When to Self-Certify a Job – Pros, Cons, and Best Scenarios

In New York City’s building process, “self-certification” refers to a Professional Engineer (PE) or Registered Architect (RA) certifying that their plans comply with all applicable codes and regulations without an in-depth DOB plan review. This is officially known as the Professional Certification program at DOB. As a business owner, you’re not the one doing the certifying (it’s your architect or engineer), but understanding when self-certification is used can help you make informed decisions about your project timeline and team. Here’s a breakdown of when self-certifying a project is advantageous, and when to be cautious.

How Self-Certification Works

In a typical DOB filing, once plans are submitted, DOB examiners review them for zoning, code, and regulation compliance – which can take weeks or months and may result in multiple rounds of corrections. Under self-certification (Pro Cert), the architect/engineer skips the DOB plan exam by certifying themselves that the plans meet code. The DOB then issues approval essentially upon completion of administrative checks, allowing the project to get a permit faster. However, DOB reserves the right to audit the filing later to ensure nothing was amiss.

Pros (When Self-Cert Can Be Beneficial):

Significant Time Savings

The biggest advantage is speed. Eliminating the DOB plan examination can shave off a substantial wait. Instead of waiting perhaps 6-8 weeks for a first plan review (and then more for corrections), an application can be approved in days if all paperwork is in order. For a business owner eager to start construction, this time savings can be gold – shorter time to open = less rent on an unopened store, for example.

Predictable Schedule

With self-cert, your project timeline is more under your team’s control. You’re not as subject to DOB backlogs. If your architect is confident and the documents are complete, you can plan construction start dates more reliably.

Good for Straightforward Projects

Self-certification works best for projects that are code-compliant and relatively straightforward: say a simple office renovation, or an interior alteration that clearly meets all rules. In such cases, the plan review is unlikely to reveal issues, so skipping it with a trustworthy professional can streamline things.

Avoiding Minor Red Tape

Sometimes DOB plan examiners have comments that, while important, can be minor or rooted in slight interpretation differences. If your architect self-certifies, it avoids potentially nitpicky comments that could send you back to the drawing board unnecessarily. Of course, the architect still must ensure those issues are addressed, but it avoids the formal dance of paperwork back-and-forth.

Cons (Risks and When to Be Careful):

Strict Accountability on the Professional

When an architect or engineer self-certifies, they are taking on full responsibility. If they made an error or overlooked a zoning nuance, it’s on them – and potentially on you later. The DOB conducts audits on a percentage of self-certified jobs (for example, 20% of post-approval amendments on self-certified jobs are audited (​nyc.gov) and random audits can occur on initial filings too). If an audit finds the plans violated a code or zoning, your project could face a stop-work order, fines, or required changes mid-construction. Additionally, the professional can get in serious trouble (even lose their self-cert privileges or license).

No Second Set of Eyes

The plan examination process, while slow, can act as a safety net – another professional eye on the plans might catch something. With self-cert, you’re relying entirely on your hired architect/engineer’s thoroughness. If they are not extremely careful and knowledgeable, things can slip. So you need high confidence in your design professional.

Not Suitable for Complex or Innovative Projects

If the project is complex (structural changes, new building, tricky code interpretations), it might be better to go through DOB’s review. DOB examiners sometimes spot issues or provide guidance on code interpretations. For example, a new restaurant in an old building might have some gray areas in code compliance – getting DOB feedback could save you from re-doing work later. Self-certifying something very complex could be risky unless the design firm is very experienced in that project type.

Perception and Oversight

Occasionally, community members or other stakeholders might view self-certification with suspicion – as if the project bypassed scrutiny (even though it’s a legal process). If your project is at all controversial (say a new bar or club in a neighborhood), not having DOB’s initial sign-off could become a point of contention. Also, financing partners sometimes feel more comfortable knowing plans were DOB-reviewed. These are more peripheral concerns, but worth noting.

When to Consider Self-Certifying:

Tight Deadlines

If you absolutely must start construction ASAP (e.g., your lease is ticking and you can’t afford months waiting for DOB), talk to your architect about self-cert. Many Alteration Type 2 (minor alteration) filings are self-certified to accelerate tenant fit-outs.

Repetitive Work or Prototypical Designs

If your architect has done the exact same type of project multiple times and knows the code issues cold, self-cert is a good candidate. For instance, a chain store build-out with a standard design – your architect might have a proven track record that these plans pass code, so self-certifying is low risk.

Projects Fully Within Code Limits

If all aspects (occupancy count, egress, fire safety, accessibility, energy code, etc.) are very clearly in compliance (by generous margins, not barely making it), then a plan examiner is unlikely to find fault anyway. Those are ideal for self-cert.

When to Maybe Avoid Self-Certifying:

Major Construction (New Buildings, Major Alteration-1s)

New buildings in NYC typically require full DOB review (and multiple departments’ sign-offs). Self-cert isn’t usually applicable for New Building applications. Major alterations (that change use or exits, requiring a new Certificate of Occupancy) often go through full review as well because of the complexity and scrutiny involved.

If Your Professional is Inexperienced

If your architect/engineer isn’t deeply familiar with NYC codes or is new to self-certification, be cautious. The program is best used by seasoned pros who have earned that privilege by demonstrating competence.

Projects in Special Zones

If your building is in a special purpose zoning district, historic district (Landmarks approval needed), or involves areas like a Place of Assembly permit, etc., some parts can’t be self-certified or are better to have agency guidance. For example, even if you self-certify the general construction, you might still need a DOB examination for the fire alarm or sprinkler plans.

As a Business Owner – What’s Your Role? 

Primarily, it’s picking the right team. If you know about the self-cert option, you can discuss it when hiring your architect. Ask if they participate in the DOB’s Professional Certification program. Some will advertise “we can expedite your permit through self-certification.” If time is of the essence, that’s a plus. However, also inquire about their audit history – have their self-cert projects passed audits without issues? A conscientious architect should not be offended by this; it shows you care about doing things right.

Also, understand that self-certification doesn’t skip any other requirements. You still need all the same paperwork (filing fees, forms, diagrams) – it just skips the wait for plan review. And you still must build to code, get the required inspections, and ultimately get sign-offs and possibly a Certificate of Occupancy if needed.

Bottom Line

Self-certification is a powerful tool in NYC construction to save time, but it must be used wisely. It works best for clear-cut, code-compliant projects under the guidance of a knowledgeable professional. Ensure you trust your design professional fully if going this route, and always plan as if you might be audited (because you might be!). When done right, self-certification can compress your pre-construction timeline significantly and get your business’s doors open sooner – which, in NYC, can make all the difference.