Design Professional Requirements: Residential & Community Facilities

Applicability of Code and Zoning

An existing building renovation project could be filed under either the current Codes, the 2014 NYC Construction Codes (Administrative, Building, Plumbing, Fuel Gas and Mechanical Codes), or under Prior Codes, such as the 1968 Code, 1938 Code or earlier Codes, depending on the age of the existing building; reference Administrative Code (AC) section 28-101.2.

However, there are exceptions if Prior Codes are used, per AC 28-101.4.3. For example, the 2014 Code must be used for accessibility requirements, certain renovation work of 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.

Flood Plains, BC Appendix G, must be considered when performing renovations.

Renovation work must comply also with the current NYC Energy Conservation Code and applicable Local Laws, Rules and regulations as well as other project requirements.

When required by the project scope of work the renovation must also comply with the rules, regulations, laws and Codes of other City agencies, such as the NYC Fire Department (FDNY), NYC Environmental Protection (DEP), NYC Transportation (DOT), NYS Department of Environmental Conservation, NYC Landmarks Commission, and others.

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



Project Element

Applicable Code and Regulations

Current Code*

Prior Codes



1938 Building Code, MDL & HMC


2014 AC 28-101.4.5

2014 AC 28-101.4.3 -Optional Use of 1968 Code and 28-101.4.5

2014 AC 28-101.4.3, AC 28-101.4.5 and 1968 AC 27-114, AC 27-120


2014 BC Chapter 11, and BC Appendix E, BC Appendix N, and BC Appendix P

Building Heights & Areas

BC Chapter 5

AC 27-293 through AC 27-315

Article 5

Construction Types

BC Chapter 6

AC 27-269 through AC 27-287

Article 4


BC Chapter 10
BC Appendix S

AC 27-354 through AC 27-396.6

Article 7


2014 BC Chapter 30 and BC Appendix K

Fire Protection

BC Chapter 9 and Appendix Q

2014 AC 28-315.2, 2014 BC Chapter 9 and Appendix Q

Flood Resistant Construction

2014 BC Appendix G

Interior Environment

BC Chapter 12, BC Appendix R, and MC Chapters 4 through 6

AC 27-725 through AC 27-770

1938 BC Article 6, 1938 Article 12 and 1938 Article 15, HMC Subchapter 3 - Articles 1, 4, and 5


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 BC Article 8 and Article 19

Roof Assemblies and Rooftop Structures

Chapter 15

Subject to applicable provisions of the 2014 BC and 1968 AC 27-338

Subject to applicable provisions of the2014 BC and 1938 BC Article 11

Safeguards During Construction

2014 BC Chapter 33

Structural, Soils and Foundation

BC Chapter 16 and 18

2014 BC 1601.2 and 1968 AC 27-580 through AC 27-724

2014 BC 1601.2 and 1938 BC Article 9

Use and Occupancy Classification

BC Chapter 3

AC 27-234 through AC 27-268

Article 4 and Article 13

Other Guidelines


See Renovation Antenna Guidelines


See Building Systems Boiler Guidelines

Building Pavement Plan

See BPP - Alteration Project Guideline

Construction Equipment

SeeConstruction Equipment Guidelines (Scaffold, Hoists, Chutes, Fences, Sidewalk Sheds, Mechanical Construction Equipment)

Curb Cut

See Renovation Curb Cut Guidelines

Deck/Porch/Swimming Pool

See Deck/Porch / Swimming Pool Guidelines

Emergency Power Systems

See Building Systems Emergency Power Guidelines

Public Right-of-Way Encroachments

See Renovations Public Right-of-way Encroachment Guidelines

Shoring/Underpinning of Foundation/Retaining Wall/Flag Pole/Sign Ground Structures

See Renovation Guidelines for Shoring, Underpinning of Foundation, Retaining Wall, Flag Pole, Sign and Ground Structures


See Greenhouse Guidelines


See Building Systems Mechanical Guidelines

Mixed Use Building

See Mixed Use Guidelines


See Building Systems Plumbing Guidelines


See Renovations Sign Guidelines

Solar Panels

See Building Systems Solar Guidelines


See Building Systems Sprinkler Guidelines


See Building Systems Standpipe Guidelines


Residential and Community Facilities with sleeping accommodations may require compliance with the following Zoning Resolution sections:

Other Regulation(s) for Reference

  • TPPN 09-94 Individualized Residential Alternative (IRA) Facilities
  • TPPN 3/97 – No new or amended Certificate of Occupancy is required when combining apartments to create a larger apartment
  • BB 2015-017 – Lot line windows

Guidelines for Submission of Renovation 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 AC Article 104 or 2014 BC 107.2.

The Department’s guidelines, outlined below, provide an organized approach for the preparation of construction documents; 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 complete 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.

  • Title Sheet. Should clearly describe the project location, including the adjacent streets, properties, etc. and a graphical scale. Drawing notes are also required that describe the building name and address, names and contact information of all parties involved, occupancy classification, zoning use group, construction classification, the project’s scope, a list of related job filings/applications, a list of special and progress inspections, and the building’s primary structural system.
  • Drawing Index. Identify 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.
  • 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. Habitable rooms must be dimensioned with notes on light and air compliance.
  • Façade Elevations. Required if the project involves the renovation or modification of the building exterior and in some cases also required for interior renovations that may impact the façade.
  • Sections. Might be required for documenting some types of renovation projects. These could include building sections.
  • Detail Drawings. These drawings contain significant information required to clearly illustrate the scope of work, in a larger scale, such as partial sections or details of building components such as stairs, exterior walls, interior partitions, roofs, millwork details, interior elevations of specific rooms or areas, etc.
  • Energy Analysis. Energy Analysis shall be provided on drawings in the form of Tabular Analysis, ComCheck, or energy model. Energy Analysis references supporting documentation location and the corresponding values match the proposed construction on drawings. For projects claiming exceptions, details shall be clearly shown in the analysis supporting the reason for the exception. Some key elements required on plans for all projects include:
    • Provide the correct Code reference citations to either NYCECC or ASHRAE 90.1
    • Energy Code Progress Inspections shall be listed on the drawings, based on the scope of work.
    • Energy Analysis shall be provided on drawings in the form of Tabular Analysis, COMCheck/RESCheck, or energy model. Energy Analysis references supporting documentation location and the corresponding values match the proposed construction on drawings. For projects claiming exceptions, details shall be clearly shown in the analysis supporting the reason for the exception.
    • Exterior wall/roof/floor:
      • Opaque envelope assembly components are annotated with proper R-value and/or U-factors, and correctly calculated, including thermal bridging effects. Air sealing details are clearly identified.
      • New vestibules shall meet envelope, heating and cooling provisions.
      • Weather seals are required
    • Vertical glazing, skylights, doors:
      • Fenestration assembly U-factor, air leakage values are identified, and any increase in fenestration area are clearly identified on drawings.
    • Lighting
      • Fixture Schedule shall be provided and include type designation, brief description, location of fixtures, lamp type, ballast/transformer type, watts per fixture, and controls scheme. Schedule shall be keyed to lighting plans. Lighting shall meet the power requirements and the controls.
      • Daylight zones adjacent to vertical glazing and beneath skylights are clearly identified on the lighting plans.
    • HVAC
      • Equipment has met the sizing requirements.
      • Indicate equipment capacity, model number, rated efficiency and controls requirements (e.g. part-load, reset controls, pump modulation, demand controlled ventilation, economizers, energy recovery)
      • Indicate shutoff damper controls for outdoor air intakes and exhausts
      • Identify duct insulation location, R-value, and details indicating joints and seams are sealed
      • Identify piping insulation location and thickness
    • Indicate provisions for Systems Commissioning and completion requirements.

If applicable, additional elements required on drawings include:

  • Accessibility for persons with physical disabilities to comply with BC Chapter 11
  • Façade, roofing, and parapet walls with details
  • Lot Line windows or new openings in accordance with permitted percentages
  • Building systems and equipment details*
  • Flood zone compliance
  • Light and Air calculations for occupied rooms (institutional and residential)
  • Builders Paving Plan ( BPP) **

*Refer to Project Guidelines for Building Systems projects.
**Refer to Project Guidelines for Builders Paving Plan.

Refer to Minimum Requirement for Review of Design Drawings available at

*Note: Refer to Construction Project Guidelines for Mechanical, Sprinkler, Standpipe and Plumbing, Boiler Building System projects.*

Submission of Construction Documents

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

  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:
    • Remittance of Project Application Fees
    • Required Items for Professional Certification (PC1 form)
    • Plot Diagram- as applicable (PD1)
    • FEMA Map – if within a flood zone
    • Zoning Exhibits (Exhibits 1 through 5) – as applicable
    • Zoning Diagram (ZD1)
    • Project Work Details (PW-1, Schedule A and Schedule B Forms)
    • Special Inspections (TR-1 Forms)
    • Eligibility for Exemption from Energy Code Review (PW-1 Form)
    • Energy Code Progress Inspections ( TR-8 Form)
    • Street Tree Planting (ST1)
    • Letter of confirmation from SHPO for historic status – if applicable
    • Department of Finance RP-602 for Apportionments or Mergers
  1. DOB Review, Zoning Check, and Professional Certification. The Applicant of Record may submit a Renovation Project for DOB Review, or professionally certify that its design complies with the Code, Zoning Resolution and all applicable Rules and Laws required by New York City. See Buildings Bulletin 2016-010.

  2. Drawings. The renovation project drawings should reflect clear scope of work and include all affected systems. Examples of this are as follows:

  3. Designator - Sheet Number: Sheet Description:

    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
    A-300.00 Proposed Enlarged Floor Plans
    A-301.00 Proposed Interior Elevations and Details
    A-400.00 Existing and Proposed Façade Elevations
    A-401.00 Existing and Proposed Cross Sections

    Structural Plans and Details

    M-100.00 Mechanical System Equipment and Schedules
    M-101.00 Reflected Ceiling Plan for Mechanical System
    P-100.00 Floor Plans - Plumbing
    P-101.00 Plumbing Riser Diagram – Gas Riser Diagram - Piping 

    Plumbing Fixture Schedules – Plumbing Details

    SP-100.00 Sprinkler Floor Plan
    SP-101.00 Sprinkler Riser Diagram and Details
    EN-100.00 Energy Code Analysis (if applicable)

    Drawing Legend to include: Symbols, abbreviations, notes, definitions 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
    M: Mechanical: Mandatory designation for plans showing mechanical work
    EN: Energy Analysis: Mandatory designation if an Energy Analysis is required

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

    • DEP – HCP and SCP forms if repair of sanitary and/or storm water connections to street services (Building Systems Project) is required as part of renovation project
    • DOT Approval (if applicable)
    • FEMA (Federal Emergency Management Agency) – FEMA Map
    • FDNY – Notification or Letters of No Objection
    • HPD Certificate of No Harassment for residential
    • Landmark approval
    • Loft Board (DOB) – approval required to submit loft conversion application to DOB – if applicable, for residential part of mixed use building
    • Mayor Office for People with Disabilities (MOPD)
    • OER authorization - as required by ZR little E designation
    • Public Design Commission Approval
    • SRO MD Anti-Harassment checklist for residential
    • Tenant Protection Plan (only if applicable)
    • Transit Authority Approval

  2. Plan Review for Approval or Acceptance, Zoning Check, and Audit.
    • Plan Review - Following submission of a complete set of construction documents, the application is assigned to a DOB Plan Examiner for review.
    • Professional Certification - The Applicant of Record may professionally certify that a project’s design is in accordance with the NYC Code, Zoning Resolution, and all applicable Rules and Laws.
    • Zoning Check - Immediately after the permit issuance of a professionally certified application, DOB performs a Zoning Check to ensure general compliance with the Zoning Resolution and Code.
    • Audit - Professionally certified applications may also be subject to audit.
    • Plan review or audit of the submission by Plan Examiner or Auditor may result in either approval or disapproval, or in acceptance or fail, respectively. Following plan review disapproval or audit fail, a notice of objections is sent to the Applicant of record and Owner. Objections must be resolved through appointments with the DOB Plan Examination or Audit staff following which the application is approved or accepted.

  3. Post Approval Amendments.  Any changes to approved scope of work that is significant and substantive will require submission of revised document and/or plans for Post Approval Amendment (PAA). Approval for an amendment must be obtained before the work is completed.  Changes that are not substantive do not require a PAA; however these changes must be shown on plans and included in the As-Built submission at the end of the project (§28.104.3).
    • Expand scope of work to include an additional space in the same or different story. For example, expand the first floor renovation to a space in the basement or cellar below.
    • Changes in function of areas and rooms from what was shown on approved plans.  For example, the function of a portion of a storage space is changed to a new apartment.
    • Expand scope to add, replace or modify building equipment, roof systems, etc.
    • Structural changes 
    • Addition or removal of the following: plumbing risers, minimum required fixtures, roof drains, etc.
    • Any alteration of gas systems 
    • Changes to scope of work that require additional Special or Progress Inspection(s)
  4. Substantive changes that meet the following criteria should be submitted for review to amend the approved plans:

  5. As-Built Submission. All changes must be submitted in an ‘as-built’ drawing at the end of the project.  Any changes affecting the energy analysis will require an update to the energy analysis.

*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.  (See for more information.)*

Special Inspections

As per BC Chapter 17, renovation 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 must be reported to the super-intendent 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, a sign 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. Precast may be needed during façade renovation project (BC 1704.4), 1905 and 1913.

Wood – Installation of Prefabricated I-Joists

Are subject to Special Inspections in accordance with Section 1704.2 and the requirements of Section 2303.1.2 (BC 1704.6.3).


When raising a building in a flood zone, subject to requirements of BC 1704.7.1.

Wall Panels, Curtain Walls and Veneers

Required for exterior architectural wall panels and the anchoring of veneers designed for installation on buildings above a height of 40 feet. Special Inspection of masonry veneer on such structures shall be in accordance with Section 1704.5 (BC 1704.10).

Sprayed Fire-resistant Materials

Special Inspections for sprayed fire-resistant materials applied to floor, roof and wall assemblies and structural members shall be in accordance with Sections 1704.11.1 through 1704.11.7.

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 Sections 1704.20.6 through 1704.20.10.

Excavations – Sheeting, Shoring, Bracing and Underpinning

Methods employed to protect the sides of excavations shall be subject to Special Inspections in accordance with BC 1704.20.3, BC 1704.20.2 and BC 1814.

Fire-resistant Penetration and Joists

Special Inspections for penetration of fire-resistant elements and assemblies; and related firestops in accordance with Sections 1704.27.1 and 1704.27.2.

Flood Zone Compliance

Special Inspection for flood zone compliance shall be as required by BC Appendix G and BC 1704.29. Also progress inspection for lowest floor level per BC 110.3.2.


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.


Chimneys shall be subject to a special inspection. See BC 1704.26.

Footings, Foundation and Helical Piles

Footing and foundation 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. Helical piles may be required under certain soil conditions if raising a building located in a flood zone, per BC 1704.8.5 and BB 2014-020.

Structural Wood Frame

Inspections shall be performed for wood structural framing to determine compliance with the approved construction documents as per BC 110.3.3.

Fire-Resistance Rated Construction

Fire-resistance-rated partitions, floors, ceilings, shafts, and shutters as per BC 110.3.4.

Luminous Egress Markings

If egress impacted on high rise buildings, in accordance with BC 1704.30 and BC 1024.

Raising and Moving a Building

Periodic inspections of homes during this process, as per BC 1704.20.5.

Energy Code Compliance Inspections

Design Professional Links

Helpful Links