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Alt-Co and Alteration Filings

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 and requires a new or amended Certificate of Occupancy, hence the name Alt-CO (Alteration Certificate of Occupancy). 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.

Alt-CO Applications

An Alt-CO application may 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, zoning, accessibility, structural requirements, and other provisions are checked. An Alt-CO application will usually 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.

During construction, all work must be inspected. In an Alt-CO application, inspections must be made for construction, plumbing, electricity, 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, and welding (A full list can be found on the DOB’s Technical Reports Guide). 

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.

Alteration Applications & Directive 14

An Alteration application is usually done as a Directive 14. A Directive 14 is a Building Department memorandum that was issued 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.

An apartment owner or shareholder may decide to combine units or change the number of rooms in their apartment. Building Department policy allows the combining of apartments without changing the C of O to be filed as an Alteration application under 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, an Alteration application is usually submitted to the Building Department. Generally, the following trigger a need to file with the DOB:

  • Removal or alteration of interior partitions beyond the limits permitted as “minor alterations” or exempt work. In certain residential occupancies, limited removal of non-fire-rated, non-load-bearing partitions may be performed without a permit when the work is limited to the less than 50% of the wall surface or 45 sq ft.
  • Plumbing work that alters, rearranges, relocates, or permanently removes piping. Certain ordinary plumbing work and direct replacement of existing fixtures may be performed without a permit.
  • New or substantially altered ceilings, soffits, and suspended ceiling systems, depending on the scope and whether the work qualifies as a minor alteration or ordinary repair.
  • New HVAC and air-conditioning systems, including most new split systems. Certain small packaged air-conditioning units and specific voluntary air-conditioning/ventilation systems are exempt.
  • Apartment combinations or separations.
  • Electrical work, including new wiring, lighting installations, panels, and service modifications. Electrical work generally requires a separate electrical permit and must be performed by a licensed electrician. 
  • New or reconfigured interior stairs between floors.
  • New exterior awnings and similar exterior installations.
  • Other work affecting use, occupancy, egress, structural conditions, fire protection, or the legal configuration of a building.

 

Once an Architect has successfully had the plans filed, examined, and approved, the owner will have their contractor obtain a permit to commence work. Separate permits 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.

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.

Once construction work is complete, controlled inspections are signed off 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.