New York City Department of Buildings Filing rep course_203

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New York City Department of Buildings Filing rep course_203

  1. 1. • Determination Requests Filed For Construction Code and Zoning Resolution Issues • Easements and Restrictive Declarations • Flood Zones • PENS Appointment • Resolution of Comments and Objections with a Plan Examiner COURSE 203 Filing Representative Training for Class 2 Code and Zoning Representatives Includes: • Enforcement and Tracking Appointments with Plan Examiners • Alteration Applications Cost Validation • Records and Records Room Operation • Solar Power • Solar Photovoltaic and the Construction Codes • Tax Abatement
  2. 2. Determination Requests Filed for Construction Code and Zoning Resolution Issues Ira Gluckman, R.A. Borough Commissioner Code and Zoning Representative Training Module 3.9
  3. 3. build safe | live safe 2 • Construction Code Determination Form (CCD1) • Zoning Resolution Determination Form (ZRD1) Types of Determination Requests
  4. 4. build safe | live safe When to file a CCD1 form? File Construction Code Determination Form (CCD1) for: • Interpretations or clarifications of Building Code sections; • Variation of Building Code or Rules, per AC 28-103.3; or • Variation of Multiple Dwelling Law (MDL) for Article 7B Buildings, per MDL 277.16. Reminder: Article 7B Buildings under the Multiple Dwelling Law are any buildings which at any time prior to January 1, 1977 was occupied for loft, commercial, institutional, public, community facility or manufacturing purposes that are now occupied in whole or in part for joint living-work quarters for artists or general residential purposes. 3
  5. 5. build safe | live safe Variations of Building Code or Rules and Multiple Dwelling Law Variations of the Building Code or Rules, per AC 28-103.3, and variations of the Multiple Dwelling Law, per MDL 277.16, both require: • Practical difficulty stated in detail that is specific to the project; and • Provide analysis as to an equally safe or safer alternative, per NYC Charter Section 645(b)(2). 4
  6. 6. build safe | live safe When to file a ZRD1 form? File a Zoning Resolution Determination Form (ZRD1) for: • Interpretations of clarifications of Zoning Resolution sections only Reminder: Requests for variations of the Zoning Resolution must be filed with the Board of Standards and Appeals (BSA) or the Department of City Planning (DCP) 5
  7. 7. build safe | live safe When to file a CCD1 or ZRD1 form? The CCD1 and ZRD1 forms should only be used for: • An objection raised by a plan examiner; or • A possible future objection (pre-determination) for an application not yet filed. 6
  8. 8. build safe | live safe Procedure in Obtaining a Decision for a Determination Step 1: Filings for CCD1 and ZRD1 are reviewed initially by the Department borough office by: • Borough Commissioner; • Deputy Borough Commissioner; and/or • Code and Zoning Specialist. 7 Borough Office Review Borough Determination Tech Affairs Review Final Determination
  9. 9. build safe | live safe Step 2: After the review of the applicant’s determination request, including all plans and supporting documents, by the borough office, one of the following decisions shall be issued: • Approved • Approved with conditions • Denied 8 Procedure in Obtaining a Decision for a Determination Borough Office Review Borough Determination Tech Affairs Review Final Determination
  10. 10. build safe | live safe Step 3: If the borough issues a denial, the applicant may submit their requests to Technical Affairs for further clarification or if new information arises that may alter the initial decision in their favor 9 Procedure in Obtaining a Decision for a Determination Borough Office Review Borough Determination Tech Affairs Review Final Determination
  11. 11. build safe | live safe Step 4: In submitting requests to Technical Affairs, all documents shall be submitted as scanned documents in PDF format to the email address: TADeterminations@buildings.nyc.gov 10 Procedure in Obtaining a Decision for a Determination Borough Office Review Borough Determination Tech Affairs Review Final Determination
  12. 12. build safe | live safe Step 5: Submissions for determinations must include: • Completed CCD1 or ZRD1 form • Copy of the borough office denial • All applicable plans signed and sealed by the applicant • Any supporting documentation 11 Procedure in Obtaining a Decision for a Determination Borough Office Review Borough Determination Tech Affairs Review Final Determination
  13. 13. build safe | live safe Step 6: Submitted ZRD1 and CCD1 determination requests are reviewed for completeness (see Step 5). Any incomplete submissions shall be rejected with comments to submit the missing items 12 Procedure in Obtaining a Decision for a Determination Borough Office Review Borough Determination Tech Affairs Review Final Determination
  14. 14. build safe | live safe Step 7: Determination requests are reviewed at Technical Affairs by a panel of at least three persons: • Chairperson • Attorney • Plan Examiner 13 Procedure in Obtaining a Decision for a Determination Borough Office Review Borough Determination Tech Affairs Review Final Determination
  15. 15. build safe | live safe Step 8: Final decision is issued by the Technical Affairs panel 14 Procedure in Obtaining a Decision for a Determination Borough Office Review Borough Determination Tech Affairs Review Final Determination
  16. 16. build safe | live safe CCD1: Construction Code Determination Form 15
  17. 17. build safe | live safe 16 CCD1: Construction Code Determination Form
  18. 18. build safe | live safe ZRD1: Zoning Resolution Determination Form 17
  19. 19. build safe | live safe 18 ZRD1: Zoning Resolution Determination Form
  20. 20. build safe | live safe Common Errors in Filing a CCD1 or ZRD1 Determination Request with Technical Affairs Which May Delay the Review 19 Common Errors when Filing a Determination Request
  21. 21. build safe | live safe Common Errors when Filing a Determination Request • Submissions do not include a complete copy of the borough denial • Copy of the plan examiner’s objection is not included • Multiple unrelated issues are filed on the same CCD1 or ZRD1 forms • File separate determination requests for each distinct issue 20
  22. 22. build safe | live safe Missing information on the CCD1 or ZRD1 forms: • Relevant code or zoning sections not cited • Applicant’s email address is missing • The final decision is emailed to the applicant • For CCD1 forms, the version of the construction code (2008, 1968, or prior to 1968 Code) is not checked-off in Section 4 • For CCD1 forms, the type of request in Section 5 for either an interpretation or a variance is not checked-off 21 Common Errors when Filing a Determination Request
  23. 23. build safe | live safe • Submitted plans are not signed and sealed by the applicant, unless filed by an attorney • Determination requests involving a zoning regulation are filed incorrectly on a CCD1 form, and vice versa • Scanned documents and plans are not legible 22 Common Errors when Filing a Determination Request
  24. 24. build safe | live safe For variations of the Building Code or the Multiple Dwelling Law, the applicant fails to: • State in detail the practical difficulty that is specific to the project; and • Fails to provide the analysis as to an equally safe or safer alternative, as required by NYC Charter Section 645(b)(2). 23 Common Errors when Filing a Determination Request
  25. 25. build safe | live safe Sample Final Determination (ZRD1) 24
  26. 26. build safe | live safe 25 Sample Final Determination (ZRD1)
  27. 27. build safe | live safe 26 Sample Final Determination (ZRD1)
  28. 28. build safe | live safe 27 Sample Final Determination (ZRD1)
  29. 29. build safe | live safe 28 Thank You!
  30. 30. Easements and Restrictive Declarations Janine Gaylard, Esq. Assistant General Counsel Code and Zoning Representative Training Module 4.2
  31. 31. build safe | live safe 2  A Restrictive Declaration is a covenant running with the land that binds the present and future owners of the property.  An Easement is the right to use the real property of another for a specific purpose.  Both are typically required prior to the approval of any applications submitted to the Department of Buildings Definitions
  32. 32. build safe | live safe Why do I need an Easement / Restrictive Declaration? • The Department may accept an easement or restrictive declaration as an alternate means of compliance with Code requirements • In addition, compliance with certain provisions of zoning may require the execution of restrictive declarations 3
  33. 33. build safe | live safe • A restrictive declaration is usually used when the properties are owned by the same owner. The fee owner is identified as the “Declarant” and signs the agreement • An easement agreement is usually used when there are different owners. The fee owners of the respective parcels are identified as the “grantor” and “grantee.” Both must sign the agreement • It is also acceptable to have a declaration granting an easement where the properties are owned by the same owner • When in doubt, ask your lawyer 4 When Should I Submit an Easement or a Restrictive Declaration?
  34. 34. build safe | live safe Signatures • All signatures must be notarized using the: • Individual; • Partnership; or, • Corporate acknowledgement form 5
  35. 35. build safe | live safe Long-Term Tenants Can long-term tenants sign? • Long-term tenants may not bind the owners of the parcels, and therefore may not sign the agreement or declaration on behalf of the owner 6
  36. 36. build safe | live safe Easement / Restrictive Declaration Approval What is the easiest way to get an easement or restrictive declaration approved? • Use one of the Department’s approved agreement forms available on the Department’s website 7
  37. 37. build safe | live safe Approved Agreement Forms The following Department-approved agreement forms can be found on the Department’s website, as specified in Legal / Buildings Bulletin 2008-007: • Caretaker’s Apartment • Driveway / Frontage Space • Egress • Flood Zone (1968 Code) • Flood Zone (2008 Code) • Light and Air 8 • Lot-line Window • Off Site Parking • Party Wall • Plumbing System • Student Dormitory
  38. 38. build safe | live safe Light and Air Easement Agreement • The Light and Air Easement Agreement cannot be used between parties with buildings on separate zoning lots to satisfy the provisions of: • The New York City Zoning Resolution; or, • Section 30 of the Multiple Dwelling Law • These provisions require unrestricted light and air to be located on the same zoning lot as the building’s windows 9
  39. 39. build safe | live safe Other Types of Agreements • An attorney will need to prepare the agreement when no Department-approved form is available • The form must include a clause describing the specific statutory provision or other requirement being satisfied by the agreement or declaration • Required language is specified on page 3 of the Building Bulletin 2008-007 10
  40. 40. build safe | live safe Required Language 1. A “run with the land” clause 2. A metes and bounds description of all affected tax lots; 3. A clause stating that the agreement or declaration “shall not be modified, amended or terminated without the prior written consent of the New York City Department of Buildings” 4. The application number for which the agreement or declaration is required 5. Where necessary to clarify the exact location of the benefited or burdened area (e.g., attach diagrams) 6. A clause stating that a “Failure to comply with the terms of this restrictive declaration or easement agreement may result in the revocation of a building permit or certificate of occupancy” 11
  41. 41. build safe | live safe Procedure for Professional Certification Submission • For professionally certified applications, the P.E. / R.A. must state on the Department’s POC3 form the statutory requirement being satisfied by the easement/declaration. Then the P.E./R.A has two choices: 1. The P.E./R.A. may use one of the Department’s approved forms and certify that the agreement conforms in all respects to one of Department’s approved forms 2. The P.E./R.A. may use an agreement that does not conform in all respects to a DOB approved form and request that DOB Legal review the agreement by submitting the POC3 form identifying the applicable statutory provision with the proposed agreement to DOB Legal 12
  42. 42. build safe | live safe Procedure for Plan Examination Submission If the Agreement is an Approved Form: • Applications that require plan examination may be submitted to the borough office for review and approval • The plan examiner will perform a technical review to determine whether the agreement or declaration satisfies the applicable objection or statutory requirement 13
  43. 43. build safe | live safe If Agreement is not an Approved Form: • The agreement must be referred to the DOB General Counsel’s Office via the Borough Plan Examination Unit along with the objection identifying the applicable statutory requirement or need for the agreement • Agreements cannot be submitted to the General Counsel’s Office directly, this will only delay review • General Counsel’s Office requires the Borough Plan Exam referral as confirmation that a plan examiner has performed the necessary technical review to determine whether the agreement, if approved as to form, is an acceptable technical means of satisfying the statutory requirement 14 Procedure for Plan Examination Submission
  44. 44. build safe | live safe • The Department’s General Counsel’s Office will either approve your agreement as acceptable to form or identify issues that need to be corrected. • Once General Counsel approves your agreement as to form, you must then record it 15 General Counsel Review
  45. 45. build safe | live safe Recording the Agreement • Agreements should be recorded prior to approval • An application may not be approved until proof of the recording of the easement agreement or restrictive declaration has been submitted to the Borough Office • For specific recording instructions see page 5 of Legal / Buildings Bulletin 2008-007 for recording instructions 16
  46. 46. build safe | live safe Certificate of Occupancy Where an application will result in the issuance of a Certificate of Occupancy, the Certificate of Occupancy must include: • Reference to the type of easement agreement or restrictive declaration • The city register numbers issued by the Office of the City Register, or if in Richmond County, the reel and page numbers 17
  47. 47. build safe | live safe CCD1: Construction Code Determination Form • There may be situations where DOB will approve an easement / restrictive declaration where an applicant is unable to comply with all of the requirements set forth in the Buildings Bulletin • A CCD1 Construction Code Determination Form must be submitted in these instances and include a proposal that provides a safe and legally binding alternative 18
  48. 48. build safe | live safe 19 Thank You!
  49. 49. Flood Zones Joseph Ackroyd Acting Director, Engineering Code and Zoning Representative Training Module 4.4
  50. 50. build safe | live safe Permit Application Requirements • Per BC G104.3 site plans shall delineate the flood hazard area, including the delineation of the base and design flood elevation • Applications should include a “FIRMette” printed from FEMAs Map Service Center to support the site plan 2
  51. 51. build safe | live safe FEMAs Map Service Center 3
  52. 52. build safe | live safe FIRMette Printed from FEMA Map Service Center 4
  53. 53. build safe | live safe Repairs and Alterations Substantial Improvement • If the cost of an alteration exceeds 50% of the market value of the structure the project is substantial improvement. • Per BC G102.1, Item 8, substantially improved buildings must be brought into full compliance with Appendix G. 5
  54. 54. build safe | live safe Substantial Improvement Per 1RCNY 3606-01 any alteration that exceeds $40,000 that is not a substantial improvement must include: • Calculations of the Market Value of the Structure • Calculation of Construction Costs • A statement by the applicant 6
  55. 55. build safe | live safe Repairs and Alterations §3606-01 Determinations of Market Value and Substantial Improvement Two acceptable methods to determine market value: • Assessment roll option • Appraisal option 7
  56. 56. build safe | live safe Repairs/Alterations/Reconstructions Requirements for Substantially Improved Structures Like New: No basements (for residential buildings) • Elevate lowest floor • Adequately anchor the structure (uplift & lateral displacement) • Below the DFE: solely for building access, parking and storage • Flood openings in enclosed spaces below the DFE • Flood resistant materials used up to the DFE • Electrical, plumbing, heating/air conditioning components are elevated above DFE or design to prohibit accumulation of water, FEMA 348 • Above ground tanks are anchored or elevated above DFE 8
  57. 57. build safe | live safe Thank you! 9
  58. 58. PENS Appointments Lisa Lewis Director, Customer Service Code and Zoning Representative Training Module 5.2
  59. 59. What we do? • Walk in customer service • Telephone customer service • Follow up customer service 2 Customer Service Unit build safe | live safe
  60. 60. 3 The Plan Examination Notification System (PENS) is a system that allows plan examination customers to schedule appointments with Plan Examiners using an electronic system. Plan Examination Notification System (PENS) build safe | live safe
  61. 61. 4 For all appointments a PENS ID & Password is required Contacting 311: • Plan Review appointments Manual: • PER 11 form Emergency: • Fax PER 11 form Borough Office • Manual Requests • Fax manual requests Plan Examination Scheduling Options build safe | live safe
  62. 62. 5 Appointments build safe | live safe
  63. 63. 6 Scheduling build safe | live safe
  64. 64. DO • Remember your user ID and Password • Use the correct job number and document number • Be honest with the PENS Coordinator DON’T • Schedule erroneous appointments • Cancel appointments on the same day • Schedule same day appointments • Send requests for appointments that can be made through 311 • Send multiple requests for the same job. build safe | live safe 7 PENS Best Practices
  65. 65. Resolution of Comments and Objections with a Plan Examiner Neil Adler, P.E. Chief Plan Examiner Code and Zoning Representative Training Module 5.3
  66. 66. 2 How a Filing Representative Can Best Prepare for an Appointment: 1. Understand all of the drawings and the design of the Licensed Professional Applicant 2. Review all of the examiner’s objections and comments with the Applicant before your appointment 3. Be prepared to demonstrate that the applicant’s design complies with the Building Code and Zoning Resolution 4. Ensure that all objections and comments have been addressed in the revised drawings and application 5. Know the Dept.’s administrative policies and procedures Be Prepared build safe | live safe
  67. 67. Be Prepared Remember…. An appointment is typically only 20 minutes and the examiner uses part of this time to record information! Always arrive on time! 3 build safe | live safe
  68. 68. Cancellations Contact PENS (311) to cancel an appointment for any reason 4 build safe | live safe
  69. 69. Enforcement and Tracking Appointments with Plan Examiners Neil Adler, P.E. Chief Plan Examiner Code and Zoning Representative Training Module 5.4
  70. 70. build safe | live safe 2 All appointments with Plan Examiners are recorded in the Plan Examination Notification System (PENS) and the Buildings Information System (BIS) • Typically, five (5) appointments will be allowed to resolve all plan examiner comments and objections on New Building and Alteration-1 Applications • Typically, two (2) appointments will be allowed to resolve all examiner comments and objections on Alteration-2 Applications Tracking/ Enforcement Plan Examination Appointments
  71. 71. build safe | live safe Tracking/ Enforcement Plan Examination Appointments • After two (2) appointments with the plan examiner, on any type of application, if no significant progress toward resolving the objections has been made, then the Applicant of Record / Registered Design Professional must attend the next or 3rd appointment. • If the Applicant of Record does not attend this 3rd appointment with the filing representative, then this Appointment will be immediately ended & recorded as “unprepared” in PENS. The filing representative will be brought to the Chief Plan Examiner (CPE) • If more than 2 appointments are needed to address the examiners comments and objections , then the filing representative or Applicant of Record must first request and receive authorization from the CPE 3
  72. 72. build safe | live safe Keeping Appointments • If you appear after 5 minutes of your scheduled appointment time, you will entered as “late” in PENS • If you do not show-up for your appointment and did not call 311 the day before, you will need to reschedule an appointment and will be marked with an unexcused “no- show” absence in PENS 4
  73. 73. 1 Alteration Applications Cost Validation Project Cost Affidavit (PW-3) Validation Ravi Patur Executive Director, Borough Operations Code and Zoning Representative Training Module 5.5
  74. 74. 2 New Building (NB) Application: Fees assessed based on total construction floor area (not zoning area) Alteration Applications: Fees is based on the construction cost of the project Reference: Administrative Section of the 2008 NYC Building Code • Article 112 outlines the fee schedule of permit fees (Table 28-112.2) • For alteration permits, Section §28-112.3 of the Code requires the applicant to provide an “estimated job construction cost”, which must include the “total value of work” • Project’s cost estimate “shall include total value of work, including materials, and labor…” • The code further establishes that the final valuation “shall be set by the department” (§28-112.3) Permit Fee Structure build safe | live safe
  75. 75. 3 Purpose: Ensure that the Department is collecting applicable fees due to the City for alteration projects DOB Operations • City Audits found under reporting of project costs – resulting in loss of fees due to the City • Beginning in 2008, DOB implemented a Cost Affidavit (PW-3) for all alteration jobs • Plan Exam units are required to validate the project’s cost prior to approval, or during audits of pro-cert. jobs • If project costs are under valued, an objection is issued to revise the cost on PW-3 • To ensure uniform and consistent cost validation citywide, a Cost Validation audit and monitoring program was initiated in 2010 Cost Validation build safe | live safe
  76. 76. 4 PW-3 Form • Required for alteration permit applications with a few exceptions • Guidelines are available online • Check Categories of Work • List work elements with area/units – must reflect the project’s scope • Must include totals for all categories and job cost Submission • Cost Affidavit is required with an application at initial filing, changes, and for final Sign-off o Initial: PW-3 Cost Estimate signed by Applicant and Owner o Changes: PW-3 Cost Estimate signed by Applicant and Owner o Final: PW-3 Actual Cost signed by Owner • PW-3 for legalization work – Cost must be in today’s value • Alt-1 No-work Applications – PW-3 is not required Cost Affidavit build safe | live safe
  77. 77. 5 Filling the PW-3 Form: Details and Accuracy Work Categories Check all pertinent work categories: • Categories checked must match PW-1 • Must indicate Yes or No for all listed categories • Under General Construction (OT), make sure to check all applicable details, including partial demolition Work Description, Area/Units and Cost For each work category: • Describe construction work elements under the category • Record each work element’s Area or Units • Fill-in the Unit Cost for each work element and Total cost • Provide Totals by Category and for the Project’s Cost • PW-3 Form Instructions have examples PW-3 Submission build safe | live safe
  78. 78. 6 NB In Conjunction Jobs (to qualify for minimum filing fees) Application must be an Alt 2 or Alt 3 and reference the NB job number: • Drawings must show scope of work covered by the NB application • Must file prior to the issuance of a TCO or CO Jobs that fail the above criteria, will be assessed fees Enlargements Alt 1 or Alt 2 applications must include: • Cost for partial demolition of existing building • Cost of alteration work for all affected areas (including cellar) Legalization Applications filed to legalize work without a permit: • PW-3 cost should be calculated as if proposed work is at the time of submission • Civil penalty are calculated based on actual value of work • DOB will not accept $1,000 minimum frequently used PW-3 Notes build safe | live safe
  79. 79. 7 Plan Reviews and Audits • Examiners / Auditors will first establish the project’s scope of work at application review (drawings/documents) • Will identify various work components essential for the scope as established • Compare PW-3 Cost with DOB Valuation Validation Process • The Department uses RS Means as standard reference to assess the value of a project’s work • Will issue an objection if project cost is under-reported • To resolve the objection: 1. PW-3 must be revised to show the min. assessed value, OR 2. The Applicant may submit a detailed cost estimate using RS Means, or other standard cost tool (§28-112.3) Job Cost Validation build safe | live safe
  80. 80. 8 In FY 2010 the Department established a Cost Validation Unit The unit is responsible for the following: Technical Support • Provide research and technical support in areas of construction cost and permit fees • Establish standard methods for cost valuation • Provide ongoing technical support and training to plan examiners Internal Monitoring and Control • Develop and provide standard guidelines for Plan Examination for Cost Validation of alteration applications • Conduct weekly audit of a sample of alteration applications following approval in boroughs Cost Validation Unit build safe | live safe
  81. 81. 9 Operations Thomas Fariello, RA First Deputy Commissioner 212-566-3248 Kanda Gordon Associate Commissioner 212-566-3444 Ravi Patur Executive Director 212-566-3142 Technical Affairs Marshall Kaminer, PE Executive Engineer 212-442-0933 DOB Contacts build safe | live safe
  82. 82. 10
  83. 83. 11
  84. 84. 12
  85. 85. Thank You! 13
  86. 86. Records & Records Room Operation Jamie Maule Service Manager Code and Zoning Representative Training Module 8.2 & 8.3
  87. 87. build safe | live safe Record Retention Requirements • 2008 Construction Code, Administrative Code (AC) Section 28-103.14 requires the Department to keep official records of: • Applications received; • Permits and certificates issued; • Fees collected; • Reports of inspections; and • Notices and orders issued. • Past Codes (1968, 1938) had fewer requirements concerning how the records kept 2
  88. 88. build safe | live safe In a Borough Office “Record Room” you may: • Perform property research • Obtain microfilm copies and hard copies of microfilmed documents & drawings • Obtain Job Folders • Request & review offsite Job folders • Request drawings and plans from the BSCAN unit Filing representative and professional ID must be clear of any outstanding/missing “permitted” folders Record Room Operation 3
  89. 89. build safe | live safe Freedom of Information Act/Law • Information about “sensitive properties” must be requested under the Freedom of Information Act/Law (FOIL)  Sensitive properties - public buildings, a professional league sports stadium, health facilities, etc. • Requests for records information about sensitive properties must be accompanied by an email approval from the Department’s office of Internal Audits and Discipline (IAD)  IAD approval expires after 30 days 4
  90. 90. build safe | live safe Property Research You may research a property to: • Find building records relevant to a current or past Certificate of Occupancies (CO) • Find the legal status of a structure • Find or generate a Letter of No Objection (LNO) • Find docket books, containing information regarding past violations, applications, etc. • Find Curb Cut Cards • Find Index Card records • Request updates in the Building Information System (BIS) • Find an Equipment Use Permit (EUP) card. 5
  91. 91. build safe | live safe • The C of O defines the legal use of a structure • Copies of a C of O may be downloaded online from BIS. If the CO is not available online, you may also go to the borough office and research: • Docket books for all pre-BIS filings • Index cards (Buildings Department Index Card) • Curb cut cards • Microfilm records • Offsite records, turn around time is several weeks from initial request 6 Researching the Certificate of Occupancy
  92. 92. build safe | live safe • The Buildings Department Index Card indicates the pre- BIS (pre-1980’s) jobs filings and CO number(s), if available • Pre-BIS job filings may not always be listed on the BIS Property Profile Overview 7 C of O Supporting Records Index Card
  93. 93. build safe | live safe • This curb cut card is an example of a pre-BIS system (Pre-1980’s) NB job filing • The Docket Book may indicate a CO 8 C of O Supporting Records Curb Cut Card
  94. 94. build safe | live safe Department of Buildings Records CO from 1931 9
  95. 95. build safe | live safe Department of Buildings Records CO from 1980 10
  96. 96. build safe | live safe Department of Buildings Records CO from 2013 11
  97. 97. build safe | live safe • DOB certified copies of the CO are currently available for $5/per copy • When a CO is not available, there are other methods available to get property information that are supplemental or in addition to a CO, including: • “I-Cards” (Information Cards) • Multiple Dwelling (MD) cards that were issued by the NYC Department of Housing, Preservation & Development (HPD). • If a CO was obtained only from borough office records, the applicant or filing representative should advise the DOB borough staff to upload the CO to BIS 12 Researching the Certificate of Occupancy
  98. 98. build safe | live safe • HPD printout with the Multiple Dwelling Registration (MDR) number indicating the number of units & “I- Cards” are considered proof of legal use as a multiple dwelling (MD) or a mixed use building (residential & commercial) • The HPD “I-Card” may also indicate pre-BIS system applications filed and COs 13 C of O Supporting Records HPD “I – Card”
  99. 99. build safe | live safe • What is a Letter of No Objection (LNO)? • An LNO is another way to describe how the property is being used • An LNO is not a substitute for a CO, but is accepted by some government agencies and attorneys, if a CO is not available from DOB records Letter Of No Objection 14
  100. 100. build safe | live safe Letter of No Objection Process • The following information is required for LNO application filings: • Print the “Property Profile Overview” (PPO), “Actions”, and “Job Filings” screens from BIS • Copies of curb cut cards • Copies of Docket books for each NB & Alt listed on action screen • Copies of Buildings Department Index Cards • HPD “I” Information card for 3 family or more • Copies of C of O (as appropriate) • Review microfilm and offsite database for pre-BIS applications, which may not be listed on BIS “Actions” screen • No LNO will be issued if there is an open NB or Alt 1 • Fire Suppression jobs must be signed off prior to applying for LNO 15
  101. 101. build safe | live safe • Anyone can file for an LNO with the owner’s authorization • There may be minor variations between boroughs in forms, but procedures are essentially the same • In Queens, you may refer to the Commissioner Compliance Memorandum, at right 16 Letter Of No Objection
  102. 102. build safe | live safe • The Buildings Department Index Card indicates the pre- BIS system (pre- 1980’s) jobs filings and CO number(s), if available • Pre-BIS system job filings may not always be listed on the BIS Property Profile Overview 17 LNO Supporting Records Index Card
  103. 103. build safe | live safe • This curb cut card is an example of a pre-BIS system (Pre-1980’s) NB job filing • The Docket Book may indicate a C of O 18 LNO Supporting Records Curb Cut Card
  104. 104. build safe | live safe • HPD printout with the Multiple Dwelling Registration (MDR) number indicating the number of units & “I- Cards” are considered proof of legal use as a multiple dwelling (MD) or a mixed use building (residential & commercial) • The HPD “I-Card” may also indicate pre-BIS system applications filed and COs 19 LNO Supporting Records HPD “I – Card”
  105. 105. build safe | live safe • DOF Building Classification Codes • In this case Code B1 confirmed a two family brick dwelling since 1932 20 LNO Supporting Records DOF Records Prior to 1961
  106. 106. build safe | live safe • The LNO filing fee must be paid prior to submitting application: • 1-2-3 family homes & residential garage is $25 for each structure • 4+ family homes & commercial property is $100 for each structure • DOB staff will annotate the following information on the LNO slip issued to customers: • LNO application number • 15 business days review process • 10 business days for review of Resubmittals LNO • The property address listed • The Record Room phone number • The DOB website information 21 LNO Fees
  107. 107. build safe | live safe When will an LNO be issued? • If no C of O is available; and • The submitted property records are “favorable;” then • DOB can issue an LNO indicating the legal use of the property 22 When will an LNO be issued?
  108. 108. build safe | live safe • LNO for two family dwelling • No C of O was located in DOB records • DOB records support the current use as a 2- family dwelling and are the overriding criteria. 23
  109. 109. build safe | live safe The following additional information is required when requesting an LNO for buildings with Children-related special occupancy, with or without a C of O: • Hours and/ or dates of operation, number of children per each age group (under and over 2 years old) • Layout drawing with floor location, exits and accessory spaces • A DOB mandatory Field Inspection & report Examples of buildings with children-related special occupancy include: • Group family daycare homes • Family day care homes • Schools • After school programs • Day & summer camps LNO Special Occupancies 24
  110. 110. build safe | live safe Microfilm / Microfiche • Microfilm / Microfiche requests can be submitted for plans, application filings, surveys, etc. • To request a Microfiche, complete the Record Request form: • Check the “Microfilm” box • Fill in the BLOCK/LOT numbers • When possible, include the application number(s) • If the property was previously known with a different block/lot number, please include this • Limit one Q-Matic ticket per request form • There are no Microfiche copies for BSCAN Jobs (Jobs after 2009) Microfiche and job folders cannot be listed on the same Record Request form 25 
  111. 111. build safe | live safe Microfiche Fees • 11+ microfiche cost 25 cents per “fiche strip” • A fiche strip contains a series of drawings and documents that can be viewed on the Microfiche viewer • There is a viewer located in each borough office in the Public Access Area • There are also viewers with photocopying ability in each borough office, which can produce small (standard letter) size copies • Customers may purchase a Jamex Card for the amount needed for small (standard letter) size blowback copies. Each small blowback copy costs 25 cents per page • Blowback copies of microfiche drawings & documents that are in excess of the small (standard letter) size are available at $8 per page • Additional copies in the same request of the same microfiche drawing/document are $5 per page 26
  112. 112. build safe | live safe • The microfiche sheet (below) is placed under the glass of the viewer (to the right) for review Microfilm / Microfiche 27
  113. 113. build safe | live safe Job Folder Request Complete the Record Request form with Job Number and check the box “ folder” • Permit folders are recorded in the Expeditor Retention database with Filing Representatives / Professionals DOB ID. • Records of all Approved and Disapproved folders are recorded in the borough office including, which customers (applicant, filing representative) has the folder and when it was pulled • Contents of “non-permit” folders may be given to the customers Microfiche and job folders cannot be listed on the same Record Request form 28 
  114. 114. build safe | live safe Additional Records Search The Additional Search form (10 business days) can be used if: • The job folder is not immediately available or cannot be readily found • The job folder is located in DOB offsite storage • Information requested is in a pre-BIS job folder or a Block/Lot folder • The form is signed by the designated DOB records room staff person and a copy is provided to the customer as a receipt 29
  115. 115. build safe | live safe Additional Records Search 30
  116. 116. build safe | live safe BSCAN 1. The BSCAN section in Queens is open on Tuesday and Wednesday from 10:00 am to 12:00 noon 2. The BSCAN unit scans documents and plans for applications from 2009 and later • For example in Queens, BIS Job numbers start with “420” (documents and plans) and “410” (documents only) 3. Applicants or filing representatives cannot submit documents or plans directly to the BSCAN unit. 4. When submitting application documentation: • Filing Representatives need to provide three sets of plans when filing • One set of plans will remain in the BSCAN unit for scanning (DOB copy) • The other two sets of plans will remain in the job folder for the applicant, filing representative, etc. • The documents filed are scanned and available online for public review in the “virtual folder” in BIS under the application number 5. The BSCAN unit will charge a fee of $8 per copy of any scanned drawing, or other document that is not in the virtual folder 31
  117. 117. build safe | live safe Thank you! 32
  118. 118. Code and Zoning Representative Training Module 9.14 SOLAR POWER Solar Photovoltaic and the Construction Codes Tax Abatement Martin Rebholz, RA Borough Commissioner
  119. 119. build safe | live safe 2 General Requirements • Construction and Electrical work permits • Panel must be listed by a nationally recognized testing laboratory • NYC-licensed Master Electrician is required for all Electrical installations • Applicant must be a registered architect or professional engineer • Electrical utility interconnection approval Solar Photovoltaic Panel (PV) installation projects requires all of the following:
  120. 120. build safe | live safe 3 Construction Application: • Building and roof structure • Roof condition/rooftop obstructions • Drainage conditions • Product structure, listing and anchorage • Location of Electric Meter, AC Disconnect, Inverter Electrical Application: • Product listing • Electrical assembly • Utility connection Property Tax Abatement Application: (if applicable) • Form to be filled out in accordance with Department of Buildings instruction sheet Information Required
  121. 121. build safe | live safe 4 Types of Application
  122. 122. build safe | live safe Required Rooftop Information 5 Fire Code Section 504 • A clear path of not less than 6 feet (1829 mm) horizontal width and 9 feet (2743 mm) in height shall be provided from the front of the building to the rear of the building and from one side of the building to the other….
  123. 123. build safe | live safe 6 Required Rooftop Information
  124. 124. build safe | live safe 7 Required Rooftop Information
  125. 125. build safe | live safe Required Zoning Information 8 Local Law 20 of 2011 - Zone Green text amendment to the Zoning Resolution Rooftop Solar PV no longer counts as an additional story http://www.nyc.gov/html/dcp/html/greenbuildings/index.shtml
  126. 126. build safe | live safe 9 Zone Green: Solar PV As A Permitted Obstruction On Flat Roofs Street NON-CONTEXTUAL Zoning Solar PV panels as Permitted Obstructions in Non-contextual zoning districts are now ALLOWED to penetrate the sky exposure plane (sloping plane) CONTEXTUAL Zoning Solar PV panels as Permitted Obstructions in Contextual zoning districts are now ALLOWED to penetrate the maximum height limit (horizontal plane) Residential and commercial zoning districts with an A, B, D or X suffix are Contextual zoning districts. BUILT UNDER HEIGHT LIMIT BUILT OVER HEIGHT LIMIT MAXIMUM HEIGHT LIMIT BUILT UP TO HEIGHT LIMIT PRE-EXISTING Max 4’ Permit Applicant of Record must know allowable building height in proposed zoning district, and must know actual building height in order to design PV solar system in compliance with NYC zoning regulations Construction Permit Application
  127. 127. build safe | live safe 10 On slopes greater than 20 degrees, solar panel height shall be limited to 18” measured perpendicular to roof surface 40º > 20º Photo: Department of Buildings Construction Permit Application
  128. 128. build safe | live safe 11 Construction Permit Application
  129. 129. build safe | live safe Construction Permit Application 12 Document requirements • Plot plan locating of the building on the site, pertinent trees, structures, city services, utilities, hazards • Site plan, roof plan(s), elevation(s) showing the solar modules in place, other equipment and structures, pertinent to or having impact on code compliance of the system • Fire Department access for firefighting and maintenance (Fire Code §504) • Electrical Diagram • Location of Meter, AC Disconnect & Inverter – May be a single line diagram
  130. 130. build safe | live safe 13 Document requirements • Drawings showing structural work required to provide, add or reinforcement as necessary to sustain the added vertical and horizontal loads (Building Code Chapter 16) • Submit Form TR-1 for special inspections (structural stability, firestopping) • Submit Form TR-8 for Energy Code inspections • Drawings showing roof covering and drainage work • DEP Asbestos form • Adjoining building outlines and heights • ConEd preliminary contract or other proof of coordination Construction Permit Application
  131. 131. build safe | live safe Construction Permit Application 14
  132. 132. build safe | live safe 15 Construction Permit Application
  133. 133. build safe | live safe 16 Inspections • Special Inspections (form TR-1) • Energy Code Progress Inspections (form TR-8) • Electrical inspection (by DOB) and sign-off required prior to Construction sign-off Construction Permit Application
  134. 134. build safe | live safe Construction Permit Application 17 Electrical Permit may be e-filed Must be associated with construction job number. NYC Electrical Code § 690.1 • Installations must be listed by nationally recognized testing laboratory as complete assemblies Electrical inspection by DoB
  135. 135. build safe | live safe 18 Electrical Permit The solar electric generating system installations must select (E) Sustainable Energy Installs Solar on Form ED16A (electrical permit application). Construction Permit Application
  136. 136. build safe | live safe 19 Definitions • Applicant of record - the registered design professional who filed the alteration application • Alteration application - in this case, the Alt 2 application filed with the Department • Applicant for property tax abatement - the owner • Application for property tax abatement - Form PTA4 • Compliance period - the tax year (July 1-June 30) in which the property tax abatement begins and the three tax years immediately following, 4 years total Application for Property Tax Abatement
  137. 137. build safe | live safe 20 Definitions • Placed in service - affects how the abatement is calculated, and shall be the latter of: • The date the system began generating electricity, or • The date of the Department’s issuance of a letter of completion for the associated alteration application Application for Property Tax Abatement
  138. 138. build safe | live safe 21 COMPLIANCE PERIOD THE TAX ABATEMENT PROGRAM WILL END IN 2013 2015 March 15, 2013 2015 will be the final deadline to submit your application. December 31, 2012 2014 is the final date for “placed in service” Application for Property Tax Abatement
  139. 139. build safe | live safe 22 Document requirements • Plot plan locating of solar power system on the site, trees, structures, city services, utilities or other potential hazards • Site plan and/or roof plan(s) and/or elevation(s) showing the solar modules in place, other equipment and structures, whether or not related to the system • Fire Department access for firefighting and maintenance (Fire Code §504) • Zoning compliance, including height and setback requirements • Electrical drawings Application for Property Tax Abatement
  140. 140. build safe | live safe 23 All solar tax abatement applications are required to be submitted via eFiling. • Job/Project Type must be Alteration 2. • Directive 14 Acceptance must be requested. • Applicants must request review under the 2008 NYC Construction Code. • Application must be filed as Professional Certification of Objections • Work Type of “Other” must be selected, then select from the dropdown menu next to “Other,” Solar(Tax Abatement) • You will be able to generate a PW-1 using eFiling • You cannot claim exemption from Energy Code Application for Property Tax Abatement
  141. 141. build safe | live safe 24 Application for Property Tax Abatement • Job/Project type must be Alteration 2
  142. 142. build safe | live safe 25 • Directive 14 Acceptance must be requested • “Yes” to Owner’s Certification for Directive 14 Job Application for Property Tax Abatement
  143. 143. build safe | live safe 26 Application for Property Tax Abatement • Request review under the 2008 NYC Codes • Check worktype “Other” and “Solar (tax abatement)
  144. 144. build safe | live safe 27 Application for Property Tax Abatement File for Professional Certification of Objections
  145. 145. build safe | live safe 28 Application for Property Tax Abatement Step 4: Email the completed PW1 package, signed and sealed, to: greenroofandsolar@buildings.nyc.gov In the package, include the following information: Email subject: “PW1 attached for job number ###, BBL” 1. Attached please find the PW1 package 2. T-number for the job 3. Any other administrative comments specific to the job Signatures and NYS Professional Engineer and Registered Architect seals may be submitted to DOB electronically by methods such as scanning a hand-affixed seal and/or signature and by placing a digital copy of the seal and/or signature on an electronic document.
  146. 146. build safe | live safe 29 Application for Property Tax Abatement Step 5: Make payment. • The Hub staff will send an email confirmation containing your job number and request for payment of filing fees • Payment can be submitted payment on-line electronically, by mail or in person, to the borough manager in the borough where the project is located • Email the Hub staff after payment is made • Hub staff will reply to your email when ready for Step 6, submit construction documents
  147. 147. build safe | live safe 30 Step 6: Submit construction documents electronically for approval via eFile. • Plans, including electrical 3 line diagram and meter pan, AC Disconnect and Inverter • Asbestos reports • PW3 Cost Affidavit • TR1 Technical Report – Statement of Responsibility • TR8 Technical Report – Energy Code Progress Inspections • Preliminary PTA-4 identifying applicant information, job locations, costs, and electric output Application for Property Tax Abatement
  148. 148. build safe | live safe 31 Step 7: Review by DOB plan examiner and virtual collaboration with the applicant Step 8: Project approval and pull permit Application for Property Tax Abatement
  149. 149. build safe | live safe 32 Construction sign-off and inspections • PTA4 Property Tax Abatement application • PW3 cost affidavit • PW7 Letter of Completion review request • TR1 & TR8 Technical Reports • Utility interconnection letter • Notify Inspection Hub when work is ready for inspection and amendments filed (if necessary) • After inspection, DOB will sign-off and forward tax abatement application to DOF Application for Property Tax Abatement
  150. 150. build safe | live safe 33 New Process! DOF will supply confirmation letter of Tax Abatement to owner including: • Eligible expenditures • % of property tax deduction • Start and end dates of tax abatement Application for Property Tax Abatement
  151. 151. build safe | live safe 34 Filing for the Tax Abatement PTA4 Application for Property Tax Abatement
  152. 152. build safe | live safe 35 Form PTA4: Property Tax Abatement 1. An architect or engineer must certify a) compliance of the solar electric generating system with both Title 4-C and 1RCNY §105-02, and b) the date the system was placed in service. 2. The architect or engineer must complete the Application Form PTA4, sign and seal the form, and obtain the signature of the owner (Applicant for Property Tax Abatement). Application for Property Tax Abatement
  153. 153. build safe | live safe 36 Application for Property Tax Abatement Form PTA4: Property Tax Abatement 3. The Applicant must certify the expenditures for the solar electric generating system: • Incurred on or after August 5, 2008; • Do not include interest or finance charges; • Not incurred using a federal, state or local grant The applicant must also certify that the system will be maintained throughout the compliance period.
  154. 154. build safe | live safe 37 Application for Property Tax Abatement Form PTA4: Property Tax Abatement The form must be received by March 15 in order for the abatement to commence on July 1 of that year. There will be a separate DOB final construction inspection by a Department of Buildings inspector for final signoff and to validate the system is placed in service.
  155. 155. build safe | live safe 38 Application for Property Tax Abatement • Within 15 days prior to the last day of the compliance period, an architect or engineer must inspect the installation to ensure that it complies with the requirements of Title 4-C and DOB rule 1RCNY §105-02. • The applicant of record shall prepare and maintain a report of the inspection, and shall notify DOB if the system is not in compliance.
  156. 156. build safe | live safe 39 Application for Property Tax Abatement Please email your questions to the Department at: greenroofandsolar@buildings.nyc.gov
  157. 157. build safe | live safe 40 Thank You! Application for Property Tax Abatement

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