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Architectural Plans - Permits - DOB Job Filings

Architectural Plans

After you have decided exactly what you would like to do concerning your project including the complete scope of work, you will need an architect or engineer to draw up the plans for your desired work. At this time you may also be working with a designer who in turn shall communicate with your architect or engineer as to exactly what the client wants.

By this time you should at least have an idea of who you will be selecting as your General Contractor. Your contractor should also be very involved in the discussions with the architect and designer just before the final plans are drawn. Your contractor is the one who must perform the work and will have vital input to the success of your project.

Drawing up plans on paper and coming up with designs is one thing, however, your contractor should be the one who decides if what is being drawn can actually be done due to existing conditions. There may be many other factors involved which do not concern your architect or designer. This is a very important factor, so your choice of contractor is critical. Make sure he has the Proper Licensing, several years of Industry Experience, and knows all he needs to know in reference to completing your particular project.  


 
We are registered with the New York City Department of Buildings as a filing representative. We have been through the filing process many times and are completely familiar with the entire process.

The steps below outline the process of filing a job with the Department of Buildings to obtain your work permit. There are a few variations when filing depending on whether your particular job is an Alt 1, Alt 2. or Alt, 3 filing. 

 
Architectural Drawings

Step1: Applicant / Filing Representative prefiles application in a borough office

  • Applicant meets with Department pre-filer and submits 3 copies of each of the following to pre-filer.
  • Complete set of drawings, including energy calculations.
  • PW-1 form (attach Schedules A , B, and C if necessary).
  • Asbestos forms.
  • Pre-filer checks for completeness, estimates cost and determines job type.
  • Pre-filer enters basic job information into Building Information System (BIS), assesses fee and assigns a BIS Job Number to the application.

 

  • Note: When the pre-filing phase is completed the application folder is given back to the applicant. Applicant will bring the application folder to the cashier when ready to pay the fee.


Step 2: Applicant / Filing Representative Goes to Cashier and pays the fee

  • Applicant submits the application folder to the cashier and pays the fee.
  • Cashier transfers folder to the DEAR section.

Step 3: Department data enters application details

  • DEAR checks the application information for completeness.
  • DEAR data enters details of the application.
  • DEAR transfers application folder to plan examiner.

 

Step 4: Department reviews application plan

  • A plan examiner reviews the plan for compliance with one of the requirements below:
    • Directive 14 requirements: zoning (use), egress and LL58/87 (disability) only.
    • Directive 2 requirements:
      • egress (Building Code)
      • fire protection (Building Code)
      • Multiple Dwelling Law
      • Housing Maintenance Code
  • During the review, the plan examiner data enters into BIS any "required items" needed for the construction work being described.

 

  • Note: Sprinkler applications are filed under Directive 14s but receive a Directive 2 review in that, the water supply is checked for compliance with the Building Code.

If the plan is approved:

  • Plan examiner stamps and signs the 3 complete sets of approved plans and other appropriate paperwork.
  • Plan examiner data enters approval status into BIS.
  • Applicant is given the approved application (drawings and forms) to be perforated at the Record Room or other area designated by the borough.

If the plan is disapproved:

  • An objection sheet will be completed by the plan examiner and emailed to the applicant (or mailed when email address is not available), informing applicant of areas that do not conform to applicable laws.
  • Plan examiner data enters disapproval status into BIS.
  • Applicant calls 311 to make an appointment to resolve the objections.
  • The process described above may be repeated until all objections are resolved and the plan is approved.
  • Note: If changes need to be made to plan after the plan is approved, applicant may be required to file a "Post Approval Amendment" (PAA). 

 

  • Note: Buildings Department offers a Professional Certification Program which enables Registered Architects (RA) and Professional Engineers (PE) to certify that the plans they are filing with the Department are in compliance with applicable laws. Plans that are professionally certified do not go through plan review. NOTE: This self certification process may not be allowed if you own a co-op or condo and your management company does not allow self certifications in your building.This happens quite often.

Step 5: Department perforates the plan

  • Filing Representative brings the folder to Record Room.
  • Record Room clerk perforates the plans and forms and returns them to the applicant.
  • Applicant is required to microfilm the approved application (plans and forms) and deliver them to the Record Room before obtaining a permit.
  • Record Room clerk files the microfilm and stamps the folder and returns it to the applicant. Application is now ready for permit.

Step 6: Applicant / Filing Representative obtains permit

  • Applicant submits to the permit clerk the approved folder with a stamp indicating that microfilm has been received, along with the documents below:
    • PW-2 form, signed and notarized by contractor. If licensee, seal is required in lieu of notarization.
    • PW-3 form, (cost affidavit), signed by contractor and notarized. If licensee, sign and seal.
    • A check for thirty-five dollars (final microfilming fee).
  • Permit clerk checks for fees due and valid insurance prior to producing the permit.
    • Any fees due, including balances and civil penalties for work without a permit, must be paid prior to permit issuance.
    • Appropriate insurance must be held by all potential permittees unless the permittee is a homeowner who will be performing the work himself on his own home. In that case, a waiver from Worker?s Compensation Board must be submitted.
  • The permit is generated and the permit clerk enters the permit issuance date in BIS.
  • The application folder is retained by the permit clerk and sent to the Record Room for filing.

Step 7: Post Permit Activities

  • Some applications require a new or amended Certificate of Occupancy, and others should simply be signed off when the work has been completed. For information on Sign-Off and Certificate of Occupancy process go to "Certificate of Occupancy".

Click On Our Helpful Links Below
 
Architectural Plans
DOB Fillings
Alt 2
 
Self Certification
Remodeling Contractors
Architects Drawings


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