Apartment Approvals

Let me explain the requirements for plan filing and approval of a small residential renovation project in a New York City Apartment.

The New York City Building Code (NYCBC) requires that a professional architect or engineer prepare and file plans with the Building Department when construction work is proposed that goes beyond what is considered ordinary repairs.

There is a small category of work that does not require filing. It can be found in Rule RCNY 101-14.

There are two types of filings of plans for renovations known simply as Alt-CO and Alteration. An Alt-CO application is for construction where a change in use, egress, occupancy, or enlargement is proposed in addition to construction work. An Alteration application is filed for construction work that does not affect the use, egress, or occupancy. Each type is reviewed by the Building Department differently.

An Alt-CO application can involve a renovation that results in a change in use or occupancy, room count, dwelling unit count, or enlargement. This type of application undergoes a full review, which usually takes several weeks to several months to complete. Egress and zoning are checked along with compliance with the handicap laws.

An Alteration application is usually done as a “Directive 14.” A Directive 14 is a Building Department memorandum that was issued by the Building Department in 1975 to allow the architect or engineer to take greater responsibility for code compliance of the plans. Therefore, only a cursory review of the plans is done by the Building Department. These applications are generally approved in a relatively short time. Approximately 80% of the applications received by the Building Department are Directive 14 applications.

In many cases, when an apartment owner decides to combine or change the number of rooms, an Alt-CO application is filed. Building Department policy allows the combining of apartments without changing the C of O. (TPPN 3/97). This is not the case in “Old Law Tenements,” which have Certificates of Occupancy that do not list the number of rooms nor the number of apartments.

When an apartment owner wants to renovate a bathroom or kitchen or change the location of a wall, an Alteration application is generally submitted to the Building Department.

An Alt-CO application usually will require a new or amended Certificate of Occupancy (C of O). This is obtained after the permit is issued, work is completed, and all inspections have been done. A separate C of O application is filed with the Building Department.

Once an Architect has successfully had the plans filed, examined, and approved, the owner must have their contractor obtain a permit to perform the work. A separate permit for each type of work on an Alteration application must be obtained. For example, if a renovation contains partition work (OT), mechanical work (MH), and plumbing work (PL), three separate permits must be obtained from the Building Department.

During construction, the work must be inspected. In an Alt-CO application, inspections must be made for construction, plumbing, electric, and elevators. Special and Progress Inspections for various items must be performed by testing labs or professionals hired to specifically perform this service. Typical special inspections are for fire stopping, mechanical ventilation, concrete, welding, etc. The New York City Building Code lists the requirements for all Progress and Special Inspections that might be needed for a particular project.

In an Alteration application, an architect does the construction inspection along with other controlled inspections. Plumbing, electrical, and elevators still must be inspected by the Building Department. A Procedure Notice issued by the Building Department allows licensed professionals or plumbers to “self-certify” plumbing installations.

When the construction work is complete, controlled inspections are signed by the respective professional, filed with the Building Department, and a Letter of Completion is requested. If all permits have been obtained and all inspections performed successfully, the Building Department issues a letter of completion. This completes the final requirements for this type of application.

In an Alt-CO application, filing the Special and Progress Inspections and obtaining successful inspections by the Building Department results in the issuance of a new or amended Certificate of Occupancy.