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Design Professional Project Phases & Requirements

When submitting construction documents to the Department, the principal Registered Design Professional, who is the Applicant of Record, is responsible for submission of the complete set at filing: application, drawings and coordination of required documents.  The following information is provided to reduce the risk of Department enforcement actions and penalties.

Phase I

Pre-approval of Project

During the design/pre-construction phase, a clear understanding of the NYC Construction Codes and other regulatory requirements is necessary when considering the project scope of work. By using the Project Guidelines Owners/Developers and Design Professionals can work together to determine the level of effort needed to comply with requirements.

Requirements

Scope and Budget - Outline scope of work and budget estimate

Project Plans - Registered Design Professional prepares and finalizes project plans, with periodic review by the Owner; permit path selected (New York City Department of Buildings plan examination review or Professional Certification).

PHASE II

Design/Pre-Construction

Based on the complexity of the project, design professionals have the option to discuss the following with Department experts at scheduled meetings:
  • Work Scope, Project Schedule, Filing Strategy and Phasing of your project
  • Regulations and requirements from the Department and other City agencies
  • Identification of possible compliance variations or alternatives

Project Reviews (Optional) – Submit a request for project consultation, with the Department to clarify compliance issues

Determinations (Optional) – Submit waivers, alternate equivalent designs, or other special considerations from the Department

Project Guidance (Optional) – Consult with the Department to review project scope, and guidance related to requirements for phasing work

Requirements

Construction Documents & Online Submission (Required) - Completes online project intake forms, and electronically uploads project drawings, additional documents, and other required submissions

Project Plans - The Registered Design Professional prepares and finalizes project plans, with periodic review by the owner; permit path selected (Department plan examination review or professional certification).

Plan Examination

  • Path I – Department Review -  Project submissions require Department Review for approval, and are assigned to a Department plan examination team.  Following the team’s first review, the project is either approved or disapproved.  If disapproved, the Applicant (Registered Design Professional) resubmits revisions or meets with the team/Plan Examiner to satisfy requirements for approval.
  • Path II – Professional Certification (Pro-Cert) -  Department Plan Review is not required, the Registered Design Professional certifies compliance and the project is allowed to obtain a permit following Department acceptance of complete submission by Applicant.

*Note: Pro-Cert projects may be audited.*

Appointments (Required) - Disapproved and audited applications are marked with plan review comments; Registered Design Professionals must be prepared with resolutions of such comments for resubmission with revisions, or to discuss in appointments.

Pre-approval - Owners/Developers and Registered Design Professionals work together to determine the level of effort needed to comply with construction requirements; Contractors/Subcontractors can accurately determine relevant project-related costs in their bids.

Approval (Required) - Following the resolution of all comments including receipt of all necessary submissions, a project is approved to allow issuance of the project permit.

  • Work Permits.  After receiving project approval/acceptance, a licensed/registered Contractor can obtain the permit to begin work. If the scope of work involves different disciplines/trades, multiple Contractors (i.e. general construction, plumbing, electrical and other trades) must obtain work permits.

*Note: Special and Progress Inspections, performed by a Special Inspection Agency (SIA), may be required.

Phase III

Completion and Close-out

Project work does not end with the Contractors’ completion of work.  Registered Design Professionals and Contractors must obtain all necessary sign-offs of the completed work, after which a Certificate of Occupancy or a Letter of Completion may be obtained to close-out the project.

Requirements

Certificate of Completion - Issued for some Renovation projects, most Repair projects, and Construction Equipment projects; a Final Inspection sign-off, which includes the submission of various documentation, inspections, tests, etc. results in the issuance of the certificate of completion.

Certificate of Occupancy - Issued for New Building (NB) and Alteration projects; after all related permit sign-offs are obtained and the Final Inspection is performed by the Department and is found acceptable, a Certificate of Occupancy is issued.

Design Professional Project Requirements

  1. Building Systems Installation & Modification

  2. Alterations

  3. Construction Equipment

  4. Renovations

  5. Demolition COMING SOON!

  6. New Buildings COMING SOON!

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