PW1 User Guide

Revised 12/14

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Table of Contents:

Important Information………………………………………………………………………………………………..3
How to Read the PW1……………………………………………………………………………………………….4
Section 1: Location Information…………………………………………………………………………………….5
Section 2: Applicant Information……………………………………………………………………………………5
Section 3: Filing Representative……………………………………………………………………………………5
Section 4: Filing Status………………………………………………………………………………………………5
Section 5: Job/Project Types……………………………………………………………………………………….6
Section 6: Work Types………………………………………………………………………………………………7
Section 7: Plans/Construction Documents Submitted……………………………………………………………8
Section 8: Additional Information…………………………………………………………………………………...9
Section 9: Additional Consideration, Limitations or Restrictions………………………………………………10
Section 10: NYCECC Compliance………………………………………………………………………………..13
Section 11: Job Description……………………………………………………………………………………….14
Section 12: Zoning Characteristics……………………………………………………………………………….14
Section 13: Building Characteristics……………………………………………………………………………...15
Section 14: Fill………………………………………………………………………………………………………17
Section 15: Construction Equipment……………………………………………………………………………..17
Section 16: Curb Cut Description…………………………………………………………………………………17
Section 17: Tax Lot Characteristics………………………………………………………………………………17
Section 18: Fire Protection Equipment…………………………………………………………………………...18
Section 19: Open Spaces………………………………………………………………………………………….18
Section 20: Site Characteristics…………………………………………………………………………………..18
Section 21: Demolition Details…………………………………………………………………………………….19
Section 22: Asbestos Abatement Compliance…………………………………………………………………..19
Section 23: Sign…………………………………………………………………………………………………….19
Section 24: Comments……………………………………………………………………………………………..20
Section 25: Applicant’s Statement and Signatures……………………………………………………………..20
Section 26: Property Owner’s Statement and Signatures……………………………………………………...20
Appendix A: Work Types…………………………………………………………………………………………..21
Appendix B: Building Occupancy Classifications……………………………………………………………….21
Appendix C: Construction Classifications………………………………………………………………………..24
Appendix D: Multiple Dwelling Classifications…………………………………………………………………..24
Appendix E: Structural Occupancy Categories………………………………………………………………….26
Appendix F: Seismic Design Categories…………………………………………………………………………26

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 Items in blue boxes indicate new PW1 content for 2014

Important Information
This guide is made available by the NYC Department of Buildings as a courtesy to the public. It does not
represent all the filing requirements for any given application. Though every effort is made to continuously
update this guide, it in no way supersedes, or otherwise substitutes for, the Building Code, Zoning
Resolution or any other applicable rules, regulations or policies.

This document provides information for use when filling out the PW1 form. It includes general template
information the Department of Buildings forms follow as well specific instructions on certain PW1 sections.
New users are encouraged to read this prior to completing the PW1.

How to Read the PW1 Form

PW1 is broken up into 26 sections, which are Section instructions are always in italics.
identified by bold boxes and section numbers

Large shadow checkboxes indicate primary

PW1 sections and additional forms in italics are
selections. Small, indented checkboxes indicate
required if box is checked. For example, PW1
selections associated with a primary selections or
sections 8C, 9-10, 12, 13C-F, 14, 18-19, and 22,
where multiple selections are required.
as well as additional DOB documents PW1A and
PD1 must be filled out if you are filing an
Alteration Type 1 “No Work” job.

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SECTION 1: LOCATION INFORMATION

Location refers to the place where the proposed work will be taking place. To populate this section it is
important that you note the property that is listed exactly as it appears in our Building Information System
Online Database, BISWeb. If you have questions regarding the location you are filing under, please call
the BIS Hotline at (212) 393-2260.

SECTION 2: APPLICATION INFORMATION

This section should include the name, contact and license number of the appropriate certified or licensed:
 New York State Licensed Professional Engineer (PE) /Register Architect (RA)
 New York City Licensed Sign Hanger
 New York State Registered Landscape Architect (RLA) –can file CC and OT/LAN work types; see
PW1 section 6 for more information.
 Other

In some cases, when doing minimal work under an Alteration 3 permit, the applicant may not be required
to be a licensed professional. More information on this can be obtained by speaking to a local borough
manager.

SECTION 3: FILING REPRESENTATIVE

If the filing representative is different than the applicant, the filing representative section must be filled out.
All filing representatives must be registered at the Department of Buildings.

SECTION 4: FILING STATUS

The filing status used to indicate the submission of an initial application or changes to an exisiting
application. Below are some brief definitions to help select the most appropriate filing status and sub
categories.

 Initial Filing: Refers to the first application that has been submitted on a project; does not have a
BISWeb job number. Most initial filings can be prepared using eFiling.
 Standard Plan Examination or Review: The Department’s standard processes for
application review.
 Professional Certifications (licensed professionals only): The Department offers a
Professional Certification Program which enables Professional Engineers/Registered
Architects (P.E. /R.A.) to certify that the plans they file with the Department are in compliance
with all applicable laws. Professional Certified Plans are subject to an audit by the
Department of Buildings.
o Self-Certifications of Objections: After an initial plan examination, Professional
Engineers and Registered Architects are able to request to self-certify that all
objections have been corrected and that the plans are in compliance with all
applicable laws. Election must be made prior to plan exam.

 Prior to Approval: If an application has already been submitted but has not been approved, this will
amend the initial filing.
o Amend Existing Filing: Use to make prior to approval corrections to any filings.
o Subsequent Filing: For all filings, except Alteration Type 3 and Subdivision
applications, a subsequent applicant may be filed. Most can be prepared using
eFiling.

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 PAA (Post Approval Amendments): A PAA allows changes to be made to an already approved (P+
status in BISWeb) application. Changes made after initial approval are subject to PAA fees and plan
examination unless the initial job was professionally certified. The existing BIS document number
amended must be indicated in section 4A and all affected work types on that document must be
indicated in section 6.
o Will PAA affect filing fees: If the filing changes any fee factors, additional fees may
be assessed. For applications where fees are calculated based on cost, a revised
cost affidavit (PW3) must be submitted when this box is marked “yes”.

 New (Superseding) Applicant: To change an applicant of record, specify in section 4A the BIS
document where the applicant is being superseded. Copies of the plans and documents submitted by
the prior applicant must be reviewed, signed and sealed by the new applicant, and submitted to the
Department. If for whatever reason the new applicant cannot in good faith do this, that applicant
should discuss the specific application with the Borough Manager’s office in the borough office the
application was originally filed in.
 Reinstatement: In certain cases, dormant jobs can be reinstated without having to be re-filed.
Reinstating a dormant job is subject to reinstatement fees and requires the application to comply with
all laws and rules in effect at the time of reinstatement. See more information on reinstating a
dormant job.
 Withdrawal: Withdrawing all or part of a job must be documented using a PW1.
 Entire Job: If the applicant is withdrawing entirely from the job, “entire job” should be
selected.
 Specified in 4A and 6: If applicant is withdrawing from only a portion of the job, the
document number should be indicated in 4A, work types in 6.

Section 4A: Indicate existing document number affected by filing

When applicable, Section 4A provides the space to identify the documentation number and affected by
the PW1 being submitted.

SECTION 5: JOB/PROJECT TYPES

Job/Project Types are determined by the scope of work that is being performed. For more information and
for further explanation of Job Types, please read the fact sheet associated with this section of the form.
Only one job type and any associated sub-boxes may be selected.

 Alteration Type 1 (Alt-1): An alteration that requires and amended or new Certificate of Occupancy
(C/O). Some examples include: changing the occupancy of a single-family home to a two-family
home, changing the use of a facility from commercial to residential, or changing the building’s egress.
 Alteration Type 1 required to meet New Building requirements (28-101.4.5): For cases where
there will be an increase in existing floor surface area of a prior code building by more than 110%.
 Alteration Type 1, OT: “No Work”: In some cases a C/O may need to be amended for
administrative purposes when no work is involved. This cannot be selected to legalize work done
without a permit (see section 9).
 Alteration Type 2 (Alt-2): An alteration which does not required an amended C/O, but includes
multiple work types, such as plumbing and construction, is considered an Alt-2.
 Alteration Type 3 (Alt-3): An Alt-3 is an alteration that involves one work type such as a curb cut or a
construction fence. (When such work does not require an amended C/O. In some cases, an Alt-3
application may be filed by an individual who is not a professional engineer or registered architect
contact your borough office for more information. Note: only Construction Equipment, Curb Cuts, and
Other work types are allowed in an Alt-3 application (including only those work types in 6F).
 New Building (NB): When an entire new building is being erected, “new building” should be selected.
If the job requires the demolition of an existing building, a separate demolition application must be
filed. “NB” cannot be selected if any existing building elements are to remain—for example a part of
an old foundation, a portion of a façade that will be incorporated into the construction, etc. If any

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 existing building elements will be retained in place as part of the construction, the application must be
filed as “Alteration Type 1 required to meet New Building Requirements (28-101.4.5)”.
 Sign (SG): A licensed sign hanger is required for the installation of signs. There are various types of
signs, each of which carry different requirements. Illuminated signs require the permit to be renewed
annually. This section does not apply to Marquees which are filed as Alt-3.
 Subdivision (SI & SC):
o Subdivision Improved (SI): An improved subdivision is when one lot is being broken
into several smaller lots. The Department of Finance must assign new lot numbers to
subdivisions. 5B is also required if the lot is being broken into additional lots.
o Subdivision Condominiums (SC): The division of a tax lot into several smaller tax lots
allowing each condominium to have its own tax lot.
 Full Demolition: The dismantling, razing, or removal of all of a building or structure, including all
related incidental operations
 Subdivision: A minor division in a building structure.
 Directive 14: For Alt-2, Alt-3 and Sign applications the professional can request to self-certify the
final inspection by filing under Directive 14 of 1975.

SECTION 6: WORK TYPES

This section is divided into six groups (6A- F) because not all job types may apply to all work types. Select
only work types that are specified next to the job types section. If you filed an application as an Alt-3, only
one work type may be selected, whereas other job types allow multiple work types. As a reminder, the
numbers in italics that follow the work type refer to sections of the PW1 application that must be
completed if you use for each particular work type.

Section 6A:
 BL – Boiler: For the installation, replacement, modification, removal, or discontinuation of a boiler.
 FA – Fire Alarm: A fire alarm is a system, automatic or manual, arranged to give a signal indicating a
fire emergency. An approval letter from the New York City Fire Department Bureau of Fire Prevention
must accompany the plans for the installation of a fire alarm system. If you pre-file, be sure to submit
plans to the Fire Department before continuing on with the Department of Buildings permitting
process. No permit will be issued until the FDNY letter is provided to the Department.
 FB – Fuel Burning: For the installation of a fuel burning item, plans should contain specific
information about the fuel and storage equipment, including the grade of fuel and location of
equipment. See 212-181 (c) for more information.
 FS – Fuel Storage: For the installation, alteration, or removal of fuel oil storage tanks specific
information must be included, including, grade of fuel and location of equipment.
 FP – Fire Suppression: Applications must have plans that include a plot plan, to scale, indicating the
location of the system in relation to the rest of the building. Additionally, the FP application must
distinguish the source of the system, water or chemical.
 MH – Mechanical: Any plumbing, heating, or refrigeration is considered mechanical work.
 PL – Plumbing: The materials and fixtures used in the installation, maintenance, fixtures extension
and alteration of all piping, fixtures, appliances, and equipment in connection with: sanitary drainage,
storm drainage facilities, ventilation systems and the public or private water supply system.
 SD – Standpipe: A system of piping for firefighting purposes consisting of connections to one or
more sources of a water supply and service one or more hose outlets. All buildings 75 feet and higher
are required to have access to standpipes. Plans for standpipes require specific information, including
the water pressure and location of the water supply. See BC §903.1.for more information.
 SP – Sprinkler: A system of piping and sprinkler heads connected to one or more sources of a water
supply. Plans for sprinkler systems, whether automatic or non-automatic, must include the location
and size of water supplies and the location of any electrical devices to be used in the system. See
BC §905.1.1 for all the required information for a sprinkler plan.

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Section 6B:
 EQ – Construction Equipment: The use of construction-related equipment on site. See section 15.

Section 6C:
 OT/GC – General Construction: The use of construction applies when conducting work associated
with the job.

Section 6D:
 OT – Other: Any proposed work that does not fall into other categories should be written in “other”.
Some examples of descriptions are: structural, masonry, steel, etc.

Section 6E:
 CC – Curb Cut: A curb cut is a break in a curb allowing access from the roadway to the sidewalk
within the property line. See section 16. Registered Landscape Architects will now be able to file for
this work type.
 OT/LAN – Landscape: Registered Landscape Architects will be able to file for this work type.

Section 6F (for Alteration Type 3 only):

 OT/ANT – Antennae: The installation of antennas and related equipment requires the filing of an
alteration application and the issuance of a permit.
 OT/BPP – Builders Pavement Plan (BPP): To obtain a BPP sign-off, you must contact the drilling
company directly for all BPP jobs that are 100 linear feet or more. The report must be prepared and
submitted on the drilling company’s letterhead.
 OT/FPP – Fire Protection Plan: A fire protection plan is a report containing a narrative description of
the life and fire safety systems and evacuation system for a structure. A fire protection plan is
reviewed at the time the application is filed.
 OT/MAR – Marquee: The installation and alteration of a marquee is considered an Alt-3 and must be
installed by a licensed hanger.

SECTION 7: PLANS/CONSTRUCTION DOCUMENTS SUBMITTED

Applicant must indicate via the Yes/No checkbox if plans are being submitted along with the application.
If the plans include Energy of Foundation plans, indicate by checking the individual plan type boxes.

SECTION 8: ADDITIONAL INFORMATION

Additional Information is broken into three sections, 8A being related to estimated fees, 8B-C, and 8D-F
to help identify related topics.

Section 8A
Section 8A is for all Alt-2 jobs to estimate the cost and breakdown of a work type.

Section 8B Enlargement proposed

If the work being done is being enlarged, the specific additional gross square footage being increased,
including cellar spaces and without zoning deductions must be specified. Enlargements are not allowed
on Alteration Type 3 applications.

Section 8C Estimated Job Cost

The permit filing fee depends on the scope of the work and Building Code requirements and is
determined by the fee estimator at the appropriate Department of Buildings borough office. For
alterations, the cost is based on the estimated cost of the work being done.

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Alt-1 enlargements (horizontal or vertical) and Alt-2 enlargements (horizontal only) will be calculated by
construction cost only and will no longer be calculated using the square footage of the enlargement.
Section 8D: Street Frontage
For Demolition and Alt-3 OT/BPP jobs, the applicant must specify the linear footage associated with the
work proposed. This information will drive the filing fee calculation.

Section 8E: Height

For Demolition and Alt-3 OT/BPP jobs, the applicant must specify the height of the proposed work.

Section 8F: Total Construction Floor Area

Floor area must be provided for information purposes.

SECTION 9: ADDITIONAL CONSIDERATIONS, LIMITATIONS OR RESTRICTIONS

Each question in this section must be answered as it relates to the application. This section has been
extensively revamped in accordance with the new 2014 Building Code (e.g. new checkboxes—Alteration
required to meet new Building requirements (28-101.4.5), Façade Alteration, BSA Calendar Numbers,
CSC Calendar Numbers, NYS and NYC modular construction information and raising/moving of a
building).

Section 9A:
 Review is requested under which building code: Indicate under which building code the review is
being requested—2014, 2008, 1968, or prior to 1968.
o The applicant must indicate which Building Code review is requested under. Some provisions
of the 2014 Building Code apply to all applications, even if review is requested and performed
under earlier Building Codes. Therefore this selection refers to those provisions for which the
applicant may opt into.
o New Buildings, Solar/Green Roof, and Alterations required to meet New Building
requirements (28-101.4.5) applications must file under 2014 Code review year.
o All other job types may select the Code year under which review is being requested.
o For New Buildings and Alterations required to meet New Building requirements (28-101.4.5),
with initial prior to 12/31/14 Code implementation date and Code year 2008 or earlier, the
year under which review is requested may be changed to 2014 by filing a post approval
amendment on or after the 12/31/14 deadline.
o For all other job types, the code year under which review is requested may be changed to
any year after initial filing by filing a post approval amendment (PAA).

Section 9B:
 Alteration required to meet New Building requirements (28-101.4.5) If yes, 13A-B: If “yes”, fill out
the information in the Building Characteristics section of the PW1 (13A-B). Where work on an existing
floor surface area of a building is increased by more than 110% indicated yes and complete 13A-B.
 Alteration is a major change in exits: If proposed work is a modification that affects the use of
building egress.
 Change in number of dwelling units: If the amount of units in the dwelling will be altered.
 Change in occupancy / use: The use of occupancy will be amended.
 Change is inconsistent with current certificate of occupancy: If the alteration is not in sync with
the standard Certificate of Occupancy.
 Change in number of stories: The amount of building floors will be amended.

Section 9C:
 Façade Alteration: If the proposed work involves façade modification.

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 Adult Establishment If yes, plot diagram (except DM): If the proposed work contains adult activity
as defined in 12-10 of the Zoning Resolution, it must be specified in 9B and be accompanied with a
plot diagram (PD-1 form).
 Compensated Development (Inclusionary Housing)*: To preserve affordable housing, no building
permit will be issued for a Compensated Development (jobs that increase floor area ratio) until an
acceptable Lower Income Housing Plan is filed, approved and certified by Housing Preservation
Development (HPD).
 Low Income Housing (Inclusionary Housing)*: The inclusionary housing program permits an
increase in the floor area of residential development in exchange for the provision of below-market-
rate housing for low, moderate and middle income households. The program is available in R-10 and
R-10 equivalent commercial districts and other medium and high density districts.
*In the event the premises where the proposed work is to take place is part of the HPD Inclusionary
Housing program both as a compensated development and low income housing, “yes” must be
selected for both.
 Single Room Occupancy (SRO) Multiple Dwelling: Single room occupancy multiple dwelling is
defined in 28-107.2.
 Filing includes Lot Merger / Reapportionment If yes, 17: To request a lot merger or apportionment
you must submit a completed Request for Merger or Apportionment form to Department of
Finance.
 Infilling Zoning: Infill zoning permits multifamily housing on blocks entirely within R4 and R5 districts
in predominately built-up areas. Infill housing has higher floor area rations and lower parking
requirements than would otherwise be applicable in the zoning district.
 Loft Board: A loft board certificate is required for alteration of a registered Interim Multiple Dwelling
(IMD) building. Check the Loft Board website for a list of IMD buildings or the BIS property Profile for
LOFT designation.
 Quality Housing: Quality Housing Program encourages the development of consistent
characteristics established by neighborhood. This program is mandatory in R6 through R10
residential districts and is optional in non-contextual districts. Quality Housing buildings must also
have amenities relating to the planting of trees, landscaping and recreation space.
 Site Safety Job/Project: To ensure that construction activity is conducted in a safe manner, a job
may be required to be designated as a site safety job if the buildings has 15 or more stories, is 200
feet or more in height; or has lot coverage of 100,000 feet or more, regardless of height.
 Included in LMCCC: The LMCCC is charged with coordination and general oversight of all Lower
Manhattan construction projects to facilitate construction, mitigate their impacts on the community,
and communicate with the public about the effects of the work taking place.
 Prefab wood I-joists: The proposed work will use prefabricated wood I-joists (structural, load-
carrying products used in residential and light commercial construction).
 Structural cold-formed steel: The proposed work will involve structural cold-formed steel.
 Open-web steel joists: The proposed work will use open-web steel joists.

Section 9D:
 Landmark: Approval from the Landmarks Preservation Commission (LPC) is required to ensure that
work proposed under the application does not affect property’s designation, including buildings,
structures or places located within an historic district designated by the LPC or designated as an
individual landmark. LPC approved drawings must be submitted prior to filing. View a service notice
regarding landmark properties.
 Little “E” or RD Site: Anytime there is an environmental cleanup in the City of New York, the
location is identified as “E” on DCP zoning maps. The Department of Environmental Protection must
approve proposed work to ensure that the work satisfies environmental requirements. See the
Required Items Guide and the DCP website for more information.
 Unmapped/CCO Street: The construction of a large development may include the creation of private
unmapped streets, which should be laid out in the plans for emergency vehicles.
 Requesting legalization of work where no work without a permit violations have been issued:
If this application is being filed to correct and/or legalize work on or after January 1, 1989 as

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 described in NYC Local Law 58/88, and no work without a permit violations have been issued, this
checkbox must be marked “Yes”. If the filing is to legalize work that was done prior to January 1, 1989
where no work without a permit violations have been issued, the application must include a statement
in the comments section that the job is legalizing previous work. If violations have already been
issued, see “Filing to Address Violation(s)” below.
 Other (please specify on the line provided below): Any proposed work that does not fall into other
categories should be written in “other”.
 Filing to Address Violations (list #s-max.5): Submitting documentation to resolve penalties. A
maximum of five violation numbers may be submitted. Filing to comply with Local Laws (list #’s-
max.2): Submitting documentation to be in alignment with the local laws. A maximum of two local law
numbers and corresponding years may be submitted.
 CRFN(s) Restrictive Declaration / Easement (max. 4): CFRN is the City File Number which takes
the place of the old reel and page numbers in all boroughs except Staten Island. Any new exhibits,
easements, and restrictive declaration must be indicated on the Schedule A to appear on the C/O. If
space for more CRFNs is needed, use the comments section for those additional numbers.
 CRN(s) Zoning Exhibit (I, II, III, etc. - max. 4): CFRN is the City File Number which takes the place
of the old reel and page numbers in all boroughs except Staten Island. Any new exhibits, easements,
restrictive declaration must be indicated on the Schedule A to appear on the C/O. If space for more
CRFNs is needed, use the comments section for those additional numbers.

Section 9E:
 BSA Calendar Numbers (max. 5): If the proposed requires a special permit or authorization, a
permit may be issued if the Board of Standard Appeals (BSA) approves the work. Indicate any
associated BSA calendar numbers here. These numbers can be amended into the filing at a later
date if they are not known at time of initial filing. If additional space is needed, use the comments
section. A maximum of five calendar numbers may be submitted.

Section 9F:
 CPC Calendar Numbers (max. 5): If the proposed requires a special permit or authorization, a
permit may be issued if the City Planning Commission (CPC) approves the work. Indicate any
associated CPC calendar numbers here. These numbers can be amended into the filing at a later
date if they are not known at time of initial filing. If additional space is needed, use the comments
section. A maximum of five calendar numbers may be submitted.

Section 9G:
 Work includes lighting fixture and/or controls, installation or replacement. [ECC §C405]: The
proposed work involves making aesthetic updates.

Section 9H:
 Work includes modular construction under New York State jurisdiction: Must select if the
proposed scope of modular construction falls under New York State jurisdiction (NYS Executive Law
Article 18 section 383.C).
 Work includes modular construction under New York City jurisdiction: Must select if the
proposed scope of work does not fall under New York State jurisdiction (NYS Executive Law Article
18 section 383.C).

Section 9I:
 High Rise Team Tracking #: If work is a high-rise as described in section 403 of the New York City
Building Code.

Section 9J:
 Structural peer review required per BC 16. If yes, provide NYS P.E. license number: Indicate if
the application is subject to the structural peer review provisions of the 2014 Building §1617. If the
application is subject to the provisions, the license number of the qualified NYS professional engineer
who served as the structural peer reviewer must be indicated.

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Section 9K:
 Work includes permanent removal of standpipe, sprinkler or fire suppression related systems:
When the proposed scope of work includes removal of any fire suppression related system, this
checkbox must be marked “yes” (FDNY notification will be required).

Section 9L:
 Work includes partial demolition as defined in AC § 28-101.5, or the raising/moving of a
building If yes, 21B: When the answer to this question is “yes”, section 21B must be completed.
 Structural Stability affected by proposed work: If the proposed work will affect structural stability.

SECTION 10: NYCECC COMPLIANCE

Changes to this section clarify the code compliance path and the type of energy analysis chosen.

All New Building, Alt-1 (with the exception of “No Work” Alt-1) and Alt-2, and Alt-3 (where the applicant is
a Professional Engineer or Registered Architect) are required to fill out this section to show the proposed
work will be in compliance with the 2014 New York City Energy Conservation Code (NYCECC). All NB
Applications and Alt-1 applications must now include a professional statement by the design professional,
an Energy Analysis demonstrating such compliance and Drawing set supporting Energy Analysis (see
below). All applications are subject to plan exam review or audit to determine appropriate compliance
with NYCECC.

In cases where the appropriate energy analysis submitted on another job number, that job number must
be specified in this section. If the reason for being exempt in the NYCECC Compliance section was
“other”, it must be specified why in this section.

SECTION 11: JOB DESCRIPTION

The basic and central specifications of the job(s) being proposed must be listed in this section.

SECTION 11A: Related DOB Job Numbers

In this section provide any existing Department job numbers that relate to this application. If there are not
enough spaces, additional related job numbers can be specified in Comments (section 24).

11B: Primary application job number

If there is a primary application associated with the application you are filing (for example an Alteration
Type 2 related to a New Building), the job number of the primary application should be provided in this
section.

SECTION 12: ZONING CHARACTERISTICS

To ensure the proposed development is in compliance with the NYC Zoning Resolution, the applicant
must provide complete zoning information on all initial applications (zoning districts, overlays, special
districts and map number). Zoning information is available at the NYC Department of City Planning (DCP)
website through the “zoning” link.

Section 12A:
 In the districts, overlays, and special districts table, applicant must provide the DCP codes (R1,
R2-A, etc.) for all districts affecting the tax block and tax lot, including districts that may not be directly
relevant to the application. If there is a disagreement with what the Buildings Department has on file
in relation to zoning, the job will automatically be flagged in BIS and the applicant will be required to

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 provide documentation (survey map, etc.) to prove their description of zoning is correct in order for
the job to be approved.
 Zoning map number: Applicant must provide zoning map number to help facilitate quick verification
of zoning information.

Section 12B:

 Street legal width (ft.): A street refers to the entire public right-of-way (including public sidewalks). If
the street is 75 feet or more, certain bulk regulations are applicable to all intersecting streets within
100 feet of the wide street.
 Private / Public: All public streets are indicated on the City map. Applicant must specify if the street
where the structure is located is a public street or a private street.
 Zoning lot includes the following tax lots: A zoning lot is a tract of land comprising a single tax lot
or two or more adjacent tax lots within a block. The zoning lot is the base unit for zoning regulations
and may be subdivided into two more zoning lots.

Section 12C:
For all initial New Building, Alteration Type 1 and any application proposing an enlargement, additional
zoning information is required.

 Proposed Type/Zoning Floor Area/District/FAR: Include all Zoning Floor Area for the proposed
building(s)/building segments and any existing building(s)/building segments on the zoning lot with
associated FAR by use (this is a total of the completed building(s)/building segments and is not floor
by floor). Use can be: Residential, Quality Housing, Commercial, Manufacturing, or Community
facility. If the application is for a site with multiple zoning districts, state the proposed development by
use, by district, on separate lines. If there is not enough space, please finish this section in the
comments section (section 24) on page 4 of the PW1. The “proposed total zoning area” value
provided must account for both thee information provided in this section as well as any information
that needed to be placed in the comments section. If there is no enlargement, and the job is just a
change of use, the existing total and proposed total should be the same.
 Proposed Lot Details: Include a summary of the proposed lot details as per the definitions found in
the glossary on DCP’s website: the proposed lot type (select one), a corner, interior, or through lot;
the proposed Lot Coverage; the Lot Area; and the Lot Width.
 Proposed Yard Details: Include proposed yard details. If there are no yards, check the box for no
yards. Otherwise fill out the depth of all yards: front yard, rear yard, side yard #1, side yard #2, and
rear yard equivalent. Provide the two largest side yards in these fields if there are more than two side
yards. Include additional information the comments section (section 24) on page 4 of the PW1.
 Proposed Other Details: Include other proposed details: If there is enclosed parking, number of
enclosed parking spaces (if applicable), and the proposed perimeter wall height (if applicable).

SECTION 13: BUILDING CHARACTERISTICS

Section 13A: Primary Structural System

For all New Buildings, indicate the primary structural system of the proposed building

Section 13B:
For all New Buildings indicate the following:
 Structural Occupancy/Risk Category: See Appendix E for Structural Occupancy Categories.
 Seismic Design Category: See Appendix F for Seismic Design Categories.

Section 13C:
 Occupancy Classification: See Appendix B for Building Occupancy Classifications.
 Construction Classification: See Appendix C for Construction Classifications.

Page 12 of 23
 Multiple Dwelling Classification: See Appendix D for Multiple Dwelling Classifications.

Section 13D:
 Building Type: Select either “1, 2, or 3 Family” for buildings categorized as such with no more than 3
dwelling units or “Other” for all other building types. For an Alt-1 filing that is changing from a 1, 2, or
3-family building to another type of building (or vice versa), make a selection based on what the
building type will be at the end of the application after the completion of the proposed work.

Mixed Use Building: Select “yes” when the building includes residential use as well as another type of
use, such as commercial, mechanical or community facility. For an Alt-1 filing that is changing from a
single use to a mixed use (or vice versa), make a selection based on what the use will be at the end of
the application after the completion of the proposed work.

Section 13E:

Indicate the building height, number of stories and the number of dwelling units.

Section 13F:
Required for all Alteration Type 1 applications:

 Building was originally erected pursuant to which Building Code: The applicant must identify
whether the building was originally constructed under the 2014, 2008, 1968 Building Code or an
earlier Building Code. For example, where a building was originally constructed in 1942 using the
1938 Building Code, the applicant will check the box “Prior to 1968”.

 The earliest Code with which this building or any part of it is required to comply: in most cases,
the answer will be the same as the previous question. However, where an entire building has
undergone or is undergoing alterations so that it fully complies with a later Building Code, the
applicant must indicate such later Building Code. For example, a building was originally constructed
in 1942 using the 1938 Building Code, the entire building was later renovated in 1972 to fully comply
with the 1968 Building Code, in such an example, the applicant will check the box “1968”. If, for the
same example, the building was only partially renovated in 1972 to comply with the 1968 Building
Code, and that the remaining that was constructed under the 1938 Building Code was left intact, the
applicant must then check the box “Prior to 1968”.

The applicant must specify designation for dominant occupancy classification of building, construction
classification and multiple dwelling classifications (if applicable). Existing and proposed must be supplied
when required for all jobs except new buildings where only a proposed value is required. For proposed
occupancy classification, only 2008 Code designations are accepted, even if the application is not being
filed under the 2008 Code. For information on how to “translate” your prior to 2008 Code occupancy
classification designation into a 2014 Code designation refers to the Code Compass Fact Sheet: Use and
Occupancy Classifications.

SECTION 14: FILL

When over 300 cubic yards of fill is being used, the Department is required to inform Sanitation of where
the fill is coming from and the amount.
 Not Applicable: not applicable to proposed work.
 On-site: 300 or more cubic yards of fill is being used from on-site.
 Off-site: 300 or more cubic yards of fill will be transplanted from an off-site location
 Under 300 cubic yards: Less than 300 cubic yards (on-site or off-site) is being used.

Page 13 of 23
SECTION 15: CONSTRUCTION EQUIPMENT
A Board of Standards and Appeals (BSA) approval number or a Materials Equipment and
Acceptance (MEA) approval number is given to construction equipment that has met New York City’s
standards of quality and safety.

Chute: A chute is the vertical transportation of construction debris.

Fence: A construction fence is a protective structure erected around a demolition or construction site.
Typically, it is a solid fence at least eight feet high that protects the public from potential hazards on the
site.

Supported Scaffold: A supported scaffold is one or more platforms supported by out-rigger beams,
brackets, poles, legs, uprights, posts, frames, or similar rigid support, forty (40) feet in height or more.

Sidewalk Shed: A sidewalk shed is erected over a sidewalk to protect pedestrians from debris that might
fall from work going on above that sidewalk.

Other: Anything not sufficiently described using another selection. An example of “Other” would be a
hoist.

SECTION 16: CURB CUT DESCRIPTION

Provide the size of cut including the splays as shown in the diagram. In addition, the following information
should be provided:

 The street name of the nearest corner.

 Its direction and distance (including splays).
 Distance from nearest street corner (ft.).

SECTION 17: TAX LOT CHARACTERISTICS

The original tax lot numbers for merging or reapportioning can be
found on BIS. Tentative tax lot numbers can be obtained from the Department of Finance.

 For mergers, applicant must provide lots being merged on left side of table and new lots on right side
 For reapportionment, applicant must provide old lots on left side and new lots on right side
 For subdivisions (improved), applicant must provide old lots on left side and new more lots on right
side
 For subdivisions (condos), applicant must provide the old lot and the new on lots on the right.

SECTION 18: FIRE PROTECTION EQUIPMENT

For all NB and initial Alt-1 applications, the following fire protection equipment systems must be specified:
fire alarm, fire suppression, sprinkler, and standpipe. If the proposed work is approved, the C/ O will
reflect the presence of these systems.

SECTION 19: OPEN SPACES

 Plaza: Plaza is an open area adjacent to a building and accessible to the public. Please provide total
square feet of existing and proposed plaza area as per the Zoning Resolution.

Page 14 of 23
 Parking Area: Please provide existing and proposed parking area (sq. ft.).
 Loading Berths: Please provide existing and proposed loading berth area (sq. ft.).
 Arcade: An Arcade is a continuous covered space that opens onto a street or a plaza. Please
provide total square feet of existing and proposed arcade area, as per the Zoning Resolution.
 Parking: Provide the number of parking spaces, both existing and proposed.
 Loading Berths: Provide the number of loading berths, both existing and proposed.

SECTION 20: SITE CHARACTERISTICS

 Tidal Wetlands: Areas of land as identified on the tidal wetland inventory issued by the New York
State Department of Environmental Conversation in accordance with section 25-0201 of the New
York State Environmental Conservation Law, as well as any adjacent areas as such term is defined in
section 661.4 of title tax of the New York code of Rules and Regulations.
 Coastal Erosion Hazard Area: Areas of land as identified on the final map issued by the New York
State Department of Environmental Conservation in accordance with section 34-0104 of the New
York State Environmental Conservation Law.
 Fire District: Per § 28-102.4.5 the boundaries of fire districts shall be in accordance with the maps
set forth in Appendix D of the New York City Building Code.
 Freshwater Wetlands: Areas of land on the final map issued by the New York State Department of
Environmental Conservation in accordance with section 24-0301 of the New York State
Environmental Conservation Law, as well as any adjacent areas as such term is defined in section
662.1 of title six of the New York code of Rules and Regulations.
 Urban Renewal: Areas of land identified as approved urban renewal projects.
 Flood Hazard Area If yes, 20A: Areas of land as identified on the flood insurance rate maps
referenced in New York City Building Code section G402 pursuant to article 36 of the New York State
Environmental Conservation Law.

SECTION 20A: FLOOD HAZARD AREA INFORMATION

 Substantial improvement: The cost to repair to pre-storm condition exceeds 50% of the market
value of the structure.
 Substantially damaged: The work performed to a structure that has sustained substantial damage.
 Floodshields part of proposed work: Floodshields or other flood control devices are installed as a
part of a dry floodproofing system in buildings and structures that are nonresidential (for flood zone
purposes).

SECTION 21: DEMOLITION DETAILS

Demolition is the dismantling or raising of all or part of a building.

Section 21A:
 Demolition filing is for a secondary structure: If the structure to be demolished is the main
(largest) structure on the lot and does not correspond to the BIN related on the application, select
“yes”. If “no” provide a brief description of the secondary structure that is being demolished (i.e.
garage) which will assume the primary structure is not to be demolished.
 Mechanical means* from out of a building: The proposed use of mechanical means (anything
other than hand tools) to demolish either all or part of the structure, must be specified. A special
permit is required for permission to use mechanical means to perform demolition work.
*Mechanical equipment other than handheld devices to be used for demolition or removal of
debris (BC § 3306.4).
 Mechanical means* from within building: The use of such mechanical means from within a
building requires specific approval from the Department. This approval can be sought as a part of

Page 15 of 23
 the main application or a specific application can be filed and a separate permit can be obtained
for the mechanical means. If mechanical means is intended to be used under the scope of this
application, this question must be answered “yes” and a brief description of the equipment must
be provided. *Mechanical equipment other than handheld devices to be used for demolition or
removal of debris (BC § 3306.4).

Section 21B:
 Demolition work affects the exterior building envelope: When partial demolition work affects
the exterior building envelope.
 The scope of work involves raising/moving of a building: Where the lowest above-grade floor
or the lowest subgrade floor of a building is to be raised, lifted, elevated or moved, such work
shall be listed on the title sheet of the construction documents as subject to special inspection.

SECTION 22: ASBESTOS ABATEMENT COMPLIANCE

This section is required for all Alt-1, Alt-2, Alt-3, Sign, and Demolition applications. The applicant must
indicate if related asbestos abatement is to be performed in conjunction with this application. The
applicant is responsible for providing forms ASB-4, ACP-5, and ACP-7 as required with the application as
well as paying the appropriate asbestos fees that may also be due at time of filing. ACP-5 and ACP-7 are
NYC Department of Environmental Protection (DEP) asbestos forms.

Where the work is not an asbestos project (ACP-5), additional information must be provided.

SECTION 23: SIGN

 Purpose: The intent of the sign is required for advertising or accessory purposes
 Type: If sign will be illuminated (lit) or non-illuminated (no light to be shined on sign), it must be
specified.
 Location: The location of the sign must be specified.
 Estimated Cost: Estimate the total cost of the work.
 Total Square Feet: Provide total square feet of sign face.
 Height above curb: Indicate the distance from the base of the curb to the base or top of the sign (for
all sign types).
 Height above roof: applicant must provide the distance from the base of the roof to the base or top
of the sign (for all sign types).
 Designed for changeable copy: If the sign proposed is designed for changeable copy (periodic
change of text, either advertising or accessory), it must be specified in this section. If not, applicant
must provide key summary text for sign on the following line. Full text of copy for sign must be on
drawings.

If the sign is to be within 900’ and within view of arterial highway and/or 200’ and within view of park ½
acre or more, then the sign must be registered at DOB and sign must have OAC sign number. In all
cases where an OAC has an interest in a sign or location, the OAC registration number of that company
must be provided on the sign application.

SECTION 24: COMMENTS

If additional room is necessary, use the AI-1 form. For Professional Certification statements refer to
OPPN 1/04, for Self Certification of Objections statements refer to TPPN 1/01. According to these PPNs,
in most cases the entire statement language is not required to be placed in the comments section of the
PW1.

Page 16 of 23
SECTION 25: APPLICANT’S STATEMENT AND SIGNATURES
The applicant’s signature and seal (for Professional Engineer or Registered Architects only) are required
for all applications.

 For initial New Building and Alteration 1 applications field under the 2008 or 2014 NYC
Building Code only: does this building qualify for high-rise designations?
 Directive 14 initial applications only: I certify that the construction documents submitted and all
construction documents related to this application do not require a new or amended Certificate of
Occupancy as there is no change in use, exits, or occupancy.

SECTION 26: PROPERTY OWNER’S STATEMENT AND SIGNATURES

The owner must agree and sign to terms and conditions and sign application.
 Owner Type: “NYC Agency” encompasses DCAS, DOE, and other NYC agencies. For New York
State (NYS) ownership, select owner type “Other Government”
 Fee Exemption Request (Non-Profit Owned and Operated): The applicant must indicate if the job
is being filed as a fee exemption. Deed-holder must be a non-profit organization.
 Fee Exemption Request (NYCHA/HHC, NYC Agency, or Other Government Owned and
Operated): The applicant must indicate if the job is being filed as a fee exemption. Owner type must
be NYCHA/HHC, NYC Agency, or Other Government Owned and Operated.
 Owner’s Certification Regarding Occupied Housing: The owner must indicate the dwellings that
will be occupied during construction.
 Owner’s Certification for Directive 14 Jobs (if applicable): If applicable the owner must select it.
 Fee Waivers: For special fee waiver programs (e.g. Build it Back) do not use the fee exempt
checkboxes on the PW1 form. Instead, follow waiver-specific instructions provided in DOB Service
Updates or elsewhere.

Section 26A: Condo/Co-Op Board

For cooperatives and condominiums, both the unit owner (Section 26 – Owner Type) and the
Coop/Condo Board (Section 26A) must sign where the applicant is retained by the unit owner.

Section 26B: Lessee Responsible for Annual Sign of Marquee Permit

This section is required when Signs section 22A is answered “yes” and when filing an A3 OT/MAR jobs.

Page 17 of 23
Appendix A – Work Types
Boiler – The installation, replacement, No Work – This work type is usually selected to
modification, removal, or discontinuation of a boiler. correct errors or change the use on the C of O.
Curb Cut – The construction of a small ramp built Other – For example, general construction and
into the curb of a sidewalk to ease passage to the building partitions.
street.
Builders Pavement Plan – The construction or
Construction Equip – The use of construction- reconstruction of the sidewalk outside and adjacent
related equipment on site. to the lot.
Fire Alarm – The installation of a fire alarm Fire Protection Plan – A report containing a
system. A letter of approval from the FDNY Bureau narrative description of the life and fire safety
of Fire Prevention is required. systems and evacuation system for a structure.
Fuel Burning – The installation, replacement, Antennae – The installation or placement of
modification, removal, or discontinuation of a fuel antennae.
burning item (e.g. a furnace, water heater, gas
clothes dryer, fireplace, gas range or space Marquee – The construction of a marquee.
heater). Plumbing – The installation, maintenance,
Fire Suppression – The installation, alteration, extension, and alteration of all piping, fixtures,
repair or removal of any system including all appliances, and equipment in connection with:
equipment and materials having the purpose of sanitary drainage, storm drainage facilities, the
controlling, containing, suppressing, or venting system and the public or private water
extinguishing fire. supply system.

Fuel Storage – The installation, alteration, or Standpipe – A system of piping, for firefighting
removal of fuel oil storage tanks. purposes, consisting of connections to one or more
sources of water supply, and serving one or more
Mech / HVAC – The installation, alteration, repair hose outlets.
or removal of a mechanical ventilation system (e.g.
air heating, air cooling, or air conditioning Sprinkler – The installation, modification, repair, or
components). removal of the system of piping and sprinkler
heads connected to one or more sources of water
supply.

Appendix B – Building Occupancy Classifications

2014 Code Building Occupancy Designations

2014 Short Description 1968 Class
Class Equivalents(s)
A-1 Assembly (Theaters, Concert Halls): With fixed seating, intended for F-1a
production and viewing of the performance arts or motion pictures.
A-2 Assembly (Eating and Drinking – Cabaret): Where persons assemble for the F-4
consumption of food or drink in any room, place or space in which any musical
entertainment, singing, dancing or other similar amusement is permitted.
Assembly (Eating and Drinking – Not a Cabaret): Where persons assemble
for the consumption of food or drink in any room, place or space in which any
musical entertainment, singing, dancing or other similar amusement is not
permitted.
A-3 Assembly (Other): Worship, recreation or amusement (physically active), and F-3, F-1b, F-4
other assembly uses not classified elsewhere in Group A.

Page 18 of 23
2014 Short Description 1968 Class
Class Equivalents(s)
A-4 Assembly (Indoor Sporting Events with Spectators): Indoor sporting events F-1b
with spectator seating.
A-5 Assembly (Outdoors): Participation in or viewing outdoor activities. F-2
B Business: Occupied for transacting business; for rendering professional E
services; or for performing other commercial services that may incidentally
involve the storage of limited quantities of stock of goods for office use or
purposes.
E Educational: When persons occupy them for instruction or other educational G
purposes.
F-1 Factory and Industrial (Moderate Hazard): Used for fabricating, assembling, D-1
manufacturing, or processing products, materials, or energy and representing a
moderated hazard due to the extent and nature of such operations, or to the
materials involved.
F-2 Factory and Industrial (Low Hazard): Used for fabricating, assembling, D-2
manufacturing, or processing products, materials, or energy and representing a
low hazard due to the extent and nature of such operations, or to the materials
involved.
H-1 High Hazard (Explosive Detonation): Used for storing, manufacturing, or A
processing materials or energy that present a detonation hazard.
H-2 High Hazard (Accelerated Burning): Used for storing, manufacturing, or A
processing materials or energy where uses present a deflagration hazard or a
hazard from accelerated burning.
H-3 High Hazard (Readily Supports Combustion): Used for storing, A
manufacturing, or energy that readily support combustion or present a physical
hazard.
H-4 High Hazard (Health): Used for storing, manufacturing, or processing None
materials or energy that are health hazards.
H-5 High Hazard (Semiconductors): Used for storing, manufacturing, or D-1
processing semiconductor fabrication facilities using hazardous production
materials (HPM) in excess of the permitted aggregate quantity.
I-1 Institutional (Assisted Living): Housing persons, on 24-hour basis, capable J-2
of self-preservation and responding to an emergency situation without physical
assistance from staff.
I-2 Institutional (Incapacitated): Medical, surgical, nursing or custodial care, on a H-2
24-hour basis, of more than 3 persons, who are not capable of self-
preservation or responding to an emergency situation without physical
assistance from staff.
I-3 Institutional (Restrained): More than 5 persons who are detained under H-1
restraint or security reasons.
I-4 Institutional (Daytime Custodial Care): Day care facilities, occupied by H-2
persons of any age who receive custodial care (without overnight) by
individuals other than parents, guardians, or relatives in a place other than at
the home.
M Mercantile: Used for display and sales of goods accessible to public C
inspection.
R-1 Residential (Hotels, Dormitories, Congregate Living): Occupied transiently J-1
(for less than one month).
R-2 Residential (Apartment Houses): More than 2 dwelling units on a long term J-2
basis (for a month or more).
R-3 Residential (1 and 2 Family Houses): Not more than 2 apartments on a long J-3
term basis (for a month or more).
S-1 Storage (Moderate Hazard): Moderate-hazard storage occupancy for any B-1
flammable or combustible materials.

Page 19 of 23
2014 Short Description 1968 Class
Class Equivalents(s)
S-2 Storage (Low Hazard): Low-hazard storage occupancy for non-combustible B-2
materials.
U Utility and Miscellaneous: Structures of an accessory character, or not K
classified in any specific occupancy.

Prior to 2008 Code Building Occupancy Designations:

Class Short Description
A High Hazard: Used for storing, manufacturing, or processing potentially-explosive products or
materials, or highly-combustible or highly-flammable products or materials that is likely to burn
with extreme rapidity.
B-1 Storage (Moderate Hazard): Used primarily for storing any flammable or combustible materials
that is likely to permit the development and propagation of fire with moderate rapidity.
B-2 Storage (Low Hazard): Used for storing noncombustible materials and materials that does not
ordinarily burn rapidly.
C Mercantile: Used for display and sales of goods accessible to public inspection.
D-1 Industrials (Moderate Hazard): Used for fabricating, assembling, manufacturing, or processing
products, materials, or energy and representing a moderate hazard due to the extent and nature
of such operations, or to the materials involved.
D-2 Industrials (Low Hazard): Used for fabricating, assembling, manufacturing, or processing
products, materials, or energy and representing a low hazard due to the extent and nature of
such operations, or to the materials involved.
E Business: Occupied for transacting business; for rendering professional services; or for
performing other commercial services that may incidentally involve the storage of limited
quantities of stocks of goods for office use or purposes.
F-1a Assembly (Theaters): Buildings in which the person assembled compromise a seated or
otherwise passive audience to a performance or presentation, and have their attention focused
in a common direction or at a common subjection, and in which scenery and scenic elements
are used.
F-1b Assembly (Churches, Concert Halls): Buildings in which the persons assembled compromise
a seated or otherwise passive audience to a performance or presentation, and have their
attention focused in a common direction or at a common subject, and in which scenery and
scenic elements are not used.
F-2 Assembly (Outdoors): Includes all outdoor structures and spaces.
F-3 Assembly (Museums): Where the persons assembled are physically active and do not have a
common center of attention.
F-4 Assembly (Eating and Drinking - Cabaret): Any room, place or space in which any musical
entertainment, singing, dancing or other similar amusement is permitted.
Assembly (Eating and Drinking - Not a Cabaret): Where persons assemble for the
consumption of food or drink
G Education: When persons occupy them for instruction or other educational purposes.
H-1 Institutional (Restrained): Used for the detention of persons under restraint.
H-2 Institutional (Incapacitated): Used for the care or treatment persons with physical limitations
because of health or age.
J-1 Residential (Hotels): Primarily occupied for the shelter and sleeping accommodation of
individuals on a day-to-day or week-to-week basis (e.g. hotels, motels, lodging houses, rooming
houses.)
J-2 Residential (Apartment Houses): Having three or more dwelling units that are primarily
occupied for the shelter and sleeping accommodation of individuals on a month-to-month or
longer-term basis (e.g. apartment houses, apartment hotels, rooming houses).
J-2 Three Family Dwelling: Having more dwellings that are primarily occupied for shelter and
sleeping accommodation of individuals.
J-3 Residential (1 & 2 Family House): Occupied as one-family or two-family dwellings, or as

Page 20 of 23
Class Short Description
convents or rectories.
K Miscellaneous: Having a temporary character, and minor occupancies not classified in any
other specific occupancy group (e.g. sheds, fences, signs).
PUB Old Code – Public Buildings: Only applicable to buildings built before 1968. Structures in
which persons congregate for civic, political, educational, religious or recreational purposes, or
in which are harbored to receive medical treatment, or are detained by reason of public duty.
RES Old Code – Residence Buildings: Only applicable buildings built before 1968. Structures in
which sleeping accommodations are provided, except such as may for other reasons be classed
as public buildings.
COM Old Code – Commercial Buildings: Only applicable to buildings built before 1968. Structures
which are not public buildings or residence buildings, including among others, office buildings,
salesrooms (stores), markets, warehouses, and restaurants.

Appendix C – Construction Classifications

2014 Code Construction Classifications:

Class Short Description
I-A 3 Hour Protected (Non-Combustible)
I-B 2 Hour Protected (Non-Combustible)
II-A 1 Hour Protected (Non-Combustible)
II-B Unprotected (Non-Combustible)
III-A Protected Wood Joist (Combustible)
III-B Unprotected Wood Joist (Combustible)
IV-HT Heavy Timber (Combustible)
V-A Protected Wood Frame (Combustible)
V-B Unprotected Wood Frame (Combustible)

Prior to 2014 Code Construction Classifications:

Class Short Description
I-A 4 Hour Protected (Non-Combustible)
I-B 3 Hour Protected (Non-Combustible)
I-C 2 Hour Protected (Non-Combustible)
I-D 1 Hour Protected (Non-Combustible)
I-E Unprotected (Non-Combustible)
II-A Heavy Timber (Non-Combustible)
II-B Protected Wood Joist (Non-Combustible)
II-C Unprotected Wood Joist (Non-Combustible)
II-D Protected Wood Frame (Non-Combustible)
I-E Unprotected (Non-Combustible)
1 Fireproof Structures (Old Code)
2 Fire-protected Structures (Old Code)
3 Non-fireproofed Structures (Old Code)
4 Wood Frame Structures (Old Code)
5 Metal Structures (Old Code)
6 Heavy Timber Structures (Old Code)

Page 21 of 23
Appendix D – Multiple Dwelling Classifications

Class Class Description

A B
OL Old Law Tenement – Originally erected as a multiple dwelling in accordance with the
laws in effect prior to April 12, 1901, and recorded as OL in the Tenement House
Department (now Department of Housing Preservation and Development) before
April18, 1929. OLs comply with MDL Article 7.

OLSR Old Law Tenement, Single Room – Old law tenements that contain units converted
to single room occupancy pursuant to MDL § 248.
JAR Joint Artist In Residence – Containing DUs that are classified as a “joint living work
quarters for artists” under Zoning Resolution § 12-10.

HAEA HAEB Hereafter Erected – Originally erected as a multiple dwelling in accordance with the
laws in effect after January 1, 1929, whether old code (pre-1968) or new code (post-
1968).This includes all newly constructed multiple dwellings (3 dwelling units (DUs) or
more).
 Also included are buildings originally erected as other than HAEA/HAEB,
subsequently altered under the old code to comply with NYS Multiple Dwelling
Law (MDL) Article 3 and Article 4 or 5.

 Also included are buildings originally erected as other than HAEA/HAEB,

subsequently altered under the new code to comply with all new code
requirements for J-2.

HCA HCB Heretofore Converted – Originally erected as a one- or two-family dwelling, and
converted prior to April 18, 1929 to a multiple dwelling, and classified as a converted
dwelling as per MDL § 4.10. HCAs and HCBs comply with MDL Article 6.
HACA HACB Hereafter Converted – Originally erected as a one- or two-family dwelling in
accordance with the laws in effect prior to December 6, 1968, and converted after April
18, 1929 to a multiple dwelling in accordance with such laws, and classified as a
converted dwelling as per MDL § 4.10. HACAs and HACBs comply with MDL Article 6.
If the original date of construction of the building is prior to April 18, 1929, then the
stringent provisions of MDL§ 170-a do not apply. If the original date of construction of
the building is after April 18, 1929, then the stringent provisions of MDL § 170-A apply.

CAA Commercial Altered – Originally erected as a nonresidential building in accordance

with the laws in effect prior to December 6, 1968, and used for one or more of the
nonresidential purposes enumerated in MDL § 277 prior to January 1, 1977, and
subsequently converted to a multiple dwelling in compliance with the old code and
MDL Article 7-B.

COL Converted Old Law – A tenement recorded as such in the Department of Housing
Preservation and Development.

CNL Converted New Law – A tenement recorded as such in the Department of Housing
Preservation and Development.

NLSR New Law Tenement, Single Room – New law tenements that contain units converted
to single room occupancy pursuant to MDL § 248.

NL New Law Tenement – Originally erected as a multiple dwelling in accordance with the
laws in effect after April 12, 1901 and prior to April 18, 1929, and recorded as NL in the
Tenement House Department (now Department of Housing Preservation and

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 Development) before April 18, 1929. NLs comply with MDL Article 7.

LH Lodging House – Erected in accordance with the laws in effect prior to December
6,1968 as a lodging house, and subsequently maintained or altered in accordance with
MDL § 66. These buildings typically have open plan rooms with many beds serving a
transient population.

HEXA HEXB Heretofore Erected Existing – Erected in accordance with the laws in effect prior to
January 1, 1929 as an apartment hotel or a hotel, and subsequently maintained or
altered in accordance with MDL § 67. At the time of construction they were exempt
from the Tenement House Act (now found in MDL Article 7), at that time needing to
comply only with the less stringent Building Code. However, in 1929, the MDL
classified them as multiple dwellings.

Y Y-Type – A class B multiple dwelling recorded as such in the Department of Housing

Preservation and Development.

Appendix E – Structural Occupancy/Risk Categories

Category Short Description

I Low Hazard to Human Life
II Other than I, III or IV
III Substantial Hazard to Human Life
IV Essential Facility

Appendix F – Seismic Design Categories

Category Short Description

A Category A
B Category B
C Category C
D Category D

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