05 & 1/04

TPPN 10/87

Select if a restrictive

declaration is required to

comply with Code or

Zoning Resolution.

When the restriction affects

a single parcel owned by

one party, the agreement

must be in the form of a

Restrictive Declaration.

Proposed work or development

could be prohibited because of BC

requirements. DOB may accept

proof of a restrictive declaration that

provides for alternate means of

compliance.

DOB has approved the following

restrictive declaration documents:

• Caretaker’s

Apartment

• Lotline

Window

• Driveway • Off-Site

Parking

• Egress • Party Wall

• Flood Zone • Light and Air

• Plumbing

System

• Student

Dormitory

• Submit proof of recordation of the

appropriate restrictive declaration

document and

• Submit to DOB all proposed

restrictive declarations for plan

examination review. For

professionally certified applications,

professional must certify the

restrictive declaration is the

appropriate format and satisfies all

statutory requirements. Otherwise

the professional must request

review by the General Counsel’s

Office and

• Approved restrictive declaration

must be signed by the fee owner,

acknowledged and recorded with

the County Register against all

affected tax lots and applicant must

submit proof of recording.

82.

Scaffold Permit

BC §27-1022 Select this item if a scaffold

is required to perform the

work.

If a scaffold is required, the scaffold

permit must be issued before the

permit for the main job is issued.

• Obtain permit.

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 35 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

83.

Self-certify

Objections*

TPPN 7/94 Select if applicant elects to

self-certify objections.

Applicants may elect to self-certify

objections for Dir. 14/75 filings and

Dir. 2/75 filings for 1-, 2- and 3-

family dwellings. Election must be

made prior to initial plan exam.

• Prior to initial plan exam, include

election statement on PW-1 §16.

• In response to objections, submit

Form AI-1.

• Submit Owner’s Statement.

84.

Septic Installation:

DEP Approval

NYC Health Code

Sec. 143.09

NYC DEP Interim

Proc.

Select if the proposed work

involves installation of a

septic system.

Approval from the Department of

Environmental Protection (DEP) is

required to ensure that soil

percolation and absorption meets

standards to prevent groundwater

contamination.

• Contact DEP for a soil suitability

inspection.

• Obtain DEP permit.

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 36 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

85.

Sewer Connection:

DEP SD-1 & SD-2*

BC §27-901

OPPN 22/88

Memo 10/24/86

Letter 12/17/86 &

9/22/89

This item will automatically

apply to all NB applications.

Select for Alt 1 or Alt 2

applications where

proposed work involves

more than 50% horizontal

enlargement.

Approval from (DEP) is required to

ensure that the property is properly

connected to storm, sanitary, or

combined sewer systems.

The SD-1 and SD-2 form is required

for any 1, 2, or 3-family home.

• Submit SD-1 and -2 form and Site

Connection Proposal (SCP) Forms

certified by DEP if job is a 1, 2, or

3-family home.

86.

Sidewalk Shed

Permit

BC §27-1021 Select this item is a

sidewalk shed is required

to perform the work

If a sidewalk shed is required, the

shed permit must be issued before

the permit for the main job is issued.

• Obtain permit.

87.

Site Connection:

DEP*

BC §27-901 Select this item for all

applications not subject to

the SD-1 & SD-2

requirement.

Approval from (DEP) is required to

ensure that the property is properly

connected to storm, sanitary, or

combined sewer systems.

The Site Connection form is required

for any job that is not a 1, 2, or 3-

family home.

• Submit Site Connection form and

Site Connection Proposal (SCP)

Forms certified by DEP if job is not

a 1, 2, or 3-family home.

88.

Site Safety Plan

Memo 9/9/83

OPPN 11/87,

6/88, 15/91

BC §27-1025

Select for any application

involving a “major building"

15 or more stories, 200 ft or

more in height or 100,000

sq. ft. or more of lot

coverage, regardless of

height, unless excluded per

OPPN 6/88.

A site safety plan is required for

“major buildings” to ensure that

construction activity is conducted in

a safe manner.

• Check the Site Safety box in

Section 7 of PW-1.

• Provide a site safety manager until

the site is secure.

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 37 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

89.

Sprinkler (SP)

Signoff

BC § 27-967

BC § 27-951

Select this item if the NB or

Alt 1 application has a

sprinkler (SP) application

that is filed under a

separate

job number.

If filed separately from the main

application, the sprinkler (SP)

application must be signed off to

ensure that sprinklers were installed

properly for fire protection.

• File SP application.

• On the PW-1 for the SP

application, identify the job number

of the related NB/Alt 1 in Sec. 16 or

Part A of Sec. 7.

• Obtain SP application signoff and

provide letter of completion.

90.

Sprinkler/Standpipe

Electrical Letter

BC § 27-957

RS 17-9

Select this item for

plumbing work where

electricians are installing or

repairing flow and tamper

switches.

A sprinkler/standpipe electrical letter

is required to ensure all flow and

tamper switches are wired to code

and functioning properly.

• Electrician must provide a signed

and sealed letter on letterhead

certifying all flow and tamper

switches are wired to code and

functioning properly.

91.

Standpipe (SD)

Signoff

BC § 27-967

BC § 27-951

Select this item if the NB or

Alt1 application has a

standpipe (SD) application

that is filed under a

separate

job number.

If filed separately from the main

application, the standpipe (SD)

application must be signed off to

ensure that a standpipe system was

installed properly for fire protection.

• File SD application.

• On the PW-1 for the SD

application, identify the job number

of the related NB/Alt 1 in Sec. 16 or

Part A of Sec. 7.

• Obtain SD application signoff or

provide letter of completion.

92.

Steel Affidavit:

Preliminary*

BC §27-614(a)

Memo 7/15/74

Table 10-1 fn “c”

Select for any application

that uses structural steel.

A preliminary steel affidavit is

required to ensure that structural

steel proposed for use meets quality

standards.

• Submit B Form 20SS.

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 38 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

93.

Steel Affidavit:

Final*

BC §27-614(a)

Memo 7/15/74

Table 10-1 fn “c”

Select for any application

that proposes the use of

structural steel.

A final steel affidavit is required to

ensure that structural steel used for

the job meets quality standards.

• Submit B Form 24SS.

94.

Street: New Name

Approved*

GCL §35 & 36

Memo: 4/1/83

Select if the application

results in a new street.

Each new street must be accurately

recorded in City records.

• Obtain street name verification

stamp on back of PW-1 from

Topographic Unit of Borough

President's Office. Submit stamp

with PW-1.

95.

Street: Unmapped -

Notify Emergency

Agencies*

GCL §36

OPPN 7/97

Select if work involves

zoning lots fronting on new

private streets.

Notice of a new private street and/or

house number to City emergency

service units (FDNY, NYPD and

Dept of City Planning) is necessary

to insure effective emergency

response.

• Submit copies of affidavit (ER1 or

ER2) to FDNY, NYPD and

Department of City Planning.

96.

Street Tree

Checklist

ZR §23-03 Automatically applies to all

NB, A1 and A2

enlargement applications.

Applicant must certify the number of

street trees required determined by

property street frontage as per the

Zoning Resolution. The applicant

must certify number of existing tress,

number of trees to be removed and

number of trees to be planted to

satisfy tree planting requirements

on-site or off-site. In certain

circumstances, this requirement may

be satisfied by payments to the DPR

tree fund.

• Submit Street Tree Checklist (DOB

form ST-1)

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 39 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

97.

Street Tree Sign-Off

ZR §23-03

Automatically applies to all

NB, A1 and A2

enlargement applications.

To ensure that the proposed number

of trees was planted properly or

payment into tree fund was made,

DOB requires sign-off

documentation from the Parks

Department.

• Submit signed-off tree planting

permit from DPR, and/or

• tree fund payment receipt from

DPR, and/or

• 30-day off-site location request

waiver from DPR

• Depending on planting

requirements, applicant may have

to submit more than one for the

aforementioned documents from

DPR

98.

Subdivision Signoff*

Select this item if the NB is

for a property with an

existing structure that will

not be demolished.

If the property is being subdivided,

the subdivision must be approved

before the main job can be

approved.

• File SI application.

• Obtain SI application signoff.

99.

Survey: Initial

BC §27-157(a)(1) Select for all NB and

Alterations involving an

increase in floor area or

foundations.

A lot diagram drawn in accordance

with an accurate boundary survey of

the site, made by a licensed

surveyor, is required to verify

existing construction.

• Submit a site survey by a licensed

surveyor with your filing.

• The boundary survey must be

attached to and form part of the lot

diagram

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 40 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

100.

Survey: Final

BC §27-219 This item will automatically

apply to NB and Alt 1

applications.

A final survey conducted by a

licensed surveyor is required to

ensure that all construction, street

improvements, and related work on

the site were completed per

approved plans.

• Submit final survey sealed by

surveyor and signed by PE/RA of

record.

Swimming Pool:

DEP Approval

101.

Swimming Pool:

DOH Approval

BC § 27-488

BC § 27-915

RCNY 165.01 &

165.03

Select if installing a

swimming pool.

A DEP permit is required for pools

above ground more than 500 sq. ft.

and for in ground more than 400 sq.

ft. All pools must have an indirect

connection for wastewater or an

acceptable pH discharge.

A DOH permit is required for pools

that will accommodate more than

one household (i.e. public access

pools and/or shared facilities.)

• Obtain a Letter of No Objection

from DEP.

• Obtain a Permit or No Objection

from DOH.

102.

Tax lot: Tentative

Lot Number Issued*

AC §11-203(b)

Memo 2/9/81

OPPN 30/92

Select for all SI

(Subdivision Improved) and

any NB or Alt 1 applications

that will result in new tax lot

numbers.

If proposed work involves

subdivision or merger of lots,

tentative lot numbers are required to

be assigned before the Dept of

Finance (DOF) establishes final tax

lots.

• Submit DOF Form RP 604

indicating tentative lot numbers

approved and signed by DOF’s

Real Property Assessment Bureau

Surveying Division. Form must also

be signed and sealed by PE/RA.

103.

Tax lot: Final Lot

Number Issued

AC§11-203(b)

LL 7/81, 8/81,

9/81

Memo 2/9/81,

4/16/81

This item will automatically

apply to NB and Alt 1

applications.

Certification from the Real Property

Assessment Division of the Dept of

Finance is required to ensure that

tentative tax lots have been

finalized.

• Submit certified copy of tax map

from Department of Finance.

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 41 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

104.

Transit Authority

Approval*

Memo 11/29/74

AC §26-228

1 RCNY §21(d)(4)

Select for any application

involving structural work

within 200 feet of a Transit

Authority or other railway

right-of-way.

TA approval is required when

construction or legalization work is in

close proximity to transit

infrastructure. TA maintains a list of

tagged properties.

• Obtain approval or exemption letter

from railway or Transit Authority.

105.

Tree Removal:

Outside Property

Line/Parks

Approval*

AC §27-1030 Select if a tree located

outside the property line is

to be removed.

Removal of trees outside the

property line requires Parks

Department approval.

• Obtain approval from Parks Dept.

• Submit to DOB.

106.

Tree Removal:

Special Zoning

District/CPC

Approval*

ZR §119-111,

§105-11, §107-32

Select if a tree with

diameter more than 6

inches will be removed in a

special zoning district

(South Richmond, Natural

Area or Special Hillside

Preservation).

Removal of trees in these districts is

prohibited unless CPC approval is

obtained

• Obtain approval from CPC.

• Submit to DOB

107.

Urban Renewal

Area: HPD

Approval*

Gen. Mun. Law

§503 (h)

1 RCNY §21-01

(d)(3)

Select for NB and Alt 1 if

the application concerns a

property located in an

Urban Renewal Area.

If the property is located in an Urban

Renewal Area, approval from the

Dept of Housing and Preservation

Development (HPD) is required.

• Obtain approval from HPD.

• Submit to DOB.

108.

US Army Corps of

Engineers

Approval*

River Harbor Act

of 1899

Title 33 of Code of

Fed Regs Part

320.1 (Clean

Water Act)

Select if work requires a

permit from the US Army

Corps of Engineers.

Approval from Army Corps is

required to ensure proposed work

meets Army Corps requirements

pertinent to waterfront bulkhead

areas, wetlands, and other

designated areas (i.e. changes in

bulkhead for existing waterfront.).

• File application with Army Corps of

Engineers for review letter.

• Submit to DOB prior to approval.

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 42 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

109.

Violations: Clear All

NYC Charter

645(b)(3)d

AC §26-222

MDL §301.1

This item will automatically

apply to NB and Alt 1

applications.

In order to issue a CO the building

must substantially comply with the

BC and other laws, rules, and

regulations, including that no

violations are outstanding.

• Ensure that all open violations on

the property have been cleared.

110.

Water Supply

(private): DOH

Approval

NYC Health Code

§141.021

Select for NB, Alt 1 and

Alt 2 applications involving

new water services through

private connection or

modifications to existing

service.

Approval from the DOH for private

water supply is required to ensure

that the property has adequate

water service.

• Obtain permits 33 and 37 from

DOH.

• Submit to DOB.

111.

Waterfront Area

Zoning Compliance*

ZR §62-00

ZR §62-10

ZR §62-11

ZR §62-12

Select for any application

subject to waterfront area

zoning regulations.

Compliance with waterfront area

zoning regulations is required to

ensure that work proposed under

this application meets requirements

for special uses, bulk, parking,

loading, public access, and other

applicable regulations.

• Show conformance / compliance

with ZR Article VI, Chapter 2 on

plans.

112.

Zoning Exhibit I:

Certification*

Memo 5/18/78

Paragraph (c) &

(e) of Zoning Lot

definition in ZR

§12-10

Select for NB jobs if the

property is in single

ownership.

Select for Alt 1 and Alt 2

jobs involving

enlargements where the

property is in single

ownership.

The Zoning Resolution requires that

a title company licensed to do

business in NY State certify the

parties having interest in the zoning

lot.

• Submit to DOB.

• File in connection with Exhibit III.

General Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 43 -

Required Prior to:

Item Description

Application

Approval

Permit

Signoff

References Applicability Explanation How to Satisfy

113.

Zoning Exhibit II:

Certification*

Memo 5/18/78

Paragraph (d)and

(f) of Zoning Lot

definition in ZR

§12-10

Select for NB jobs if the

property is in multiple

ownership.

Select for Alt 1 and Alt 2

jobs involving

enlargements where the

existing lots are in multiple

ownership.

The Zoning Resolution requires that

a title company licensed to do

business in NY State certify the

parties having interest in the zoning

lot.

• Submit to DOB.

• Must be filed in conjunction with

Zoning Lot Certification III and IV.

114.

Zoning Exhibit III:

Description and

Ownership

Statement*

Memo 5/18/78

Last paragraph of

Zoning Lot

definition in ZR

§12-10

Select for any job requiring

a Zoning Lot Certification

Exhibit I or II and for any

subdivision of improved

property.

Zoning lot description and

statement of ownership is required

to identify the zoning lot.

• File with the County Clerk’s office

or City Register and obtain a CRFN

number which is the equivalent of a

reel/page number.

• Submit to DOB.

115.

Zoning Exhibit IV:

Certification*

Memo 5/18/78

Paragraph (d) of

Zoning Lot

definition in ZR

§12-10

Select for any job requiring

a Zoning Lot Certification

Exhibit II.

The Zoning Resolution requires all

parties in interest listed in exhibit II

must sign exhibit IV or V and have

executed and recorded the

declaration or waived their

respective rights.

• File with the County Clerk’s office

or City Register and obtain a CRFN

number which is the equivalent of a

reel/page number.

• Submit to DOB.

116.

Zoning Exhibit V:

Certification*

Memo 5/18/78

Paragraph (d) of

Zoning Lot

definition in ZR

§12-10

Select for any job requiring

a Zoning Lot Certification

Exhibit II, if any parties

listed in exhibit II are

waiving interest.

The Zoning Resolution requires that

each party in interest has executed

and recorded the declaration or

waived their respective rights.

• File with the County Clerk’s office

and obtain a CRFN number that is

the equivalent of a reel/page

number prior to approval of

application.

• Submit to DOB.

Post-Approval Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 44 -

Post-Approval Required Items

The following Required Items may be added to a job after the initial list of Required Items for that job has been completed. These items

typically apply when an applicant is seeking a Temporary Certificate of Occupancy or if an existing Required Item that has been

satisfied is no longer valid or has expired, e.g., a final inspection signoff expires.

Proposed New Description Source Applicability Explanation How to Satisfy

117.

Escrow Letter (Attorney)

OPPN 5/92 This item will be added to an NB or Alt

1 application seeking a temporary CO

for a 1, 2 or 3-family home.

When an applicant seeks a

temporary Certificate of Occupancy

(CO), DOB requires the builder

deposit escrow to secure completion

of the work and a final CO.

• Submit completed Escrow

Agent/Attorney letter certifying

that the builder has made the

required escrow deposit.

118.

Escrow Letter (Builder)

OPPN 5/92 This item will be added to an NB or Alt

1 application seeking a temporary CO.

When an applicant seeks a

temporary Certificate of Occupancy

(CO), DOB requires the builder

deposit escrow to secure completion

of the work and a final CO.

• Submit original, notarized Builder

Certification form certifying that

the required escrow will be

deposited at closing

119.

Fee: TCO Payment ($100)

AC §26-214 This item will be added to an NB or Alt

1 application seeking a temporary CO.

When an applicant seeks a

temporary Certificate of Occupancy

(CO), DOB requires payment of a

fee.

• Pay fee at Cashier.

• Submit receipt to CO Unit.

120.

Temp Construction

Signoff

§27-214 - §27-218

AC §26-222

OPPN 6/93,

16/92, 5/92

This item will be added to an NB or Alt

1 application seeking a temporary CO.

When an applicant seeks a

temporary Certificate of Occupancy

(CO), DOB requires a signoff to

ensure that construction work in

those parts of the building for which

occupancy is sought passes DOB’s

Construction inspection.

• Obtain temporary Construction

signoff for floors/spaces to be

occupied from the Construction

Division.

Post-Approval Required Items Subject to change.

*Denotes item that can only be received by technical staff. - 45 -

Proposed New Description Source Applicability Explanation How to Satisfy

121.

Temp Elevator Signoff

(Hi-Rise Only)

BC §27-218 This item will be added to an NB or Alt

1 application seeking a temporary CO.

When an applicant seeks a

temporary Certificate of Occupancy

(CO), DOB requires a signoff to

ensure that elevator work in those

parts of the building for which

occupancy is sought passes DOB’s

Elevator inspection.

• Obtain temporary Elevator signoff

for floors to be occupied from the

Elevator Division.

122.

Temp Plumbing Signoff -

Partial Building

BC §27-218

This item will be added to an NB or Alt

1 application seeking a temporary CO

for a portion of a building.

When an applicant seeks a

temporary Certificate of Occupancy

(CO), DOB requires a signoff to

ensure that plumbing work in areas

of the building for which occupancy

is sought passes DOB’s Plumbing

inspection.

• Obtain temporary Plumbing

signoff for floors to be occupied

from the Plumbing Division.

123.

Temp Plumbing Signoff -

Entire Building

BC §27-218 This item will be added to an NB or Alt

1 application seeking a temporary CO

for an entire building.

When an applicant seeks a

temporary Certificate of Occupancy

(CO), DOB requires a signoff to

ensure that plumbing work in the

building in which occupancy is

sought passes DOB’s Plumbing

inspection.

• Obtain temporary Plumbing

signoff for building occupancy

from the Plumbing Division.

124.

Update Final

Construction Signoff

BC §27-210 This item will be added to an NB or Alt

1 application if the Final Construction

Signoff was satisfied more than (1)

year prior or 18 months for residential.

DOB requires an updated

construction signoff to ensure

construction work passes DOB's

construction inspection.

• Obtain an updated final

construction signoff from the

Construction Division.

- 46 -

Helpful Information

Abbreviation Key:

Administrative Code

APPN

Administrative Policy and

Procedure Notice

Building Code

BIS

Building Information System

BSA

Board of Standards and

Appeals

CPC

City Planning Commission

Dir

Building Department Directive

DEP

Department of Environmental

Protection

DOB

Department of Buildings

DOH

Department of Health

DOT

Department of Transportation

FDNY

Fire Department of City of New

York

HPD

Department of Housing,

Preservation and Development

Letter

Building Department

Letter/Memorandum

Local Law

LPPN

Legal Policy and Procedure

Notice

MDL

Multiple Dwelling Law

Memo

Building Department

Memorandum

NYC Charter

Charter of the City of New

York

NYC DEP

NYC Department of

Environmental Protection

NYCRR

NY State Codes, Rules, and

Regulations

NYS DOH

NY State Department of

Health

NYS ECL

New York State Environmental

Conservation Law

OPPN

Operations Policy and

Procedure Notice

P.E.

Professional Engineer

R.A.

Registered Architect

RCNY

Rules of the City of New York

Reference Standard

TPPN

Technical Policy and

Procedure Notice

Zoning Resolution

Application Types:

NB: New Building

Alt 1:

A major alteration in which the

use, occupancy or egress of an

existing building changes.

Alt 2:

An alteration where the use,

occupancy or egress of a building

does not change, but has multiple

work types.

Alt 3:

A minor alteration that involves

only one work type.

Demolition and Removal

PA Public Assembly

(Place of Assembly)

Sign

Subdivision

Permit/Work Type Key:

Alteration

Boiler

Curb Cut

Chute

Earthwork

Construction Equipment

Equipment Work

Fire Alarm

Fuel Burning

Fence

Foundation/Earthwork

Fire Suppression

Fuel Storage

Mechanical/HVAC

New Building

Other

Plumbing

Standpipe

Scaffold

Sidewalk Shed

Sprinkler

- 47 -

Required Item Comparison Chart

The name/description of many Required Items has changed. The meaning remains the same. Refer

to this chart to identify the new name/description of an existing Required Item.

Old Item Name:

New Item Name:

1. $100 Fee for Temp C.O Fee: TCO Payment ($100)

2. Adult Est. – Check with Chief Engineer Adult Establishment Approval

3. Applicant to Self-certify Objections Self-certify Objections

4. Asbestos ASB 4 Asbestos ACP 7 or 5 or ASB 4

5. Asbestos – ACP 5 or 7 Asbestos ACP 7 or 5 or ASB 4

6. Boiler (BL) Application Required Boiler (BL) Signoff

7. Borough Commissioner Waiver of

Local Law 58 of 1987

Local Law 58 of 1987 Waiver

8. BSA/CPC Variance BSA Variance

BSA/CPC Approval

9. Builders Attorney (Escrow Letter) Escrow Letter (Attorney)

10. Builders Letter (Escrow Letter) Escrow Letter (Builder)

11. Certification of Smoke Detectors Install Detector: Smoke

12. Compliance Required – Waterfront Zoning Waterfront Area Zoning Compliance

13. Construction (OT) Application Required Construction (OT) Signoff

14. Cost Affidavit Cost Affidavit: Estimated

15. Curb Cut # Required Curb Cut: Provide Existing Number

16. Curb Cut (CC) Application Curb Cut (CC) Signoff

17. Deed Restriction Restriction: Deed

18. Deferred Fees Fee: Pay Deferred Fees

19. Demolition Signoff Prior to CO Signoff Demolition (DM) Job Signoff

20. DEP: SD-1, SD-2 Sewer Connection: DEP SD-1 & SD-2

21. Disability insurance Insurance: Disability

22. DOF – RP604 Form (P/E signed & approved); Tax lot: Tentative Lot Number Issued

23. DOH – Priv Water Supply/Swim Pool/Tree Rmvl” Water Supply (private): DOH Approval

Swimming Pool: DEP Approval

Tree Removal: Special Zoning District/CPC Approval

Tree Removal: Outside Property Line/Parks Approval

24. Easement (C of O time) Restriction: Easement Agreement

25. Electrical Signoff Final Electrical Signoff

26. Elevator Application Elevator Job Signoff

27. Fee Adjustment (Scope of Work Changed) Fee: Adjustment (Scope of Work Changed)

28. Final Cost Affidavit Cost Affidavit: Actual

29. Final Survey Survey: Final

30. Fire Alarm Application – FD Approval Fire Alarm/Signal System (FA) Signoff

31. Fire Suppression (FP) Application Fire Suppression System (FP) Signoff

32. Fire - FP Plan Approval by Fire Dept Fire Protection Plan (FPP): FDNY Approval

33. Five Day Notice of Excavation Excavation or Demolition: 5-Day Notice

34. Flood Zone Flood Zone: FEMA Elevation Certificate

35. Foundation Plans Required Foundation Plan Approval

Foundation Signoff

36. Fuel Burning (FB) Application Required Fuel Burning (FB) Signoff

- 48 -

Old Item Name: New Item Name:

37. Fuel Storage (FS) Application Required Fuel Storage (FS) Signoff

38. Gasoline Tank Application Gasoline Tank Signoff

39. HPD Approval – Urban Renewal Area Urban Renewal Area: HPD Approval

40. HPD: Clinton District Certification Clinton District: HPD Certification

41. Highway Letter BPP: Final Signoff

42. House Number Verification by Borough President Address: New House Number Approved

43. In Conjunction with Job _____ (Note # in

Comments)

Identify the Primary Job (PW1 §16)

44. Legalization: Pay Express Cashier Fee: Civil Penalty for Legalization

45. Liability Insurance Insurance: Liability

46. Little E – DEP Final Notice of Satisfaction Environmental “E” - DEP Notice of Satisfaction

47. Little E – DEP Notice to Proceed Environmental “E” - DEP Notice to Proceed

48. Loft Board Approval Loft Board Certificate

49. Marquee Permit Marquee (OT) Signoff

50. Mechanical (MH) application/plans Mechanical (MH) Signoff

51. Microfilm Required Microfilm: Initial

52. NYS Dept of Environmental Protection Backflow Preventer

(RPZ or Double-Check Valve Assembly)

53. Open Applications Search Applications: Signoff Open Jobs

54. Open Violations Search Violations: Clear All

55. PA Application & Signoff; Place of Assembly (PA) Signoff

56. Plumbing (PL) Application Required Plumbing (PL) Signoff

57. Preliminary Steel Affidavit Steel Affidavit: Preliminary

Steel Affidavit: Final

58. Re-microfilming Necessary Microfilm: Additional Required

59. Site Suitability for Septic by DEP Septic Installation: DEP Approval

60. Site Survey Survey: Initial

61. Special Clinton District Certification Clinton District: HPD Certification

62. Sprinkler (SP) Application Sprinkler (SP) Signoff

63. Standpipe (SD) Application Standpipe (SD) Signoff

64. State Dept – No Objection Let. Foreign Prop Foreign Government Property: State Department Letter

65. Street Status Verification by Boro Pres Street: New Name Approved

66. Subdivision Approval Before Job Approval Subdivision Signoff

67. TA Approval Transit Authority Approval

68. Tax Lot Certified – RPAD (DOF)

Tax Lot: Tentative Lot Number Issued

Tax Lot: Final Lot Number Issued

69. Temp Const. Signoff Temp Construction Signoff

70. Temp Elev COFO Signoff (Hi-Rise Only) Temp Elevator Signoff (Hi-Rise Only)

71. Temp Plumbing Signoff (Hi-Rise Only) Temp Plumbing Signoff – Partial Building

Temp Plumbing Signoff- Entire Building

72. Unmapped Street: Notified Emergency Agencies; Street: Unmapped - Notify Emergency Agencies

73. Verify Address Address: New House Number Approved

74. Verify Tax Lot Tax Lot: Final Lot Number Issued

75. Waiver/Affidavit of Workers Comp Insurance: Workers’ Comp. Waiver/Affidavit

76. Workers’ Compensation Insurance: Workers’ Compensation

77. Zoning Declaration I Zoning Exhibits I, II, IV or V: Certifications

Zoning Exhibit III: Description and Ownership

Statement

- 49 -

Required Items Sorted by “When Required”

The following chart is sorted based upon when a Required Item must be submitted prior to.

Application Approval: Permit: Signoff:

1. Address: New House Number

Approved

1. Clinton District: CPC Special

Permit

1. Applications: Signoff Open Jobs

2. Adult Activity Approval 2. Cost Affidavit: Estimated 2. Backflow Preventer

3. Adult Establishment Approval 3. CPC: Hudson Yards Final

Certification

3. Boiler (BL) Signoff

4. Anti-Harassment Area

Checklist

4. Demolition Application 4. Certificate of Occupancy

5. Asbestos ACP 7 or 5 or ASB 4 5. Dir. 14 ID of Responsibility 5. Clinton District: HPD Cure

Certification

6. BSA or CPC Approval 6. Equipment (EQ) Permits 6. Construction (OT) Signoff

7. BSA Variance 7. Excavation or Demolition: 5-Day

Notice

7. Cost Affidavit: Actual

8. BPP: Design Commission

Approval - Distinctive Sidewalk

8. HPD: Inclusionary Housing

Letter

8. Curb cut (CC) Signoff

9. Clinton District: HPD

Certification

9. Insurance: Disability 9. Demolition Job Signoff

10. Clinton District: Restrictive

Declaration

10. Insurance: Liability 10. Detector: Carbon Monoxide

11. CPC: Hudson Yards Initial

Certification

11. Insurance: Workers’ Comp.

Waiver/Affidavit

11. Detector: Smoke

12. Curb Cut: Provide Existing

Number

12. Insurance: Workers’

Compensation

12. Elevator Job Signoff

13. Design Commission Approval:

City-owned property

13. Masonry Manufacturer’s

Statement

13. Environmental “E” - DEP Notice

of Satisfaction

14. Environmental “E” - DEP Notice

to Proceed

14. Microfilm: Initial 14. Equipment Use (EUP) Permits

15. Fee: Adjustment (Scope of

Work Changed)

15. Scaffold Permit 15. Fee: Pay Deferred Fees

16. Fee: Civil Penalty for

Legalization

16. Sidewalk Shed Permit 16. Final Construction Signoff

17. Fire Alarm (FA): FDNY Approval 17. Site Safety Plan 17. Final Electric Signoff

18. Foreign Government Property:

State Department Letter

18. Final Elevator Signoff

19. Foundation Plan Approval 19. Final Plumbing Signoff

20. HPD: Certificate of No

Harassment

20. Final Sewer House Connection

Signoff

21. Identify the Primary Job

(PW1 §16)

21. Fire Alarm/Signal System (FA)

Signoff

22. Landmarks Approval 22. Fire Protection Plan (FPP):

FDNY Approval

23. Local Law 58 of 1987 Waiver 23. Fire Retardant Treated Wood:

FDNY Certificate

- 50 -

Application Approval: Permit: Signoff:

24. Loft Board Certificate 24. Fire Suppression System (FP)

Signoff

25. PC Filing: Applicant/Owner

Statements

25. Flood Zone: FEMA Elevation

Certificate

26. Restriction: Deed 26. Folder Review

27. Restriction: Easement

Agreement

27. Foundation Signoff

28. Restriction: Restrictive

Declaration

28. Fuel Burning (FB) Signoff

29. Self-certify Objections 29. Fuel Storage (FS) Signoff

30. Sewer Connection: DEP SD-1 &

SD-2

30. Gasoline Tank Signoff

31. Site Connection: DEP 31. HPD: Inclusionary Housing

Eligibility Certificate

32. Steel Affidavit: Preliminary 32. Landmarks Signoff

33. Street: New Name Approved 33. Marquee (OT) Signoff

34. Street: Unmapped - Notify

Emergency Agencies

34. Masonry Supplier’s Statement

35. Street Tree Checklist 35. Mechanical (MH) Signoff

36. Subdivision Signoff 36. Microfilm: Additional Required

37. Survey: Initial 37. Place of Assembly (PA) Signoff

38. Tax lot: Tentative Lot Number

Issued

38. Plumbing (PL) Signoff

39. Transit Authority Approval 39. Septic Installation: DEP

Approval

40. Tree Removal: Outside

Property Line/Parks Approval

40. Sprinkler (SP) Signoff

41. Tree Removal: Special Zoning

District/CPC Approval

41. Sprinkler/Standpipe Electrical

Letter

42. Urban Renewal Area: HPD

Approval

42. Standpipe (SD) Signoff

43. US Army Corps of Engineers

Approval

43. Steel Affidavit: Final

44. Waterfront Area Zoning

Compliance

44. Street Tree Sign-Off

45. Zoning Exhibits I, II, III, IV and V 45. Survey: Final

46. Swimming Pool: DEP Approval

47. Tax lot: Final Lot Number

Issued

48. Violations: Clear All

- 51 -

Application Approval: Permit: Signoff:

49. Water Supply (private): DOH

Approval

- 52 -

Index

Adult Establishment ...............................7, 9, 45, 47

Alteration Type 1 (Alt 1) .. 3, 9, 11-13, 15-25, 27-31,

34-36, 38-44

Alteration Type 2 (Alt 2) .........11, 15, 17-18, 20, 23,

27-28, 34, 40-41, 44

Alteration Type 3 (Alt 3) ...11, 15, 17-18, 23, 27-28,

Asbestos............................................... 7, 11, 45, 47

Board of Standards and Appeals (BSA) ....7, 12-13,

44-45, 47

Boiler ........................................7, 12, 24, 44, 45, 47

Builders Pavement Plan (BPP) ..........2, 7, 9, 12, 49

Buildings Information System (BIS) ....1, 3-6, 16-17,

27-28, 44

Certificate of Occupancy (CO) ...... 9, 13, 20-21, 23,

30, 40, 42-43, 45

City Planning Commission (CPC)....7, 8, 13-16, 39,

44-45, 47-48

Clinton District..................................7, 13-14, 46-47

Construction………3, 7, 8, 15, 18-20, 23, 29, 42-48

Cost......................................................7, 15, 45, 47

Curb Cut....................................7, 16, 18, 44-45, 47

Deed.....................................................8, 31, 45, 48

Demolition .................................7, 17, 19, 44-45, 47

Dept. of Finance (DOF).............................38, 45-46

Dept. of Housing Preservation And Development

(HPD)................ 7, 8, 13-14, 24-25, 39, 44, 46-48

Dept. of Transportation (DOT) ............................. 44

Design Commission .............................7, 10, 12, 49

Detector (Smoke/Carbon Monoxide) ...7, 17, 45, 47

Directive 14 ....................................7, 18, 21, 34, 47

Disability............................................... 7, 25, 45, 47

Electrical................................7, 8, 20, 36, 45, 47-48

Elevator ..................................7, 8, 18, 20, 43, 4547

Environmental ...............7, 11, 18, 24, 34, 44, 46-47

Equipment .......................................7, 18-19, 44, 47

Excavation............................................7, 19, 45, 47

FDNY / Fire Safety... 7, 21-22, 24, 37, 44-45, 47-48

Fee .........................................7, 8, 19-20, 42, 45-47

FEMA ...................................................7, 23, 45, 48

Fence ................................................................... 44

Flood .................................................................... 23

Folder ...................................................................23

Foundation ................................7, 23, 44, 45, 47-48

Fuel..................................................7, 24, 44-46, 48

Gasoline ...............................................7, 24, 46, 48

Hudson Yards........................................7, 15-16, 47

Insurance......................................... 7, 25-26, 45-47

Landmarks....................................... 7, 27-28, 47-48

Loft Board..............................................7, 28, 46-47

Marquee ................................................7, 29, 46-48

Masonry.................................................7, 29, 47-48

Mechanical ...............................7, 18, 30, 44, 46, 48

Microfilm...............................................................30

New Building ........3, 9-13, 15-18, 20-25, 27, 29-31,

34-44

Occupancy ...............................7, 13, 23, 42, 43, 47

Penalty...................................................7, 19, 46-47

Place of Assembly (PA)..................8, 31, 44, 46, 48

Plumbing ..........7-8, 11, 20-21, 31-33, 43-44, 46-48

Post Approval Amendment (PAA)........................19

Safety .........................................................8, 35, 47

Scaffold.................................................8, 33, 44, 47

Septic....................................................8, 34, 46, 48

Sewer ....................................7, 8, 21, 34, 45, 47-48

Sign ......................................................................44

Site Survey................................ 8, 37-38, 45-46, 48

Sprinkler ....................................8, 35-36, 44, 46, 48

Standpipe .......................................8, 36, 44, 46, 48

Street.....................................................8, 37, 46-48

Subdivision................................8, 37-38, 44, 46, 48

Swimming Pool.....................................8, 38, 45, 48

Tax...................................................8, 38, 45-46, 48

Temporary Certificate of Occupancy (TCO)....8, 42,

Transit...................................................8, 39, 46, 48

Tree.................................................8, 38-39, 45, 48

Variance ...............................................................12

Violation................................................8, 40, 46, 48

Water........................................................11, 22, 40

Waterfront.............................................8, 40, 45, 48

Zoning... 2, 7-9, 12, 18, 23, 25, 32-33, 39-41, 44-46,