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Operations Policy And Procedure Notices

Issuance #661

Operations Policy And Procedure Notices #3/05

Date:

November 4, 2005

Subject:

Home Improvement Contractor’s License Requirement for Certain Permits

Effective:

November 15, 2005

Supersedes:

Operations Policy & Procedure Notice #17/90 and Departmental Memorandum dated September 30, 1968 (Local Law 21 of 1968)
Objective:

To confirm that applicants/contractors seeking work permits for certain types of work possess a New York City Department of Consumer Affairs ("DCA") Home Improvement Contractor's License (HIC license).

Application and Exceptions:

This requirement applies to work being performed in a:

  • 1, 2, 3 or 4-family residence, or
  • individual co-op, condominium unit or rented apartment unit.

If the applicant/contractor is one of the following, an HIC license is not required.

  • A Professional Engineer or a Registered Architect who does not have a Design-Build Contract
  • A subcontractor
  • A homeowner performing his or her own work
  • A contractor for a new building or for work done to fulfill a guarantee of completion of a new building
  • Performing work in a residence that is owned or controlled by a government agency
  • Performing work in only the commercial portion of a building
  • Performing work in a Multiple Dwelling Units building when hired by the building owner or Board of Directors

PROCEDURES:
DOB Plan Examination:
At the point of plan review, DOB plan examiners will review the submission to verify if a DCA HIC license is required. If a HIC license is required, the plan examiner will select the Required Item "HIC License or Affidavit" to be an Item Required "Prior to Permit" for the job. The Required Item can be satisfied by non-technical staff.

DEAR Processing for Professionally-certified jobs.
The professional will determine if a DCA HIC license is required. If a HIC license is required, the professional will select (or write-in) the Required Item "HIC License or Affidavit" to be an Item Required "Prior to Permit" for the job. The DEAR clerk will data enter the Required Item.

Applicant/Contractor:
The applicant/contractor must submit a Work Permit Application (PW-2).

As of April 7, 2005, the PW-2 form includes a question requiring the HIC license number.

The following steps should be taken to complete the PW-2:

  • In section 6 (Applicant Information) of the PW-2, the contractor must indicate either "Yes" or "No" to the question "Does the Work Permit applied for require an HIC license?" If "Yes", s/he must indicate the HIC license number on the form and will be asked to present the HIC license or a copy thereof to the Permit Clerk.
  • If the contractor also has a DOB general contractor tracking number, s/he should also check the "General Contractor" box and provide the tracking number.
  • If the work is on the commercial portion of a mixed-use building, it should be stated in the "Part A Job Description" portion of the PW-1 form, and the contractor does not need to check the HIC box on the PW-2 form.

DOB Permit Processing:
The Department’s permit clerk will receive the PW-2 form and:

  1. Check the Required Item list to determine if the Required Item "HIC License or Affidavit" is present.
  2. If it is present, check the PW-2 to ensure the applicant/contractor completed the question "Does the Work Permit applied for require an HIC license?" If "Yes", s/he must indicate the HIC license number on the form and will be asked to present the HIC license or a copy thereof to the Permit Clerk.
  3. Permit Clerk will confirm the existence of the HIC License. Clerk does not need to retain the document. At a future date, the HIC # may be recorded in BIS.
  4. The Applicant may submit the HIC Affidavit (HIC-1) if the HIC License requirement does not apply. Is submitted, the Affidavit should be retained in the job folder.

Note: No HIC or Affidavit is required unless the Required Item is present on the Required Item list for the job.

Renewal Processing
The Department’s Permit Clerk will check the Required Item list to determine if the Required Item "HIC License or Affidavit" is present. If it is present, follow same procedure as above. If it is not present, renew the permit. No HIC license or Affidavit is required unless the Required Item is present on the Required Item list for the job

 Download OPPN 03/05 (PDF)

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