Design Professional Requirements: Creation and Alteration of Habitable Apartments In Basements or Cellars of 1- and 2-Family Buildings (Local Law 49 of 2019)

Applicability of Code and Zoning

Any creation or alteration of apartments in the basement or cellar of certain one or two family buildings, located in the program area, may utilize the provisions of LL 49 of 2019. Such alterations may be filed for review under the current construction codes or prior codes, as permitted by AC 28-101.4.3. It is the responsibility of the Registered Design Professional to date the building to determine the applicable codes. Current construction codes and prior codes are available at the following:

• 2014 Codes

• 1968 Code

• 1938 Code

• Additional Codes

Per AC 28-101.4.3, prior codes may be used at the option of the owner with certain exceptions that the 2014 Code must be used. For example, accessibility, work on mechanical, plumbing, sprinkler, fire protection and/or fuel gas systems, specific building elements such as security grilles, handrails, guards, roofs, etc., and certain kinds of structural work are required to comply with current code provisions.

Alteration work must comply with the current NYC Energy Conservation Code (2016), NYC Electrical Code (2011), NYC Fire Code and other applicable local laws.

Alterations of 1 or 2 family residential buildings shall also comply with the Housing Maintenance Code (HMC).

NOTE: The following is a list of key zoning, Code and other regulations that may be relevant in the project design, it is not comprehensive.

Code and Local Law 49 of 2019 Modifications

Project Element	Applicable Code and Regulations
	Current Code*			Prior Codes
	2014			1968			1938**
Administrative	2014 Administrative Code			2014 AC 28-101.4.3 -Optional Use of 1968 Code via §28-101.4.5, AC §27-114			2014 AC 28-101.4.3, AC 28-101.4.5, and 1968 AC 27-114
Accessibility (where provided)***	2014 BC Chapter 11, and Appendices E, N and P as applicable, BC 1101.3
Building Heights & Areas Cellar Counts as a Story	Chapter 5, Table 503			AC 27-293 through AC 27-306; Tables 4-1 and 4-2			C26 Article 5 C26-254
	LL 49 of 2019 §1. Definitions. b. CELLAR LL 49 of 2019 §5. Apartments in cellars.
Construction Types	BC Chapter 6			AC 27-269 through AC 27-287			C26 Article 4
Egress Basement Apartment Cellar Apartment Emergency Escape and Rescue Opening	BC Chapter 10			AC 27-354 through AC 27-375			C26 Article 7
	LL 49 of 2019 §4.6 LL 49 of 2019 §5. LL 49 of 2019 §4.3
Energy Efficiency	NYCECC 2016
FDNY Access	BC 501.3.1, BC 502.1, FC Chapter 5			1968 AC 27-291, 27-292, FC Chapter 5			1938 C26 550.1(d), FC Chapter 5
Fire Protection Sprinklers, Smoke and CO Alarms	BC Chapter 9, Appendix Q			2014 AC 28-315.2, 2014 BC Chapter 9, and Appendix Q
	LL 49 of 2019 §4.2 LL 49 of 2019 §4.4
Fire Resistant Ratings   Fire Separation	BC Chapter 7 and Appendix M			AC 27-318 through AC 27-342, §27-345			C26 Article 11
	LL 49 of 2019 §4.5 LL 49 of 2019 §13.
Flood Resistant Construction	2014 BC Appendix G
Interior Environment Ceiling Height Radon levels Natural Light Natural Ventilation	Chapter 12 and MC Ch. 4 through 6			§27-725 through §27-770			C26 Articles 6, 12 and 15
	LL 49 of 2019 §4(i) & (ii) LL 49 of 2019 §11 LL 49 of 2019 §4.7(b) LL 49 of 2019 §4.7(a)
Materials	BC Chapters 19 to 26			Subject to applicable provisions of the 2014 BC and 1968 AC 27-600 through AC 27-651			Subject to applicable provisions of the 2014 BC and 1938 AC Article 8, and Article 19
Safeguards During Construction	2014 BC Chapter 33
Structural, Soils and Foundation   Soil excavation Vapor barriers	2014 BC Chapter 16 and Chapter 18			2014 BC 1601.2, 1805.3, 1814 and 1968 AC §27-580 through §27-724			2014 BC 1601.2 and 1938 BC Article 9
	LL 49 of 2019 §12.b LL 49 of 2019 §12.a
Use and Occupancy Classification	All one- and two- family residences are R-3
Other Guidelines
Boiler	See Building Systems Boiler Guidelines
Construction Equipment	See Construction Equipment Guidelines (Scaffold, Hoists, Chutes, Fences, Sidewalk Sheds, Mechanical Construction Equipment)
Foundation, Shoring, Underpinning	See Renovation Project Guidelines (Shoring, Excavation, Underpinning of Foundations, and Installation of Ground Structures, Retaining Walls, Flagpoles, Signs and Other Structures)
Mechanical	See Building Systems Mechanical Guidelines
Plumbing	See Building Systems Plumbing Guidelines
Sprinkler	See Building Systems Sprinkler Guidelines

* NOTE: New applications for buildings erected under the 2008 Code must comply with the 2014 Code, as required by AC 28-101.4 & AC 28-102.4.3.
** NOTE: Your building may be governed by a Code prior to 1938 based on the Code at the time it was built.
***NOTE: Per BC 1103.2.4, Detached one and two-family dwellings, their accessory structures, and their associated sites and facilities are not required to be accessible; however, if accessibility is voluntarily provided, it must comply with the Code.

Project Elements Relevant to Local Law 49/2019

Ceiling Height

• All habitable apartments created through LL 49 of 2019 shall have a minimum clear ceiling height in all habitable rooms of 7 feet and 6 inches with projections as allowed by exception 1 of section 1208.2 of the New York City Building Code.
• In fully detached two-family residence with all exterior walls located at least 3 feet from any lot line, the clear ceiling height for the apartment created under LL 49 of 2019 shall be a minimum of 7’-0”, including all projections.
• Cellar apartment shall have at least 2 feet of height above grade plane.

Windows and Window Wells
All habitable rooms shall be provided with at least one window providing natural ventilation having an openable area of 6 SF. Additional windows may be provided to comply with the required window area for natural light, LL 49 of 2019 §4.7(a).

Windows with below grade portions may be included in the required window area for natural light in accordance with LL 49 of 2019 §4.7(b), which includes providing a window well complying with LL 49 of 2019 §4.7(b)2.

Cellar Counts as a Story
Under the context of LL 49 of 2019 §5, cellar apartments shall be counted as a story in measuring the height of the building, NYC Housing Maintenance Code, NYC Building Code, and counted towards zoning floor area.

Fire Separation
The basement or cellar apartment shall include all of the following fire separations:

• All boilers and furnaces in these apartments shall be enclosed and separated from the rest of the building with noncombustible one hour fire rated wall.
• All required egress stairs shall be separated from the rest of the apartment and the existing above grade apartment by noncombustible one hour fire rated wall.
• Basement or cellar apartment shall be separated with the existing above grade apartment by noncombustible one hour floor-to-ceiling assembly.

Sprinklers
Sprinkler system shall be provided in the basement or cellar apartment in accordance with BC 903. Also refer to Sprinkler Project Guideline.

Smoke and Carbon Monoxide Alarms
Basement or cellar apartment shall provide smoke and carbon monoxide alarms complying with BC 907.

Basement Apartment Egress
Basement apartments shall be provided with a means of egress directly to the outdoors, including access to a public way. The exterior door shall have landings on both interior and exterior sides.

Cellar Apartment Egress
Cellar apartments shall be provided with two means of egress directly to the outdoors, including access to a public way. The exterior doors shall have landings on both interior and exterior sides.

Emergency Escape and Rescue Openings
All sleeping rooms in basement or cellar apartment shall have emergency escape and rescue openings.

Radon Levels
Prior to obtaining temporary or final certificate of occupancy, a qualified environmental professional shall submit a certification to the department of buildings that the Radon level in basement or cellar apartment is below 2 picocuries per liter of air.

Soil Excavation
If the scope of work includes excavation in order to increase the apartment ceiling height or expansion of existing building footprint to accommodate window wells, such work shall be approved by Department of Environment Protection.

Vapor Barriers
Prior to obtaining temporary or final certificate of occupancy, a qualified environmental professional shall submit a certification to the department of buildings that a vapor barriers was applied prior to the installation of flooring.

Zoning

Project Element	Applicable Zoning Regulations
Definitions	ZR 12-10
Use Regulations Commercial Districts	ZR 22-11, ZR 22-12, ZR 12-10, ZR 22-42, and ZR 52-00 ZR 32-00
Bulk Regulations	ZR 23-00 and subsections
Permitted Obstructions Commercial Districts	ZR 23-00 and subsections ZR 33-23 and ZR 33-42
(E) Designations	ZR 11-15 and Appendix C
Parking Regulations Residential Districts Commercial Districts	ZR 25-00 and subsections ZR 36-00 and subsections
Planting Residential Districts Commercial Districts	ZR 23-03, ZR 23-04, ZR 26-41, and ZR 26-42 ZR-33-03

Use Regulations
All two family home types are UG 2, per ZR 22-11. There are limitations on locations 2 family homes in Use Group 2 per ZR 22-12.

Accessory
Per ZR 12-10, an Accessory Use is a use typically found in connection with a property and/or building’s main use, such as off street parking spaces, storage shed, swimming pool, etc.

Bulk Regulations
Bulk regulations are adopted in order to protect residential areas against congestion and to encourage the development of desirable and stable residential neighborhoods. In order to achieve these purposes, a direct control of density as well as of the physical volume of buildings is established. They consist of ZR regulations for the zoning lot’s size, its required yards, open space, lot coverage, building height (envelope compliance) and setbacks, and sometimes density, which is the permitted number of dwelling units on a zoning lot. Refer to ZR Article II, Chapter 3.

(E) Designations
An (E) designation provides notice of the presence of an environmental requirement pertaining to potential hazardous materials contamination, high ambient noise levels or air emission concerns on a particular tax lot. Refer to BB 2014-026, ZR 11-15 and ZR Appendix C Table 1 and Table 2.
Scope of work subject to Office of Environmental Remediation approval (OER):

• Potential hazardous material contamination: for excavation or any soil disturbing in a lot with (E) designation
• Air quality impacts: for renovation that involves ventilation or exhaust system in a lot with (E) designation
• Noise quality impacts: for exterior work in a lot with (E) designation

Permitted Obstructions

• Open Space ZR 23-12
• Permitted yard obstruction ZR 23-44, ZR 24-33 and ZR 33-23.

Parking Regulations
The purpose of the Zoning Resolution for off-street parking for cars in connection with residences, ZR 25-00, is to provide needed space off the streets for parking in connection with residences, to reduce traffic congestion resulting from the use of streets as places for storage of automobiles, to protect the residential character of neighborhoods, to provide for a higher standard of residential development within the City, and thus to promote and protect public health, safety and general welfare.

Planting
The Zoning Resolution establishes requirements for trees and other plantings to improve the overall quality of neighborhoods ZR 23-00.

Quality Housing Regulations
Quality Housing Program, as promulgated by sections ZR 23-15, and ZR 34-11, is mandatory in contextual zones with A, B or X suffices and optional (with exceptions) in other R6-R10 zones and it introduces additional requirements to the provisions for use and bulk ZR 28-00.

Code

Building Heights and Areas

• Building heights and areas in compliance with Table 503 (1968 BC Table 4-1 and 4-2 or 1938 BC Article 5, as applicable) are dependent on construction classification, occupancy and other fire prevention measures, e.g. sprinklers.

Building Construction Classification – Compliance of Proposed Materials

• Verify that the construction classification for building elements is based on building’s Occupancy Classification, size and height. The Fire-Resistance Rating of building elements shall comply with Table 601, 1968 BC Subchapter 3 Article 14, or 1938 BC Article 4 as applicable.

Fire Separations and Fire Divisions

• Penetration of wall, floor and roof assemblies and separation of adjacent spaces to safeguard against the spread of fire and smoke.

Fire Protection Systems

• Smoke detectors and carbon monoxide detectors are required by the provisions of BC 907.2.11.

Interior Environment

• The provisions of minimum code requirements in the interior spaces of buildings for ventilation (natural and  mechanical), lighting (natural and artificial) and space dimensions (habitable rooms) for 1- and 2-family dwellings, as well as temperature control, sound transmission, surrounding materials and rodent proofing. Calculations for minimum light and ventilation are required.

Soils and Foundations

• The type of foundation and required depth of footings must be shown on the drawings. A soils investigation is relevant for foundations and must be completed and submitted by a Professional Engineer. Drawings indicating excavation, underpinning and/or shoring shall be provided in accordance with BC Section 1814.

Other Regulation(s) for Reference

Buildings Bulletins

• BB 2015-017 – Opening in the Exterior Wall

Policies and Procedures Notices

• TPPN 14/88 – Existing Use
• TPPN 3/93 – CO for 1 & 2 family house

Housing Maintenance Code

Housing Maintenance Code is a New York State Law that establishes the minimum standards for health and safety, fire protection, light and ventilation cleanliness, repair and maintenance and occupancy in all 1- and 2-family dwellings, and which supplements the applicable New York City Construction Codes.

Plans submitted to DOB shall indicate compliance regarding applicable physical and occupancy standards for dwelling units as required by HMC Subchapter 3, including but not limited to the following table.

Project Element	Applicable HMC Sections
Definitions	HMC 27-2004*
Location of Water Closets	HMC 27-2063
Size and Construction of Water Closet Compartments	HMC 27-2064
Light and Ventilation of Water Closet Compartments	HMC 27-2065
Sanitary Facilities	HMC 27-2069
Kitchens and Kitchenettes	HMC 27-2073
Maximum Permitted Occupancy	HMC 27-2075
Prohibited Occupancies in Kitchens	HMC 27-2076.a
Conversions to Rooming Unit Prohibited	HMC 27-2077
Rental of Rooms to Boarders	HMC 27-2078
Occupancy of Cellars and Basements in One- and Two-Family Dwellings	HMC 27-2087*

*If there is any inconsistency between this provision and LL 49 of 2019, the provision in LL 49 of 2019 shall govern.

Fire Code

Fire Department Vehicle Access, FC Chapter 5, FAQ Clarifications. Per FC 501.4.2, lawfully existing fire department access roads on and before June 31, 2008, may remain.

Energy Code (NYCECC)

This Code regulates the design and construction of buildings for the effective use of energy.

• Professional’s Statement
• Owner’s Statement
• Energy Analysis on Plans (REScheck: 3 story buildings) (COMcheck: 4 stories and above) (Tabular Analysis)
• Supporting Documentation (window/door schedules with U/SHGC values, exterior envelope details with R values, heating/mechanical systems sizing, efficiency ratings & controls, reflected ceiling plans and lighting legend)

When required by the project scope of work, the Alteration must also comply with the rules, regulations, laws and codes of other city agencies, such as the NYC Fire Department (FDNY), NYC Transportation (DOT), NYC Landmarks Commission, NYC Transit (MTA), Department of Environmental Protection (DEP), and others.

Guidelines for Submission of Alteration Project Plans

Prior to preparing the design documents and construction drawings, the Registered Design Professional must perform a pre-design review that analyzes all of the existing building elements, systems and other components affected by the proposed scope of work, to verify a code compliant renovation of the building. Based upon the complexity and scale of the project, the information provided on the drawings must clearly describe all of the work required for the code compliant execution and completion of the project per article AC 28-104 or 2014 BC 107.2.

The Department’s guidelines, provide an organized approach for the preparation of construction documents, as outlined in the following section, this will facilitate the plan review process. Drawings shall clearly indicate existing condition, proposed condition and any area affected by the scope of work.

Complete Submission of Construction Documents

Construction drawings should represent the entire scope of work, including multiple disciplines such as architectural, structural, plumbing, electrical, mechanical, and others. There must be close coordination between all disciplines for the proposed scope of work to ensure code compliance; reference AC 28-104.7 and BC 107.2. A complete submission of drawings should include:

• Construction Documents. Drawings necessary to convey essential information such as floor layouts, elevations, schedules and details. The applicable Building Codes and notes should be stated on the drawings as required to demonstrate Code and Zoning compliance. Where essential to clarify overall layouts and details, a scale should be included on the drawings; a graphic scale is recommended.

All construction documents must be noted as an “Alteration per LL 49/2019.” Construction drawings that do not indicate clearly participation in this demonstration program will not be reviewed or approved using provisions from LL 49/2019.

• Title Sheet. Should clearly describe the project location, including the adjacent streets, properties, etc. and a graphical scale. Drawing notes should include building occupancy classification, zoning use group, construction classification, the project’s scope, and the building’s primary structural system. The title sheet should include a drawing index, site plan, Zoning Analysis, and Special and Progress Inspections.

• Drawing Index. A list that clearly identifies all the information that may be involved.

• Site/Plot Plan.  Clearly show the size and location of the lot, show all existing structures on the zoning lot, and include all dimensions and other relevant information such as streets, adjacent buildings, curb cuts, north arrow, etc. The area of proposed work shall be clearly identified.

• Zoning Analysis with calculations for Zoning Resolution ( (ZR) allowable floor area, heights, yards, open space, and other ZR requirements as previously discussed in this document.

• Special and Progress Inspections Indicate all required Special/Progress inspections based on the scope of work.

• Floor Plans. Show existing and proposed conditions; clearly identify rooms’ names and use them consistently between the different discipline drawings. Coordinate between all trades / disciplines to ensure that the proposed scope of work is complete and shown on all submitted discipline drawings. Where required, drawings must indicate fire rating for partitions, ceiling, walls; location of penetrations through fire rated assemblies; and schedules for doors, windows and finishes materials. Indicate means of egress, accessible route, site access, parking and other requirements.

• Exterior Elevations. Required if the project involves the renovation or modification of the building’s exterior and in some cases also required for interior renovations that may impact the facade. Show proposed exterior conditions, base elevations, building and floor heights, materials, roof pitch, location of chimney, windows, doors, or other penetrations in the building’s exterior envelope, such as vents and fresh air intake.

• Building Sections. Required as necessary to convey proposed work, these include but are not limited to full building cross sections indicating the building wall heights from foundation and footings through framing to roof; also indicating splay areas. These sections should provide detailed wall sections, framing, interior dimensions, and wall and floor insulation.

• Detail Drawings. These drawings contain significant information required to clearly communicate the scope of work, in a magnified form, such as structural connection details, wall type details, roofing details, pedestrian protection, curb cuts, post installed anchors, drywells, plumbing, mechanical, fire protection, etc.

• NYC Energy Conservation Code (NYCECC). If the project scope includes one of the following, than energy analysis is required on the plans:
  • Foundation and footing insulation
  • Exterior wall/roof/floor replacement
  • Vertical glazing, skylights, door replacement
  • Interior Lighting
  • Replacement of Heating/Cooling Systems
  • Renovation to mechanical ducts
  • Renovation to heating/cooling piping

If applicable, additional elements required on drawings include:

• Facade and parapet walls with details
• Lot Line windows replacement or new openings in accordance with permitted percentages
• Interior elevations and details
• Building systems and equipment details*
• Flood zone compliance
• Light and Air calculations for habitable rooms in residential projects

Refer to Minimum Requirement for Review of Design Drawings available at the following link: https://www1.nyc.gov/assets/buildings/pdf/plan_exam_user_guide.pdf

Submission of Construction Documents

When submitting the construction documents to DOB, the Registered Design Professional, who is the Applicant of Record, is responsible for submission of complete set at filing: application, drawings, and coordination of required documents as summarized below.

Applications to create or alter a basement or cellar apartment per LL 49/2019 must be submitted as Alteration Type 1. Applicable forms and all construction documents must be noted as an “Alteration per LL 49/2019.” Applications that do not indicate clearly participation in this demonstration program will not be reviewed or approved using provisions from LL 49/2019.

1. Application Intake. The online submission of project application shall occur by completing the intake form with key project information. Based on the project’s scope, the applicant may be required to complete the following sections:

   1. Project Work Details (former PW-1 Forms)

   2. Schedule A - Occupancy/Use (former PW1A)

      1. Schedule A for alterations per LL 49 of 2019 shall include the following note:
         Alteration per LL 49 of 2019 –
         In accordance with LL 49/2019, such certificate of occupancy does not certify compliance with applicable laws with respect to parts of the building outside of the apartment created or altered pursuant to this local law.

   3. Special Inspections (former TR-1 Forms)

   4. Energy Code Progress Inspections (former TR-8 Form)

   5. Remittance of Project Application Fees

   6. Concrete and soil conditions, if altering building footprint (former TR-2, TR-3, and/or TR-4 forms

   7. Zoning Diagram (former ZD1)

   8. Required Items for Professional Certification (former PC1)

   9. Professional and Owner Certification (former POC1)

2. Drawings. The alteration project drawings should clearly reflect the scope of work and include all affected systems. All drawings for alterations per LL 49 of 2019 shall clearly include the following note: Alteration per LL 49 of 2019 Examples of this are as follows:



Designator - Sheet Number:	Sheet Description
T-001.00	Title Sheet, Site Plan, Drawing Index, General Notes, required special/ progress inspections list, and Legends
A-100.00	Existing and Demolition Floor Plans
A-101.00	Proposed Floor Plans
A-200.00	Proposed Reflected Ceiling Plans (if applicable)
A-300.00	Proposed Enlarged Floor Plans (if applicable)
A-301.00	Proposed Interior Elevations and Details (if applicable)
A-400.00	Existing and Proposed Façade Elevations
A-401.00	Existing and Proposed Cross Sections
S-100.00	Structural Plans and Details (if applicable)
S-101.00	Structural Floor Plans and Details
P-100.00	Floor Plans - Plumbing
P-101.00	Plumbing Riser Diagram – Gas Riser Diagram - Piping
P-102.00	Plumbing Fixture Schedules – Plumbing Details
SP-100.00	Sprinkler Floor Plan
SP-101.00	Sprinkler Riser Diagram and Details
M-100.00	Mechanical System Equipment and Schedules
M-101.00	Reflected Ceiling Plan for Mechanical System (if applicable)
EN-100.00	Energy Code Analysis (if applicable)

Drawing Legend to include: Symbols, abbreviations, notes and definition, and list all applicable Building Code section numbers

Recommended Drawing Designators

A: Architectural: Mandatory designation for drawings showing architectural work.
S: Structural: Mandatory designation for drawings showing structural work.
P: Plumbing: Mandatory designation for drawings showing Plumbing work including riser diagrams and plumbing details
SP: Sprinkler: Mandatory designation for drawings showing sprinkler work including floor plans, riser diagram and sprinkler system details
SD: Standpipe: Mandatory designation for drawings showing standpipe work including floor plans, riser diagram and standpipe system details
M: Mechanical: Mandatory designation for plans showing mechanical work
EN: Energy Analysis: Mandatory designation if an Energy Analysis is required

3. Required Documents. Based on buildings location, designation, and the project scope of work, the following submissions may have to accompany the drawings at intake:

   • HPD documentation for fee waiver, if applicable

   • FDNY Notification, per FC 901.7.5, if doing construction work that impacts fire protection.

   • Tenant / Occupant Protection Plan, if applicable

   • Transit Authority Approval – for structural work at properties within 200 feet from any Transit Authority facilities, e.g. Subway lines

   • DOT Approval – for encroachment to street

   • Landmark (LPC) approval

   • DEP Approval – for excavation work to increase the ceiling height of basement or cellar apartments

   • City Planning – waiver, approval or certification if required by the Zoning Resolution (ZR), e.g. Parking requirement waiver

4. DOB Plan Review. Following submission of a complete set of construction documents, the application is assigned for review to a DOB Plan Examiner. Plan review of the submission by Plan Examiner may result in either approval or disapproval. Following plan review disapproval, a notice of objections is sent to the Applicant of record and Owner. Objections must be resolved through appointments or similarly utilize electronic submissions with the DOB Plan Examination following which the application is approved.

5. Post Approval Amendments. Any changes to approved scope of work that are significant and substantive will require submission of revised documents and/or plans as a post-approval amendment (PAA). Approval of an amendment must be obtained before the work is completed. Any substantive changes require a PAA; however these changes must be shown on plans and included in the ‘As-built’ submission at the end of the project (AC 28-104.3).

   • Structural changes

   • Expand scope of work to include additional space, or floor area (as defined by ZR 12-10) in the same or different story not shown on approved plans. For example, the function of a portion of a living room is changed to a bedroom or what was previously a mechanical space is now a bedroom.

   • Increasing paved, or similarly impermeable areas – include waterproofing details as applicable to new unit

   • Adding or removing any accessory parking spaces

   • Egress Modifications – Any change in the exiting width, length of travel distance, or exit way/exit door location(s), or occupancy load of exits, or any change in number of required exits in a building

   • Expand scope to add building systems, including any new equipment

   • Any addition or removal of plumbing, gas or mechanical risers

   • Any reduction below the minimum number of code required fixtures

   • Changes to approved plumbing and/or gas fixtures and equipment (See Plumbing Guidelines for more information)

   • Changes to scope of work that require additional Special or Progress Inspection(s)

The following list, while not all inclusive, are examples of some of the substantive changes that must be submitted for review to amend the approved plans:

6. As-Built Submission.  All changes must be submitted in an ‘As-built’ drawing at the end of the project.

REFERENCE NOTE: Organizations like the AIA, CSI and National Institute of Building Sciences work jointly to create national standards for consistent documentation and data organization, to assist in communication and coordination across the design and construction industry.
(Visit http://www.nationalcadstandard.org for more information.)

Special and Progress Inspections

As per BC Chapter 17, alteration work may require certain Special and Progress Inspections to be performed during and at the end of construction as outlined in the table below. Prior to Approval, the Applicant of Record is required to identify all required Special and Progress Inspections (BC 1704.1). Prior to DOB permit issuance, the owner must typically engage a registered Special Inspection Agency (SIA) who will take responsibility for the Special and Progress Inspections. The applicant of Record may perform these inspections if they are also an SIA. Inspection discrepancies and hazardous conditions shall be reported to the Super-Intendment of construction, as well as to the Site Safety Coordinator or Site Safety Manager, for correction, per BB 2016-006 and 1 RCNY 101-06. Per BC 1704.1.2, the Contractor cannot hire the Special Inspector.

Based on the scope of work, an alteration project may be required to comply with the following Special and Progress Inspection requirements:

Structural Steel	May include steel welding, High Strength Bolting and Steel Details (BC 1704.3).
Concrete: Cast-In-Place and Precast	Required where the total concrete placement on a given project is more than 50 cubic yards or other conditions BC 1704.4. Also see BC 1905.6 and BC 1905.3, and BC 110.3 and BC 1913.10.
Subgrade Inspection, Subsurface Conditions, Borings and Test Pits	Are subject to Special Inspections in accordance with Section BC1704.7
Structural Stability – Existing Buildings	Alteration of existing structural systems or elements, such as columns, girders, beams, bearing walls, etc. where the stability or integrity of a structural system is to be temporarily diminished, in accordance with BC 1704.20.6 through BC 1704.20.10.
Excavations – Sheeting, Shoring, Bracing and Underpinning	Methods employed to protect the sides of excavations, or to protect adjacent underpinned structures, shall be subject to Special Inspections in accordance with BC 1704.20.2 through BC 1704.20.10 and BC 1814.
Masonry	Load bearing masonry, glass unit masonry and masonry veneer shall be inspected and verified in accordance with the requirements of sections BC 1704.5.1 through BC 1704.5.3, depending on the structural occupancy category of the building or structure
Vertical Masonry Foundation Elements	Are subject to Special Inspections in accordance with BC 1704.9.
Exterior Insulation and Finish Systems (EIFS)	All EIFS applications installed more than 15 feet above adjacent finished grades and alterations to existing EIFS installations more than 15 feet above adjacent finished grades shall be in accordance with BC 1704.13.
Mechanical Systems	Mechanical systems requiring a certificate of compliance in accordance with AC 28-116.4.1 shall be inspected for conformance with the approved construction documents as per BC 1704.16.
Sprinkler Systems	Sprinkler systems shall be inspected in accordance with BC 903 and BC 1704.23. See Sprinkler project guideline.
Heating Systems	New heating systems shall be tested in accordance with BC 1704.25. See Mechanical project guideline.
Chimneys	Chimneys shall be subject to a special inspection in accordance with BC 1704.26
Fire-resistant Penetration and Joists	Special Inspections for penetration of fire-resistant elements and assemblies; and related firestops in accordance with BC 1704.27.1 and BC 1704.27.2
Post-installed Anchors	The installation of post-installed mechanical anchors, adhesive anchors, and screw anchors shall comply with Table BC 1704.32. The special inspection shall include the verification of compliance with approved construction documents and standards established by the commissioner pursuant to AC 28-113.2.2 of the Administrative Code and BB 2014-018 and BB 2014-019.
Concrete Design Mix	Concrete mix designs shall be in accordance with BC 1905.3 and 1913.5 (former TR 3 form)
Footings and Foundation	Footing and foundation progress inspections shall be made after excavations for footings are complete and any required reinforcing steel and required forms are in place as per BC 110.3.1.
Structural Wood Frame	Structural wood framing shall be in accordance with BC 110.3.3.
Fire-Resistance Rated Construction	Fire-resistance-rated partitions, floors, ceilings, shafts, and shutters as per BC 110.3.4.
Alternative Materials	Alternative materials shall be in accordance with BC 1704.14
Energy Code Compliance Inspections	Progress and Special Inspections Protection of exposed foundation insulation Insulation placement and R values Fenestration u-factor and product rating Fenestration air leakage Fenestration areas Air sealing and insulation - visual Shutoff dampers HVAC insulation and sealing Electrical energy consumption Interior lighting power Penetrations through thermal envelope:  must be sealed to minimize air leakage as per 2016 NYCECC R402.4 and C402.5.1. Dampers integral to building envelope:  outdoor air dampers must close when system is off. HVAC & Service Water heating equipment: meets sizing and efficiency requirements as per 2016 NYCECC Tables C403.2.3(1) through C403.2.3(7)and Table C404.2. HVAC & Service Water heating system controls: applicable part-load, reset, temperature controls as per NYCECC C403.2.4 and C404.6. Piping insulation: minimum thickness of 1” to 5”, required on piping carrying fluids >105F as per NYCECC Table C403.2.10 and C404.4. Maintenance Information: shall be furnished for installation of new equipment as per NYCECC R303.3 and C303.3. Permanent Certificate: shall list type and efficiency of heating, cooling, and/or service water heating systems as per NYCECC R401.3. Electrical Energy [metering] Consumption: The presence and operation of individual meters or other means of monitoring individual tenant spaces and apartments shall be verified by visual inspection per 1 RCNY 5000-01(h)1 & 2 – IC1, IIC1, and NYCECC C405.6 and C405.7

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