Introduction to DOB NOW: Build and Why It’s Required
If you’re planning to renovate an apartment, build a new home, or develop a multifamily building in New York City, you’ll need approval and permits from the NYC Department of Buildings (DOB). In fact, NYC law requires that you obtain one or more DOB permits before starting virtually any construction project. The DOB’s job is to ensure your plans meet building codes and zoning laws so that the work will be safe and legal. To make this permitting process more efficient, the DOB has moved from old paper filings to a fully online system called DOB NOW: Build.
DOB NOW: Build is the DOB’s online platform for architects, engineers, contractors, and owners to submit building project applications and track permits. In plain terms, it’s a web portal where your project plans are filed and reviewed by the City. As of recent years, DOB NOW: Build is required for nearly all building permit applications in NYC – it has effectively replaced the former in-person filings and the legacy BIS system as part of the City’s move to a fully electronic process.
This means that whether you’re doing a gut renovation of a co-op apartment or constructing a new townhouse, your application must be filed through DOB NOW: Build. Why go through this online filing? Simply put, you need an approved DOB filing to get a work permit, which is legally required to do the construction. Filing through DOB NOW ensures that your project is reviewed for compliance with safety codes and zoning before work begins. It also creates a digital record of your project and streamlines communication with the DOB. In short, DOB NOW: Build is how New York City makes sure every significant residential construction project is vetted and permitted properly.
Step-by-Step Guide: How to File a Residential Project in DOB NOW: Build
Filing a project with the NYC DOB may seem daunting, but breaking it down into steps can help. Below is a step-by-step guide (from a New York licensed architect’s perspective) on how a typical residential project gets filed in DOB NOW: Build.
Assemble Your Team and Plan the Project
Before touching the DOB system, make sure you have the right professionals and documents ready. For most residential projects, you’ll need a Registered Architect (RA) or Professional Engineer (PE) to serve as the applicant of record and prepare official plans. Engage your architect/engineer to draw up the scope of work, architectural plans, and any required engineering studies. At this stage, also verify if any other approvals are needed (for example, Landmarks Preservation Commission approval if the building is landmarked – more on that in the FAQs). Proper planning and hiring licensed professionals up front will set the foundation for a smooth filing.
Register for DOB NOW (Create an Account)
Both the professionals and the property owner must have DOB NOW accounts to participate in the filing. The online system uses a single sign-on called NYC.ID. If you or your architect haven’t already, you’ll need to register an NYC.ID (eFiling) account which is then used to log into DOB NOW. All owners, design professionals, and contractors associated with the project should get registered early – failure to do so can delay your project. (Tip: If you had an older BIS/eFiling account, that can be used to log in and then the system will prompt linking it to a new NYC.ID.) Once logged in, the architect or filing representative will create a profile in DOB NOW and can start a new job filing.
Initiate a New Job Filing in DOB NOW: Build
The registered architect or engineer (known as the “Applicant of Record”) will log into DOB NOW: Build and begin a new application (job filing). They will enter the property details (address and Borough-Block-Lot), then select the project type. For residential projects, this will generally be one of: New Building (NB) for ground-up construction, Alteration Type 1 (Alt1) for major alterations affecting the Certificate of Occupancy, or Alteration Type 2 (Alt2) for moderate renovations not changing use or occupancy. (Alteration Type 3 is for very minor work, usually single-trade jobs.) The system will ask for the Job Type and Work Type(s) – for example, an apartment interior remodel might be filed as an Alteration-2 with work types “General Construction” and “Plumbing.” A new multi-unit building would be filed as New Building, and so on. Choosing the correct category is crucial, and your architect will make this determination based on the scope (for instance, an Alt1 is required if the project changes use, occupancy or egress of the building, whereas a straight interior reno with no change of occupancy can be an Alt2). After selecting the job type, DOB NOW generates a job number for your application.
Enter Project Details and Scope of Work
Next, the applicant fills out the online filing forms which capture all key details of the project. This is essentially the digital version of the old “PW1” form. The information includes: a work description, estimated cost of work, current and proposed use/occupancy of the space, zoning district, and other site specifics.
The system will also have sections for items like lot characteristics, building height, dwelling units, and construction classification. Additionally, if the project is an Alteration that involves multiple types of work (structural changes, plumbing, mechanical, etc.), the system may require separate sub-filings for each work type. (For example, a major renovation might have one filing for general construction/architectural work, and separate filings for plumbing or structural work, which are then linked together in DOB NOW.) Your design professional will know how to articulate the scope in the application so that it covers all aspects of the project. It’s important that everything is filled out accurately – inconsistencies or omissions here are a common source of delays or objections later.
Identify Key Stakeholders (Owner, Applicants, Contractors)
The DOB NOW filing will list all relevant parties for the job. The Owner of the property must be identified and their contact info (email) entered. If the architect or an expeditor initiates the filing, they will add the owner’s email in the Stakeholders section so that the owner is linked to the application. (The owner will receive an email and see the job on their DOB NOW dashboard once associated.) The licensed Architect/Engineer is listed as the Applicant of Record.
If a General Contractor has been selected, they can also be added (though a contractor can be added later for permit pulling). Owner’s Responsibilities: The owner will need to log into DOB NOW and provide an electronic signature (attestation) on the application before it can be submitted. This is done in the Statements & Signatures section: the owner checks a box to attest and essentially “signs” the filing digitally.
The applicant (architect) also attests to their statements in a similar manner. It’s crucial that the owner completes this step – the DOB will not approve the filing without the owner’s sign-off. (If an owner isn’t tech-savvy, an alternative is signing a physical notarized letter of authorization that the architect uploads, but using the online attestation is the quickest route.)
Upload Plans and Required Documents
DOB NOW: Build allows (and requires) you to upload all of your plans and documents electronically. Your architect will upload the full set of architectural drawings (floor plans, elevations, details, etc.), typically as PDFs. These must follow DOB guidelines (proper title blocks, drawing numbers, etc.) since the plan examiner will review them digitally. In addition to drawings, various supporting documents must be included depending on the project.
Common items include: a Scope of Work narrative, zoning diagrams for enlargements, energy code compliance forms (ASHRAE/Rescheck or EN1 form), Schedule B (if applicable, listing work types/trades), Schedule of Occupancy (for Alt1 or new buildings), and an Asbestos assessment certification (ACP5 or asbestos report, since NYC requires verifying whether asbestos is present).
If the building is occupied during construction, a Tenant Protection Plan might be required. All these documents can be uploaded in their respective categories in DOB NOW. The system also has a checklist of “Required Items” – for instance, it may flag that you need to upload a site safety plan if it’s a large new building, or a landmark approval letter if the property is landmarked. Tip: Ensuring all required documents are submitted upfront is critical; missing documents or forms are a common pitfall that can lead to rejection. Double-check the Required Documents section in DOB NOW to see if anything is still marked outstanding before proceeding.
Pay the Filing Fees
Before the DOB will review your application, you must pay the filing fee. The DOB NOW system will calculate the fee based on the project scope and size. For most residential jobs, the fee is based on either the estimated cost of work or the square footage being added. For example, DOB fees are often calculated as $100 for the first $5,000 of work plus about $13 for each additional $1,000 of estimated cost.
Using that formula, a $250,000 renovation might incur roughly a $3,285 DOB fee. (There are reduced rates for one- to three-family homes, and minimum fee thresholds, but your architect will handle these specifics.) For new buildings, fees are typically based on square footage (e.g. a minimum fee around $280 for small structures and a per-square-foot fee beyond that). The DOB NOW portal allows for online payment via credit card or eCheck. Owners typically bear these costs (even if the contractor or expediter makes the payment on their behalf) – it’s usually either paid directly by the owner or invoiced as part of the architect’s/expediter’s service.
Once payment is made, the filing will be officially submitted to DOB and enter their review pipeline. You will receive an email receipt and the DOB NOW status will update to “In Plan Review” or “Pending Review.”
DOB Plan Examination (Review Process)
After submission, your application is assigned to a DOB Plan Examiner for review. This is where the DOB checks your plans against all applicable codes (building code, zoning, energy code, etc.). How long does this take? It can vary – straightforward projects might be reviewed in a couple of weeks, while more complex ones or those submitted during a busy season could take over a month. On average, residential permit reviews range from a few weeks to a couple of months. During plan examination, one of two things will happen: approval or objections. If everything is compliant and clear, the examiner can approve the application on the first pass (this is not common for large projects, but possible for very small ones).
More typically, the examiner will issue objections (disapprove the plans) with comments detailing issues to be corrected. Objections are essentially questions or code violations that need to be resolved – for example, they might cite that an exit door doesn’t meet width requirements, or request clarification on fire-rated materials. The DOB NOW system will show the status as Plan Disapproved and list the objections.
In fact, the examiner will upload an objection sheet (and often mark up the plans) and the system will email the applicant to notify that objections are available. Don’t be alarmed – this is a normal part of the process. Virtually every project has some objections that need addressing.
Address Objections and Resubmit
Working with your architect/engineer, you will modify the plans or provide additional information to satisfy the DOB objections. Each objection must be answered either by making a drawing revision or writing an explanation in a response letter (or both). For example, if an objection says “Proposed stair does not comply with code section X,” the architect might adjust the design on the plans and add a note or calculation to show compliance. Through DOB NOW, the applicant will then upload the revised drawings and any other documents and submit a Post-Approval Amendment (PAA) or a resubmission to resolve objections. The system allows you to respond to each objection item in a text field as well.
It’s often helpful to schedule a discussion with the plan examiner – in DOB NOW you can request an appointment or virtual meeting with the examiner to review objections. This can speed up clarification of complex issues.
After resubmission, the examiner will re-review the plans. This cycle may repeat for multiple rounds until all objections are resolved and the plan examiner signs off. Patience is key here; each resubmission might take a week or two for DOB to recheck. (Pro tip: An alternative route for certain jobs is Professional Certification, where the architect self-certifies that plans meet code and skips DOB plan review. This can expedite approval, but it’s up to the architect and is often used for simpler jobs due to liability and audit risk. Your architect will advise if “Pro-Cert” is an option for your project.)
Application Approval
Once the plan examiner is satisfied that the project complies with all codes and regulations, they will approve the filing. You (and the team) will get an email notification that the status is now Approved. In DOB NOW, the job status changes to “Approved” and you can download the approved plans, which will have a DOB approval stamp.
For Alteration Type 1 or New Building projects, DOB approval will eventually lead to a new or amended Certificate of Occupancy once construction is complete (see FAQs). For now, approval essentially means you have the DOB’s go-ahead to obtain your permit. Important: Approval is not the same as having the permit – you still need to take the next step to pull the actual permit for construction.
Pulling the Work Permit
After approval, the work permit can be issued. In DOB terms, the initial filing and plan approval is often called the “job application,” and the actual permit is a separate step (the permit is sometimes referred to as a PW2 in DOB forms). Who pulls the permit? Typically, the General Contractor hired for the project will log into DOB NOW and request the permit. The contractor must hold the appropriate license (e.g. Home Improvement Contractor and DOB tracking number for 1-3 family jobs, or General Contractor license for larger jobs) and have up-to-date insurance on file (liability, workers comp, disability).
In DOB NOW, the contractor finds the approved job and completes the permit application by inputting their insurance info and signing the permit application statements. The owner and applicant also may need to re-attest on the permit form (confirming that the contractor is authorized to do the work). Any outstanding fees are paid at this time (there may be a separate permit issuance fee, though usually the upfront fee covered it).
The system will check that all pre-permit requirements are met – for example, that any special inspections (TR1/TR8) have been assigned, that there are no unresolved violations blocking permit, and that the contractor’s insurance is valid. Once everything is in order, the DOB will issue the work permit electronically. You can then download and print the permit. At last, you are legally allowed to start construction. The permit will list the scope of work, the address, your contractor’s name, and any job site stipulations.
Note that for plumbing or electrical work, those are handled via separate permits by licensed plumbers and electricians – your main job filing may include those work types, but the actual plumber must pull a plumbing permit and the electrician must pull an electrical permit through their respective systems. Your architect or contractor will coordinate those as needed.
Inspections and Sign-off
Once construction is underway and eventually completed, there are final steps to close out the project. During construction, you must adhere to any required DOB inspections. For example, there may be inspections for plumbing, electrical, structural safety, etc., as applicable. Many inspections are now scheduled through DOB NOW: Inspections, a sister portal where you or your contractor request inspections online. For some smaller jobs, the architect or engineer can self-certify the final inspection (this means they issue a final report to DOB instead of a DOB inspector coming out).
After all work is done and inspected, the DOB issues a completion document – either a Letter of Completion (for most Alt2 renovations or jobs that don’t change the Certificate of Occupancy) or a Certificate of Occupancy (CO) for new buildings or Alt1 jobs. The CO is an updated legal document that reflects the new use/occupancy of the building (for instance, if you added a dwelling unit or changed a basement to living space, a new CO will be issued). The project is considered fully signed-off only when you have that Letter of Completion or Certificate of Occupancy in hand. Congratulations – you have navigated the DOB filing process from start to finish!
Throughout this process, DOB NOW will send email updates at key milestones (filing accepted, objections issued, approved, permits issued, etc.). You can also log into the DOB NOW public portal anytime to check status. And remember, as architects we are here to guide you through each of these steps. Next, we’ll cover some common pitfalls to avoid during DOB filings, and answer FAQs that many clients ask at the start.
Common Pitfalls in the DOB Filing Process (and How to Avoid Them)
Even with a step-by-step plan, there are a number of common mistakes and challenges that clients and applicants can encounter when filing a project with the NYC DOB. Here are some frequent pitfalls and our advice on how to avoid them:
Starting Work Without a Permit
Eager to get started, some owners are tempted to begin demolition or construction before the DOB permit is issued – this is a serious violation. Performing work without a permit can result in a Stop Work Order and hefty fines issued to the property owner. It will also create headaches when you eventually do file (you’ll have to resolve violations and pay penalties). Avoid this by always waiting for the official DOB permit before commencing any construction. If emergency conditions require immediate action (e.g. to stabilize something), there are legal emergency work allowances – but even then, you must notify DOB and file promptly. When in doubt, talk to your architect or contractor before doing anything that might be considered “construction” without a permit.
Incomplete or Inaccurate Applications
One of the most common reasons for delays is submitting an application that is missing information or has errors. This could be as simple as a typo in the address or as major as forgetting to upload a required document. DOB will not approve incomplete filings – a missing form or inconsistent data will trigger objections or a rejection.
For example, if your plans show four stories but the application form says three stories, the examiner will flag it. Or if you fail to include an energy compliance statement, the application will be put on hold. These mistakes are often due to misunderstanding the requirements or rushing. The solution: Work closely with your design professionals (or expeditor) to double-check everything before submission. Use the DOB NOW “Required Items” checklist as a guide. It’s often helpful to have a second set of eyes review the filing (for instance, our team at the architecture office will perform an internal audit of the application before hitting “submit”).
Owner or Contractor Not Set Up in DOB NOW
The new online system means all stakeholders – especially owners – must be connected to the filing. A common pitfall is when an owner doesn’t create their DOB NOW account or fails to complete the online signature, which prevents the application from moving forward. Similarly, if the contractor isn’t properly licensed/registered in the system, it will block permit issuance.
Avoid this by ensuring early on that: (a) the owner creates an NYC.ID account and is associated with the job filing, and (b) your contractor has an active DOB registration and up-to-date insurance on file. We often assist our clients in setting up their accounts or, if the owner prefers not to handle the digital aspect, we obtain a notarized letter so we can attach the owner’s authorization. Staying on top of the paperwork for all parties will save time later.
Underestimating the Timeline (Approval Takes Time)
Clients are sometimes surprised that obtaining a DOB permit isn’t instantaneous. In NYC, even “simple” renovation filings can take a few weeks to get approved, and more complex projects can take a few months depending on DOB workload and the number of revision cycles. Expect at least 2–8 weeks for the DOB review and approval process under typical conditions. If your project requires additional agency approvals (such as Fire Department sign-off for fire alarm systems, or Landmarks approval for historic buildings), those steps add time as well. The pitfall here is not building in enough lead time before construction – which can lead to frustration or even needing to delay your contractor. Our advice: start the filing process as early as possible in your project timeline. Submit well in advance of when you hope to start work, and factor in some buffer for possible objections and revisions. A realistic schedule will prevent undue pressure and hasty mistakes.
Ignoring Zoning or Code Constraints in the Design
Another common issue is when a proposed design doesn’t initially comply with NYC zoning or building codes – for instance, a planned extension might violate a yard requirement, or a new bathroom might not meet ventilation code. These issues will surface during DOB review and result in objections (or denial). It’s a pitfall if the design wasn’t thoroughly vetted for code compliance from the start.
To avoid this, experienced architects will do a code and zoning analysis during design to ensure the project is feasible under NYC regulations. Engaging a knowledgeable NYC-licensed architect is crucial – they will check things like occupancy classifications, egress routes, fire ratings, structural loads, and all the other technical details. By catching and correcting non-compliant aspects in the planning stage, you can avoid lengthy correction cycles during DOB review.
Misclassification of Filing Type
Filing the wrong type of application can lead to significant delays or even starting over. For example, if you file something as an Alteration Type 2 but the scope actually requires an Alteration 1 (due to a change in number of dwelling units or exits), the DOB will eventually flag it and you might have to convert the filing.
This is especially tricky in cases like combining apartments – some people assume it’s a minor alteration, but since it changes the Certificate of Occupancy (two apartments become one), it must be an Alt1 with a new CO. The best way to avoid this pitfall is to have a professional determine the correct filing category. As noted earlier, Alt1 vs Alt2 depends on whether you’re affecting use/occupancy/egress. When in doubt, err on the side of the more major filing – or consult DOB pre-filing if needed. Proper classification upfront will save headaches later.
Delays in Responding to DOB or Providing Additional Info
Once your application is in, the process is interactive – the DOB examiner might ask for clarifications or require on-the-fly adjustments. A pitfall is letting these requests linger. For instance, if the DOB asks for an additional document (maybe a soil report for a new building foundation) and the team takes weeks to upload it, that’s lost time.
Or if objections are issued and you wait months to address them, the file can go stale. Timely action is important. To avoid delays, stay responsive: as soon as objections come in, prioritize the revisions with your architect/engineer, and resubmit as quickly as feasible (while still being thorough). Also, monitor the DOB NOW portal and your email for any status updates or “Required Item” notifications so nothing slips through the cracks.
Overlooking Required Secondary Approvals or Permits
In NYC, the DOB isn’t the only agency that might have a say in your project. A common oversight is forgetting that some projects need other approvals before DOB can give final sign-off. For example, if your property is a landmark or in a historic district, you must obtain a permit from the Landmarks Preservation Commission prior to DOB approval for any work affecting the building’s exterior (and even for interior changes in some cases).
Failing to get LPC approval will halt your DOB filing – the DOB will mark it “Landmarks pending” and not issue a permit until LPC signs off. Similarly, certain projects might need FDNY approval (e.g. sprinkler or fire alarm plans often require a separate FDNY sign-off), or Department of Environmental Protection sign-off (for asbestos or boiler fuel storage), etc. Avoid this pitfall by identifying all required approvals early. Your architect/expediter should know which apply. They can coordinate filing with those agencies in parallel to the DOB process. This way, by the time DOB is ready to issue the permit, you have all ancillary approvals in hand. (If you’re unsure, ask: “Does my project trigger any other agency review?” For instance, a new multifamily building will definitely involve FDNY and possibly DEP, while an interior apartment remodel will not.)
By being mindful of these common issues – and working with professionals who navigate DOB filings regularly – you can greatly reduce delays and frustration. Remember that NYC’s system, while complex, is ultimately there to ensure safe and successful buildings. With preparation and patience, your project will get through the process and reach the finish line with all the proper approvals.
Frequently Asked Questions (FAQs)
Finally, let’s address some frequently asked questions that many residential clients have when beginning a project that requires NYC DOB approval and permits:
Q: Does my project require a permit? Do I really need to file with the DOB?
A: Almost certainly yes, if it involves construction. Most construction work in New York City requires DOB approval and a work permit, by law. Only very minor cosmetic repairs are exempt. For example, you do not need a DOB permit for painting, plastering, installing new cabinets, or refinishing floors, as long as the work is purely cosmetic and not altering any building systems. (Even so, contractors doing that work must be licensed home improvement contractors.)
However, if you are doing any work that involves moving walls, changing layouts, adding rooms, modifying plumbing or electrical, or anything structural, you absolutely need to file with DOB and get a permit. Renovating a kitchen or bathroom (beyond swapping out appliances) will require a permit because plumbing and electrical are involved.
Removing or adding walls needs a permit. Essentially, if you’re altering the building fabric or systems, assume a DOB filing is required. It’s always best to consult with a professional – they can confirm if your project is considered a “minor alteration” or if it needs a permit. In summary: when in doubt, file for the permit. It keeps your project legal and safe, and avoids potential violations for unpermitted work.
Q: Can I file for a permit myself as an owner, or do I need a licensed architect or engineer?
A: For almost all significant residential projects, you will need a New York State licensed architect or professional engineer to file the plans. The DOB generally requires an RA or PE to sign off on construction drawings for anything beyond the simplest work. According to NYC regulations, most construction plans must be submitted by a Registered Design Professional (RDP) on the owner’s behalf.
This means that even though you, as the owner, are ultimately responsible and will be listed on the filing, you cannot draw the plans yourself (unless you are a licensed architect/engineer) and you cannot file them without that professional’s seal. There are a few exceptions: Certain very small jobs like installing a new plumbing fixture or a gas appliance could be done under a Limited Alteration Application (LAA), which a licensed plumber can file directly without an architect. Also, purely trade-specific work like an electrical permit is filed by a licensed electrician. But if your project involves architectural changes, structural work, multiple trades, or anything affecting building configuration, an architect/engineer is required.
They will prepare the drawings, navigate the DOB filing, and provide the necessary technical attestations. In short – you can’t DIY the DOB plans for an apartment renovation or new build; you need a pro’s sign-off. Hiring a qualified architect not only satisfies the legal requirement but also makes the process smoother and safer for you.
Q: How long does it take to get a DOB permit approval for a residential project?
A: The timeline can vary widely based on the project’s complexity and the DOB’s volume of work. In general, after you submit the filing, initial plan review feedback can take anywhere from 2 weeks for a simple job to 4–6 weeks (or more) for larger projects. If the application is straightforward and you’re lucky, you might get approved in under a month.
However, it’s common to receive objections that require one or more resubmissions, which extends the timeline. Each resubmission might add a couple of weeks. On average, many residential renovation permits are approved in roughly 4–8 weeks. Larger projects like new buildings or major alterations could take a few months to get through all reviews. The DOB’s own service level allows them a certain number of days to respond each round, and delays can occur if there’s a backlog (for example, in a construction boom, review times can lengthen).
According to industry data, it “ranges from 2 weeks to 2+ months” for NYC permit approvals depending on project type and DOB backlog. Our advice is to plan for a couple of months in your schedule for permitting, to be safe. If you have a hard deadline (e.g. a lease expiration prompting a renovation), start the process early. Lastly, note that there is a separate process if you choose professional self-certification – in that case, you can technically get an immediate permit (skipping DOB review), but the plans may be audited later. Not all projects or professionals utilize self-cert, so it’s something to discuss with your architect if timing is critical.
Q: How much do DOB filing and permit fees cost for a residential project?
A: DOB fees depend on the scope and size of your project. There are two main components: the filing fee (paid when you submit plans for approval) and in some cases a smaller permit issuance fee (paid when pulling the actual permit). For one- to three-family houses and small jobs, fees are relatively modest; for larger buildings or high-cost projects, fees can run into the thousands. The DOB fee for alterations is generally calculated based on the estimated cost of the work: the typical formula is $100 for the first $5,000 of work, plus $___ per $1,000 beyond that. (For many jobs, that “per $1,000” rate is around $13, though it can vary – the City updated some rates in 2016 to reduce fees for one- and two-family homes.)
For example, if you have a $300,000 gut renovation, the filing fee might be on the order of ~$3,900. For new buildings, fees are often based on square footage – e.g. $0.26 per square foot for many buildings, with a minimum of $280 (with lower rates for small 1-3 family homes). In practice, we see many apartment renovation permit fees in the $1,000 to $5,000 range, and larger projects (new construction or multi-unit buildings) in the $5,000 to $15,000 range. A consulting firm analysis noted that residential new construction or major gut reno permits typically range from around $2,000 up to $10,000+ in DOB fees. Remember, these fees go to the City; they are separate from any fees you pay your architect or expeditor. Also, if you’re filing multiple permits (e.g. separate plumbing, sprinkler, etc.), each has its own fee but the total should equate to about the same as if combined. Who pays? Usually the property owner pays these city fees (either directly through the DOB Now system or indirectly by reimbursing the architect/expediter who pays on their behalf). Always account for permit fees in your project budget – your architect or consultant can help estimate them early on so you aren’t caught off guard.
Q: What’s the difference between an Alteration Type 1, Alteration Type 2, Alteration Type 3, and a New Building filing?
A: These are DOB filing categories that describe the nature of the project. In simple terms:
- New Building (NB): This is filed for constructing an entirely new structure (a brand new building from the ground up). If you’re building a new multifamily development or a new single-family house on an empty lot, that’s an NB filing. It results in a first Certificate of Occupancy for the new structure.
- Alteration Type 1 (Alt1): This is a major alteration to an existing building that changes its use, occupancy, or egress in a way that usually requires a new or amended Certificate of Occupancy. In other words, an Alt1 is needed if after the work, the fundamental legal status of the building changes. Examples: converting a one-family townhouse into two apartments, adding an extra floor to a building, combining units so that the number of dwellings changes, or any renovation that significantly alters exit paths or building occupancy load. Alt1 projects trigger a new Certificate of Occupancy at the end to reflect the changes.
- Alteration Type 2 (Alt2): This is an alteration that does not change use, occupancy, or egress. Alt2 is the most common category for interior renovations where the layout is reconfigured but the building is still used in the same way with the same number of units, etc. It often covers multi-disciplinary work (e.g. you might be doing some layout changes, plus plumbing and electrical work, all under one Alt2 filing). Apartment renovations, kitchen/bath remodels, combining two rooms, or office remodels – as long as you aren’t changing the C of O or exits – fall under Alt2. No new Certificate of Occupancy is needed at the end (you just get a Letter of Completion). Essentially, Alt2 means “alteration within the existing envelope and occupancy parameters.”
- Alteration Type 3 (Alt3): This is a minor alteration involving only one type of work and no impact on use/egress. Alt3s are typically small jobs like installing a new boiler, putting up a backyard fence, or cutting a new window opening. They are limited in scope (one work type only) and by definition do not affect occupancy or exits. Alt3s are often over-the-counter or expedited since they’re so straightforward.
To determine which category your project falls into, your architect will assess what the code triggers. It’s important because it affects the process: Alt1s are more involved (full plan exam, new CO process), while Alt2s are simpler (and can sometimes be self-certified). If you’re combining two apartments into one, many people are surprised that it might be an Alt1 – but it is, because you’re reducing the number of dwelling units (an occupancy change). Conversely, renovating a kitchen and two bathrooms in an apartment (with no unit count change) would be an Alt2. In summary: New Building = brand new structure; Alt1 = major alteration with occupancy or use change; Alt2 = moderate alteration within existing use; Alt3 = minor work. If you’re unsure, ask your architect – filing under the correct type is crucial to avoid DOB objections or project scope issues.
Q: My building is a landmark (or in a historic district). How does that affect the DOB filing?
A: If your property is a designated NYC Landmark or in a historic district, you will need approval from the Landmarks Preservation Commission (LPC) in addition to DOB. In fact, you must apply for and obtain an LPC permit before the DOB will issue a building permit for your work. Landmark approval is required to ensure that any changes you make are appropriate to the historic character of the building. There are different types of LPC permits (Certificate of No Effect, Minor Work, Certificate of Appropriateness) depending on whether the work affects protected architectural features. For example, if you’re renovating a landmarked brownstone’s interior and not touching the exterior, you’d still get a “Certificate of No Effect” from LPC to certify that the changes don’t affect historical features.
If you are doing exterior changes (say, new windows, or an addition), LPC will review and must approve the design before work can proceed. The DOB coordinates with LPC – when you file in DOB NOW, the system will flag if the property is landmarked and will hold the DOB approval until LPC sign-off is provided. So, plan for the landmark process: it usually involves submitting drawings to LPC (often through their own online portal called LPC Portico) and possibly attending a hearing if it’s extensive work. The timeline for LPC approval can range from a few weeks (for staff-level approvals) to a few months (if it requires full commission review). Once you have the LPC permit, you or your architect will upload it as part of the DOB filing documentation. Also note: Landmarks may require certain materials or methods that are historically appropriate, which could influence your renovation plans. Make sure your architect is aware of the landmark status early on. In summary, being in a landmark building doesn’t prevent you from getting a DOB permit – but it adds an extra step, and you must get LPC sign-off first to avoid delays.
Q: What happens after I get the permit – anything else I should be aware of?
A: Once you have the DOB work permit in hand, construction can proceed, but you aren’t entirely done with the DOB process. A few key things to keep in mind post-permit:
- Permit Posting and Site Requirements: You must post the permit at the job site (usually in a visible location like a front window). Depending on the project, you may also need to post other signage, like a Work In Progress poster or homeowner notification (for one- or two-family jobs) and, if it’s a larger construction site, a construction site fence sign with project info. Your contractor typically handles this. Make sure any stipulated protections (like tenant protection plan notices, if the building is occupied) are in place.
- Inspections During Construction: The DOB (and other agencies) may need to inspect various stages of the work. For example, before closing up walls you might need a rough plumbing inspection, or a structural inspection after steel framing is completed, etc. Your contractor and architect will coordinate required DOB inspections via DOB NOW: Inspections. It’s important to pass these inspections to avoid rework. Also, certain inspections can be done by special inspectors (third-party engineers) if you identified them on your TR1 forms – e.g. concrete testing, energy code inspections, etc. Keep track of these and engage the necessary professionals to perform them. Failing to do required inspections can hold up your final sign-off.
- Amendments or Changes: If you decide to change something significant in the design during construction (it happens – e.g., you want to move a wall or add a scope of work), you may need to file a Post Approval Amendment (PAA) in DOB NOW to revise the approved plans. Minor changes that don’t affect code compliance might be done as on-site field changes, but anything major should be formally amended and approved by DOB. Always communicate changes to your architect so they can advise if a PAA is needed. It’s better to amend the filing than to build something that deviates from the approved plans without DOB knowledge.
- Project Sign-Off and Close-Out: After construction is finished and all inspections are passed, the final step is to close out the permit. For an Alt2 job, this means obtaining a Letter of Completion from DOB – it’s essentially DOB’s acknowledgment that the job was completed in accordance with the approved plans and is signed off. For an Alt1 or NB, the ultimate close-out is obtaining the new or amended Certificate of Occupancy. Your team will submit any required final documents (e.g., special inspection certifications, final asbestos clearance, etc.) through DOB NOW. The DOB will then issue the final sign-off document. Make sure not to skip this step; an open permit can be a problem later (for example, when selling the property, open permits or missing CO updates can raise red flags). Aim to get that final sign-off so the DOB records show your job as complete.
- Maintain Compliance: Even after sign-off, remember that any building in NYC must be maintained according to code. If it’s a rental or multifamily, annual safety inspections (boiler, facade, etc.) might apply, and any future alterations again require DOB filings. Keep your records of the project (approved plans, permits, etc.) in a safe place for reference.
In summary
In summary, after the permit is issued, focus on doing the work correctly and safely, get all necessary inspections, and then wrap up the job with a proper DOB sign-off. At that point, you can enjoy your renovated or newly built space with peace of mind that everything was done legally and to standard.
We hope this comprehensive guide has demystified the DOB filing process for your residential project. Filing with DOB NOW: Build may seem complex, but with the right approach and professional help, it is manageable. As New York City architects, we regularly navigate these procedures and are here to assist our clients every step of the way – from the first filing to the final sign-off. By understanding the requirements and common pitfalls, you’ll be well prepared to embark on your renovation or construction project in NYC, knowing you have all the necessary approvals and permits in place.
