Asbestos ACP-5 Exemptions

Replacement of a Rooftop Air Conditioner with no change to Ductwork is exempt from the filing of an Asbestos Report ACP-5.

Q: I am filing my alteration with the NYC Department of Buildings for Permit Issuance. Are there any types of alterations that are exempt from the filing of an ACP-5 Asbestos Report? If so, what is the list of exempted items?

A: As per a previous post, Buildings filed with the DOB after April 1, 1987 do not require an Asbestos Investigation (ACP-5). In addition, the following items are exempt:

Accessory Parking
Awnings
Building-Sealing
Candy or News Stands
Change of Use, Legalization, or Certificate of Occupancy requiring No Work
Concrete Work (Exterior)
Cranes
Curb Cuts
Debris Chutes, where chute will not be used for Asbestos-Containing Materials
Demolition of 1 story Garages, maximum capacity 2 cars, NOT supplied with Water Lines
Dumbwaiter-Sealing
Elevator Equipment (not including construction and enclosure of Elevator Shaft)
Emergency Power NOT involving hard wiring (i.e. Battery Packs)
Finish Material Installation
Fire Escape Installation
Flagpoles
Greenhouses-Detached
Hoist
Interior Non-Bearing Partition Installation involving NO penetration of Hung Ceiling
Kiosks
Legalization of Demolition Work which occurred prior to 4/1/1987
Parapet Walls
Radio Antennas (Towers)
Relocating Parking Lot Sheds
Retaining Walls
Roof Decks not anchored to Building Structure
Rooftop Air Conditioning Replacement, not involving modification or Removal of Duct Work
Scaffolding (Exterior)
Sidewalk Cafes
Sidewalk Elevators
Sidewalk Sheds, Bridges, and Fences
Signs
Storefront Installation in Existing Masonry Openings
Subdivision of an existing Tax Lot
Temporary Structure Erection (trailers, shanties, etc), supplied with Electric and Water Lines only
Tents
Underpinning of Buildings
Vaults
Water Tank Replacement (Exterior)
Zoning Lot Reapportionment

This information was compiled from DOB OPPN's 1/87, 10/87, and 1/88.

Have a question? E-mail Permitadvisor

Tags: ACP-5, Asbestos, Permit, Alterations

Photo credit Hi-Tech Heating and Air Conditioning

Applicability of NYS Energy Code to NYC Projects

Q: When is the NYS Energy Code applicable to New York City Projects?

A: The following buildings must comply with the noted provisions of the Energy Conservation Construction Code of New York State:

-1- and 2-family detached residential buildings and all residential buildings of three stories or less must comply with Chapters 4, 5 or 6 of the Energy Conservation Construction Code of New York State (ECCCNYS)

-All other buildings, including residential buildings four stories or higher and excluding 1- and 2-family detached residences four stories or higher, must comply with Chapters 7 or 8 of the ECCCNYS

-Except where explicitly stated in the Code, ECCCNYS is not retroactive in existing buildings;

-Additions to existing buildings must comply with the ECCCNYS with respect to new construction;

-Alterations must comply with the Energy Code where 50% or more of any building system or subsystem, measured in appropriate units, is being replaced within any 12-month period, with some exceptions;

-In mixed-use buildings, each major use shall comply with the requirements of its occupancy.

The following buildings are exempt from the provisions of the ECCCNYS:

-Buildings with a peak design rate of nonrenewable energy usage less that 3.4 Btu/h/SF;

-Buildings whose energy usage for heating and/or cooling is entirely supplied from renewable energy sources;

-Historic buildings (see ECCCNYS §101.4.2.3 for detail);

-Nonresidential farm buildings (see ECCCNYS §101.4.2.5 for detail).

All New Building and Alteration Type-I Applications must now include an Energy Code statement on the plans and Applications:

"To the best of my knowledge, belief and professional judgment, these plans and specifications are in compliance with the Energy Conservation Construction Code of New York State, using Chapter ____.”

As of September 4, 2007, the Professional Statement and the Energy Analysis will be listed as a Required Item for New Buildings and Alteration Type 1 projects. Alteration Type 2 and Alteration Type 3 OT projects will have the same listed required items in November, 2007.

Excerpts from DOB Web site

Balcony Enclosures?

Q: Is it permitted under any circumstance to enclose a Balcony? If so, are there any special considerations to such enclosures?

A: The Department permits lightweight, readily removable balcony enclosures, not considered a permanent part of the building. This is as per a DOB Memo dated 6/17/1976. Balcony enclosures shall comply with the following criteria:

1. The enclosure must be of lightweight, non-combustible construction.
2. The enclosure assembly must not include masonry or insulation.
3. The enclosure must contain operable windows to provide 10% light and 5% ventilation to both the balcony and the room opening onto the balcony.
4. The existing balcony parapet or railing must remain intact.
5. The enclosure shall be anchored and designed to resist Wind Loads and Lateral Loads.
6. Plumbing, heating, ventilation or air conditioning systems must not extend into the balcony (except for the mandatory retention of balcony drains)
7. Additional dead load consisting of flooring, subflooring or soil shall not be added to the balcony. Furniture shall be restricted to the lightweight "lawn type" variety.

Non-Profit Institution with Sleeping Accommodations

Q: What is the proper way to indicate a Non Profit Institution with Sleeping Accommodations on a Schedule-A or Certificate of Occupancy?

A: For a New Building, which is a Non-Profit Institution with Sleeping Accommodations:

Description: Non-Profit Institution with Sleeping Accommodations
Occupancy Group: J-2-Residential
Use Group: 3-Community Facility
Multiple Dwelling Classification: HAEA
List Number of Dwelling Units Per Floor? Yes

Asbestos Investigation for New Building?

Q: How recently constructed does a New Building need to be to avoid an Asbestos Investigation requirement?

A: Buildings filed with the DOB after April 1, 1987 do not require an Asbestos Investigation (ACP-5). In lieu of the ACP-5, an ASB-4 'Asbestos Exemption Form' must be filed. This form must be signed & sealed by the Architect or Engineer of Record.

Home Improvement Contractor's License

Q: When is a Home Improvement Contractor's License required by the NYC-Department of Buildings for a DOB Work Permit?

A: Contractors must have a Home Improvement Contractor's License when obtaining a permit for alterations to:

-1, 2, 3 or 4 family homes
-Co-op units, condo units or rented apartment units

Who will this affect?:Any construction contractor Professional Engineers or Registered Architects hiring a contractor (design/build contracts)

A Home Improvement License is not required if you are:
-A Professional Engineer or a Registered Architect who does not have a Design-Build Contract
-A Subcontractor
-A homeowner performing his or her own work
-A Contractor for a new building
-Performing work in a residence that is owned or controlled by a government agency
-Performing work in only the commercial portion of a building
-Performing work in a Multiple Dwelling and hired by the building owner or Board of Directors

Work Types?

Q: What is a Work Type? Where can I get a comprehensive list of the Work Types? What is required to signoff each Work Type?

A: The NYC Department of Buildings has broken-down Construction Activities into different Scopes of Work which are represented by Work Types. The Work Types are two-letter abbreviations which signify the different scopes of work.

When a DOB Application is prepared, it is necessary to check-off the Work Types you are filing for. When an Alteration Type-II or Alteration Type-III is filed, it is also necessary to specify the Construction Cost of each Work Type on the application.

Below is a list of the DOB Work Types. Note that the Work Types are pre-defined, and cannot be invented by the User. If the Work you are performing cannot be classified under one of the available Work Types, it will be necessary to use the OT (other) Work Type, and to provide a Description of the Other.

Each of the Work Types have unique Approval, Permit, and Signoff requirements associated with them. List of Work Types, as found on the PW-1 or PC-Filing Program:

BL Boiler
EQ Construction Equipment
FA Fire Alarm
FB Fuel Burning
FP Fire Suppression
FS Fuel Storage
MH Mechanical/HVAC
OT Other, General Construction, Structural, Interior Demolition
PL Plumbing
SD Standpipe
SP Sprinkler

Temporary versus Final Certificates of Occupancy

Q: What items are required for the issuance of a Temporary Certificate of Occupancy (TCO), versus a Final Certificate of Occupancy (FCO)? What items are required to renew an existing Temporary Certificate of Occupancy?

A: Below is a general list of items required for Temporary and Final Certificates of Occupancy. Additional items may be required:

Initial Temporary Certificate of Occupancy:
-Construction Signoff
-Plumbing Signoff (including Sprinkler & Standpipe)
-Elevator Signoff
-Technical Report TR-1's for Certification of all Completed Inspections
-Folder Microfilm
-Carbon Monoxide Detector Affidavit
-$100 DOB Temporary Certificate of Occupancy fee
-Fire Alarm FDNY Letter of Approval, or Self-Cert of Defects, or Fire Guards with Recon.
-OK from Commissioner (Certain Boroughs)

TCO Renewals:
-Construction Signoff (less than 18 months old or Update is required)
-Plumbing Signoff
-Elevator Signoff
-Show Progress of removal of Local Law Violations (eg: LL10/81 Elevator; LL 62/91 Boiler)
-Carbon Monoxide Detector Affidavit
-$100 DOB TCO Renewal Fee
-OK from Commissioner (Certain Boroughs)

Final Certificate of Occupancy:
-Construction Signoff
-Plumbing Signoff
-Elevator Signoff
-Electrical Signoff
-Carbon Monoxide detector Affidavit
-No Open Violations
-All Required Items entered as Received
-Waiver of Open, Unrelated Applications, if applicable.

Construction Fence Work Permits

Q: Why do Construction Fence Work Permits Expire on the last day of the year? (12/31)

A: Construction Fence (and other Construction Equipment, or EQ) Work Permits expire on the last day of the year, because the General Contractor's Street Obstruction Bond usually expires on the last day of the year. The Street Obstruction Bond must be active under General Contractor's Tracking Number for Construction Equipment (EQ) Work Permits. Renewal of Fence Permits requires updating the GC's Tracking Number with an updated Continuation Bond for the next calendar year.

My Professionally Certified Application was Audited!

Q: I filed my application as Professionally Certified. The Application was Audited and Objections were issued. What is the process to resolve? Or, my Work Permits were already revoked & I need them to be reinstated.

A: If Audit Objections were issued, they will need to be addressed or the Work Permits could be revoked by DOB. If the Permits have already been revoked, but you are able to demonstrate that the Objections can be removed (eg: you have obtained a Reconsideration that addresses the Objections), the following procedure is to be followed, per DOB reg's:

1. Prepare a Post Approval Amendment (PAA) PW-1 (an original and two copies). In the comments section, state "This PAA is filed to answer the Audit Objections". If amended drawings are involved also list them in Section #16. FOR A REVOKED APPLICATION, a PAA to Reinstate the application must also be filed and the required fees paid.

2. See the DOB Audit Examiner with the PAA. The Audit Examiner will note on the PW-1 that it is OK to Lift the Hold so that the document can be entered.

3. Go to the Borough Commissioner's Office ahd have them lift the Hold on the application. This will enable the applicant or Filing Rep to enter the PAA Document. Make sure a copy of this document is put in the DOB Job Folder.

4. Bring a copy of the PAA to the Borough Manager's Office so that the PAA Document can be entered.

5. When all of the above items are completed, and the PAA Document has been entered in BIS, make an appointment with the DOB Audit Examiner so that the document that was originally audited and the PAA to answer the Audit Objections can be ACCEPTED in the Computer.

6. The Auditor will then take the DOB Folder to the Borough Commissioner;'s Office and they will send out a LETTER OF RECISSION, signifying that the Audit has been lifted.

Temporary Place of Assembly Permits

Q: What is the procedure to obtain a Temporary Place of Assembly Permit (TPA)? What are the submission requirements?

A: Check out TPPN 7/96, which outlines the submission requirements. TPA's should be filed at least 10 business days prior to the TPA event. TPA's are required where a space does not have a PA Permit and event is planned for the space which exceeds 75 persons. A TPA Permit is also required where an existing Place of Assembly will be occupied in a special way (eg: more Occupants that that which is approved) for a one day event.

The DOB fee for submission (as of 1/2005) is $250, plus a $100 late fee for each day less than 10 days prior to the event.

Demolition or Alteration Permit?

Q: I want to demolish a portion of my building. Do I need a Demolition Permit? Do I need to file with the BEST Squad?

A:It is necessary to file for a Demolition Permit when the scope of building demolition is 50% of the building or more. Demolition less than 50% may be filed under an Alteration Application (Alt-II, Directive-2).

General Contractor's DOB Tracking Number

Q: What are the minimum Insurance Certificate requirements to establish a General Contractor's Tracking Number? What is the format accepted by the Department of Buildings? Where is the information submitted?

A: Insurance Certificates must be submitted for Worker's Compensation and Disability Insurance to obtain a General Contractor Tracking Number. They may be submitted in any DOB Borough Office. Certificates must be originals. DOB must be listed as Certificate Holder. New Building and Construction Fence Work Permits require Street Obstruction Bond and Liability Insurance Certificates in addition to the above.

If the individual is a sole practitioner and claims he/she does not require Worker's Compensation or Disability Insurance because they have no employees, then a WC/DB100 Form (Affidavit for NY Business that does not require Worker's Compensation and/or Disability) must be submitted in lieu of the required insurances. The form must be sealed by the Worker's Compensation Board. If the GC is out-of-state, then a DB101 Form is required.

Regular Review versus Professional Certification

Q: What is the diffrerence between Regular Review and Professional Certification? What is Professional Certification of Objections?

A: Regular Review is when the DOB Plan Examiner reviews the plans, and issues approval or Objections which must be resolved by the Archtect or Engineer prior to approval.
Professional Certification is when the Architect or Engineer assumes the role of DOB Plan Examiner by Certifying that their plans & applications comply with the Building Code and Zoning Resolution. The Architect is liable for the accuracy of this statement.
The DOB audits about 20% of the Professionally Certified applications (randomly), and reviews them after issuance of the Work Permit to verify compliance. If a non-compliance is issued, a Letter of Revocation is issued, and the project may be placed on hold until the Audit is resolved. Lack of resolution may result in the permit being revoked.

Refer to DOB OPPN 7/1995. Some details have changed since the issuance of this initial document. Refer to DOB OPPN 1/04 for the updates.

No CO on file

Q: I am filing for Alterations to an exisitng building which requires an Amendment to the Certificate of Occupancy. However, the existing building has no Certificate of Occupancy (CO) on file. What is required?

A: For Buildings three stories or less, a new Certificate of Occupancy is required. For Buildings over 3 stories, refer to DOB Memorandum dated July 13, 1981; Item 19: Temporary or Final Certificates of Occupancy for Buildings (exceeding 3 stories) without a Prior Certificate of Occupancy. The following are required:A. The changed use shall not exceed 20% of the total floor area of the building.B. All of the requirements set forth in the DOB memorandum are to be complied with.C. If over six (6) stories in height, there is an operating Standpipe System.D. If either Fireproof or, if not, there is an operating Sprinkler System throughout the entire building.E. Two (2) independent means of egress are available on each floor to all of the tenants, conforming with applicable law.

Combining Apartments

Q: Does a Certificate of Occupancy need to be amended when I combine Apartments?

A: No. Combination of Apartments can be filed as an Alt-II, provided that they result in a lower overall number of Dwelling Units. If the units are condominiums, an application must be filed with the Department of Finance to reflect the condo tax lot merger. One of the two kitchens in the apartment must be removed.

What is the difference between an Alteration Type-I Application and an Alteration Type-II Application?

Q: What is the difference between an Alteration Type-I Application and an Alteration Type-II Application?

A: An Alteration Type-I Application is required when there is a change to the Certificate of Occupancy of a building, due to an interior conversion of the building or a space within a building, or due to a building addition. Most commonly, an Alteration Type-I Application will be used to change the Maximum Number of Persons for a space, to change the Occupancy or Use Group of a space, and/or to change the Description of a space.

An Alteration Type-II Application may be used when there is no change to the Certificate of Occupancy due to the proposed alterations, such as with an interior fitout or an apartment alteration. When an Alteration Type-II is filed under Directive-14 (such is the case 99% of the time), the Applicant or other NYS Registered PE/RA may signoff the application with a Directive-14 Final Inspection. An Alteration Type-II, Directive-14 Application must include the statement "No Change to Use, Egress, or Occupancy under this Application" on the Title Sheet.