Design Professional Checklists:
1- and 2-Family Mixed Use (Alterations)

Regardless of how the project work is portioned out, administration of the work remains the responsibility of the Registered Design Professional (RDP) who is the Applicant of Record (Applicant) in responsible charge or has verified Code and Zoning compliance of the drawings and installations for the project. Although there may be some specific projects that do not involve architectural or structural work, which may be completed by other professionals, it is important that the RDP maintain control of the entire project and understand when this applies under Department and NYS regulations.

This section contains a list of tasks that provide compliance with the Construction Codes and other regulations discussed in the Project Guidelines.

Checklists include:

Prior to Application Approval Checklist

  • Provide ‘reference only’ documents of legal existing conditions. These will speed up the plan review process.

  • Show fire-rated walls on all architectural, mechanical, and electrical, and deferred approval drawings, which will facilitate the plan review process.

  • Based on the project scope of work, include all applicable Special/Progress Inspections and commissioning statement.

  • Minimize deferred submittals to the extent possible to avoid construction delays.

  • Although the Registered Design Professionals are only required to show the final construction documents, the Applicant of Record should stamp and sign all formal submittals to the Department to demonstrate he/she has exercised responsible charge as required.

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Pre-Permit & On-going Project Work Checklist


Required Documents: Based on scope of work, supporting documents or deferred submittals must be completed in order to obtain a permit. The following may be required if applicable:

  • DEP or OER authorization

  • FDNY

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

    • Letters of Notification if on a mapped undeveloped street

  • Letter of No Objection (LNO) - Older buildings with no C of O

  • TPP – Tenant/Occupant Protection Plan

  • FIRMS – FEMA’s Flood Insurance Rate Map

  • MTA – Metropolitan Transportation Authority approval

  • DOT – NYC Department of Transportation approval

  • LPC – NYC Landmark Preservation Commission approval

  • NYC DPR – ST1 (Street Trees)

  • City Planning – approval or certification if required by Zoning

  • BSA approval

  • HPD approval – for inclusionary housing residential, as 1 or 2 family home trade-off for other dwelling units in larger multiple dwelling type buildings, as required by ZR

  • DEC – if in coastal erosion hazard area or wetlands

  • SRO Anti-Harassment Checklist for Residential


Post Approval Amendments: If the approved work has substantive or significant changes, make sure to submit revised drawings and obtain a Post Approval Amendment (PAA).

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Project Completion Close-out Checklist

  • As-Built Submission: If the completed project has changes that are not considered as minor and requires an ‘As-Built’ submission, make sure to submit revised ‘As-Built’ drawings prior to project sign-off.

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