Design Consultant Guide | New York City Department of Design and

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RENDERINGS

VIEW FROM SHEPHERD AVENUE

OCTOBER 21, 2019 - PRELIMINARY REVIEW

AUGUST 13, 2018 - PRELIMINARY REVIEW

Eric Adams

Mayor

Thomas Foley, P.E.

Commissioner

January 2022

Design

Consultant

Guide

LETTER FROM

THE COMMISSIONER

Dear Colleagues,

Welcome to our new and updated Design Consultant Guide. This is an important tool for working with the New

York City Department of Design and Construction to create and renew the public buildings that serve the needs

of all who live, work, and visit here.

Since its creation in 1996, DDC has successfully delivered many of the City’s most important municipal projects

and taken a leading role in guiding New York through times of crisis. With these accomplishments comes an

increased responsibility to deliver quality projects more effectively and efﬁciently. In 2019, DDC issued its

Strategic Blueprint for Construction Excellence, a detailed plan to streamline the capital construction process

at every level. In addition, the Public Buildings Division issued Public Buildings: Embracing Change, an internal

document which highlighted our design phase process improvements. We’ve sought to improve, streamline, and

better collaborate within the Division and across the agency, and have set high expectations for ourselves and our

design consultants to deliver functional, enduring projects on time and within budget, improving the character of

our communities.

Our policies and practices must also change to ensure that projects are designed and constructed to enhance

public safety in the face of a global pandemic, climate change and other challenges. Through every hurdle, DDC

remains committed to building a sustainable, healthy, and equitable urban environment.

A key part of that vision is also the creation of meaningful business opportunities for Minority- and Women-

Owned Business Enterprises (M/WBEs). Through a focused plan of outreach and support DDC has become a

top-performing agency in the City’s M/WBE program and has successfully lobbied for State legislation that will

further expand prospects for these businesses.

You, our Design Consultants, are crucial partners in this endeavor. Together, we have been charged with

achieving the best value for the public by providing excellence in design and construction, a timely process, and

a cost-effective product. Successful design is fundamentally collaborative. This Guide seeks to make DDC’s

expectations clear by providing an overview of our goals on a phase-by-phase basis and detailing related

deliverables. We hope it will prove to be a valuable resource as we strive to deliver the best possible design and

construction work on our City's public buildings. Let’s get to work…

Sincerely,

To m Fo l e y, P E , C C M , D B I A , N AC

Commissioner

Table of Contents

CHAPTER 01: INTRODUCTION

A. THE DEPARTMENT OF DESIGN AND CONSTRUCTION 11

B. THE DIVISION OF PUBLIC BUILDINGS 11

C. PROJECT EXCELLENCE 12

D. THE PROJECT TEAM 13

E. THE DESIGN CONSULTANT GUIDE 14

CHAPTER 02: OVERVIEW OF THE DESIGN PROCESS

A. PROJECT DELIVERY STAGES 17

B. PROJECT PLANNING AND INITIATION 17

C. PROJECT DELIVERY TRACKS 18

D. DESIGN PHASES 20

E. DESIGN PHASE PROCESS AND MILESTONES 22

F. CONSULTANT SERVICES DURING CONSTRUCTION 25

G. CONSULTANT OBLIGATIONS 25

CHAPTER 03: DESIGN & CONSTRUCTION PHASE DELIVERABLES

A. PROJECT DELIVERABLES 29

1) CAPITAL PROJECT DELIVERABLES 29

a. Pre-Schematic Design Deliverables 30

b. Schematic Design Deliverables 30

c. Design Development Deliverables 43

d. 75% Construction Documentation 58

e. 100% Construction Documentation 69

f. Bid Documents 70

g. Bid and Award Deliverables 71

h. Construction Administration Services 72

2) CAPITAL PROJECT SCOPE DEVELOPMENT (CPSD) DELIVERABLES 75

a. Interim Reports 75

b. Report Preparation 75

c. Final Report 75

d. Master Plan 76

B. GENERAL INFORMATION 77

1) AGENCY CONTACT INFORMATION 77

2) REPORT SUBMISSION FORMAT REQUIREMENTS 78

3) DRAWING SUBMISSION FORMAT REQUIREMENTS 78

4) DRAWING STANDARDS 78

5) MULTIPLE CONTRACTS: DIVISION OF RESPONSIBILITY IN WICKS LAW PROJECTS 79

CHAPTER 04: PROJECT CONTROLS

A. INTRODUCTION 83

B. PROJECT SCHEDULE 83

C. CONSTRUCTION COST ESTIMATING 86

CHAPTER 05: BID PACKAGING REQUIREMENTS

A. INTRODUCTION 95

B. BID PACKAGE COMPONENTS 95

C. ORGANIZING, FORMATTING AND PRESENTING THE BID PACKAGE 96

D. METHODS OF PROCUREMENT 102

E. DDC SPECIFICATION REQUIREMENTS 104

F. CONSULTANT WORK SESSIONS 107

CHAPTER 06: DESIGN CRITERIA

A. GENERAL DESIGN APPROACH 111

B. DEMOLITION 114

C. STRUCTURES AND SOILS 115

D. SITE CIVIL ENGINEERING 118

CHAPTER 07: COMMISSIONING

A. INTRODUCTION 189

B. COMMISSIONING AGENT 189

C. SERVICES 189

D. DELIVERABLES 190

E. COMMISSIONING DESIGN GUIDANCE 192

CHAPTER 08: SUSTAINABILITY AND RESILIENCY

A. SUSTAINABLE DESIGN 203

1) INTRODUCTION 203

2) NYC GREEN BUILDING LAWS 203

3) PERFORMANCE REQUIREMENTS 204

4) DELIVERABLES 209

5) PERFORMANCE REQUIREMENTS PROJECT DELIVERABLES TABLE 214

6) LEED PROJECT DELIVERABLES 216

7) LEED PROJECT DELIVERABLES TABLE 222

B. RESILIENT DESIGN 225

1) INTRODUCTION 225

2) CLIMATE RESILIENCY DESIGN GUIDELINES 225

3) DELIVERABLES 225

CHAPTER 09: PERCENT FOR ART

A. INTRODUCTION 231

B. THE PERCENT FOR ART LAW 231

C. GENERAL INFORMATION FOR THE CONSULTANT 232

D. APPROACHES TO COMMISSIONING PUBLIC ART 233

E. PERCENT FOR ART CONTRACT 233

F. ARTWORK REVIEW INFORMATION 234

G. ARTWORK PAYMENTS 235

H. DELIVERABLES 236

CHAPTER 10: REGULATORY APPROVALS

A. INTRODUCTION 243

B. REGULATORY APPROVAL SERVICES 243

C. REGULATORY APPROVAL DELIVERABLES 244

D. DEPARTMENT OF BUILDINGS 246

E. NEW YORK CITY COMMUNITY BOARDS 248

F. PUBLIC DESIGN COMMISSION 249

G. LANDMARKS PRESERVATION COMMISSION 256

H. ADDITIONAL REGULATORY AGENCIES 260

1) DEPARTMENT OF CITY PLANNING (DCP) AND THE CITY PLANNING COMMISSION (CPC) 260

2) DEPARTMENT OF TRANSPORTATION (DOT) 260

3) METROPOLITAN TRANSIT AUTHORITY (MTA) 261

4) FIRE DEPARTMENT (FDNY) 261

5) DEPARTMENT OF ENVIRONMENTAL PROTECTION (DEP) 261

6) DEPARTMENT OF PARKS AND RECREATION (DPR) 262

7) DEPARTMENT OF HEALTH AND MENTAL HYGIENE (DOHMH) 262

8) DEPARTMENT OF SANITATION (DSNY) 262

9) ENVIRONMENTAL CONTROL BOARD (ECB) 262

10) UTILITY COMPANIES AND NYS ENERGY RESEARCH AND DEVELOPMENT

AUTHORITY (NYSERDA) 262

11) COMMUNITY BOARDS 263

12) MAYOR’S OFFICE OF ENVIRONMENTAL COORDINATION (MOEC) 263

13) NEW YORK STATE AGENCIES 263

ACKNOWLEDGEMENTS

ACKNOWLEDGEMENTS 266

CHAPTER 01

INTRODUCTION

A. THE DEPARTMENT OF DESIGN AND CONSTRUCTION

B. THE DIVISION OF PUBLIC BUILDINGS

C. PROJECT EXCELLENCE

D. THE PROJECT TEAM

E. THE DESIGN CONSULTANT GUIDE

A. THE DEPARTMENT OF DESIGN

AND CONSTRUCTION

The New York City Department of Design and Construction (DDC) was established in 1996 to provide project

management services for the City of New York’s capital construction projects. Serving 28 Sponsor Agencies

through its two Divisions, Public Buildings and Infrastructure, DDC builds and renovates public buildings,

streetscapes, plazas, and subgrade infrastructure.

B. THE DIVISION OF PUBLIC

BUILDINGS

Design opportunities throughout DDC’s Division of Public Buildings range from major new public buildings

to retroﬁts and upgrades of existing buildings. Regardless of scale or scope, every project represents an

opportunity to enhance the public realm and achieve the highest quality of design and construction for the City’s

public buildings and spaces. The design process is a collaborative effort between the Consultants, the DDC

Project Team, the Sponsor Agencies, and Regulatory Agencies, to fully explore programmatic requirements,

site conditions, context, budget, and other factors leading to the development of a creative, responsible, and

functional design in full compliance with all applicable codes, local state and federal laws, speciﬁcations,

standards, and project objectives.

As well, our public projects must respond and adapt to the recent global pandemic to ensure public health while

ensuring public value. Along with our City agency and industry partners, we have begun to develop best practices

and procedural modiﬁcations that promote the health, safety and welfare for the public in order to mitigate the

risk of viral transmission within a facility and/or active construction site.

DDC projects include cultural institutions, libraries, government ofﬁces, laboratories, sanitation facilities,

emergency shelters, transportation facilities, ﬁrehouses, health clinics, senior centers, child care centers, courts,

correctional facilities, police precincts, and emergency medical stations. Sponsor Agencies currently include:

Department of Cultural Affairs (DCLA), Department of Parks and Recreation (NYC Parks), Brooklyn Public

Library (BPL), New York Public Library (NYPL), Queens Library (QL), Department of Environmental Protection

(DEP), Department of Health and Mental Hygiene (DOHMH), Ofﬁce of the Chief Medical Examiner (OCME),

Department for the Aging (DFTA), Department of Youth and Community Development (DYCD), Administration

for Children’s Services (ACS), Agency for Childhood Development (ACD), Department of Citywide Administrative

Services (DCAS), Department of Homeless Services (DHS), Department of Consumer Affairs (DCA), Human

Resources Administration (HRA), Ofﬁce of Court Administration (OCA), Department of Transportation

(DOT), Taxi and Limousine Commission (TLC), Department of Sanitation (DSNY), Department of Correction

(DOC), Fire Department (FDNY), Police Department (NYPD), Department of Information Technology and

Telecommunications (DOITT), Department of Education (DOE), Department of Probation (DOP), the Mayor’s

Ofﬁce of Criminal Justice (MOCJ), and NYC Emergency Management (NYCEM).

The speciﬁc project goals of each Sponsor Agency are served by individual DDC Program Units. The Program

Units make up the principal organizational framework of the Public Buildings Division, and are supported

by technical, design, budget, and contract processing resources within DDC. The Program Units are directly

responsible for managing projects from the initial program requests by the Sponsor Agency through design,

construction completion, and acceptance for occupancy. Each Program Unit is headed by a Program Director

whose primary responsibilities are to guide and oversee the implementation of a Sponsor Agency’s capital

construction program.

CHAPTE R 01: I NTROD UCTION

A. THE DEPARTMENT OF DESIGN AND CONSTRUCTION

B. THE DIVISION OF PUBLIC BUILDINGS

CHAPTE R 01: I NTROD UCTION

C. PROJECT EXCELLENCE

The City of New York is committed to achieving excellence in design and construction across its portfolio of

public works by delivering quality infrastructure and public buildings that contribute to a thriving, equitable,

sustainable and resilient city for all New Yorkers. As part of this commitment, the Department of Design

and Construction’s Project Excellence program builds on a strong tradition of innovation in architecture and

engineering through strategies and practices that balance aesthetics, functionality, cost, constructability, and

durability to bring form and meaning to public space.

Project Excellence encompasses all aspects of project delivery, from capital project planning through design,

construction, commissioning, and close-out, to ensure on time and on budget delivery of exemplary civic projects.

Integrated project delivery practices include enhanced project initiation and management tools, Quality-Based

Selection (QBS) and best value procurements, performance evaluation and management, knowledge sharing,

and continuing education. Together, these strategies ensure that all capital projects delivered to the City are

inspiring, enduring, practical, constructible, and economical.

Achieving Project Excellence requires all team members to engage collaboratively in the capital project delivery

process, prioritizing strategies that make responsible use of public funds and offer the best value for the

City. DDC’s project managers, technical reviewers, and support staff work to guide projects through complex

and demanding project delivery processes in partnership with the most creative and experienced design and

construction professionals. DDC and our partners share a commitment to Project Excellence in the public realm

as characterized by the following overarching concepts:

Project Excellence utilizes the power of design and construction to positively transform our

public space, inspiring pride in the people and City of New York. The design of public buildings and

infrastructure must be guided by a civic consciousness and social responsibility to provide spaces that

promote discourse, exemplify accessible government, and inspire pride in our communities. The design

and construction process must reﬂect a collaborative effort that is inclusive of all stakeholders, including

sponsor, partner, and regulatory agencies, and the community.

Project Excellence shapes the city we envision for today and the future by creating enduring and

inclusive public spaces. With design and construction of public projects comes the responsibility of

shaping the City for generations to come. Digniﬁed, universally accessible, and community-oriented, public

spaces must make all New Yorkers feel welcome and valued, comfortable and secure. By thoughtfully

responding to surrounding context, including neighborhood character and natural systems, the design

must create and reinforce a sense of place that is enhanced by strong connections to existing community

resources and mobility networks. The design and construction process must engage relevant stakeholders

and experts to consider cultural context and integrate artwork wherever possible in support of meaningful

public spaces.

Project Excellence protects the legacy of our public space by carefully considering practical

solutions that address the needs of our City. Public projects must be well suited for their intended

use and adaptable to future needs. Our public buildings and infrastructure must meet the needs and

aspirations of New York City’s public agencies as expressed in their individual missions, goals, standards,

and requirements. The design must seek a creative balance between functional and programmatic

requirements, operational and maintenance protocols, construction practices, and performance and

innovation. Sustainable, resilient, durable, and easily maintained, the project must be guided by a holistic

view of the capital asset over its expected lifespan. The design must consider solutions to long-term and

emergent risks and opportunities, such as changing climate and public health and safety conditions, as

well as new technologies and ways of living, working, and connecting.

CHAPTE R 01: I NTROD UCTION

D. THE PROJECT TEAM

Project Excellence strengthens the character of our public space by delivering constructible

capital projects with safety and integrity. Building New York City requires the ability to execute projects

in a safe, effective, and timely manner while maintaining the integrity of the design throughout construction.

The design of our public buildings and infrastructure must be represented by complete, comprehensive,

and accurate contract documents that are clearly detailed and coordinated across disciplines, and that

meet or exceed requirements of code, zoning, accessibility, and local laws. Speciﬁcations must be carefully

coordinated with drawings and material schedules and be tailored to the requirements of each project.

Materials and systems must be proven, readily available, and achievable with local construction practices to

minimize lead times, eliminate cost overruns, and prevent construction delays.

Project Excellence supports the value of our public space by employing an economical approach

that leverages City resources to build lasting community assets. Design and construction by and for

the City requires conscientious attention to schedule, budget, and operational costs to ensure that public

funds are well spent, and communities well served. The project must incorporate a life-cycle cost analysis

approach and prioritize selection of long-lasting systems and assemblies that are achievable within the

allocated budget. Systems must perform to the highest standards of human health, comfort and efﬁciency,

meet or exceed energy requirements, and operate as designed. The project must be calibrated to reduce

construction and operating costs and complexity, positively impact the health of people and the environment,

and use natural resources wisely. Using City-wide and agency standards and best practices, innovative

methodologies, and appropriate technologies, the design must add value and do more with less.

To support Project Excellence, DDC seeks architects, landscape architects, planners, designers, engineers,

construction managers, contractors, and design-build teams who are dedicated, responsive, and collaborative, and

who possess the management skills necessary to complete work on time and on budget. DDC’s partners must

have a proven track record of delivering quality projects while resolving complex requirements and navigating

unforeseen circumstances. Team-oriented and adept at balancing competing demands, these professionals must

go beyond the creation of contract documents to serve as facilitator, mediator, and interpreter, building trust

among the many stakeholders throughout the life of a project.

D. THE PROJECT TEAM

The Project Team includes:

1. THE CONSULTANT TEAM, INCLUDING ALL REQUIRED SUB-CONSULTANTS.

2. REPRESENTATIVES OF THE SPONSOR AGENCY.

3. THE DDC PROJECT TEAM:

a. The DDC Project Manager, who will act as the main point of contact for the Project Team. The DDC

PM will also coordinate communications with the internal DDC Units that support the Consultant and

the project including the DDC Project Controls Unit, Ofﬁce of Environmental and HazMat Services

(OEHS), Ofﬁce of Geotechnical Investigations (OGI), and M/WBE Compliance Unit.

b. The Design Liaison, who ensures that the project meets the civic design requirements of Project

Excellence and shepherds projects through the Public Design Commission review and approval

process.

c. The DDC Architecture and Engineering (A&E) Review Team, led by a Team Leader of the appropriate

discipline and including Team Members representing each trade as applicable, including Architecture;

Structural, Mechanical, Electrical, Plumbing and Civil Engineering; Accessibility; Landscape

Architecture; Historic Preservation; Public Art; Sustainable Design; and Commissioning.

CHAPTE R 01: I NTROD UCTION

E. THE DESIGN CONSULTANT GUIDE

4. A COMMISSIONING AGENT CONSULTANT, WHEN REQUIRED, UNDER DIRECT

CONTRACT TO DDC.

5. A CONSTRUCTION MANAGER, WHEN REQUIRED, UNDER DIRECT CONTRACT

TO DDC.

E. THE DESIGN CONSULTANT GUIDE

DDC undertakes a wide variety of projects in support of its Sponsor Agencies, making each project unique

and standardization of project delivery methods a challenge. This Design Consultant Guide outlines qualitative

expectations and describes broad requirements that pertain to all projects.

Descriptions of goals and deliverables are intended to help the Consultant, DDC, and Sponsor Agencies

understand expectations and evaluate the acceptability of completed tasks. A detailed chapter on Design

Criteria is provided to describe the basis of DDC’s evaluation of the Consultant’s work product.

Many of DDC’s design projects are initiated through Requirement Contracts for design services. The

Requirements Contract is necessarily generic regarding speciﬁc project scopes since the projects to be

undertaken are not known at the time of contract initiation. The Task Order will state all the parameters of

the speciﬁc project and incorporates the Project Objectives (PO) which includes the Scope of Work. All

tasks shall be carried out as directed in this Design Consultant Guide unless the Task Order or other written

documentation from DDC explicitly states otherwise.

The Guide describes the design criteria of the Agency, the goals, services, and deliverables expected, and

necessary approvals and procedures.

In addition to this Guide, Consultants should familiarize themselves with Sponsor Agency design guides,

requirements, manuals, speciﬁcations, or standards. These should be reviewed to ascertain any potential

conﬂicting goals or objectives. The resolution of conﬂicts is the responsibility of all parties involved.

CHAPTER 02

OVERVIEW OF THE

DESIGN PROCESS

A. PROJECT DELIVERY STAGES

B. PROJECT PLANNING AND INITIATION

C. PROJECT DELIVERY TRACKS

D. DESIGN PHASES

E. DESIGN PHASE PROCESS AND MILESTONES

F. CONSULTANT SERVICES DURING PROCUREMENT

AND CONSTRUCTION

G. PROFESSIONAL RESPONSIBILITY

CHAPTE R 02: OVE RVI EW OF TH E D ES IG N PROCE SS

A. PROJECT DELIVERY STAGES

B. PROJECT PLANNING AND INITIATION

A. PROJECT DELIVERY STAGES

There are four stages in the delivery of capital projects from initiation to the completion of construction:

1) PROJECT PLANNING AND INITIATION

During the Project Planning and Initiation stage, DDC evaluates the capital project scope and budget

to ensure the project has adequate funding. DDC develops a baseline schedule template, prepares the

speciﬁc project's requirements, selects the Consultant, acquires funding from the Ofﬁce of Management and

Budget (OMB), registers the task order with the Comptroller, and issues the Notice to Proceed (NTP) to the

consultant.

2) DESIGN

a. Documentation

This stage typically includes the Schematic Design phase; Design Development phase, and

Construction Documents phase. Design may at times also include a Pre-Schematic phase prior to

Schematic Design or at times consist only of a CPSD (Capital Project Scope Development) study. For

more information, see Chapter 03: Design and Construction Phase Deliverables.

b. Bid / Award

This phase includes the bid period, selection of the Contractor/s and the registration of construction

contract/s. For more information, see Chapter 03: Design and Construction Phase Deliverables.

3) CONSTRUCTION

Construction contracts are awarded either through a competitive bid process, in which the lowest responsible

and responsive bidder is selected or through pre-awarded requirements contracts managed by DDC’s Job

Order Contracting Service (JOCS).

B. PROJECT PLANNING AND INITIATION

The Project Planning and Initiation stage begins when the Sponsor Agency submits a Project Initiation (PI) request,

which includes a general description of the project, a summary of the required work, and information on funding.

DDC’s Front End Planning (FEP) Unit reviews and evaluates the scope and budget to ensure the project is viable.

In order to verify that scope and budget are aligned, DDC’s FEP, along with technical support from A&E, conducts

a preliminary project investigation to review site constraints, identify requirements for compliance with codes, local

state and federal laws, and other City obligations, explore construction logistics and so forth, to demonstrate a

design approach that is achievable within the budget. FEP’s ﬁndings are compiled into a report along with a baseline

schedule and the Project Objectives. This report details the scope of work and identiﬁes the track for design delivery

(see Section C in this chapter). Upon initiation of the project, the complete Front End Planning Report will be issued

to the Consultant assigned to the project. When a test ﬁt is included in the Front End Planning Report, it indicates

one possible solution that was developed to determine project viability. It does not represent a preferred scheme, nor

is it required to be among the options proposed by the Consultant during Schematic Design.

CHAPTE R 02: OVE RVI EW OF TH E D ES IG N PROCE SS

C. PROJECT DELIVERY TRACKS

The Project Planning and Initiation stage includes the identiﬁcation of the key members of the DDC Project Team,

including the Front End Planning Program Executive, the Project Manager, the A&E Team Leader, and the Design

Liaison. The DDC team discusses the project in detail while taking into consideration various regulatory pathways

as well as design services procurement options based upon project scope, schedule and budget. All decisions

made during this stage are vetted by DDC’s Strategy Board.

Once Strategy Board recommends the project for initiation, the Design Liaison coordinates with DDC’s Agency

Chief Contracting Ofﬁcer (ACCO) to procure design services. For all projects, large and small, Consultants are

invited to attend a site visit to become familiar with the site and scope of work. The design procurement process

requires Consultants to identify how they will meet M/WBE participation goals established for the project.

Simultaneously, the Project Manager prepares a Certiﬁcate to Proceed (CP) request for submission to OMB to

obtain funding approval for the project and subsequently prepares the Agreement, which includes the FEP Report

and Project Objectives, for submission to the Comptroller to register the contract. Upon approval of the CP,

selection of a Consultant, and registration of the Task Order, a Notice to Proceed (NTP) is issued to the consultant

and a design kick-off meeting is scheduled by the Project Manager.

C. PROJECT DELIVERY TRACKS

1) PROJECT TRACKS AND TYPES

Projects follow one of four project delivery tracks according to the type of work and level of complexity. The

project track will be identiﬁed in the FEP Report and Project Objectives (PO).

a. Track 1 includes new construction, major renovations, and additions. Track 1 encompasses

all phases, which include Pre-Schematic Phase (optional), Schematic Design, Design

Development, 75% Construction Documents phase, and 100% Construction Documents

phase.

b. Track 2 includes complex building system upgrades involving more than one system, such as

building envelope or HVAC system reconstruction/rehabilitation. It has a combined Schematic

Design and Design Development Phase, 75% Construction Documents Phase, and 100%

Construction Documents phase.

c. Track 3 includes simple building system upgrade projects. It includes Schematic Design,

Design Development and 75% Construction Documents combined into a single phase,

followed by 100% Construction Documents Phase.

d. Track 4 is for projects with very limited scope. In this very expedited track, Schematic

Design, Design Development, 75% and 100% Construction Documents are combined into a

single phase

e. Capital Project Scope Development (CPSD) studies are sometimes required to

enable the City to identify advanced portfolio planning, project scope and cost prior to capital

commitment. CPSD services may be requested for any type of City project including but not

limited to buildings, structures and facilities, site work, etc. A CPSD study may also include

large-scale portfolio planning, master planning, space programming, design standards and

technical research. Since the extent of each CPSD will vary, design services will be speciﬁc

to the nature of the project and may include such items as the investigation of existing

conditions, analysis of regulatory pathways, analysis of zoning and code, analysis of the

CHAPTE R 02: OVE RVI EW OF TH E D ES IG N PROCE SS

C. PROJECT DELIVERY TRACKS

Sponsor Agency’s operational requirements and programming, as well as the study of design

alternatives to promote efﬁciency and control costs. This study concludes with a report by

the Consultant and a review by DDC. No construction phase services are included in this

type of project.

2) REQUIRED PHASES BY PROJECT TRACK

The chart below is a general illustration of requirements for various project types in the Division of Public

Buildings. A Front End Planning (FEP) Report and Project Objectives (PO) are provided for each project.

These describe project-speciﬁc requirements and obligations of the design professionals, and identify

which phases and submissions will be required, including any noted as optional.

CHAPTE R 02: OVE RVI EW OF TH E D ES IG N PROCE SS

D. DESIGN PHASES

The Design Phases can be conﬁgured differently depending on the scope of the project. If the project requires

preliminary services, such as site selection or program deﬁnition, the Front End Planning Report and Project

Objectives (PO) will call for a Pre-Schematic phase. Otherwise, a typical project will consist of three phases that

build upon each other: Schematic Design, Design Development, and Construction Documents. Deliverables for

each phase can be found in Chapter 03: Design and Construction Phase Deliverables. All submissions shall be

made in accordance with the project schedule; see Chapter 04 for details. The goals of the Design Phases for

most projects are as follows:

1) PRE-SCHEMATIC DESIGN

A Pre-Schematic phase may be required prior to Schematic Design when an investigation is necessary to

clarify the programming requirements, or other speciﬁc uncertainties must be resolved before Schematic

Design can begin. The goal of Pre-Schematic Design is to establish a deﬁned scope of work acceptable to

all stakeholders to transition into Schematic Design without ambiguity related to the basis of design. The

Pre-Schematic scope may include programming, or limited investigations relative to site analysis/selection

and shall be accompanied by associated cost estimates. The phase concludes with a report for review.

For information on requirements of the DDC Design Reviews, see the information in section E.5 of this

Chapter.

2) SCHEMATIC DESIGN

The goal of schematic design is to establish an integrated design direction that synthesizes approaches

towards zoning, life safety, accessibility, building systems, sustainability, resiliency, energy code compliance,

site/community context and civic design criteria.

Prior to developing design options, it is critical to demonstrate a thorough understanding of the project

site and surrounding context, and to identify questions to explore in the options phase. This analysis

must examine the project site’s existing conditions, the proposed facility program, the Sponsor agency's

operational requirements, code and zoning requirements, and any other issues that may inﬂuence the

design, cost, schedule, and overall delivery of the project.

Studying design options allows the Project Team to explore and compare various approaches to the project

design, testing each to weigh beneﬁts, expose ﬂaws, and challenge assumptions. Even when the range

of viable approaches is narrow, this process is critical. Ultimately, the consultant is expected to deliver a

design that meets the city's budget, needs and satisﬁes the project’s objectives; the study of alternative

approaches, conducted collaboratively with the entire Project Team, ensures that the most appropriate

solutions are adopted.

This work is intended to encourage creative problem-solving in order to ﬁnd consensus amongst the entire

project team on major issues affecting the project. At the conclusion of studying options, a single design

scheme must be documented that reﬂects this consensus and includes approaches to the topics explored

such as satisfying regulatory requirements, integration of scope and program, the project’s exteriors and

site design, and engineering systems and services.

The Schematic Design phase normally includes two interim submissions for DDC review. The review of the

Schematic Design Interim Submissions occurs without stoppage of the Consultant’s work.

As is the case with all Consultant deliverables, the Project Team will review the submission and generate

written comments, which must be addressed and resolved by the Consultant in the advancement of the

project. For information on requirements of the DDC Design Reviews, see the information in section E.5 of

CHAPTE R 02: OVE RVI EW OF TH E D ES IG N PROCE SS

D. DESIGN PHASES

this Chapter. The Schematic Design phase concludes with a submission consisting of a Schematic Design

Final Report, including engineering narratives and a cost estimate.

Approval by the Public Design Commission (PDC) and/or Landmarks Preservation Commission (LPC),

depending on which is applicable, may be required at this phase. For more information, see Chapter 10,

Regulatory Approvals.

3) DESIGN DEVELOPMENT

The process of advancing a scheme to Design Development must validate, develop, and reﬁne the project,

including all design elements, building systems, materials, details, equipment, maintenance and operational

requirements, and life-cycle costs, demonstrating that all decisions are justiﬁable on the basis of value.

These elements must be fully coordinated across all disciplines. Any open issues regarding zoning, code

compliance, and neighboring property access should be resolved and if determinations from DOB are

required for the proposed design, the Consultant must obtain written responses prior to submittal of the

ﬁnal DD package.

The Consultant shall notify DDC if they believe that the project scope cannot be achieved within the

approved budget, but this does not relieve the Consultant of their responsibility to deliver a project that

adheres to the budget. At the end of the Design Development Phase, all major design decisions are made

ﬁnal.

This phase concludes with a submission consisting of a Design Development Report (including updates

and development to the contents of the Final Schematic Design Report), architectural and engineering

drawings, outline speciﬁcations, and a cost estimate. For information on DDC reviews, see the information

in section E5 of this Chapter.

4) CONSTRUCTION DOCUMENTS

During this phase, the Consultant prepares ﬁnal Construction Documents, including drawings and

speciﬁcations, for regulatory approval and public bidding or award to a pre-qualiﬁed contractor under

DDC’s Job Order Contracting Services (JOCs). Detailed design intent for all construction elements

and assemblies must be fully integrated with the entire project scope and must reﬂect full regulatory

compliance

There are two submissions during this phase: one at 75% CD and one at 100% CD. In addition to the

drawings, a cost estimate, engineering calculations and speciﬁcations are required for review by DDC at

the 75% and 100% submissions.

Final submissions to PDC and LPC must be made during this phase. Submission to the DOB is required

prior to the 75% CD submission. Any objections from the Plan Examiner should be resolved prior to the

100% Submission, or a copy of the outstanding objections must be submitted to DDC with this package.

DDC construction contracts are awarded through a sealed competitive bid process, in compliance with

State and local laws, through which the project is awarded to the lowest responsive and responsible bidder.

It is not permissible for the Consultant to collaborate with the contractors to develop design intent prior to

the bid. Therefore, the Consultant is advised that the success of the bid and award process, as well as the

construction process itself, can be greatly enhanced through their efforts to produce bid documents that

are clear, complete, and thoroughly coordinated.

Delegated Design is not permitted except as expressly authorized by the Commissioner in writing.

CHAPTE R 02: OVE RVI EW OF TH E D ES IG N PROCE SS

E. DESIGN PHASE PROCESS AND MILESTONES

E. DESIGN PHASE PROCESS

AND MILESTONES

Every Design Phase shares the following basic organizational structure:

1) KICK-OFF MEETING

Every project begins with an ofﬁcial Kick-Off Meeting. The Kick-Off Meeting is attended by the Consultant,

sub-consultants, Sponsor Agency representatives, the DDC Project Team (see Chapter 01, paragraph D)

and additional DDC team members as may be required. At this meeting important project requirements

shall be discussed, including but not limited to:

a. Requirements of the Agreement.

b. Identiﬁcation of responsibilities, expectations, contact information, and establishment of

protocols for all stakeholders.

c. Project Intent, including, but not limited to:

i. Project Scope and Goals (as deﬁned in the Front End Planning Report and Project

Objectives)

ii. Commissioning. See Chapter 07: Commissioning.

iii. Sustainable Design and Resiliency goals. See Chapter 08: Sustainability and Resiliency.

iv. Percent for Art, if applicable. See Chapter 09: Percent for Art.

d. Design Phase milestones and expectations for submissions of deliverables, including the

BIM Execution Plan if applicable.

i. Review Protocols

ii. Design Compliance Forms

e. Sponsor Agency standards, if applicable

f. Budget

g. Site Data, including information about site surveys and borings

h. Hazardous Material Testing

i. Schedule

See Chapter 04: Project Controls

j. Thereafter, all the following phases will commence with a kick-off meeting that will lay out

the expectations for that phase.

2) PROGRESS MEETINGS

Bi-weekly progress meetings, held at DDC, shall be conducted throughout all phases. These meetings

are expected to be constructive exchanges of information and ideas to advance the project. The DDC

Project Manager schedules progress meetings and workshops. Meetings and workshops shall be indicated

on the Consultant’s schedule and may include issues such as programming, landscape, site conditions,

engineering systems, historic preservation, sustainability, active design, accessibility, cost estimating, design

value, technical specialties, speciﬁcations, and permits and approvals. Additional meetings may be required

with the Community Board or group, LPC, PDC, and the Sponsor Agency.

a. The Consultant must prepare a detailed agenda for each Progress Meeting. The agenda

must identify issues to be discussed by discipline and assign a time slot to each issue in

order that the required subject matter experts may utilize their time efﬁciently. The meeting

agenda must be shared with DDC at least 3 days ahead of the meeting.

b. The Consultant must prepare draft minutes for distribution to the attendees within three

days of the meeting or workshop. Once comments have been received from attendees, the

Consultant must issue the ﬁnal minutes to the Project Manager. When recording minutes,

the Consultant shall number each meeting consecutively and record the date, place, and

attendees. The minutes shall include the agenda, all items discussed, conclusions, and

questions for resolution.

c. Unresolved issues must continue to appear in the minutes until they are resolved. The party

responsible for the resolution of open issues, the date the resolution is due, and the actual

date of resolution shall also be noted. Similarly, corrections and approvals of minutes shall be

recorded.

d. An updated Progress Schedule shall be provided to the Project Manager at each bi-weekly

meeting. See Chapter 04: Project Controls.

e. Direction informing major project goals and constraints shall be recorded in the Owner's

Project Requirements (OPR). See Chapter 03: Design and Construction Phase Deliverables.

3) PRESENTATIONS

Throughout each phase, the Consultant shall make presentations to the Project Team to identify issues,

present options, demonstrate progress, etc. Public presentations may also be required. The Consultant

shall coordinate with the DDC Project Manager and Team Leader concerning all materials and information

to be included in the presentation documents. Sub-consultants shall attend per phase requirements

outlined in Chapter 03: Design and Construction Phase Deliverables.

4) SUBMISSIONS

Each of the phases requires a submission of drawings, data, reports, calculations and material samples

along with other relevant documents (see Chapter 03: Design and Construction Phase Deliverables for the

base deliverables which may be supplemented by the FEP Report and Project Objectives.) The Consultant

will submit their deliverables to the Project Manager, who will distribute them as required to the various

DDC Units, as well as the Sponsor Agency.

5) DESIGN REVIEW COMMENTS

Following each submission, the Design Review Team, Project Manager and Sponsor Agency shall conduct

a thorough review of the deliverables and provide the Consultant with written comments. While written

responses are not required for any discipline other than Commissioning, the Consultant is required to

thoughtfully resolve all review comments in the development of the project, addressing the spirit of the

comments as well as the speciﬁc issues. The Consultant shall attend a comment review meeting to

facilitate the resolution of any open design issues and comments. The Consultant may present additional

drawings, speciﬁcations or data as required for clariﬁcation or resolution of outstanding design issues or

CHAPTE R 02: OVE RVI EW OF TH E D ES IG N PROCE SS

E. DESIGN PHASE PROCESS AND MILESTONES

CHAPTE R 02: OVE RVI EW OF TH E D ES IG N PROCE SS

F. CONSULTANT SERVICES DURING CONSTRUCTION

comments. Notwithstanding any of the above, the Consultant shall proceed to the next phase according to

the Project Schedule. Any corrections shall be made concurrently to the work needed to keep the project

on schedule with no additional time allowed.

The DDC review will be conducted utilizing collaborative, cloud-based software, such as Bluebeam,

available to the Consultant team as a free download. The Consultant is required to utilize the system in the

design review process.

Alongside these comments, the DDC Design Review Team will issue a summary that advises the entire

project team on the submission’s level of development with respect to the current design milestone.

This will include an overall evaluation of the coordination of the documents across disciplines, code and

regulatory compliance, the presence of major discrepancies, risks, or scope omissions, and whether the

current submission reﬂects the incorporation of the City’s previous comments. The summary may also

identify speciﬁc areas of concern, per discipline, to summarize comments that can be found in the detailed

design review itself.

6) 75% CD, 100% CD AND BID PACKAGING REVIEW

At the commencement of the Construction Documents phase, DDC will initiate Bid Packaging workshops

with the Consultant. For more information, see Chapter 05, Bid Packaging Requirements.

a. Upon submission, the 75% CDs, including both drawings and speciﬁcations, are reviewed

by the A&E Review team and/or the Construction Manager to ensure that the project

requirements are fully detailed and clearly communicated. Review comments will be

provided as per Design Review section E.5 in this Chapter. At this stage, the technical

speciﬁcations are reviewed for accuracy, completeness, and coordination with the drawings.

Upon successfully resolving all open issues, the Consultant shall submit the 100% CD

documents in compliance with all comments for a ﬁnal spot check.

b. The PM will forward the ﬁnal technical speciﬁcations, cost estimate, and other documents,

referred to collectively as the Bid Package, to the Bid Packaging Unit for review (see

Chapter 05: Bid Packaging Requirements). The technical speciﬁcations are reviewed for

compliance with contract language requirements, coordination with other components of the

Bid Package, and format. The Consultant shall modify the documents as required to comply

with comments from the DDC Bid Packaging team review.

c. Once all review comments from the DDC Bid Packaging review team have been resolved,

Construction Documents are transmitted to DDC ACCO. DDC Law reviews the documents

for compliance with applicable law. The Consultant shall revise the documents as directed.

Upon satisfactory completion of all such revisions, DDC will deem the documents to be

acceptable for bid and designates ﬁnal acceptance. DDC must approve 100% Construction

Documents as-to-form prior to advertisement of the bid.

F. CONSULTANT SERVICES

DURING CONSTRUCTION

1) BID AND AWARD

During this phase the Consultant shall interpret plans and speciﬁcations when requested by DDC in

response to inquiries by prospective bidders and prepare and issue all necessary addenda, amendments,

and drawings required for the clariﬁcation of plans and speciﬁcations. Such documents shall be issued

through DDC. The Consultant shall also attend Pre-Bid Meetings to answer questions from bidders and to

assure that all parties clearly understand the intent of the Contract Documents. Pre-Bid Meetings are held

at the project site to ensure that all bidders become familiar with existing conditions. Agenda items include

highlights of the contract emphasizing any unusual work.

Once bids are received, the Consultant shall assist in the analysis and evaluation of bids, and within

three calendar days of the bid opening make written recommendations and reports on the disposition of

bids and the award of Contracts. The Consultant shall also assist in the review and evaluation of special

experience qualiﬁcations of the contractors and/or subcontractors proposed by the Prime Contractors.

The Consultant is required to attend a Pre-Award Meeting with the Contractor(s), the Sponsor Agency

representative and members of the DDC Project Team. At the Pre-Award meeting, the Consultant shall

answer questions and provide additional support and analysis in the understanding of the intent of the

Contract Documents.

Consultant services during this phase include attendance of bi-weekly job-site meetings; site visits and

issuance of Field Inspection Reports; review of submittals including shop drawings, samples, cut sheets

and mock-ups; review of schedules of items and costs; interpretation of Contract Documents and related

clariﬁcations by drawings issued as Bulletins; review of Contractor coordination drawings; resolution of

design errors or omissions; issuance of the construction punch list; LEED certiﬁcation as applicable; and

revision of documents as necessary to obtain sign off documentation from the Department of Buildings.

For more information, see Chapter 10: Regulatory Approvals.

G. CONSULTANT OBLIGATIONS

1) GENERAL

At all times throughout the design process, it is the Consultant’s responsibility to maintain the project

schedule and adhere to the approved project budget. If the Consultants believe the project is underfunded,

they must so advise DDC in writing. If the scope of work is to be modiﬁed, DDC will advise the Consultant

in writing. The Consultant shall study the implications of such changes and advise DDC in writing of any

resulting impacts on the project budget and schedule. If the Consultant is directed to proceed with the

modiﬁed scope, the budget and schedule will be adjusted accordingly.

Despite the DDC review protocol, the Consultant retains complete responsibility for the quality of the

documents and compliance with building code, as well as local state and federal law.

CHAPTE R 02: OVE RVI EW OF TH E D ES IG N PROCE SS

G. CONSULTANT OBLIGATIONS

2) DESIGN VALUE

The Consultant shall deliver a design that is within the approved budget allocation for the project. The

Consultant must evaluate life-cycle, operational and maintenance costs for the overall project, as well

as all major systems. The Consultant must demonstrate that alternatives have been considered for all

major systems and materials, and that the ﬁnal options selected are as economical as possible. For more

information, see Chapter 04: Project Controls.

3) BID DOCUMENTS

The City’s ability to successfully bid, award, and build the Consultant’s work is contingent upon a

commitment to produce clear and complete bid documents. Drawings and speciﬁcations must conform to

DDC’s standards, many of which are legally prescribed. The Consultant shall take care in the preparation

of speciﬁcations. Speciﬁcations will not be accepted if incomplete or uncoordinated, if they contain

sections not speciﬁc to the project, or contain language not in conformance with DDC requirements. The

Consultant is advised to clarify these requirements as necessary with its speciﬁcation writers, to review the

speciﬁcations carefully, and to expeditiously deliver all required speciﬁcation revisions to the DDC Project

Manager.

4) CONSTRUCTION AND CLOSE-OUT

The Consultant shall provide timely and proactive responses during the construction phase to ensure

documentation on ﬁle with the Department of Buildings is kept up to date with any changes made in the

ﬁeld so that the project may be properly closed out in a complete and efﬁcient manner.

5) PERFORMANCE EVALUATIONS FOR DESIGN CONSULTANTS

Consultants will be evaluated at the completion of all project milestones, or as needed, based on their

ability to provide quality products and services on time, within budget, and in conformance with contractual

requirements. Performance evaluations serve to provide Consultants with feedback on their performance

throughout the lifespan of a project and DDC with a record of performance for all Consultants providing

design services. DDC will review previous performance evaluations when evaluating proposals for new

projects and consider the past performance of a vendor in its selection.

6) PUBLICITY/AWARDS/PRESS

a. Consultant (and their employees, sub-consultants, subcontractors, etc.) shall not issue any press

release or other public announcement (on any social media platform or outlet) or otherwise make

any public statements, written or oral, without the prior written consent of DDC.

b. If any media outlet (including blogs) reaches out to the Consultant (and their employees, sub-

consultants, subcontractors, etc.), the Consultant will immediately contact the appropriate person at

DDC (DDC’s Public Information Ofﬁcer) and will not respond until DDC has approved in writing.

c. If the Consultant is interested in seeking an award on a DDC project, the Consultant shall ﬁrst get

DDC’s written permission and agree to work with DDC’s Public Information Ofﬁcer on how the

application and/or nomination may be presented.

d. Consultant will not include photographic or artistic representations of the design of the DDC project

in Consultant’s promotional or professional materials, on any website, social media platform, or

outlet, without prior written consent from DDC.

CHAPTE R 02: OVE RVI EW OF TH E D ES IG N PROCE SS

G. CONSULTANT OBLIGATIONS

CHAPTER 03:

DESIGN &

CONSTRUCTION PHASE

DELIVERABLES

A. PROJECT DELIVERABLES

B. GENERAL INFORMATION

CHAPTE R 03: D E S IG N & CON STR U CTION PHASE D E LIVE RAB LE S

A. DESIGN AND CONSTRUCTION PHASE DELIVERABLES

1) CAPITAL PROJECT DELIVERABLES

A. DESIGN AND CONSTRUCTION

PHASE DELIVERABLES

DDC has identiﬁed a detailed list of deliverables by phase in support of the design process and goals outlined in

Chapter 02: Overview of the Design Process. All deliverables shall be developed in accordance with the detailed

design criteria provided in Chapter 06: Design Criteria. Project Objectives (PO) will be issued to the Consultant

for their speciﬁc project and made part of the Contract. The Project Objectives will deﬁne the project’s scope

and may further reﬁne the deliverables, as applicable, for both typical capital projects and Capital Project Scope

Development (CPSD) projects.

These documents are considered the baseline for a complete and comprehensive submission, but consultants

are encouraged to develop materials beyond this baseline in order to properly document the project. Similarly,

what follows is a description of the minimum requirements for what the DDC will review for compliance, but it

remains the consultant’s responsibility to document the project per regulatory requirements and per industry

standards of care.

1) CAPITAL PROJECT DELIVERABLES:

As described in Chapter 02: Overview of the Design Process, each of DDC’s Capital Projects will be

initiated under a Project Delivery Track that deﬁnes the project’s applicable design phases. Each design

phase has associated milestones with deliverables summarized in the chart and further described below.

Note: unless speciﬁcally modiﬁed in the Agreement, the submittal requirements for a milestone in an

expedited track are inclusive of the deliverables of previous phases. For example, Track 2’s combined

Schematic Design/Design Development submittal includes all items listed under both Schematic Design

and Design Development.

Summary of Deliverables by Phase:

Pre-Schematic

SD-1

SD-2

SD-F

75%

100%

Bid

Documents

Issue for

Construction *

Permit

Records **

Contents

Report: Narrative and

Presentation Drawings

X X X X X

Technical Drawings

X X X X X X X

Technical Calculations

X X

Speciﬁcations

X X X X X

Project Controls

X X X X X X X X

Design Compliance Forms

X X X X X X X

Format

PDFs

X X X X X X X X X X

Digital Drawing Files (ex.

CAD, BIM)

X X X X X X X X X X

Printed Copies

X X X X X X X X X X

Regulatory

Coordination

PDC

X X X X X

LPC

X X X X

DOB

X X X X

* See Bid and Award Deliverables for more information on the Issue for Construction set.

**See Construction Administration Services for more information on the Permit Records set.

CHAPTER 03: DESIGN & CONSTRUCTION PHASE DELIVERABLES

A. DESIGN AND CONSTRUCTION PHASE DELIVERABLES

1) CAPITAL PROJECT DELIVERABLES

a. Pre-Schematic Design

b. Schematic Design

a. Pre-Schematic Design

i. Report: Narrative and Presentation Drawings

The Pre-Schematic Design Report shall contain descriptive data and graphics in support

of recommendations made concerning the project. The Report will serve as a record in

support of project decisions. The report shall contain:

1. Executive Summary

2. Site Analysis

The site analysis, if required by PO for site selection, indicates assets and constraints

of the site, including those determined by legal, zoning, code, location of all existing

structures on adjacent properties, and accessibility requirements as well as physical,

ecological, and historical characteristics.

3. Space Program

Note the functions, space allocations, occupancy, staff, visitors, and size of new

facilities. The report shall list usable net area and gross area tabulations, complete for

each of the functional requirements of the proposed project. The net area tabulations

shall be indicated for all distinct program spaces.

a. Space standards and requirements as provided by Sponsor Agency:

Determination and listing of space requirements for all program spaces including

special uses, common use functions, and building services.

b. Adjacencies and Flow Diagrams:

Indicate the required circulation patterns and physical relationships of both

internal and external activities.

c. Programmatic Inventory and Use:

Of all existing spaces, indicating anticipated growth or diminishment of use,

adjacency of work space requirements, special purpose areas, facilities to be

shared, support areas, and building service requirements.

d. Master Plan Report (if required by PO):

See Topic: 2. Capital Project Scope Development (CPSD) Deliverables, Sub-

To pi c: e . M a st e r Pl an f or i nfo rm a t io n nee de d fo r mas te r pl a n s.

4. Progress Meeting Minutes

5. Project Controls (See Chapter 04: Project Controls)

a. Pre-Schematic Cost Estimate

b. Schedule: update the detailed project schedule as approved after the Kick-Off

Meeting (see Chapter 02: Overview of the Design Process). The schedule must

remain current during each phase and include any new relevant details.

b. Schematic Design

i. Schematic Design: Interim I

1. Report: Opportunities and Constraints:

Provide a narrative summary that evaluates the project-speciﬁc analysis for the

proposed work and future functions of the project, as outlined below. This analysis

serves as the basis for exploring options and advancing design.

CHAPTE R 03: D E S IG N & CON STR U CTION PHASE D E LIVE RAB LE S

A. DESIGN AND CONSTRUCTION PHASE DELIVERABLES

1) CAPITAL PROJECT DELIVERABLES

b. Schematic Design

The Opportunities and Constraints Analysis must examine the project site’s existing

conditions, the proposed facility program, the Sponsor agency's operational

requirements, code and zoning requirements, and any other issues that may inﬂuence

the design, cost, schedule, and overall delivery of the project.

a. Urban Analysis: Neighborhood Characteristics

Provide materials that evaluate and analyze the context surrounding the project

site within a 0.25 to 0.5-mile radius or as otherwise appropriate. Report should

include a narrative that summarizes the surrounding context for the proposed

work and future functions of the project highlighting opportunities, constraints,

and recommendations. Urban analysis must include but is not limited to:

i. Built Characteristics:

Built characteristics of the neighborhood including scale of existing

buildings, use groups and zoning districts, and cultural, demographic, and

historic information.

ii. Resources:

Public amenities and shared cultural resources, such as parks or libraries.

iii. Transportation and Site Access:

Location, type, and distance to all forms of transportation networks including

public transit, pedestrian routes, bike lanes, roads, parking, etc.

iv. Natural Systems:

Natural systems, including geographic features and ecosystems.

v. Planning and Development:

Planning studies, zoning changes, current or future development that could

impact the project.

b. Project Site Analysis: Investigations

Provide materials that evaluate the physical conditions of the project site within

the project boundary. Report should include a narrative that summarizes the

existing site conditions for the proposed work and future functions of the project

highlighting opportunities, constraints, and recommendations. Site analysis and

investigations must include but are not limited to:

i. Site Characteristics, Generally:

Include analysis of such things as:

1. Physical impacts of the immediate site adjacencies, including

whether existing development or possible future development

would impact or constrain the project by foundation underpinning,

changing access for maintenance or egress, added construction

costs, etc.

2. Types, functions, and uses of other facilities immediately adjacent

to the site.

3. Solar and wind exposure.

4. Site access and circulation, including pedestrian, vehicular, parking,

etc.

5. Views to and from the project site

i. Available Documents:

Provide the following, and analyze any supplementary materials provided by

the DDC to identify opportunities and constraints with features including

but not limited to:

1. Site Survey:

Provide and evaluate any provided Site Survey documents

for information about built conditions, topography and spot

elevations of any relevant building or landscape features,

location of utilities including stormwater infrastructure, and trees.

2. Geotechnical Report and Subsurface Conditions, if applicable:

Provide and evaluate any provided materials for geological

conditions applicable to the project area, including

recommendations for civil and structural engineering design and

construction purposes.

3. Arborist Report, if applicable:

Provide and evaluate any provided materials including review of

species, condition, expected lifespan, required maintenance, and

if any infestation of invasive pests or pathogens exists.

Identify existing and any additional requirements for street trees.

4. Underground Storage Tanks (Fuel Tanks) and other

Environmental HAZMAT, if applicable:

Provide, review any provided reports, and make

recommendations for the removal and/or replacement of tanks

(for heating oil, diesel fuel, gasoline, etc) and contaminated soil.

Describe condition, age, and requirements for testing.

5. Utilities and Capacity, if applicable:

Provide, review any provided information, and make

recommendations for capacity of existing site utilities as

applicable to the project, such as available electric service, storm

and sanitary capacity, water main capacity through hydrant ﬂow

test, etc.

ii. Existing Site Infrastructure:

Describe existing site infrastructure, adjacent structures and related

underpinning requirements.

iii. Existing Systems and Services :

Describe the existing building structural system and condition, electrical,

mechanical, and plumbing systems, ﬁre alarm and/or ﬁre protection

systems, and security systems (as applicable).

iv. Additional Investigations Report :

Identify information relevant to the project that cannot or has not yet

been documented. Include justiﬁcation for this investigation, location and

dimensions of work, recommended testing methodology (e.g. destructive

or non-destructive, probes, ﬁeld surveys, archival research), scope of

remediation to restore the construction to functional and code-compliant

CHAPTER 03: DESIGN & CONSTRUCTION PHASE DELIVERABLES

A. DESIGN AND CONSTRUCTION PHASE DELIVERABLES

1) CAPITAL PROJECT DELIVERABLES

b. Schematic Design

use (as applicable), and any other analysis or remediation required speciﬁc

to the probe described.

c. Proposed Project Analysis

Provide materials that analyze and evaluate the requirements for the project,

highlighting opportunities, constraints, and recommendations. The areas of

investigation must include but are not limited to:

i. Zoning Analysis:

Identify all applicable sections of the NYC Zoning Resolution as they

related to the proposed project, including but not limited to setbacks,

height limitations, etc. and identiﬁcation of any required or recommended

variances or Mayoral Zoning Override.

ii. Building Code Analysis:

Identify all applicable designations and relevant sections within the NYC

Building Code including construction classiﬁcation, occupancy, accessibility,

egress compliance, ﬁre separation, energy code requirements, live load

requirements, etc. Identify potential needs for clariﬁcation or determinations

from DOB.

iii. Filing Strategy:

Identify applicable pathways to DOB approval and include all other

Authorities Having Jurisdiction (AHJ), that reﬂects the path to regulatory

compliance

iv. Americans with Disabilities Act (ADA) and Accessibility Analysis Narrative

(the “ADA Analysis Narrative” or “Narrative”):

Identify all applicable sections of the 2010 ADA Standards for Accessible

Design (or the most current ADA Standards for Accessible Design),

Chapter 11 of the NYC Building Code regarding accessibility, including

the ADA Path of Travel obligations associated with alteration work, and all

other applicable laws, rules, and regulations (collectively, the “Accessibility

Standards” as deﬁned in Chapter 06: Design Criteria). This analysis must

address the entirety of the project and must be updated at each phase as

the project develops.

v. Project Program Analysis:

Provide diagrams, a table, and/or a narrative that identiﬁes the

relationships between all program elements described in the Project

Objectives, including such factors as square footages, adjacencies, and

critical performance requirements. Include any proposed program elements

not listed in the project requirements.

vi. Construction Phasing and Staging:

Identify any construction phasing or staging requirements, including the

need for swing space and related operational requirements.

d. Sustainability and Resiliency

Include Sustainable and Resilient Design Deliverables as described in Chapter

08: Sustainability and Resiliency.

CHAPTE R 03: D E S IG N & CON STR U CTION PHASE D E LIVE RAB LE S

A. DESIGN AND CONSTRUCTION PHASE DELIVERABLES

1) CAPITAL PROJECT DELIVERABLES

b. Schematic Design

2. Te ch n ic al D ra w i ng s - E xi s t in g Con di t i on s

Unless otherwise indicated in the Agreement, the Consultant must:

a. Provide Existing Conditions Drawings of all parts of the building to be affected

by the proposed work. Field measurement and probing the building may be

necessary. Include documentation of engineering systems as applicable to the

project.

b. Provide tree survey and arborist report, if applicable.

c. Existing conditions site plan must indicate features within the right-of-way

adjacent to the project area, including curb line, curb cuts, street trees and tree

pits, light poles, and street furnishings.

d. Review Existing Conditions Drawings prepared by others and provide a

statement with regard to their adequacy and accuracy, verifying with ﬁeld

measurements and probes if necessary.

e. Reconcile Existing Conditions Drawings with other documents listed in the

Agreement, or issued by the DDC Project Manager, and prepare a statement

with respect to their correlation.

f. Augment Existing Conditions Drawings prepared by others, to provide a

complete set to meet the stipulations of the Agreement and the Code.

g. If BIM is applicable to the project, provide Existing Conditions Model per the

DDC BIM Guidelines

h. Existing Conditions Drawings with photographs of existing conditions in lieu

of reconciled and augmented actual existing conditions drawings are not

acceptable. Photographs to enhance the existing condition drawings are

welcome.

3. Project Controls

See Chapter 04: Project Controls.

4. Design Compliance Forms

Design Compliance forms listed below are initially submitted with SD-Interim 1 and

are updated throughout the design phases, as described per milestone below and

as discussed at the design-kick off meeting.

a. Project Performance Matrix:

Provide a preliminary Project Performance Matrix that responds to the

considerations listed as “Major Design Considerations” and “Project Goals”

included in the DDC Front End Planning Report and/or Project Objectives.

Identify and list any additional Project Goals that have been determined to

be signiﬁcant upon review of the project requirements. This matrix will be

resubmitted at future phase milestones with updated descriptions as the

project develops.

2. Compliance Approach Worksheet:

List the regulatory requirements and applicable laws that are anticipated

to have signiﬁcant impact on the Project, including those identiﬁed in the

DDC Front End Planning Report and/or Project Objectives. Identify and list

any additional requirements that have been determined are applicable and

CHAPTER 03: DESIGN & CONSTRUCTION PHASE DELIVERABLES

A. DESIGN AND CONSTRUCTION PHASE DELIVERABLES

1) CAPITAL PROJECT DELIVERABLES

b. Schematic Design

signiﬁcant upon review of the project requirements. This worksheet will be

resubmitted at future phase milestones to describe speciﬁc approaches to

compliance as the project develops.

3. Elements Approach Worksheet:

List major construction elements, systems, and/or performance requirements

as preliminarily described in the DDC Front End Planning Report and/or

Project Objectives. Identify and list any additional considerations that have

been determined signiﬁcant upon review of the project requirements. This

worksheet will be resubmitted at future phase milestones to describe speciﬁc

approaches to construction element and systems design as the project

develops.

ii. Schematic Design: Interim II

1. Investigation of Options:

The study of Design Options during this phase allows the Project Team to explore

and compare various approaches, testing each to weigh beneﬁts, expose ﬂaws, and

challenge assumptions. Even when the range of viable approaches is narrow, this

process is critical. Proposing three options for each key issue is required; however,

do not limit this study to three if additional ideas warrant exploration; likewise,

the team should not waste time on options with little merit simply to satisfy this

requirement. Ultimately, the Consultant is expected to deliver a design that meets

the city's needs and satisﬁes the objectives stated in the Agreement. The study

of alternative approaches, conducted collaboratively with the entire Project Team,

ensures that the most efﬁcient and cost-effective solutions are adopted.

It is the responsibility of the design consultant to structure the biweekly progress

meetings to identify key issues required for resolution, propose and present

options for feedback, identify the meaningful implications of each option, and make

recommendations for selection.

The Consultant must document the selections made by the Project Team during the

design process using materials submitted during biweekly progress meeting and/or

any additional materials generated through the decision-making process.

If applicable to the project and in development with DDC’s Design Liaison, these

materials will be utilized for a submission to the Public Design Commission for

Conceptual Review. See Chapter 10: Regulatory Approvals for more information.

a. Options (to be presented at progress meetings):

Proposed design options should demonstrate and compare the investigation of

the folowing topics:

i. Regulatory Requirements:

Propose options for regulatory compliance paths and identify their

impacts on the project design in areas such as project schedule, phasing,

or construction elements. This may include alterative Filing Strategies,

Occupancy or Construction Classiﬁcation, or Local Law compliance

highlighting different sustainability or resiliency goals.

ii. Scope and Program:

Propose options for the building and site elements using massing, stacking,

adjacency, and circulation conﬁguration diagrams. Identify their impact on

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b. Schematic Design

the project design in such areas as construction elements and material

selection, zoning and regulatory requirements, or public and private user

access.

iii. Exteriors and Siting:

Propose options for the location of elements within the project boundary

including overall footprint, massing, and building orientation. Include points

of access to the building and site for all applicable groups and systems

such as pedestrians, utilities, and vehicles. Propose conceptual options for

the materiality of major horizontal and vertical exterior elements. Identify

any implications of the options on the project design including areas such

as sustainability goals, trafﬁc, or visual impact to the neighborhood context.

iv. Systems and Services:

Propose options for all major engineering systems and identify the

implications of each alternative. Include consideration of building or

site layout, utility connections and points of access, sustainability goals

including water or energy use, level of effort required for maintenance and

operations

v. Existing Structures:

Prioritize options that do not create impacts on existing structures on

adjacent properties and, similarly, do not create potential impacts on the

project due to possible future development on adjacent properties. The

siting of buildings on or in proximity to property lot lines should be avoided;

where such is unavoidable, advise and consult with the Project Team and

DDC Law prior to committing to any such scheme.

vi. Building Envelopes:

For projects involving building envelopes, alternative facade and

fenestration treatments are to be provided.

b. Preferred Scheme

A single design scheme should be documented that reﬂects consensus

achieved through the biweekly meetings.

2. Schematic Design: Interim II Submission

a. Report

i. Statement of Project Scope (Executive Summary): Brief statement of no

more than 1-3 pages that describes the overall design intent of the project,

including City-wide objectives and Agency initiatives, the community and

neighborhood context, and funding sources and scheduling constraints.

ii. Narrative Summary of proposed design, including the speciﬁc advantages

and disadvantages to each option explored, and the path to consensus on

a preferred scheme.

iii. Diagrams, narratives, or other means of indicating how the preferred

scheme is in conformance with zoning requirements, building code,

Accessibility Standards, in particular the ADA Path of Travel requirements,

and other site and building constraints. If vertical or horizontal circulation

is of critical importance to the project, include diagrams describing these

issues.

iv. Project Program Matrix: Provide diagrams, a table, and/or a narrative

that describes how the Program Elements described in the DDC Front

End Planning Report, Project Objectives, or otherwise developed during

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b. Schematic Design

the design process have or have not been addressed in the proposed

design, including such factors as square footages, adjacencies, and critical

performance requirements.

v. Scope and Program: Prepare diagrams of ﬂoor plans with interior spaces

and square footages identiﬁed that correspond with the Project Program

Matrix. Include horizontal and vertical circulation and integrate main

entrances and access points as noted in the investigations of Exteriors and

Siting. Include blocking and stacking, massing, and site planning diagrams

describing the resolved preferred scheme.

b. Presentation Drawings:

i. Location plans or aerials at the borough and neighborhood level (400’

radius from site) – indicate north arrow

ii. Site photographs with key plans – no more than two photographs per page

iii. Blocking and stacking, massing, and site planning diagrams identifying

concepts, key relationships, efﬁciencies, design opportunities and

constraints for each option

iv. Existing and proposed site plans – indicate scale and north arrow. Existing

and proposed site plans must accurately show the sidewalk, curb line,

and all features within the right-of-way (street trees, curb cuts, light poles,

street furnishings, etc.). Label all streets.

The site plan must include a schematic building footprint with sufﬁcient

detail to identify the project location within the project boundaries, lot

coverage, and rough estimated roof area. Major access points for utilities,

vehicles, and users (both staff and public as applicable) should also be

identiﬁed.

v. Existing (if applicable) and proposed building plans, including roof plan and,

if applicable, landscape plans – no more than one plan per page, indicate

overall dimensions, scale, and north arrow

These diagrammatic ﬂoor plans must show Systems zoning, major utility

connections and access points, and the rough location of major pieces of

equipment such as generators, condensing units, cooling towers, or any

other machines of signiﬁcant size and requirements.

vi. Existing (if applicable) and proposed whole building sections – no more

than two sections per page, indicate elevation or overall dimensions and

scale

At least one section must indicate number of stories both above and below

grade, conceptual rooﬁng geometry, conceptual façade materiality as noted

in the prior investigations, and any other relevant information identiﬁed

during the decision-making process. Include ﬂoor to ﬂoor dimensions

rounded to a whole number, and elevations relative to an established

benchmark such as NAVD.

vii. Existing (if applicable) and proposed exterior elevations – no more than

two elevations per page, indicate elevation or overall dimensions and scale

These diagrammatic exterior elevations must include all major facades,

including at a minimum one that contains the main entry and that locate

areas of conceptual materiality. Preliminary percentages or dispositions of

fenestration should also be included in these drawings.

viii. Other drawings and materials as needed to present the proposal

completely and concisely, such as massing and zoning diagrams, precedent

images, and material palettes

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b. Schematic Design

c. Sustainability and Resiliency per Chapter 08: Sustainability and Resiliency

d. Percent For Art: If applicable, this process will be introduced during Schematic

Design for inclusion in the evaluation of alternative schemes. Refer to Chapter

09: Percent for Art.

e. Appendix: Project Meeting Minutes and biweekly design progress

presentations that documented the options explored and that led to the

presentation of a resolved preferred scheme.

f. Project Controls

See Chapter 04: Project Controls.

All options as well as the preferred scheme must be in compliance with the

project requirements, and the cost and schedule implications of options must

be presented for consideration to achieve consensus on a resolved preferred

scheme.

g. Design Compliance Forms

Update the Design Compliance forms as described below:

i. Project Performance Matrix:

Provide an updated Project Performance Matrix that explains how the

preferred, resolved scheme responds to all identiﬁed Project Goals. This

matrix will continue to be resubmitted at future phase milestones as the

project develops.

ii. Compliance Approach Worksheet:

Provide an updated Compliance Approach worksheet that explains how

the preferred, resolved scheme responds to all the identiﬁed the regulatory

requirements and applicable laws that are anticipated to have signiﬁcant

impact on the Project. This worksheet will continue to be resubmitted at

future phase milestones as the project develops.

The response should demonstrate an understanding of the underlying

principles of each requirement and present an approach that relates

speciﬁcally to the opportunities and constraints of this project. An

afﬁrmative response without explanation, such as “will comply,” does not

responsively complete this section. If the proposed path to compliance

requires obtaining a wavier, variance, or other type of regulatory exemption,

this must be explained.

iii. Elements Approach Worksheet

Provide an updated Elements Approach Worksheet that explains how the

preferred, resolved scheme addresses the major construction elements,

systems, and/or performance requirements of the project. This worksheet

will continue to be resubmitted at future phase milestones as the project

develops.

The response should demonstrate an understanding of the underlying

principles of each element design and note speciﬁc constraints and

opportunities for each element. An afﬁrmative response without

explanation, such as “will comply,” does not responsively complete this

section. As an example, providing an engineering narrative that describes

the approach to foundation design, including protection of adjacent

structures, along with a description of potential foundation solutions

suitable for the building on this particular site, would be suitable for this

section.

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b. Schematic Design

ii. Schematic Design Final

Document the single design scheme submitted for Schematic Design Interim 2 as

further informed by such things as additional direction by the Sponsor Agency, DDC, or

other members of the project team. Information previously presented must be updated

to reﬂect the additional development of the design.

If applicable to the project and in development with DDC’s Design Liaison, these

materials will be utilized for a submission to the Public Design Commission for

Preliminary Review. See Chapter 10: Regulatory Approvals for more information.

1. Report:

a. Statement of Project Scope (Executive Summary):

Brief statement of no more than 1-3 pages that describe the overall design

intent, including City-wide objectives and Agency initiatives, the community and

neighborhood context, and funding sources and scheduling constraints.

b. Narrative of Proposed Project Design, using presentation drawings to

appropriate scale and photographs, as required and further described below:

i. Regulatory Requirements:

Describe regulatory compliance path/s and identify their impacts on the

project design in areas such as project schedule, phasing, or construction

elements. Include Filing Strategies, Occupancy or Construction

Classiﬁcation, or Local Law compliance highlighting sustainability or

resiliency goals.

ii. Scope and Program:

Describe the building and site elements using massing, stacking, adjacency,

and circulation conﬁguration diagrams. Identify their impact on the project

design in such areas as construction elements and material selection,

zoning and regulatory requirements, or public and private user access.

iii. Exteriors and Siting:

Identify the location of elements within the project boundary including

overall footprint, massing, and building orientation. Include points of

access to the building and site for all applicable groups and systems

such as pedestrians, utilities, and vehicles. Identify the materiality of major

horizontal and vertical exterior elements and any implications on the project

design including areas such as sustainability goals, trafﬁc, or visual impact

to the neighborhood context.

iv. Systems and Services:

Describe all major engineering systems. Include consideration of building

or site layout, utility connections and points of access, sustainability goals

including water or energy use, level of effort required for maintenance and

operations

v. Existing Structures:

Identify whether there are impacts on existing structures on adjacent

properties and any potential impacts on the project due to possible

future development on adjacent properties. The siting of buildings on

or in proximity to property lot lines should be avoided; where such is

unavoidable, advise and consult with the Project Team and DDC Law prior

to committing to any such scheme.

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b. Schematic Design

vi. Building Envelopes:

For projects involving building envelopes, a description of facade and

fenestration treatments are to be provided.

c. Exceptions Report: Document and summarize any approved changes in

approach since the last submittal.

d. Building code and zoning analysis, updated as required, and including a

proposed ﬁling strategy. Include any new utility service requirements and

strategy for obtaining service upgrades if required.

e. ADA and Accessibility Analysis: The ADA Analysis Narrative must be

updated as required to reﬂect the Preferred Scheme and must include

diagrams, narratives, and other means of indicating how each this option is in

conformance.

f. Project Program Matrix: Provide diagrams, a table, and/or a narrative that

describes how the Program Elements have or have not been addressed in the

proposed design, including such factors as square footages, adjacencies, and

critical performance requirements. Include any proposed program elements not

listed in the project requirements.

g. Circulation Study: A diagrammatic circulation study showing horizontal and

vertical circulation. The circulation study must include an analysis of ADA

Path of Travel requirements, accessible routes and means of egress, a vertical

transportation analysis and recommendations for the number of elevators, or

escalators, type of elevator systems, and control systems.

h. Narrative of the Owner’s Project Requirements (OPR) and the Basis of Design

(BOD). See Chapter 07: Commissioning for more information.

i. Owner’s Project Requirements (OPR):

While developing the preferred scheme, record the primary design

objectives and the rationale behind them in the OPR. This document

should clearly outline the project goals and the intended operation of the

building, including project scope, building use, occupancy information

and schedules, budget constraints, energy efﬁciency goals, veriﬁable

performance criteria, resiliency requirements and operations and

maintenance requirements. It must address all systems impacted by the

project.

ii. Basis of Design (BOD):

The Basis of Design explains how the proposed design will meet the

requirements and expectations outlined in the OPR. It must describe the

selected systems and explain anticipated facility operation. The BOD must

document the rationale for the design, including codes and standards,

direction from the Sponsor Agency, concepts, calculations, design methods,

and software used. The BOD must include a history of revisions to the

project, explaining the reasons for changes throughout the project phases.

i. Phasing of Construction and Delivery Requirements: Provide a narrative

description and diagrams for proposed phasing and staging, including

requirements for swing space as required.

j. Sustainability and Resiliency per Chapter 08: Sustainability and Resiliency

k. Percent For Art: If applicable, per Chapter 09: Percent for Art.

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b. Schematic Design

l. Presentation Drawings:

i. Location plans or aerials at the borough and neighborhood level (400’

radius from site) – indicate north arrow

ii. Eight site photographs with key plans – no more than two photographs per

page

iii. Existing and proposed site plans – indicate scale and north arrow

iv. Existing (if applicable) and proposed building plans, including roof plan

and, if applicable, landscape plans – no more than one plan per page,

indicate overall dimensions, scale, and north arrow. This must include a Life

Safety Plan showing the preferred scheme in compliance with an updated

Building Code Analysis.

v. Existing and proposed exterior lighting plan

vi. Existing (if applicable) and proposed sections – no more than two sections

per page, indicate elevation or overall dimensions and scale

vii. Existing (if applicable) and proposed exterior elevations – no more than

two elevations per page, indicate elevation or overall dimensions and scale

viii. Renderings of exterior, in context, from a pedestrian viewpoint

ix. If applicable, plant palette images and plant list

x. Model photographs (if applicable), minimum of (3) views

xi. Exterior Materials and Equipment

xii. Exterior materials list with name of manufacturer, color, and ﬁnish as well

as indication of where each material will be used

xiii. Catalog cuts of exterior materials, equipment, lighting, fencing and

screening, paving, and furnishings

xiv. Exterior material samples

m. Report Appendix

i. Project Meeting Minutes: All meeting minutes, including bi-weekly progress

meetings, must be provided as an appendix to the Schematic Design

Report

2. Te ch n ic al D ra w i ng s

Schematic Design documents must illustrate the resolution of the program

requirements and must be dimensioned and scaled, showing ﬂoor-to-ﬂoor heights

and room sizes.

a. Key Plans: Key plans must adequately describe the project location and

orientation.

b. Site Plan: As required by the nature of the project, a site plan must be fully

labeled and must indicate materials, physical features and site furnishings,

major grading, utilities, property or project limit, easements, buildings or

structures on and adjacent to the project, and plantings. The site plan

must indicate features within the right-of-way adjacent to the project area,

including curb line, curb cuts, street trees and tree pits, light poles, and street

furnishings.

c. Demolition Plans: Drawings for all affected areas within the project scope must

show areas and elements requiring demolition, salvage, protection, impact

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b. Schematic Design

upon design, neighboring property access, and integration with the proposed

design.

d. Floor Plans: Floor plans must be prepared for all ﬂoors within the scope of

the project. Floor plans must indicate all program spaces. Corridors, stairs,

elevators, exits, mechanical chases, and compliance with Accessibility

Standards, must be evident.

e. Roof Plan: Roof plans must indicate, at a minimum, the stormwater drainage

features, all roof-mounted equipment including strategies for screening from

public view, and skylights. Top of roof and top of parapet elevations must be

indicated. Requirements for Local Law 92-94 must be identiﬁed.

f. Exterior Elevations and Sections: Exterior elevations and building sections

must indicate fenestration, entry, access, site features, and materials. This

must include a schematic wall section of the exterior envelope assembly

showing whole building from foundation to roof, suggested at 3/4” scale or as

appropriate to the project.

g. Engineering Drawings: Engineering drawings must indicate all disciplines

applicable to the project including structural, HVAC, ﬁre protection,

electrical and ﬁre alarm system, and plumbing systems, indicating path of

services, locations of stacks and risers, and equipment service room space

requirements. Drawings must indicate point of entry for utility company

services and connections to available services on site. In addition, HVAC/Fire

Protection engineering drawings must indicate the following:

i. System types, capacities, and zoning

ii. Location and spatial layout of major equipment

iii. Main ductwork routing

iv. Site utilities: Conceptual design solutions for on-site utility systems and off-

site utility work

h. Axonometric Drawing and Perspectives: Axonometric drawings, perspectives,

and other sketches must be prepared as necessary to fully illustrate and

document all major elements of massing, circulation, and systems design.

3. Project Controls

See Chapter 04: Project Controls.

4. Design Compliance Forms

a. Project Performance Matrix

Provide an updated Project Performance Matrix that explains how the ﬁnal

Schematic Design responds to all identiﬁed Project Goals. This matrix will

continue to be resubmitted at future phase milestones as the project develops.

b. Compliance Approach Worksheet

Provide an updated Compliance Approach worksheet that explains how

the scheme responds to all the identiﬁed the regulatory requirements and

applicable laws that are anticipated to have signiﬁcant impact on the Project,

including any changes as a result of the project’s development. This worksheet

will continue to be resubmitted at future phase milestones as the project

develops.

CHAPTER 03: DESIGN & CONSTRUCTION PHASE DELIVERABLES

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b. Schematic Design

c. Elements Approach Worksheet

Provide an updated Elements Approach Worksheet that explains how

the scheme addresses the major construction elements, systems, and/or

performance requirements of the project, including any changes as a result of

the project’s development. This worksheet will continue to be resubmitted at

future phase milestones as the project develops.

c. Design Development

Advance the work of Schematic Design Final to a coordinated submission developed for

all disciplines. It must reﬂect the regulatory approval processes to date, incorporate design

development resulting from Project Team meetings, and include all scope items in the project.

i. Regulatory Approvals

Requirements identiﬁed in earlier submittals must now be coordinated with project

design, and a clear path toward complete project regulatory approval must be

demonstrated.

ii. Coordinated Project Design

Project scope and program should be fully coordinated with interior layouts, exterior

materials, siting, systems, and services, to present a complete building and site design.

iii. Report

1. Executive Summary: The executive summary must identify and explain any

differences between the scope of work described in the Agreement and the

submitted design.

2. Project Fact Sheet with information including, but not limited to, net and gross area,

block and lot number, zoning district, Community Board, Council District, and street

address. List all applicable codes and laws, design guidelines, or other standards.

3. Zoning and Building Code Analysis, and Filing Strategy, updated as required to

reﬂect design development, to include:

a. Zoning Data including diagrammatic resolution of urban design requirements.

b. Historic district including location within and limits of the district, as applicable.

c. Construction classiﬁcations, number of stories, occupancy classiﬁcation, ﬁre

protection of the structural elements, overall building area and area by ﬂoor,

building height, etc.

d. Life safety plans indicating egress paths, travel distances, occupant loads, ﬁre

rated enclosures, corridor widths, exit door and stair capacity, etc.

4. ADA and Accessibility Analysis: The analysis provided in Schematic Design Final

must be updated as required to reﬂect the development of the design and must

include diagrams, narratives, or other means of indicating how the design is in

conformance.

5. Narrative of Proposed Project Design, using presentation drawings to appropriate

scale and photographs, as required.

i. Regulatory Requirements:

Identify requirements for all authorities having jurisdiction and describe

how and when these will be satisﬁed. Identify any variances, waivers, or

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c. Design Development

CCD-I's that must be ﬁled and provide a status update and projected

schedule for the same.

ii. Scope and Program:

Provide a Program Matrix indicating all required spaces, required areas and

adjacencies, as well as provided spaces, areas and adjacencies. Provide an

efﬁciency analysis and Net/Gross ratio.

iii. Exteriors and Siting (as applicable):

Describe the beneﬁts of the proposed massing and building orientation

including points of access to the building and site for users, utilities and

vehicles. Indicate how the materiality of major horizontal and vertical

exterior elements supports the above. Identify any implications of the

project design including areas such as sustainability goals, trafﬁc, or visual

impact to the neighborhood context.

iv. Systems and Services:

Describe all major engineering systems and identify the beneﬁts

associated with each. Include consideration of building or site layout, utility

connections and points of access, sustainability goals including water or

energy use, level of effort required for maintenance and operations

v. Existing Structures:

Describe any impacts on existing structures on adjacent properties and/

or potential impacts on the project due to possible future development on

adjacent properties.

vi. Building Envelopes:

For projects involving building envelopes, describe the beneﬁts of the

proposed facade and fenestration treatments.

6. Exceptions Report: Document and summarize any approved changes in approach

since the last submittal.

7. Project Program Matrix: Provide diagrams, a table, and/or a narrative that describes

how the Program Elements have or have not been addressed in the proposed

design, including such factors as square footages, adjacencies, and critical

performance requirements. Include any proposed program elements not listed in

the project requirements.

Calculations for area and building volume must be prepared in accordance with

DDC deﬁnitions of net and gross area below. Net square feet, gross square feet,

ﬂoor to ﬂoor height, and gross cubic feet must be indicated for each program

space and subtotaled for each ﬂoor. Building totals must also be included for each

category.

Gross Area measured to the outside of the building walls, in square feet.

Net Area is the cumulative usable space within the partitions of each programmatic

area. Not included are access and service spaces, shafts, wall thicknesses and

structural elements.

8. Updated material selections for interior and exterior.

9. Renderings or Perspectives - or photographs of renderings and models, as

appropriate to the project design.

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c. Design Development

10. Engineering Narratives: In coordination with the Element Approach Worksheet,

provide for all disciplines applicable to the project such as Structural, HVAC, Fire

Protection, Electrical and Fire Alarm, and Plumbing, as described in the sections

that follow below:

a. Structural Narrative:

i. Provide a list of all applicable codes, design guidelines or other accepted

standards used in the proposed design.

ii. Provide a written description of the structural systems to be used on the

project including foundations, substructure, superstructure, lateral force

resisting systems, exterior cladding support, etc. Provide sufﬁcient technical

detail and information to fully describe these systems for engineering

review purposes.

iii. Material Information:

1. Concrete:

Provide basic material properties for concrete to be used for all

the structural elements. Include compressive strength, entrained

air content, maximum aggregate size, allowable w/c ratios,

unit weight or aggregate type, and anticipated admixtures,

etc. Pozzolans must be used to substitute for cement to the

maximum extent possible.

a. Reinforcement:

Provide the ASTM material designations for the type

of rebar to be used. Provide the type and dosage of

structural synthetic ﬁbers to be used for shrinkage and

temperature stresses.

b. Joints:

Provide information on the type and spacing of all

expansion, contraction and construction joints.

2. Masonry:

Provide ASTM designations for the types of masonry units and

mortar to be used on the project, such as bricks, CMU, etc.

3. Steel:

Provide the ASTM material designations for the steel to be

used on the project. Itemize by the AISC shape as applicable,

including material types, grades and sizes.

4. Steel Deck:

Provide basic information for the type of deck to be used,

including proﬁle and depth, ASTM material designation, span

conditions, coatings, and method of attachment. Indicate areas

where shoring of the metal deck will be required.

5. Wood and Engineered Wood Products:

Provide the grade and species for all products in addition to

their design requirements, spacing, and any special treatments

required (pressure treated, ﬁre resistance, etc.). Identify the

type of sheet goods (OSB, plywood, etc.) in addition to their

thicknesses and locations for use.

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c. Design Development

iv. Structural Loading Information:

The following information and its source must be provided in an easy to

understand tabular format:

1. Dead and live loads for all ﬂoors and roof.

2. Snow load including:

Flat roof snow load (Pf), snow exposure factor (Ce), snow load

importance factor (I) and thermal factor (Ct).

3. Wind loads:

Basic wind speed, wind importance factor (I), wind exposure

(C), internal pressure coefﬁcient (GCpi) and wind pressures for

components and cladding.

4. Earthquake loads:

Seismic importance factor, occupancy category, mapped spectral

response accelerations (Ss and S1), site class, spectral response

coefﬁcients (Sds, Sd1), seismic design category, basic seismic

force resisting system, response modiﬁcation factor (R), system

over strength factor (Ω0) deﬂection ampliﬁcation factor (cd),

redundancy coefﬁcient (ρ) and analysis procedure used for

design.

v. Building Performance Basis of Design:

1. Maximum allowable drift criteria.

2. Maximum ﬂoor and roof live load deﬂections

3. Floor ﬂatness and levelness numbers.

4. Maximum allowable horizontal and vertical deﬂection for

members supporting exterior cladding and materials.

5. Floor vibration criteria.

6. Proposed methods of corrosion protection, if applicable.

7. The ﬁre rating assumed for design of structural components.

vi. Special reports such as Geotechnical, Geological Hazard, and Blast Design

reports and analyses, if applicable. Geotechnical report must include soil

investigation data and foundation recommendations.

vii. A description of any deviations from the structural systems as approved in

the Schematic Phase.

b. HVAC and FP Narrative:

i. Indoor and outdoor design conditions for all spaces. Indicate occupied, 24-

hour, and unoccupied conditions.

ii. Tem p e ra t u re an d hu m i dit y l e ve l to be m ai n t ain ed i n e a ch sp a c e.

iii. Provide a dew point analysis at design conditions.

iv. Ventilation rates, dehumidiﬁcation, and pressurization criteria for all spaces.

Indicate occupied, 24-hour, and unoccupied conditions.

v. Equipment capacities, weights, sizes, sound power, and power

requirements.

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1) CAPITAL PROJECT DELIVERABLES

c. Design Development

vi. Description of the air-side and water-side systems and the associated

components including operating characteristics, ranges, and capacities,

spaces served, and special features.

vii. Description of control strategy and sequence of operations for all spaces.

Indicate occupied, 24-hour, and unoccupied conditions.

viii. Noise control evaluation for projects that incorporate new or replacement

of exterior mechanical/electrical equipment, as required to comply with

NYC noise control requirements.

ix. Corrosion protection for underground metallic piping, if required by the

Geotechnical Report.

x. Updated fuel and utility requirements.

xi. Building ﬁre suppression systems.

xii. Smoke control system(s), where applicable.

xiii. Fire pump selection and ancillary equipment.

xiv. Special ﬁre protection systems (e.g., kitchen extinguishing system), where

applicable.

xv. A description of any deviations from the HVAC and ﬁre protection systems

as approved in the Schematic Design Phase.

xvi. New Equipment Connected to Existing System - For existing buildings,

the report must state if the new equipment installation is connecting to

an existing system, and, if so, whether the existing equipment is to be

refurbished before the new connections are made.

c. Electrical Narrative:

A written narrative describing the electrical and low voltage systems and

equipment selection including:

i. Description of alternative power distribution schemes:

ii. Compare the advantages of each approach. Include the source of power,

most economical voltage and metering.

iii. Proposed power distribution scheme:

iv. Provide a detailed description and justiﬁcation for the selected scheme.

Address special power and reliability requirements, including emergency

power and UPS systems, as applicable.

v. Proposed lighting systems:

1. Describe typical lighting system features, including ﬁxture type,

layout, and type of controls.

2. Describe special spaces, such as lobbies, auditoriums, dining

rooms, and conference rooms.

3. Describe exterior lighting scheme.

4. Describe lighting control scheme and daylighting.

5. Describe the energy usage of the lighting system.

6. Describe interface with BMS system, if applicable.

7. Methods proposed for energy conservation and integration with

BMS system, if applicable.

8. Engineering analysis for demand limit controls.

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c. Design Development

vi. Utility company available short circuit at the service entry point.

vii. Fire Alarm System:

1. Describe building ﬁre alarm systems.

2. Interface of ﬁre alarm system with BMS and security systems.

3. Review of building for compliance with life safety requirements

viii. Description of each proposed signal system:

1. Description of proposed security systems’ features and intended

mode of operation.

2. Proposed zone schedule.

3. Proposed card access controls, CCTV assessment, and intrusion

protection system, if applicable

ix. Proposed telecommunications infrastructure:

1. Systems proposed for infrastructure and cabling to

accommodate the communication systems.

x. Code criteria.

xi. A description of any deviations from the electrical systems as approved in

the Schematic Phase.

d. Plumbing Narrative:

A written narrative describing the plumbing system and equipment selection

including:

i. Updated description of plumbing system, including domestic cold and hot

water, sanitary and storm drainage, and irrigation systems.

ii. Evaluation of alternate sources for reheating of domestic water (solar or

heat recovery).

iii. A description of any deviations from the plumbing systems as approved in

the Schematic Phase.

e. Hazardous Materials Narrative

Indicating probability or known extent of hazardous materials and necessity for

abatement.

f. Sustainability and Resiliency per Chapter 08:

Sustainability and Resiliency Include demonstration of Appendix G compliance

if the project is located within a Special Flood Hazard area.

g. Percent For Art:

If applicable, per Chapter 09: Percent for Art.

h. Phasing of Construction and Delivery Requirements:

Provide an updated narrative description and diagrams for proposed phasing

and staging, including requirements for swing space as required.

i. Report Appendix

i. Finalized Owner’s Project Requirements (OPR) and Basis of Design

(BOD). Update these throughout this phase to reﬂect ongoing decisions.

See Chapter 07: Commissioning for a more detailed description of these

documents.

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1) CAPITAL PROJECT DELIVERABLES

c. Design Development

ii. Project Meeting Minutes - All meeting minutes, including bi-weekly

progress meetings, must be provided as an appendix to the Design

Development Report

iii. Technic al Drawi ngs

1. Landscape Architectural/Civil Engineering Drawings:

a. Site removals and demolition plan identifying materials for reuse or recycling.

Any invasive pest host species plants requiring pruning or removal must be

indicated. Disposal protocols are mandated by New York State Department of

Agriculture Markets (NYSDAM). Removal of invasive plant species may also be

required.

b. Exterior paving including sidewalks, driveways, yards, curbs, and curb cuts.

c. Adjacent structures including walls, fences, railings, and buildings, including

number of stories.

d. Landscaping including plantings and street trees. When street trees are in

pavement include tree pit material, ground cover, and planting.

e. Grades to show the surface ﬂow characteristics of the site. Indicate spot

grades at entrances, property lines, walls, stairs, drain inlets, and major

changes in site slope.

f. For new and existing buildings, indicate number of stories, clearance from

building lines, ﬁnish ﬂoor elevations, building footprint, and overhangs.

g. Encroachments on site and all easements.

h. Show all basic surface and subsurface utilities, including drainage, lighting,

electrical, water, irrigation, site utility systems, equipment, ﬁxtures, controls, and

any subsurface structures.

i. Integration of artwork as applicable.

j. A full planting list with Latin botanical names, common names, sizes and root

containment types, assets, and constraints. This plant schedule must comply

with the most current recommendations from the NYSDAM and NYC Parks

regarding invasive pests and species or hosts.

k. All proposed site-related details, including site related structures and

furnishings, their footings, foundations, and reinforcement. Include pertinent

drainage structures, pavements, lighting, signage, other relevant materials, and

all dimensions and ﬁnishes.

l. Sections and elevations of such key elements as fences, walls, gates, site

furnishings, and signiﬁcant new plantings. These must be coordinated with the

appropriate architectural drawings. Buildings must be represented only with

their volumes, windows, doors, omitting details unnecessary to site design.

m. Builders Pavement Plan must be initiated at this phase if required.

n. Stormwater Management design calculations and drawings.

o. Erosion and Sedimentation Control Plan must be included to prevent soil

erosion, sedimentation of sewer systems, and airborne dust pollution during

construction.

p. Demonstrate compliance with Accessibility Standards.

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c. Design Development

2. Architectural Drawings:

a. Site Plans must include:

i. Current topographic and boring survey performed by DDC based on the

approved boring plan generated by the Consultant.

ii. Site Layout Drawing must describe the entire site within the property lines,

as well as sidewalks and other access ways outside of the lot lines as

established by DDC. It must be fully labeled and based on a surveyed point

of beginning.

iii. Project Limit Line, indicating the extents of the work area, and all areas

outside the project boundary.

iv. Scale must be 1”=20’-0” unless otherwise approved by the DDC Project

Manager.

b. Architectural Floor Plans must include:

i. Dimensions including room sizes, maneuvering clearances, and room areas,

etc.

ii. Building lines, property lines and column grids.

iii. Room Names/Identiﬁcation of Program Elements as programmed in the

project requirements.

iv. Material indications as per conventional graphic standards indicating all

new construction. New construction should be graphically distinct from

existing construction to remain.

v. Built-in Furniture and Equipment must be indicated on all plans in order to

conﬁrm required egress and accessibility.

vi. Finished Floor Elevations must be indicated at every location where the

ﬂoor elevation changes, such as at top and bottom of stairs, landings, and

ramps. Floor elevations must also be indicated for the ﬂoor level in general.

vii. Integration of artwork if participating in Percent for Art.

viii. Fire ratings of walls, partitions, ceilings, shafts, roofs, and structural

elements such as columns and slabs

c. Architectural Reﬂected Ceiling Plans Plans must include:

i. Light Fixtures at all locations such as ceilings and walls, as proposed.

ii. Air Supply Diffusers and Return Grilles.

iii. Ceiling Heights at every location where the ceiling elevation changes.

iv. Materials.

v. Keying in of all building section and detail markers.

d. Architectural Exterior Elevations and Building Sections must include:

i. Exterior Elevations of all vertical exterior surfaces.

ii. Longitudinal and transverse Building Sections.

iii. Site Features such as walls, fences, trees, artwork, street furniture, and

adjacent structures.

iv. Materials, fully annotated.

v. Finish Floor Elevations on building sections and elevations in coordination

with plans.

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c. Design Development

vi. Floor-to-Floor Heights on building sections.

vii. Finished Grades on all elevations and building sections in coordination.

e. Wall sections, typical for each exterior wall type, including foundations and roof

assemblies:

f. Partition types detailed and cross-referenced to ﬂoor plans.

g. Preliminary Door Schedule: At a minimum indicating dimensions, operation, ﬁre

rating, and material.

h. Interior Elevations, perspectives, and axonometric illustrations must include:

i. Interior Elevations, developed, if requested, into one-point perspective

sketches to illustrate how all the elements and surfaces are coordinated,

and how the ceiling, walls, and ﬂoor interface.

ii. Axonometric Illustrations, if requested, will detail sections through

complicated connections and material intersections.

iii. Materials including trim, window treatment, registers, controls, textures, and

colors.

iv. Built-in Furniture and Equipment indicating layout, conﬁguration, and

material.

v. Room Designations.

vi. Vertical Dimensions, ﬂoor elevations, and ﬂoor-to-ceiling heights.

3. Interior Design Drawings:

When indicated the Agreement, the Consultant is responsible for various tasks

regarding the selection of furniture. “Preliminary Layout Drawings” of furniture

and “Coordination of NIC Items are base services, as described below. If directed

or required by the Agreement, the perform any of the other tasks, also described

below:

a. Preliminary Layout Drawings – Floor Plans

Prepare preliminary furniture layout plans to illustrate a conceptual

understanding of the function of each room as per Sponsor Agency

requirements. Layouts for systems furniture must be prepared with

manufacturer’s templates. The plans must incorporate all loose furniture,

systems furniture, built-ins, and equipment, including kitchens and laboratory

equipment, and must demonstrate compliance with egress and accessibility

requirements.

b. Coordination of Not-in Contract (NIC) Items

The Sponsor Agency is responsible for specifying and purchasing equipment

such as photocopy machines, fax machines, and computers unless otherwise

speciﬁed in the project requirements. It is the responsibility of the Consultant,

however, to verify that all such equipment ﬁts within the designated space, and

to provide for mechanical, electrical, telephone service, and any other physical

need for the operation of these items. Such items should be labeled NIC in the

drawings.

c. Furniture Cost Estimate

Provide a preliminary cost estimate for all furniture. The estimate must identify

the vendor, item description, order number, quantity, and the costs.

d. Furniture Selection

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c. Design Development

4. Graphic Design and Wayﬁnding Design, as required

5. Vertical Transportation Drawings

a. Key Plans indicating all areas of work.

b. Floor Plan of elevator machine room showing all elevator control equipment,

power equipment, and mechanical equipment.

c. Lobby and machine room plans.

d. Riser Diagram indicating elevator installation, ﬂoors, elevator travel, and

openings.

e. Elevations and Sections of elevator cab.

f. Sketches for controls such as call buttons.

g. Demonstrate compliance with Accessibility Standards

6. Structural Engineering

The design must be developed from the approved Schematic Design Final

Submittal. The design and the structural systems must have been developed

and deﬁned in accordance with the loads tabulated in the loading data. For

rehabilitation projects, all structural work must be shown on separate structural

framing plans and detail drawings independent of architectural drawings.

Drawings must clearly indicate the new members and the existing to remain and/or

to be modiﬁed.

a. Demolition drawings, along with support of adjacent structures, as applicable.

b. Foundation Plans indicating:

i. All footings and/or pile caps with major sections and details referenced.

ii. The allowable soil bearing pressure for footings and the acceptable

bearing strata for deep foundations.

iii. Footing/pile cap elevations.

iv. Major foundation sections and details indicating type, size, reinforcement

and pertinent waterprooﬁng details. Provide footing schedules with

representation for grade beam and pile cap details, as applicable.

v. All structural slabs and slabs on grades to be detailed with proper

subgrade compaction and necessary waterprooﬁng details.

vi. All necessary supports for cladding (such as brick shelf, embedded plates,

anchors, etc.), as applicable.

vii. Ty p i c a l e l e v a t o r a n d s u m p p i t d e t a i l s .

viii. Slab-on-grade construction and contraction joints must be shown in a

separate plan.

c. Where underpinning is required:

i. Show on plan, and on the sections, the extent and details of any

underpinning that may be required.

ii. All relevant information of the adjacent foundations must be shown.

This information must have been conﬁrmed by probes, test pits or other

methods as necessary.

iii. Ty p i c a l u n d e r p i n n i n g d e t a i l s m u s t b e s h o w n f o r i n f o r m a t i o n .

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c. Design Development

d. Framing Plans must indicate the following

i. Building expansion joints.

ii. Elevations, sizes, thickness and layout of all structural components (such as

slabs, beams, columns, trusses, etc.)

iii. All slab edges, opening and penetrations must be located and

dimensioned.

iv. Lateral load resistance system must be clearly deﬁned. Elevations of the

lateral system must indicate all applicable forces acting on the lateral

system.

v. Column schedule.

vi. Weights and locations of major mechanical equipment and their supporting

systems.

d. Provide major typical details for structural components and their connections.

7. HVAC and Fire Protection:

Drawings submitted (site plan, ﬂoor plans, ﬂow diagram, and control diagrams)

must indicate new systems and existing systems to remain and/or to be modiﬁed.

Submitting photographs in lieu of drawings showing existing systems is not

allowed. However, photographs may be submitted in addition to drawings of

existing systems.

a. Demolition drawings, along with support of adjacent structures, as applicable.

b. Site Plan

i. HVAC Floor Plan(s):

ii. Single line piping and ductwork schematic layout — with preliminary sizes

indicated.

iii. Vertical risers, shafts, stacks, and chimneys.

iv. Drawings must show:

v. Interior zone terminal air units.

vi. Perimeter zone terminal units.

vii. Zoning.

c. Quarter-inch scale drawings of mechanical equipment room(s) showing all

mechanical equipment, ductwork, and piping, including equipment access and

service requirements in plans, elevations, and sections.

d. Roof plan showing all roof-mounted equipment and access to roof.

e. Single line schematic ﬂow and riser diagram(s):

i. Air, water, and steam riser diagrams.

ii. Airﬂow quantities and balancing devices for all heating/cooling equipment.

iii. Flow/energy measuring devices for water and air systems for all cooling,

heating, and terminal equipment. Flow diagrams must be provided for new

systems and existing systems being modiﬁed.

f. Automatic control diagram(s):

i. Control ﬂow diagrams showing all sensors, valves, and controllers (analog

and digital).

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c. Design Development

ii. Sequence of operations for all systems that describes the control

sequences during occupied, 24-hour operations, and unoccupied

conditions.

iii. Control diagrams must be provided for new BMS systems and for new and

existing systems when inter-phasing with new BMS system.

g. Schedules: Provide schedules of major equipment that includes chillers, boilers,

pumps, air handling units, terminal units, cooling towers, and all equipment

required for 24-hour operation.

i. All major Mechanical System equipment and components must be clearly

identiﬁed with all operating performance requirements, utility requirements

and operating efﬁciencies Mechanical equipment schedules must include

as a minimum for each entry: system equipment tag, description of

service, physical size, operating weight, performance capacity, operating

efﬁciency, motor brake horsepower, motor horsepower, electric voltage,

amperage, phase, frequency, fossil fuel type, fuel consumption rate,

fuel delivery pressure and/or temperature requirements, water and/or

steam consumption rates , water and/or steam delivery pressure and/or

temperature requirements, basis of design equipment manufacturer and

model number.

ii. For existing equipment to be overhauled or replaced, make a complete

schedule of all HVAC equipment. The schedule will list working condition,

requirements for repair, and appropriate remaining potential useful life.

h. Air terminal devices.

i. Air balance relationships between spaces.

j. Fire protection ﬂoor plan(s) showing:

i. Equipment spaces for ﬁre protection systems (e.g. ﬁre pump, ﬁre command

center).

ii. Fire protection water supply lines and ﬁre hydrant locations.

iii. Standpipes and sprinkler risers.

iv. Zoning.

v. Location of special ﬁre protection requirements (kitchens, computer rooms,

etc.)

vi. Existing equipment.

vii. Riser diagrams for sprinkler system.

8. Electrical Engineering:

Drawings submitted (site plan, ﬂoor plans, single line diagram, and riser diagrams)

must indicate new systems and existing systems to remain and/or to be modiﬁed.

Submitting photographs in lieu of drawings showing existing systems is not

allowed. However, photographs may be submitted in addition to drawings of

existing systems.

a. Demolition drawings, if required. Show on separate demolition plans electrical

equipment required to be removed or relocated. Show source of power from

which this equipment must be disconnected. Indicate staging plans, if required.

b. Electrical Service Room Plan and elevation of service entrance equipment and

other electrical equipment, such as panel boards and fused switches.

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c. Design Development

c. Site Plan:

i. Proposed site distribution for power and communications, proposed service

entrance and location of transformers, generators, and vaults, etc.

ii. Proposed location of electrical service room, telephone service, property

lines, manholes, hand-holes, duct banks for power, telephone, and cable

television. Coordinate electric service room location and anticipated points of

entry.

d. Floor Plans:

i. Proposed major electrical distribution scheme and location of electrical

rooms and closets and communications closets.

ii. Equipment spaces for ﬁre alarm panels and ﬁre command center.

iii. Proposed major routing of major electrical feeder runs, bus ducts,

communication backbone systems, and security systems.

iv. Plan layouts of electrical rooms, showing locations of major equipment,

including size variations by different manufacturers.

v. Lighting layouts of typical rooms and spaces.

vi. Single line diagram of the building power distribution system.

vii. Motors and motor control center(s) locations.

viii. Typical power wiring – lighting, power, and controls.

ix. Site lighting and site electrical outlet systems, ISO foot-candle curves

e. Riser diagram for ﬁre alarm system.

f. Single line diagram of signal system including telephone, data, security, public

address, and others.

g. Security system site plan.

h. Proposed locations for CCTV, duress alarm sensors, and access controls for

parking lots.

i. Security system ﬂoor plans:

j. Proposed locations for access controls, intrusion detection devices, CCTV and

local panels.

k. Building grounding system.

l. Lightning protection system.

9. Plumbing Engineering:

Drawings submitted (site plan, ﬂoor plans, single line diagram, and riser diagrams)

must indicate new systems and existing systems to remain and/or to be modiﬁed.

Submitting photographs in lieu of drawings showing existing systems is not

allowed. However, photographs may be submitted in addition to drawings of

existing systems.

a. Demolition drawings, if required.

b. Site Plan:

i. Outside services exiting or entering the building and means of stormwater

detention or retention.

ii. Related appurtenances, such as catch basins, inlets, manholes, and pipe

routing.

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c. Design Development

iii. Fuel dispensers and fuel storage tanks, where applicable.

c. Plumbing ﬂoor plan(s):

d. Proposed building zoning and major piping runs.

e. Locations of proposed plumbing ﬁxtures and equipment, including: tanks,

sewage ejectors, sump pumps, interceptors, meters, backﬂow preventers, hose

bibs, hydrants, water booster pumps, hot water heaters, hot water circulation

pumps, stormwater storage tanks with all required pumps and ﬁlters.

f. Piping material and related equipment for the various systems.

g. Roof and site drainage and all related penetrations, drains, water retention, and

typical details.

h. Systems schematics and ﬂow diagrams.

i. Riser diagrams for the various systems.

10. Hazardous Materials Survey Documents:

Provide adequate documentation to DDC’s Ofﬁce of Environmental and HazMat

Services (OEHS) unit so that the extent of project scope can be fully understood.

DDC’s OEHS unit will then provide an environmental survey and report to be

incorporated into the Construction Documentation. OEHS’s work product includes

the following: .

a. Accessible Hazards

A preliminary survey of the project site noting existing environmental

conditions and properly deﬁning the limits of accessible suspect hazards that

may be disturbed, altered, demolished, or affected by the proposed work.

Such environmental hazards may include, but are not limited to, asbestos

building materials, lead-containing paints, PCBs from electrical transformers,

underground storage tanks, and similar conditions.

b. Inaccessible Hazards

Identiﬁcation and location of any inaccessible suspect-hazards and

arrangements for exploratory probes, physical penetrations, sample collection,

and analytical tests to determine whether suspect-hazards are present within

the boundaries of the scope of work.

c. Assessment

i. A comprehensive environmental survey and hazard assessment, with

a subsequent formal report, to determine the presence and location of

hazardous materials and/or environmental conditions. The survey report will

document the materials and conditions found and expected to be impacted

by the scope of construction. The report must include the following

information:

ii. A brief discussion of the services provided.

iii. An inventory of environmental hazards including, but not limited to,

asbestos, lead, soil contamination, PCBs, mold and biological hazards, or

similar environmental concerns.

iv. A written assessment of all hazards including cost of abatement or

remedial work.

v. Drawings or sketches showing approximate locations where samples were

collected.

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c. Design Development

vi. An estimate of the quantities and conditions of the hazards identiﬁed in the

survey.

vii. A summary of all samples, analyses, chains of custody, and laboratory

certiﬁcations.

viii. Diagrams, photographs, sketches, drawings, etc., as necessary to document

the conditions.

v. Speciﬁcations

Outline speciﬁcations fully coordinated with project scope and intent (see Chapter

05: Bid Packaging Requirements). This can include a Table of Contents of division

headings, as well as “Part 1” of the complete speciﬁcation that is anticipated for each

construction element (e.g. general information and summary).

vi. Project Controls

See Chapter 04: Project Controls.

vii. Design Compliance Forms

1. Project Performance Matrix

Provide an updated Project Performance Matrix that explains how the scheme

responds to all identiﬁed Project Goals. This matrix will continue to be resubmitted

at future phase milestones as the project develops.

2. Compliance Approach Worksheet

Provide an updated Compliance Approach worksheet, coordinated with the Zoning,

Building Code Analysis, and Filing Strategy narrative in the Design Development

Report, that explains how the scheme responds to all the identiﬁed the regulatory

requirements and applicable laws that are anticipated to have signiﬁcant impact on

the Project, including any changes as a result of the project’s development.

3. Elements Approach Worksheet

Provide an updated Elements Approach Worksheet, coordinated with the

engineering narratives in the Design Development Report, that explains how the

scheme addresses the major construction elements, systems, and/or performance

requirements of the project, including any changes as a result of the project’s

development.

viii. Miscellaneous

1. Models

A presentation model is suggested for all new buildings and additions and is

required if indicated in the Agreement.

a. Models must be complete in scope, detail, and color selection

b. Models must be titled with the names of the project, the Consultant, the

Sponsor Agency, and DDC.

2. Renderings

Submit, if required by the Agreement, perspective renderings and other

presentation materials suitable for reproduction. These renderings and other

presentation materials belong to DDC and must be used at public meetings, in

publication, and on the DDC website.

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c. Design Development

a. Renderings must be titled with the name of the project, the name of the

Sponsor Agency, and DDC Division of Public Buildings

i. Digital ﬁles are also required and may be transmitted electronically

ii. A signed release form must accompany all renderings and photographs

3. Material Boards

a. Exterior Materials

Boards must clearly show the relationship of all new and existing exterior

materials and ﬁnishes. If submittal to other agencies such as PDC or LPC is

required, see related Sections for submittal information.

b. Exterior Materials

Boards must clearly show the relation of all new and existing interior materials

and ﬁnishes. If submittal to other agencies is required, see related sections for

submittal information.

d. 75% Construction Documentation

Document detailed design intent for all construction elements, and the resolution of all proposed

pathways to regulatory compliance.

The work of all required disciplines must represent an equally advanced level of development

and must be coordinated with no room for unreasonable additional interpretation. The submittal

requirements below describe a minimum, and do not constitute any limitation on the documentation

required to properly contract the construction of the project or limit the Consultant’s liability for

errors and omissions.

For multiple contract construction projects, the documents shall clearly indicate separation of

contract work among the various contracts. See General Information: E: Multiple Contracts for

more information Procurement.

i. Technic al D raw ings

As applicable to the project, including but not limited to:

1. Civil Engineering:

a. Utility connections

b. Site grading

c. Storm water management

d. Pavement and curb details

e. Builder’s Pavement Plan

2. Landscape Architecture:

a. Site Plan with major grade elevations, land contours, materials, and

dimensioned locations of primary site features. Site grading must indicate

existing and new grade elevations and land contours, at appropriate intervals,

adjacent to the building and around the site. Elevations must be given in feet

with decimals to the nearest 1/100th.

b. Builder’s Pavement Plan

c. Planting Plan

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1) CAPITAL PROJECT DELIVERABLES

d. 75% Construction Documentation

d. Site demolition, protection, and removals plan

e. Site Materials Plan

f. Elevations of adjoining buildings and foundations

g. Storm drainage plan.

h. Site Lighting and Site Electrical Plan

i. Site Irrigation Plan

j. Details of all site design elements

k. ADA and Accessibility compliance

3. Architectural, Interior Design, and Graphics/Wayﬁnding:

a. General Notes Sheet includes General Conditions and DOB notes, project

scope, zoning analysis, code analysis, including occupancy and construction

classiﬁcation data and egress plans as applicable. ADA and accessibility

compliance diagrams.

b. Phasing/Staging Plans as applicable.

c. Site Survey as provided by DDC to be incorporated in the Consultant’s

documents.

d. Demolition and selective removals plans showing all required removals,

extents, limits, and protection.

e. Site Plan including property line, lot and block, adjacent properties and streets,

etc.

f. Floor and roof plans, including column grid and dimensions.

g. Building sections and exterior and interior elevations as applicable, with

materials shown.

h. Detailed wall sections and enlarged details.

i. Wall sections must indicate all wall assemblies, building conditions, insulation

materials, ratings, assemblies, and characteristics complete in all details.

Indicate ﬁre ratings of walls, partitions, ceilings, shafts, roofs, and structural

elements such as columns and slabs. Adjacent construction must be indicated

for complete context.

j. Reﬂected Ceiling Plans showing all light ﬁxtures, exit signs, air supply diffusers

and return grilles, sprinkler heads, and smoke detectors, etc. Material and level

changes must be indicated.

k. Door, Window, and Finish Schedules, at a minimum.

l. Graphic Design and Wayﬁnding schedules and details.

m. Furniture Layouts.

4. Vertical Transportation:

a. Floor Plans of all equipment such as controllers, main disconnect switches,

motor generator sets, inter-communication equipment, ventilation, and air-

conditioning equipment.

b. Riser Diagrams

c. Indicating elevator installation, ﬂoors covered, all stop distances, total travel

distance, buffer, and door openings.

d. Car Details

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d. 75% Construction Documentation

e. Provide details for internal ﬁnishes, construction of car, emergency exits,

lighting (including emergency lighting), handrail, exhaust fan, ﬂooring, and all

accessory equipment.

f. Detail Drawings of hall buttons, lanterns, and car operating panel.

g. Emergency Recall

h. Shaft, footing, and structural calculations.

i. Sections and Details for elevator shaft, elevator door head, sill, jambs, etc.

j. ADA and accessibility compliance

5. Structural Engineering:

a. Demolition or removal plans, where applicable

b. Full set of structural construction drawings including, but not limited to:

i. Drawings must be fully dimensioned, noted and detailed for construction.

ii. Basic wind speed, miles per hour, wind importance factor, building category,

wind exposure, and the applicable internal pressure coefﬁcient must be

indicated.

iii. Foundation, Floor, and Roof Framing Plans. All major openings through

primary structural members such as walls, ﬂoors, roofs, beams etc. must be

fully dimensioned in the plans.

iv. Structural sections, details, and elevations.

v. Type and strength of all structural materials.

vi. Design Soil Bearing Value and pile type and capacity – soil bearing

pressure and lateral earth pressure must be indicated.

vii. Bottom elevations of all footings, estimated pile lengths, and underpinning

requirements.

viii. Joints

ix. Provide a plan clearly indicating and dimensioning all construction, control,

and contraction joints.

x. Design Live Load

xi. Load criteria for all ﬂoor live loads, roof live load, roof snow load, wind load,

earthquake design data, and special loads must be shown on drawings.

xii. Live load reduction of the uniformly distributed ﬂoor live loads, if used in

design, must be indicated.

xiii. Required construction procedures.

xiv. Special shoring or bracing requirements.

xv. Seismic design criteria, such as seismic use group, special response

coefﬁcients SDs and SD1, site class, basic seismic-force-resisting system,

design base shear, and analytical procedure must be indicated, and any

additional information required by NYC Building Code.

xvi. Soil Boring Plan and soils analysis, provided by DDC and incorporated into

the drawing set.

xvii. Boring logs, provided by DDC and incorporated into the drawing set.

xviii. Blast-resistant requirements, if applicable.

xix. Indicate the codes and standards used to develop the project.

CHAPTER 03: DESIGN & CONSTRUCTION PHASE DELIVERABLES

A. DESIGN AND CONSTRUCTION PHASE DELIVERABLES

1) CAPITAL PROJECT DELIVERABLES

d. 75% Construction Documentation

xx. Construction Tolerances - the Construction Documents must indicate

speciﬁc tolerances for all structural components used in the project, which

must be in accordance with ACI 117, AISC Code of Standard Practice and

other national standards.

c. Schedules: Schedules for foundations, columns, walls, beams, slabs, and decks,

as applicable.

d. Structural Details: All typical details must be shown on the drawings. Sizes,

locations, and details of major structural elements and their connections,

including equipment supports and site structures, base plates and anchor bolts,

camber, shear stud types, and lengths.

i. Location and details of all construction, control, and expansion joints.

ii. Substructure waterprooﬁng details – show extent of waterprooﬁng and

water-stop systems.

iii. Details for anchorage of building system equipment and non-structural

building elements (may be shown on mechanical, electrical, or architectural

drawings, as applicable).

iv. Criteria for the layout and details of small penetrations to be done in the

ﬁeld may be provided in the typical details. No new or additional openings

through any structural member may be made in the ﬁeld without the written

authorization of the EOR.

6. HVAC and Fire Protection Drawings

a. Demolition drawings, as applicable. Indicate all existing systems to be

demolished.

b. HVAC Floor Plan(s) showing all components of all systems, including room-by-

room duct distribution, diffuser, and register locations. Fully describe existing

systems and/or integration of existing or new system:

i. Double line piping and ductwork layout criteria.

ii. Show interior zone terminal air units.

iii. Show perimeter zone terminal units.

iv. Show locations of automatic control sensors (e.g. temperature, relative

humidity, CO2, etc.).

v. Refrigerant pipe routing to and from interconnected pieces of equipment

must be sized and shown on the HVAC plans. Indicate all ﬁlter dryers,

solenoid valves, strainers, pressure relief valves, ﬂexible connections,

receivers, and sight glasses.

c. Roof Plan showing all roof-mounted equipment and access to roof.

d. Mechanical details

i. Quarter-inch scale drawings of mechanical equipment room(s) showing all

mechanical equipment, ductwork, and piping, including equipment access

and service requirements in plan, elevations, and sections.

ii. The Consultant shall clearly indicate the manufacturer’s required access

space or tube-pull space for all mechanical equipment criteria.

iii. Provide installation details of each equipment type used on the project.

iv. All valves must be shown. Indicate locations where temperature, pressure,

ﬂow, contaminant/ combustion gases, or vibration gauges are required, and

if remote sensing is required.

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d. 75% Construction Documentation

v. Mechanical room piping, and ductwork layout must be double line.

All ductwork and piping 3” diameter and larger located in mechanical

equipment rooms are to be indicated to scale.

vi. Sections:

If the mechanical equipment room contains multiple pieces of equipment,

provide at least two sections to show the elevations of all equipment,

piping, ductwork, and structural supports. Scale for sections to be 1/4” =

1’-0” or larger. Ductwork to be shown in double line drawing.

vii. Mechanical Equipment Room:

1. Additional sections

Where mechanical equipment units, ductwork and piping are

located in tight spaces, sufﬁcient sections shall be developed to

show elevations of all equipment, piping, ductwork, and structural

support. All sections to be 1/4” = 1’-0” or larger.

2. Composite drawings

For equipment rooms, congested corridors, and all areas

involving the work of more than one trade, provide composite

sections showing all new and existing equipment and conditions.

viii. All dampers – both ﬁre dampers and volume control dampers – must be

shown. Ductwork ahead of the distribution terminal must be indicated in

true size (double line).

ix. Single line schematic ﬂow and riser diagram(s):

1. Water ﬂow quantities and balancing devices for all heating/

cooling equipment.

2. Provide complete schematic ﬂow diagrams for all systems,

both new and existing to be modiﬁed, showing all necessary

equipment and valves. Systems include steam, chilled water,

condenser water, hot water, ﬁre protection, and fuel oil.

3. Airﬂow quantities and balancing devices for all heating/cooling

equipment, air-handling, air-conditioning, and exhaust systems.

The Consultant shall indicate all automatic controls, dampers,

temperature sensors, control valves, return/relief air routing, and

maximum and minimum air quantities for supply, return, and relief

air. Provide control system legend.

4. Show location of all ﬂow/energy measuring devices for water

and air systems for all cooling, heating, and terminal equipment,

and their interface with the BMS.

5. Refrigerant piping schematic ﬂow diagrams.

6. Flow and riser diagrams shall be provided for new systems and

existing systems being modiﬁed.

x. Automatic control diagram(s):

1. Control ﬂow diagrams showing all sensors, valves, and

controllers (analog and digital inputs for controllers, front end

equipment, and system architecture).

2. Diagrams to show control signal interfaces, complete with

sequence of operation of all heating, ventilating, and cooling

systems during occupied, 24-hour operations, and unoccupied

conditions.

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d. 75% Construction Documentation

3. Control diagrams shall be provided for new BMS systems and

for new and existing systems when inter-phasing with new BMS

system.

e. Schedules

i. Provide schedules of equipment that include chillers, boilers, pumps, air-

handling units, terminal units, cooling towers, and all equipment required

for 24-hour operations. Submit equipment schedules with basic equipment

design parameters completed to indicate type, capacity, and zoning of

systems.

ii. Air terminal devices.

iii. Provide schedules for ﬁre protection and other special systems.

f. Air balance relationships between spaces.

g. Full set of ﬁre protection construction drawings indicating branch sprinkler

piping and head locations. Show a proposed piping layout, pipe sizes, locations

of ancillary equipment such as alarm valves and devices, inspector and ﬁre

department connections, ﬁre pumps, main drains, anti-freeze loops and hose

cabinets. Sprinklers are shown in a pattern meeting all room coverage and

requirements of NFPA.

h. Fire protection details (all typical details must be shown on the drawings).

i. Life safety stairway pressurization fans.

ii. Fire pump conﬁguration.

iii. Anchorage of underground ﬁre protection water supply lines.

iv. Standpipe riser.

v. Installations of waterﬂow switches and tamper switches.

vi. Sprinkler ﬂoor control valves, sectional valves and test assembly.

vii. Non-water-based ﬁre extinguishing systems (e.g. wet chemical).

viii. Special ﬁre protection systems (e.g. kitchens, computer rooms, etc.)

i. Riser diagrams for sprinkler system.

j. Coordinate with electrical power requirement for HVAC equipment,

requirements and location of duct smoke detectors, ﬁre and smoke dampers,

ﬁre alarm, and fan shut-down.

k. Identiﬁcations:

i. All air-handling units must clearly identify all coil sections, ﬁlters, access

locations, and the mixing plenum. The location and weight of all equipment

must be indicated. Indicate openings, penetrations, and support

l. Energy compliance drawings, COMcheck.

7. Electrical Engineering

All projects must have separate electrical plans for demolition, lighting, power,

and low voltage (including ﬁre alarm, telecommunications, and data systems). The

drawings submitted must consist of:

a. Demolition drawings.

b. Site Plan:

Indicate service locations, manholes, hand-holes, duct banks for power,

telephone, cable television, and site lighting.

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d. 75% Construction Documentation

c. Floor Plans:

i. Show lighting and power distribution (both on normal and emergency

power), communications raceway distribution, and locations of ﬁre alarm

devices and annunciator panels.

ii. Floor plans must show detailed layout of major conduit runs to eliminate

conﬂicts and interference with other trades.

iii. All home runs must be shown and properly indexed as to number and size

of conduit, wires and destination.

d. Riser diagrams and/or single line diagrams:

i. Single line riser diagram of primary and secondary power distribution must

include: normal power, emergency power, and UPS. Single line power riser

diagram must include distribution panels and downstream panelboards,

major mechanical equipment, emergency panels, and transformers.

ii. Single line diagram for ﬁre alarm system.

iii. Single line diagram of signal system including: telephone, intercom, data,

security, public address, and other systems shown on the drawings.

e. Lighting ﬁxture details with details of construction and mounting support.

f. Control Wiring Diagram, where necessary

g. Details of underﬂoor distribution system

h. Layout of electrical equipment spaces drawn to scale

i. Show all electrical equipment; include scaled detailed elevations of

substation transformers, main switchboards, distribution panelboards, and

disconnect switches within the electric service rooms.

ii. Schedule for switchgear, switchboards, unit substations, motor control

centers, and panelboards. Schedules must include circuit destination, load

in volt-amperes, overcurrent setting, load summary, connected, spare, and

demand load.

iii. Grounding diagram

iv. Lightning protection system

v. Site lighting and site electrical outlet systems, ISO foot-candle curves

vi. Drawings submitted (site plan, ﬂoor plans, single line diagram and riser

diagrams) must indicate new systems and existing systems to remain and/

or to be modiﬁed.

vii. Complete phasing plan (if required) for additions and alterations

viii. Security system site plan:

ix. Final locations for all security devices and conduit runs

x. Security system ﬂoor plans:

xi. Layout of all security system devices

xii. Building grounding system

i. Lighting Fixture, control, and zoning schedules.

j. Utility company letters (electric, telephone, CATV, etc.) and utility company

responses, including service layouts

CHAPTER 03: DESIGN & CONSTRUCTION PHASE DELIVERABLES

A. DESIGN AND CONSTRUCTION PHASE DELIVERABLES

1) CAPITAL PROJECT DELIVERABLES

d. 75% Construction Documentation

8. Plumbing Engineering

a. Demolition drawings, if required.

b. Drawings submitted (site plan, ﬂoor plans, single line diagram and riser

diagrams) must indicate new systems and existing systems to remain and/or

to be modiﬁed.

c. Site Plan:

i. Connections

ii. Location of storm and sanitary sewers, connection to existing sewers,

pertinent inverts, size and location of means for stormwater detention or

retention, water services, domestic and ﬁre, and the location of gas service,

integrated with existing systems, indicated on the site plan and coordinated

with ﬂoor plans.

iii. Grade elevations.

iv. Provide grade elevation of catch basins, manholes, and drains.

v. Gasoline and diesel systems.

vi. Fuel dispensers and fuel storage tanks, where applicable, including details

and notes.

d. Plumbing ﬂoor plan(s):

e. Plumbing layout and ﬁxtures, equipment and piping; large scale plans c.

should be used where required for clarity.

f. Location and size of all roof drains, standard or interior piping for storm,

sanitary, cold water, hot water, circulating, gas, ﬁre standpipe, or removed

systems or elements indicated on separate plans.

g. Size and capacity indicated for all oil separators, hot water storage tanks, sump

pumps, sewage ejectors, and house pumps, circulating pumps, stormwater

detention tanks, suction tank, and stormwater tanks.

h. Systems schematics and ﬂow diagrams.

i. Riser diagrams for waste and vent lines.

j. Riser diagrams for domestic cold and hot water lines.

k. Riser diagrams for all other systems (gas, fuel, etc.)

l. Schedule: Plumbing ﬁxture schedule.

8. Plumbing Engineering:

a. Demolition drawings, if required.

b. Drawings submitted (site plan, ﬂoor plans, single line diagram and riser

diagrams) must indicate new systems and existing systems to remain and/or

to be modiﬁed.

c. Site Plan:

i. Connections

ii. Location of storm and sanitary sewers, connection to existing sewers,

pertinent inverts, size and location of means for stormwater detention or

retention, water services, domestic and ﬁre, and the location of gas service,

integrated with existing systems, indicated on the site plan and coordinated

with ﬂoor plans.

iii. Grade elevations.

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d. 75% Construction Documentation

iv. Provide grade elevation of catch basins, manholes, and drains.

v. Gasoline and diesel systems.

vi. Fuel dispensers and fuel storage tanks, where applicable, including details

and notes.

d. Plumbing ﬂoor plan(s):

Plumbing layout and ﬁxtures, equipment and piping; large scale plans should

be used where required for clarity.

e. Location and size of all roof drains, standard or interior piping for storm,

sanitary, cold water, hot water, circulating, gas, ﬁre standpipe, or removed

systems or elements indicated on separate plans.

f. Size and capacity indicated for all oil separators, hot water storage tanks, sump

pumps, sewage ejectors, and house pumps, circulating pumps, stormwater

detention tanks, suction tank, and stormwater tanks.

g. Systems schematics and ﬂow diagrams.

h. Riser diagrams for waste and vent lines.

i. Riser diagrams for domestic cold and hot water lines.

j. Riser diagrams for all other systems (gas, fuel, etc.)

k. Schedule: Plumbing ﬁxture schedule.

9. Hazardous Materials:

Unless otherwise determined by DDC, all Hazmat removal design work required will

be performed through DDC OEHS (Ofﬁce of Environmental and HazMat Services);

documents will be provided to the Consultant.

The Consultant must be responsible to review and coordinate the Hazmat survey

abatement scope with the project work scope and identify related or affected

project scope items. The Consultant must incorporate the documents within the

construction documents and coordinate with other required work.

ii. Technic al C alc ulati ons

1. Structural Calculations

Submit a comprehensive set of structural design calculations, including any working

drawings or sketches that may be required for their proper supplementation. If

analysis software is used for the design of systems or members, DDC may request

the submittal of analysis models as part of the review process. A narrative of

the input and results for computer-generated calculations for the recommended

structural concept should be contained in the calculations as well.

All calculations/design notes must be arranged in a logical sequence, with sheets

sequentially numbered and properly indexed. Whenever a ﬁgure is obtained from

some other page of the calculations, refer to that page number in parentheses next

to the ﬁgure used in the calculation.

Provide sketches showing framing plans with dimensions and grid lines, freebody/

force diagrams in support of the calculations. Refer to drawing numbers where

the calculated items are shown on the drawing: for example, structural sizes,

connection details, etc.

CHAPTER 03: DESIGN & CONSTRUCTION PHASE DELIVERABLES

A. DESIGN AND CONSTRUCTION PHASE DELIVERABLES

1) CAPITAL PROJECT DELIVERABLES

d. 75% Construction Documentation

a. The calculation package will include, but not be limited to:

i. Design load parameters.

ii.. Building model indicating reactions from major loading combinations such

as gravity, wind, seismic etc.

iii. Sample calculations of major structural components showing clearly the

loads and load combinations used for the design of the members.

iv. Calculations for buildings located in ﬂood areas must include ﬂood design

load parameters.

b. Account for the following when preparing calculations:

i. Gravity loads

ii. Lateral loads

iii. Foundations

iv. Thermal loads, where signiﬁcant

v. Vibration propagation

vi. Progressive collapse

vii. Supports for non-structural elements, including mechanical and electrical

equipment on the roof and in equipment rooms, louvers, and other

penetrations.

viii. Steel connections

ix. Blast analysis

2. HVAC and Fire Protection Calculations and Energy Analysis:

a. Heating and cooling load calculations.

b. Systems pressure static analysis at peak and minimum block loads for

occupied and unoccupied conditions.

c. Building pressurization analysis for peak and minimum block loads for

occupied and unoccupied conditions.

d. Acoustical calculations for peak and minimum block loads for occupied

conditions.

e. Sound level calculations.

f. Breakdown of individual peak space loads and ventilation loads and a

summary of simultaneous peak loads for equipment selection.

g. Preliminary hydraulic calculations.

h. Flow and head calculations for pumping systems for peak and minimum block

loads for occupied conditions.

i. Final selection of equipment and cut sheets of selected equipment.

j. Psychrometric calculations of the selected HVAC systems at full and partial

loads (partial loads at 25%, 50%, and unoccupied periods).

k. Energy consumption calculations and analysis.

l. Fuel consumption estimates.

m. Sizing of fuel storage and distribution system.

n. Sizing of vibration isolators for mechanical equipment.

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d. 75% Construction Documentation

o. Water consumption calculations and analysis of make-up water for HVAC

systems.

p. For any ﬁre modeling generated results, submit a copy of the input data and

all pertinent program material and assumptions required to understand the

output and the analysis. A narrative of the input and results must be part of the

calculations.

q. Fire protection water supply calculations, including water supply ﬂow testing

data.

r. Fire pump calculations, where applicable.

s. Water reserve calculations for sprinkler system.

t. Smoke control calculations, where applicable.

u. Stairway pressurization calculations, where applicable.

3. Electrical Engineering Calculations:

a. Load calculations.

b. Calculations for lighting, power, and equipment summary.

c. Power density analysis for lighting in each area.

d. Emergency power design calculations, if applicable.

e. Life-cycle cost analysis of luminaire/lamp system and associated controls.

f. Emergency power calculations, including generator calculations and starter

loads, where applicable.

g. Illumination level and lighting power calculations.

h. Lighting power densities.

i. Short circuit calculations.

j. Provide short circuit calculations for all affected points in the distribution

system. Indicate AIC ratings of incoming service, panelboards and overcurrent

protective devices. Indicate short circuit values on appropriate points of the

single line diagram.

k. Provide voltage drop calculations for all affected points in the distribution

system. Indicate voltage drop values on appropriate points of the single line

diagram.

l. Where applicable, submit a protective device coordination study indicating

selective coordination between the service switch or circuit breaker and

the distribution switches and/or the switchboards, and downstream of the

switchboard.

m. Arc Flash Study.

4. Plumbing Engineering Calculations and water analysis:

a. Include entire building, including drainage calculations and hot water heating

calculations.

b. Water supply calculations, including pressure.

c. Sanitary waste sizing calculations.

d. Water consumption calculations and analysis, including make-up water for

HVAC systems, domestic water consumption, and water consumption for

irrigation.

CHAPTER 03: DESIGN & CONSTRUCTION PHASE DELIVERABLES

A. DESIGN AND CONSTRUCTION PHASE DELIVERABLES

1) CAPITAL PROJECT DELIVERABLES

d. 75% Construction Documentation

iii. Speciﬁcations

See Chapter 05: Bid Packaging Requirements.

iv. Project Controls

See Chapter 04: Project Controls.

v. Design Compliance Forms

1. Regulatory Approvals

All correspondence, applications, objections, approvals, ﬁndings, test results,

etc. received to date must be submitted with the documents for review. Submit

a status report on all required submittals to the DDC Project Manager showing

actual submittal dates, approvals received, and any unresolved issues including

any objection issued by the regulatory agency. File the project with the Department

of Buildings prior to the Construction Documents submittal. Refer to Chapter 10:

Regulatory Approvals for additional information.

2. Load Letters:

Provide copies of connection or service upgrade requests to utilities, including load

letters and preferred point of entry for new utilities.

3. Long Lead Items:

Prepare a separate list of all items that require early procurement. These long lead

time items, which may signiﬁcantly impact project duration and coordination, must

have previously been discussed during project design.

4. Proprietary items:

Provide a separate list of all items that are proposed to be procured from a

proprietary or sole source during construction. These proprietary items, which

need to be approved by the Sponsor Agency and DDC, must have been previously

discussed during project design.

5. Project Performance Matrix

Provide an updated Project Performance Matrix that explains how the scheme

responds to all identiﬁed Project Goals. This matrix will continue to be resubmitted

at future phase milestones as the project develops.

e. 100% Construction Documentation

Complete documentation of the project design Document detailed design intent for all construction

elements, and the resolution of all proposed pathways to regulatory compliance.

Documents shall reﬂect any changes, revisions, clariﬁcations, or additional information and/or

details as a result of DDC review comments and recommendations, and all regulatory agency

approvals. .

i. Technic al D raw ings

Completed for full project design in all applicable disciplines and updated to reﬂect all

project progress.

ii. Technic al C alc ulati ons

Completed for full project design in all applicable disciplines and updated to reﬂect all

project progress.

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e. 100% Construction Documentation

iii. Speciﬁcations

See Chapter 05: Bid Packaging Requirements. Technical speciﬁcations shall be

developed to a 100% level of completion for every involved project discipline, including

Commissioning speciﬁcations (see Chapter 07: Commissioning). The speciﬁcations must

reﬂect any changes, revisions, clariﬁcations, or additional information as a result of DDC

review comments and recommendations, and all regulatory agency approvals.

iv. Project Controls

See Chapter 04: Project Controls.

v. Design Compliance Forms

1. Regulatory Approvals

At this stage of the project all submissions to DOB and other regulatory agencies

and utility companies should be completed. All correspondence, approvals, ﬁndings,

and test results shall be submitted with the documents for review and record. The

Consultant shall submit a ﬁnal status report on all required submittals to the DDC

Project Manager showing actual submittal dates, approvals received, and any

unresolved issues, including any objections issued by the regulatory agency.

2. 75% Construction Document Comment Response

DDC will issue design review comments based on the consultant’s 75% Construction

Document submission.

Prepare an itemized response to each comment that describes how the project

design and documentation now addresses the concern identiﬁed in the review

comment.

The response should demonstrate an understanding of the underlying principles of

each requirement and present an approach that relates speciﬁcally to this project. An

afﬁrmative response without explanation, such as “will comply,” does not responsively

complete this section.

3. Project Performance Matrix

Provide an updated Project Performance Matrix that explains how the scheme

responds to all identiﬁed Project Goals.

f. Bid Documents

After approval of the Construction Document drawings, technical speciﬁcations, and the Addendum

to the General Conditions, the Consultant shall deliver electronic copies of drawings, speciﬁcations,

and estimates in DDC approved format for permanent DDC records with the bid document

submissions.

i. Technic al D raw ings

1. Drawings Format

Full size drawings shall be on reproducible media as directed by the Project Manager.

They shall conform to the approved deliverables identiﬁed in the 100% Construction

Documents.

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1) CAPITAL PROJECT DELIVERABLES

f. Bid Documents

2. Conformity with Comments

Drawings shall fully conform to 100% Construction Document Review Comments

by DDC.

3. Sign and Seal

Include identiﬁcation, professional seals and signatures of the Consultant and any

sub-consultants on all drawings to meet the requirements of Article 27-157 of the

New York City Administrative Code.

4. Approvals

Submit original of all drawings or documents bearing stamps of approval by each

regulatory agency, including but not limited to DOB, LPC, and PDC.

ii. Speciﬁcations

See Chapter 05: Bid Packaging Requirements.

iii. Design Compliance Forms

See Chapter 05: Bid Packaging Requirements. Electronic ﬁle of ﬁnal cost estimate in

DDC approved format must be submitted.

g. Bid and Award Deliverables

i. Summary of Deliverables

During the period of bid advertisement and analysis, the Consultant shall prepare the

following, as necessary:

1. Addenda

Addenda drawings and speciﬁcations shall be produced by the Consultant as

required in response to Contractor questions and requests for information arising

during the Pre-Bid Meeting or as otherwise necessary for the clariﬁcation of the

Bid Documents. The Consultant shall submit all addenda, including drawings and

speciﬁcations, to the DDC Project Manager and the DDC A&E Unit for review

and approval. The DDC Project Manager will inform the Consultant of all format

requirements, including the speciﬁc addendum number.

2. Filing and Signature

The Consultant shall sign and seal all necessary drawings. Drawings which need

to be ﬁled with, or presented to, regulatory agencies, including, but not limited to,

the NYC DOB, shall be prepared and ﬁled by the Consultant. The Consultant shall

send regulatory agency approvals to the DDC Project Manager. Changes that

require approval by the Landmarks Preservation Commission will be ﬁled by DDC.

Changes that require approval by the Public Design Commission will be ﬁled by the

Consultant at the direction of the DDC Public Design Commission Liaison.

3. Bid Tabulation Analysis

The Consultant shall attend the Bid Opening and review the Bid Tabulation

available at the end of the Bid Opening to assist in discovering any bid anomalies.

4. Issue for Construction Set

The Consultant shall assemble and submit a complete set of Construction

Documents that incorporates all addenda, RFI responses, sketches.

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g. Bid and Award Deliverables

h. Construction Administration Services

i. Basic Services during Construction

1. Field Inspection Report

a. The Field Inspection Report shall be issued monthly at a minimum.

b. The content of the Field Inspection Reports is essential to assuring the quality

of the construction work being installed. Detailed observations on current

work, ﬁeld conditions, connections, clearances and Contractor capability will

assist the DDC Construction Project Manager in quality control efforts. The

Field Inspection Report is the vehicle by which the Consultant is empowered to

assure that ongoing construction work complies with the design intent, details,

and speciﬁcations, which form the basis of the Contract Documents.

c. The Field Inspection Reports are to be prepared by members of the Consultant

team who are thoroughly familiar with the project.

d. The Field Inspection Reports are to be submitted in writing to the DDC

Construction Project Manager within ﬁve working days of the site visit. This will

enable the DDC Construction Project Manager to address the issues identiﬁed

in the reports at the next project site meeting.

e. The Field Inspection Reports shall be signed and sealed by the appropriate

Registered Architect, Professional Engineer or Registered Landscape

Architect.

2. Bi-Weekly Job Site Meetings and Minutes

a. Consultant Meeting Attendance

To facilitate completion of the work according to the standards of quality and

the schedule set by the Construction Documents, the Consultant is required

to attend all project meetings. Sub Consultants, as deemed necessary by the

DDC Construction Project Manager, are also required to participate in the

relevant portions of such meetings. These include the Construction Kick-off

(Pre-Construction) meeting, job site meetings held every two weeks, and all

meetings relating to the design.

b. Purpose of the Meetings

At the job site meetings the progress of the work is reviewed and the work

coordinated between the various Prime Contractors. Attendees identify

and conﬁrm the next scheduled activities of work and eliminate, if possible,

potential delays due to deliveries, ﬁeld conditions, stafﬁng or swing space

conﬂicts.

c. Meeting Minutes

The DDC Construction Project Manager, or CM when applicable, will prepare

and distribute the bi-weekly job site meeting minutes within three working days

of the meeting. Copies shall be distributed to all meeting attendees and others

as identiﬁed. The DDC Construction Project Manager, or CM, will prepare the

meeting agenda and conduct the job site meetings.

3. Review of Shop Drawings, Samples, Cuts and Mock-Ups

The Consultant shall receive shop drawings, samples, cuts, and mock-ups directly

from the Contractor for review and approval. The Consultant shall review, approve,

and distribute submittals per procedures described in the General Conditions. If

applicable, submittal review shall be coordinated with the Commissioning Agent, as

described in Chapter 07: Commissioning Section of this Guide.

CHAPTER 03: DESIGN & CONSTRUCTION PHASE DELIVERABLES

A. DESIGN AND CONSTRUCTION PHASE DELIVERABLES

1) CAPITAL PROJECT DELIVERABLES

h. Construction Administration Services

a. Submittal Requirements (See Chapter 05: Bid Packaging, Section C)

The Submittal Requirements shall be presented to the Contractor at the

Construction Kick-off (Pre-Construction) Meeting. Contractors shall be

responsible for ﬁlling in the item submission dates and the delivery dates for

approval by the DDC Construction Project Manager.

b. The Consultant shall receive copies of the Contractor prepared approved

schedules for the submission of shop drawings and samples and shall

review these lists every two weeks. The Consultant shall review and direct

modiﬁcations if required. Updated copies shall be submitted to the DDC

Construction Project Manager.

c. The Consultant shall ensure that the updated copies of the approved

schedules for shop drawings and samples shall include all information

necessary to indicate progress on processing submitted to the DDC

Construction Project Manager.

d. Listed information shall include the names of subcontractors, the titles of shop

drawings and the due dates in accordance with the approved schedules. These

include dates of issue, receipt, checking, return for correction, resubmission

and ﬁnal acceptance, along with other pertinent information.

e. The Consultant shall act promptly and systematically to check all shop

drawings, materials samples, and items exhibited in mock-ups to determine

if the submittals are in accordance with the Contract Documents and

speciﬁcations.

f. Sheeting, Bracing and Underpinning.

The Consultant shall review all necessary documentation for sheeting, bracing

and underpinning.

g. Indicate Necessary Changes:

i. The Consultant shall indicate in writing on all submittals the changes

necessary to conform to the Contract Documents and speciﬁcations within

ten working days of the submittal. Responses by the Consultant shall be to

both the submitter and the DDC Construction Project Manager.

ii. The Consultant shall make no changes to the design or changes causing

additional cost or project duration without prior written approval from DDC.

h. LEED Submittals (see Chapter 08: Sustainability and Resiliency)

4. Review of Schedules of Items and Costs

The Consultant shall promptly examine, recommend adjustments to, or indicate

approval of, the schedules of items and costs submitted by the Contractor. This

will allow DDC to establish a reasonable basis for subsequent partial payments to

Contractors.

5. Recommendation of sub-contractor Qualiﬁcations:

The Consultant shall review the credentials of the proposed sub-contractors for

compliance with the special experience requirements.

6. Interpretation of Contract Documents:

a. Clariﬁcation/ Requests for Information (RFI)

The Consultant shall interpret Contract Documents, provide clariﬁcations, and

make recommendations, by drawing and in writing.

CHAPTE R 03: D E S IG N & CON STR U CTION PHASE D E LIVE RAB LE S

A. PROJECT DELIVERABLES

1) CAPITAL PROJECT DELIVERABLES

h. Construction Administration Services

b. Prepare Supplementary Drawings

The Consultant shall promptly prepare any supplementary drawings that may

be necessary for clarifying the contract documents.

c. Sealed and Signed

Supplementary drawings are to be sealed and signed by the Consultant or

the sub-consultant, as appropriate, and shall issue revised or supplemental

drawings to DDC as a Bulletin. All such issuances shall be recorded in a log by

the Consultant.

d. Permit Record Set: Obtain Required Approvals

The Consultant shall obtain any approvals for supplementary drawings as

necessary from applicable regulatory agencies and utilities. A complete

set of the approved project documents from all regulatory agencies must

be submitted to DDC. See Chapter 10: Regulatory Approvals for more

information

7. Review of Contractor Coordination Documents

a. The Consultant shall review the Contractor’s coordination documents and

promptly report in writing to the DDC Construction Project Manager on issues

relating to meeting the project schedule and achieving the quality of work

speciﬁed in the Contract Documents.

b. The Consultant shall systematically monitor the progress of all construction

work scheduled and promptly report to DDC any conditions that may cause

delays in the completion of the work.

8. Resolution of Design Errors or Omissions

a. The Consultant shall promptly submit to DDC any necessary correspondence,

supplementary or revised drawings, speciﬁcations, negotiated cost estimates

and any other documentation or coordination material to resolve design errors

or omissions.

b. Upon approval of the required changes in the contract documents by DDC,

the Consultant shall promptly provide to the Contractors all the documentation

necessary to execute the work as revised.

9. Installation of Furniture and Equipment

a. Site Visit

The Consultant shall conduct a site visit to survey the conditions at the site

along the full path of the delivery, two weeks prior to the scheduled delivery.

The Consultant shall identify problems such as unﬁnished ceilings, unpainted

walls, and missing electrical work.

b. Efﬁcient Furniture Installation

DDC must be notiﬁed immediately by the Consultant if there are any

conditions which will prevent efﬁcient furniture installation.

c. Room Furniture Layouts

The Consultant shall provide copies of individual room furniture layouts. These

shall be posted, prior to delivery, at each respective room entrance.

d. Location of all Furniture and Equipment

The Consultant shall verify that all furniture and equipment is placed in the

correct room and in the proper location as per contract room plans.

CHAPTER 03: DESIGN & CONSTRUCTION PHASE DELIVERABLES

A. DESIGN AND CONSTRUCTION PHASE DELIVERABLES

1) CAPITAL PROJECT DELIVERABLES

h. Construction Administration Services

10. Construction Punch List

At Substantial Completion the Consultant shall participate in the preparation of

Construction Punch Lists. The Consultant shall submit a list of items for the Punch

List to the DDC Construction Project Manager within ten working days of the

request of such a list. This list of items shall be based on a ﬁnal site visit and Field

Inspection Report, and on any unresolved problems that have been the subject of

earlier reports or job site meetings. The Construction Punch Lists, prepared by the

Consultant, the Contractor, and the DDC Construction Project Manager, will be

compiled at a job site meeting and shall be part of the minutes of that meeting.

11. LEED Certiﬁcation (see Chapter 08: Sustainability and Resiliency)

2) CAPITAL PROJECT SCOPE DEVELOPMENT (CPSD) DELIVERABLES

a. Interim Reports

The Consultant shall submit interim reports for review in graphic and descriptive form. As many

interim reports shall be generated as may be reasonably required in the conduct of the study

to effectively represent the effort and to obtain an approval from the DDC Front End Planning

Program Executive representing acceptance by the Sponsor Agency, the A&E Review Team, and

others as necessary.

b. Report Preparation

The Consultant should submit data for comments as directed by the Sponsor Agency, which also

must approve the data before the Consultant prepares the ﬁnal report.

c. Final Report

i. The Final Report shall contain:

1. Summary of Requirements

2. Graphic and Descriptive Documentation

3. Site Development Assets and Constraints

4. Space Requirements

5. Alternative Schemes

6. Order of Magnitude Construction Cost Estimate – for each alternative.

7. Project Schedule

8. Risk Assessment

ii. The Final Report should describe the required analyses and conclusions:

1. Existing Conditions Survey and Documentation

2. Zoning Analysis

a. Identify relevant issues.

b. Provide massing diagrams showing all height, set-back, and sky exposure

plane requirements.

CHAPTE R 03: D E S IG N & CON STR U CTION PHASE D E LIVE RAB LE S

A. PROJECT DELIVERABLES

2) CAPITAL PROJECT SCOPE DEVELOPMENT (CPSD) DELIVERABLES

3. Building Code

a. Identify all applicable codes, local, state and federal laws, including

demonstrating compliance with the Accessibility Standards.

b. Identify building and space occupancy groups, construction classiﬁcations,

egress requirements, ﬁre separation requirements, energy code and other

applicable code requirements.

c. Identify code requirements for live loads, ventilation, ﬁre protection, light levels,

emergency lighting and power, plumbing ﬁxtures, environmental noise levels,

etc.

d. Identify the applicability of local, state and federal environmental and regulatory

processes and permits.

4. Site Analysis and Analysis of Existing Conditions

5. Space Programming and Planning

6. Anticipated Growth or Diminishment

7. Work Space Standards

8. Special Purpose Areas

9. Building Service Areas

10. Adjacencies and Work Flow Diagrams

11. Furniture and Equipment

12. Programmatic Inventory and Use

13. Engineering Requirements

14. Service Requirements

15. Sustainable Design Requirements (see Chapter 08: Sustainability and Resiliency)

16. Active Design Requirements

17. Risk Assessment

d. Master Plan

If the Agreement for a study calls for the generation of a Master Plan, the Consultant shall develop

an accompanying Master Plan Report to include:

i. Scope of Study:

A Master Plan may encompass not only building design and construction, but also

environmental, ecological, regional, land use, economic development, trafﬁc, and

community issues as well.

ii. Multi-Disciplinary Approach:

Because of the comprehensive, long-term nature of a Master Plan’s scope, the approach

to and implementation of the Master Planning process must be multidisciplinary

throughout its duration. In addition to the standard design professionals, Master

Planning may require sub-consultants from such specialized ﬁelds as historic

preservation, demography, sociology, trafﬁc and transportation, urban planning,

environmental planning, and economic development.

CHAPTER 03: DESIGN & CONSTRUCTION PHASE DELIVERABLES

A. PROJECT DELIVERABLES

2) CAPITAL PROJECT SCOPE DEVELOPMENT (CPSD) DELIVERABLES

iii. Inventory and Analysis:

Master Plans shall examine a project’s ecological, microclimatological, urban design,

historical, zoning, and regulatory characteristics, as well as the concerns of pertinent

community-based groups and jurisdictional entities as they relate to the project site

and any existing or proposed structures. Beyond these requirements, Master Planning

requires broad data collection and evaluation to assess the long-term impacts such data

would have upon the ultimate planning and design recommendations to be generated.

Master Planners shall conduct their inventory to best synthesize data into planning

and design issues. These issues must then be prioritized to guide recommended

development options.

iv. Programming:

The Master Plan will investigate the known and anticipated growth needs of the

Sponsor Agency in the years to be covered by the Master Plan.

v. Further Development:

After inventory, analyses, issue identiﬁcation and prioritization, and the development of

various proposals, the Consultant, the Sponsor Agency, and DDC will choose to pursue

one recommended option. This option will be developed to document every phase of the

multi-year plan, and will include a program for Phase One, and possibly Phase Two of

the plan, based on available funding

vi. Progress Meeting Minutes.

B. GENERAL INFORMATION

Prepare and submit digital and printed copies of each required deliverable to DDC unless otherwise speciﬁed in

the Agreement.

Ownership of Documents: All BIM, CAD ﬁles, and documents are the property of DDC and must be maintained

as record documents by the DDC Project Manager for each project.

1) AGENCY CONTACT INFORMATION

a. Correspondence:

Unless speciﬁcally directed otherwise in the RFP, all correspondence must be:

i. Addressed to:

1. (Name of Project Manager)

Public Buildings Division

NYC Department of Design and Construction

30-30 Thomson Avenue

Long Island City, New York 11101

ii. Captioned With:

1. FMS ID Project Number

2. Project Title and Location Contract Number Correspondence Subject

CHAPTE R 03: D E S IG N & CON STR U CTION PHASE D E LIVE RAB LE S

B. GENERAL INFORMATION

b. Telephone:

The agency telephone number is 718-391-1000. All staff at DDC can be reached with this number.

2) REPORT SUBMISSION FORMAT REQUIREMENTS

a. Binding with a back and front cover

b. Clear organization with a Table of Contents

c. PDF Digital File

d. Two printed copies

3) DRAWING SUBMISSION FORMAT REQUIREMENTS

a. PDF Digital File of Project Drawings

b. Digital Drawing Files:

Furnish electronic ﬁles in addition to any prints or PDFs required at the end of each design phase.

Provisions must be made for automatic quantity take-offs to be derived directly from the BIM

models and CAD drawing ﬁles.

i. Building Information Modeling (BIM): See “DDC BIM Guidelines” for requirements. BIM

models must be provided to DDC at each design phase.

ii. CAD Digital Drawing Files

c. 2 Hard (Printed) copies at ½ size

4) DRAWING STANDARDS

a. Standard Sheet Sizes:

Drawings must be on sheets sized 24x36 inches, with minimum borders of two inches on the left

side to allow for binding and half inch on the right side, top, and bottom. Other sheet sizes will be

permitted if required by speciﬁc project needs and approved in writing by DDC.

b. NYC DOB B-SCAN Requiremzents:

Drawings must be formatted to comply with the current version of NYC DOB’s B-SCAN Drawing

Standards, including requirements for such things as the Drawing Set, Drawing Sheet, title block

standards, and discipline designations.

c. DDC Forms and Graphics:

Use DDC’s standard title blocks, graphics, and blank forms, as provided by DDC.

d. Addenda Drawings

Addenda drawings are to be issued before bids are received and are to be numbered consecutively

within each discipline or contract. Addenda shall bear the notation, “PRELIMINARY- NOT FOR

CONSTRUCTION”, prior to inclusion in the Contract Documents.

CHAPTER 03: DESIGN & CONSTRUCTION PHASE DELIVERABLES

B. GENERAL INFORMATION

e. Supplementary Drawings

Supplementary Drawings are issued after bids have been received and are to be numbered

consecutively within each discipline or contract. Supplementary drawings shall bear the notation,

“PRELIMINARY- NOT FOR CONSTRUCTION”, prior to inclusion in the Contract Documents.

5) MULTIPLE CONTRACTS - DIVISION OF RESPONSIBILITY IN WICKS LAW

PROJECTS

If the DDC PM and Project Team identify the project to be procured under multiple contracts, the below

is guidance on how to document certain elements of construction work. Please see Chapter 05: Bid

Packaging for more information on methods of procurement.

a. Electrical Work Associated with HVAC And Fire Protection

i. The Electrical Contractor shall furnish and install the power wiring to starters, motors

and in-sight disconnects.

ii. The HVAC/Fire Protection Contractor shall furnish, and the Electrical Contractor shall

install, unless integral with the equipment, all starters and disconnects.

iii. Furnishing and Installation of all control devices and all control and interlock wiring

for equipment furnished under the HVAC/Fire Protection Contract shall be by that

Contractor, including any power required for any control device. This power is to

originate from a four circuit panelette in each mechanical equipment room. If there

is no electric panel in the room, the Electrical Contractor is to furnish and install this

panelette.

iv. The Electrical Contractor is to provide a feed terminating in a junction box or disconnect.

The HVAC/Fire Protection Contractor is to do all wiring from the junction box or

disconnect to the boiler.

v. Where the Electrical Contractor is to do power wiring to speciﬁc equipment, details of

that electrical work are to be shown on the electrical drawings.

vi. Motor Control Centers may be furnished by either the HVAC/Fire Protection Contractor

or preferably the Electrical Contractor, but they must be installed and wired by the

Electrical Contractor, except for external control wiring, which shall be installed and

wired by the HVAC/Fire protection Contractor.

vii. Sprinkler systems, including ﬂow and temper switches are to be furnished and installed

by the HVAC/Fire Protection Contractor. The Sprinkler Alarm Panel, and all wiring is

to be furnished and installed by the Electrical Contractor and must be shown on the

Electrical Drawings.

b. Electrical Work Associated with General Construction or Plumbing

i. Power and control wiring for electrical equipment furnished under General Construction

or plumbing contracts is to be furnished and installed by the Electrical Contractor and

must be shown on the Electrical Drawings.

ii. Luminous ceilings are to be furnished and installed by the Electrical Contractor.

iii. Lighting ﬁxture supports shall be furnished by the Electrical Contractor and installed by

the General Contractor

c. Elevator Work

i. The Elevator Disconnect near the machine room entrance, including the feeder and

the controller, shall be provided by the Electrical Contractor. All other related elevator

electrical and control work is to be provided by the elevator sub-contractor.

CHAPTE R 03: D E S IG N & CON STR U CTION PHASE D E LIVE RAB LE S

B. GENERAL INFORMATION

ii. The Electrical Contractor is to provide an electrical outlet box and telephone junction

box at the midpoint of the elevator shaft. The telephone junction box is to be connected

with empty conduit to the nearest telephone strip box.

d. Standpipe and Sprinkler Responsibilities

i. The Plumbing Contractor is to provide water service for the sprinkler, standpipe and

combined standpipe /sprinkler systems, from the main up to and including the ﬁrst

Outside Stem and Yoke (OS&Y) valve and the detector check valve.

ii. The Plumbing Contractor shall provide the standpipe system, including the ﬁre pumps,

but not the sprinklers.

iii. The HVAC and Fire Protection Contractor is to provide the combined sprinkler/

standpipe system and the separate sprinkler system from the detector check valve,

including the ﬁre and booster pumps. This work does not include the water service

up to and including the detector check valve that is to be provided by the Plumbing

Contractor.

iv. The Electrical Contractor is to provide all related wiring.

v. Coordinate all requirements with DDC as these requirements relate to union jurisdiction

in New York City.

e. Fuel Tanks

i. The HVAC and Fire Protection Contractor shall furnish and install the fuel tanks,

associated piping and miscellaneous controls for heating oil or emergency generators.

ii. The Plumbing Contractor shall furnish and install all equipment for gasoline or diesel

fuel dispensers.

iii. The Electrical Contractor is to provide power for any required pumps.

iv. The General Contractor, HVAC/Fire Protection or Plumbing Contractor is to provide

for excavation, gravel, backﬁll, support pads and manhole access. A determination as

to which Contractor shall do the work is to be made by DDC in conjunction with the

Consultant.

f. Contractor Responsibility

Each Contractor is to perform all necessary rigging, cutting and patching, excavation and backﬁll for

the work of their Contract, unless otherwise speciﬁcally noted on the plans and speciﬁcation by the

Consultant.

g. Access Doors

Access doors are to be furnished by the respective trades for installation by the Contractor for

General Construction

CHAPTER 03: DESIGN & CONSTRUCTION PHASE DELIVERABLES

B. GENERAL INFORMATION

CHAPTER 04:

PROJECT CONTROLS

A. INTRODUCTION

B. PROJECT SCHEDULE

C. CONSTRUCTION COST ESTIMATING

CHAPTE R 04: PR OJ ECT CONTROLS

A. INTRODUCTION

B. PROJECT SCHEDULE

A. INTRODUCTION

The Design Consultant is responsible for adhering to the approved project schedule and budget. The Design

Consultant will identify in advance and gain DDC approval of any variance from the approved project schedule

and budget. The Design Consultant will comply with the requirements found in this chapter addressing (B)

Project Schedule, and (C) Construction Cost Estimating, along with the corresponding sections in DDC’s Project

Controls Guideline.

B. PROJECT SCHEDULE

The Design Consultant will receive a copy of the Integrated Project Schedule developed during Front End

Planning by DDC to represent the total project duration from Initiation to Closeout, including the Design Phase,

DDC Legal Review, which occurs after Bid Packaging Approval, the Bid and Award period, and the Construction

Phase.

1) DESIGN PROJECT SCHEDULE

The Design Consultant is responsible for developing and maintaining the Design Project Schedule, which

includes the Design Schedule, the Design Schedule Narrative, and the Risk Register. The Design Project

Schedule will be updated and presented at every bi-weekly meeting and submitted for review monthly.

As part of each biweekly design meeting, the Design Consultant will provide the current schedule, identify

upcoming activities, and clearly indicate any area where there is schedule slippage, or risk of delay.

Should delays or schedule slippages be caused by the Design Consultant, DDC may require the Design

Consultant to produce a recovery schedule and add additional resources to the project until the original

Baseline dates are achievable once more.

The Design Schedule establishes target milestone dates and durations. The Design Schedule shall capture

all design deliverables as deﬁned in Chapter 03 and the Project Objectives. Consultants shall develop the

schedule using the Critical Path Method (CPM) and industry standard project scheduling software; and

may be required to develop the schedule using DDC’s enterprise scheduling system. The Design Schedule

shall be developed following the Association for the Advancement of Cost Engineering (AACE) Scheduling

Best Practices, and will conform to the following:

a. Design Schedule

The Design Schedule shall separate the Design phase into the different subphases according

to the assigned Project Delivery Track for the project, including: Pre-Schematic Design (PSD),

Schematic Design (SD), Design Development (DD), 75% Construction Documents (75% CD), and

100% CD (including Bid Package approval). The Design Schedule shall also include:

i. All activities with realistic durations occurring within each subphase, for the preparation

and development of each of the design deliverables required of the project scope.

ii. Field visits, surveys, investigations, probes and monitoring, material testing, hazardous

material testing, and/or site analyses that must be performed for the development of

the design deliverables.

iii. All associated review activities and approvals related to each of the design deliverables

by project stakeholders, including the sponsor agency and DDC A&E, CM (if applicable),

and DDC Bid Packaging Unit.

CHAPTER 04: PROJECT CONTROLS

B. PROJECT SCHEDULE

iv. All permitting and regulatory approvals required from outside agencies and entities (e.g.,

PDC, LPC, NYC DOB, FDNY, NYC DEP, Parks, Con Edison, etc.)

v. All scheduled Design Progress Meetings and Milestone Submissions.

vi. Critical decision-making that would impact construction schedule, such as phasing,

swing space, etc.

vii. Impacts to the design completion milestone date due to approved modiﬁcations to the

original project scope as authorized by the DDC Program Unit. All such impacts must be

differentiated from original project scope schedule activities.

viii. Any additional activities as required by the DDC PM.

b. Design Schedule Narrative

The Design Consultant shall provide a monthly Schedule Narrative detailing the project scope,

schedule milestones and explanation of variances between the baseline and forecasted milestone

dates, changes to the project scope, and any risks or issues that may impact the project schedule.

The monthly report shall also include the updated Design Consultants project-speciﬁc Risk

c. Risk Register

A risk register is a formal record of identiﬁed risks, typically including additional summary

information such as description, risk manager, risk owner, risk assessment, response strategy for

treatment and control of the risk, and risk status. The Risk Register must also account for risks

associated with project costs. See Section C.2.a. below.

d. Submission and Acceptance

The Design Consultant shall submit an electronic preliminary Design Project Schedule (native ﬁle

in the format required by DDC) for review by DDC within fourteen (14) CCDs of Design NTP. DDC

will provide comments on the Design Schedule Baseline within fourteen (14) CCDs. The Design

Consultant must incorporate these comments into the baseline and resubmit within seven (7)

CCDs. DDC will review this submission and, if acceptable, will establish these documents as the

Design Schedule Baseline.

e. Updates

Once accepted by DDC, The Design Consultant shall update the Design Project Schedule monthly,

using the last Friday of the month as the data date, and submit to the DDC PM/Project Team for

review.

i. Updates shall be provided to DDC in electronic native ﬁle format (as will be required by

DDC) and modiﬁed based on project changes and per comments received by DDC’s

Project Team or DDC Project Controls.

ii. The update will show the actual start date, actual completion date, and the percent

complete of each activity. It will also include revised projections for future dates.

CHAPTE R 04: PR OJ ECT CONTROLS

B. PROJECT SCHEDULE

2) CONSTRUCTION SCHEDULE DURING DESIGN (CSDD)

For projects not supported by Construction Management services during design, the Design Consultant

shall be responsible for the production of a Construction Phase schedule. This schedule, known as the

Construction Schedule During Design (CSDD) will accurately represent the logical sequence and duration

of the presumed Contractor’s schedule. CSDD shall have a Schedule Narrative that provides details to the

development of the schedule, to the extent that they are known during design, including:

a. Overall period of performance of construction until Substantial Completion

b. Assumptions made in the development of the schedule (e.g. construction phasing, sequences and

constraints)

The CSDD and Schedule Narrative must align with the Design Consultant’s cost estimate for each

design phase. The schedule shall be developed following the Association for the Advancement of Cost

Engineering (AACE) Scheduling Best Practices, according to the restrictions and constraints that the

Contractor will be held to. Additionally, it shall conform to the following requirements:

a. The CSDD must include the project Milestones required by DDC including:

i. Construction Notice to Proceed.

ii. Interim construction milestones.

iii. Construction Completion.

iv. Project Closeout.

b. The intent is for the CSDD to progressively become more comprehensive with completion of

each of the subphases of Design. Using AACE’s 37R-06 “Schedule Levels of Detail – As Applied

in Engineering, Procurement, and Construction,” as a reference, the Design Consultant will be

responsible for a CSDD deliverable that meets the following requirements during each subphase:

i. Schematic Design: The Design Consultant shall be responsible for the development of a

Level 1 Schedule.

ii. Design Development: The Design Consultant shall be responsible for the development

of a Level 1 or 2 Schedule, as directed by DDC.

iii. 75% Construction Documents: The Design Consultant shall be responsible for the

development of a Level 2 or 3 Schedule, as directed by DDC.

iv. 100% Construction Documents:

1. The Design Consultant shall be responsible for the development of a Level 2 or 3

Schedule, as directed by DDC.

2. The Design Consultant shall develop the CSDD such that it will determine the

overall duration to be used in the Construction Contract under Schedule A, and will

be used by DDC during the review of the Contractor’s submitted Preliminary and

Baseline Construction Schedules.

CHAPTER 04: PROJECT CONTROLS

C. CONSTRUCTION COST ESTIMATING

The Consultant shall maintain an accurate and up-to-date accounting of estimated construction costs. Detailed

cost estimates shall be submitted at each phase of work in a format compliant with DDC requirements and at

an appropriate level of development as indicated in Chapter 03: Design and Construction Phase Deliverables.

The DDC Standard Construction Cost Estimate Template will be provided by the DDC Project Manager and is

accessible via the DDC website.

Throughout the course of the project the DDC Project Manager will facilitate a series of Cost Estimating

Workshops in which the Project Team and the Consultant’s Cost Estimator shall participate. During these

workshops, the Project Team will establish values for project-speciﬁc factors that impact cost but may not

be reﬂected in the design documents. These include Overhead and Proﬁt, Construction Contract Allowance,

Bid Contingency, etc. as referenced in the DDC Standard Construction Cost Estimate Template. Initial values

for these factors are included in the Front End Planning Report and must be veriﬁed and updated as needed

throughout the course of the project. The Consultant should document these values and any revisions to them

as may occur in the Basis of Estimate (BOE) submissions required in each phase.

2) CONSTRUCTION COST ESTIMATE CLASSIFICATION

The table below illustrates the characteristics of the construction cost estimate as it evolves through each

relevant stage of design:

AACE Cost

Estimate

Classiﬁcation

Maturity Level of

Design Deliverables

Methodology Expected Accuracy

Range

Class 5 FEP - Front End

Planning / Pre-

Schematic Design

SF factoring,

parametric models,

judgement or analogy

L: -20% to -30%

H: +30% to +50%

Class 4 SD - Schematic

Design

Parametric models,

assembly driven

models

L: -10% to -20%

H: +20% to +30%

Class 3 DD – Design

Development

Semi-detailed unit

costs with assembly

level line items

L: -5% to -15%

H: +10% to +20%

Class 2 50% - 75%

Construction

Documents

Detailed unit cost

with forced detailed

take-off

L: -5% to -10%

H: +5% to +15%

Class 1 100% CD Detailed unit cost with

detailed take-off

L: -3% to -5%

H: +3% to +10%

CHAPTE R 04: PR OJ ECT CONTROLS

C. CONSTRUCTION COST ESTIMATING

a. Class 5 Estimates

Factored or parametric model methodology can be an effective way to obtain rough cost estimates

when limited design information is available typically during front end planning. It is typically a high-

level unit-cost comparison utilizing historical cost data as a benchmark (e.g. cost per square foot for

similar projects). Draw upon the estimator’s experience with similar facilities and adjust for known

project complexities and size or capacity differences.

b. Class 4 Estimates

Parametric models or assembly driven models can be used, typically during the schematic design

stage. For example, the estimate may contain composite costs for each major element (e.g. cost per

square foot for ﬁnishes, MEP, and structure).

c. Class 3 Estimates

Semi-detailed unit costs with assembly-level line items introduce composite unit costs for the

various aspects of the project, typically during the design development stage of design.

d. Class 2 Estimates

Detailed unit cost with forced detailed take-off can be used when sufﬁcient design detail is

available to determine material take-offs for some project elements, typically at construction

document design stage. Utilize a forced takeoff to determine quantities when the design is still

missing a detailed material count (e.g. utilizing average pound per square foot for reinforcing steel

in a concrete slab).

e. Class 1 Estimates

Detailed unit cost with detailed take-off can be used when sufﬁcient design detail is available to

determine material take-offs for all project elements, typically at the Construction Documentation

design phase.

For more detailed information about the estimate classiﬁcation system, please reference the Association

for the Advancement of Cost Engineering (AACE) International Recommended Practice RP-56R-08 “Cost

Estimate Classiﬁcation System – As Applied for the Building and General Construction Industries.”

2) DEVELOPING THE COST ESTIMATE

a. Cost Estimating Workshops:

Prior to the development of the ﬁrst Cost Estimate for the project, the Project Team should

communicate the overall output expectations and review the cost estimating process and

methodology. Discussions should include the project scope and the documents that have been

included with the cost estimate. The discussions and workshops should be ongoing throughout the

Design phase and may also include:

i. Key design features and potential cost-driving items not explicitly identiﬁed within the

design documents.

ii. Gap analysis that details the expected level of scope deﬁnition, including speciﬁc

discipline completion percentages.

iii. Risk Register.

iv. Relevant historical cost data.

v. Speciﬁc areas of change since the previous estimate.

vi. Revisions made to the design speciﬁcally to address overruns identiﬁed in previous

estimates.

vii. Data sources, like labor, materials, and escalation.

viii. Estimator’s understanding of market conditions impacting bid costs.

ix. Level of scope deﬁnition to ensure appropriate estimate class and range of accuracy.

x. Class of cost estimate.

xi. Work Breakdown Structure (WBS) requirements subject to approval by DDC. Multiple

cost estimates must be produced as necessary to meet regulatory and capital eligibility

requirements. For multi-scope and/or multi-location projects (or any non-contiguous

spaces), separate the estimates by scope and location. Some examples (including but

not limited to), a roof replacement and boiler replacement occurring in the same building

require separate estimates; envelope projects with multiple facades require multiple

estimates. DDC will review and approve the WBS. DDC may also provide the estimator

with historical data that can be useful when preparing the cost estimates. Such data can

include prior bid variance analysis and range of contingencies, overhead and proﬁt, and

escalation typically adopted in cost estimates of prior projects.

b. The Cost Estimate must be based on the following at a minimum:

i. Project scope description and Work Breakdown Structure (WBS) requirements, if any.

ii. Current versions of construction documents and speciﬁcations.

iii. The Risk Register.

iv. Equipment lists as well as mechanical, electrical, and plumbing (MEP) requirements

v. Vendor quotes, where applicable.

vi. Design Gap Analysis: A Gap Analysis should be developed and provided to the

Estimator by the Design Consultant. A Gap Analysis is an evaluation of the design

documents against the approved scope. It identiﬁes areas of the design that require

further development, as well as elements that will be required but have not yet been

designed.

vii. Project schedule, including the construction phasing plan.

viii. Existing ﬁeld conditions that might require demolition or protection, but that are not

shown on the drawings.

ix. Associated costs for coordination with the city’s other vendors for items excluded

from the construction contract. This includes any services or equipment provided by

others and not included in the estimate. Examples could include furniture, ﬁxtures, and

equipment; telecommunications; audiovisual; specialized equipment; security systems;

and third-party-provided items like electrical transformers and meters.

x. Site logistics plans showing probable Contractor ﬁeld trailer locations, laydown areas,

access/congestion issues, trafﬁc/road closure requirements and other relevant

information.

xi. Project requirements for phasing, working around current occupants, swing space,

special security restrictions, after-hours work shifts, and project impacts on adjacent

property owners.

xii. Geotechnical information, including borings, anticipated levels of groundwater, and

specialty needs like vibration, stress, or settlement monitoring.

CHAPTER 04: PROJECT CONTROLS

C. CONSTRUCTION COST ESTIMATING

CHAPTE R 04: PR OJ ECT CONTROLS

C. CONSTRUCTION COST ESTIMATING

xiii. Environmental reports regarding lead, asbestos, contaminated soil, and other potentially

hazardous materials.

xiv. Unique design features or constraints, such as work on a landmark building, custom

features, and materials from specialty or overseas suppliers. Assumptions on logistics

cost impacts, including fees and permits for trucking large components, components

that can be fabricated offsite, equipment requiring cranes for installation (e.g., rooftop

HVAC units).

xv. Safety considerations, which may include unusual PPE requirements, areas requiring

use of conﬁned space procedures, working in a lead dust environment, proximity of

pedestrians and adjacent occupants, noise and dust control, and requirements for

special safety training.

xvi. Listings of expected allowances, both for ﬁeld change orders and for project-unique

allowances, such as for Con Edison service connection fees. Include an explanation

detailing why these allowances are not treated as line items estimated by quantities or

quotes.

xvii. If available, recent actual bids for similar jobs and completed scope job costs.

xviii. Results of any constructability or biddability reviews that identify efﬁciencies or local

customs that should be implemented, as well as assessment of ﬁnal incorporation of

reviews into the documents.

xix. A list of any value engineering efforts and lists of any analysis of alternates.

3) COST ESTIMATE DELIVERABLES

The cost estimate submittal should conform to the DDC Standard Construction Cost Estimate Template

including the basis of estimate and the cost estimate submittal checklist. Submit the estimate in hard copy

form (5 copies) and in an editable electronic format. Microsoft Excel is an acceptable format, utilizing a

DDC-provided standard template provided.

The project cost estimate shall be submitted in accordance with the following:

a. Design Value and Options

The Consultant shall deliver a design that is within the approved budget allocation for the project.

The Consultant must evaluate life-cycle, operational and maintenance costs for the overall project,

as well as all major systems. The Consultant must demonstrate that no less than three alternatives

have been considered for all major systems and materials, and that the ﬁnal options selected are as

economical as possible. The Consultant shall submit a report documenting this analysis as part of

the Basis of Estimate.

b. Basis of Estimate (BOE)

The BOE Report is the cost estimating deliverable used to document the project scope, pricing

basis, allowances, assumptions, exclusions, cost risk opportunities, and any deviations from standard

practices. A BOE provides concise supporting documents for records of agreements made between

the estimator and other project stakeholders. The BOE should allow a full understanding of the

estimate, independent of any other supporting documentation.

c. Format and Methodology

The estimate shall follow the most current 6-digit CSI format and must be fully coordinated with

the project speciﬁcations. Each item in the estimate must correlate to a speciﬁcation section: every

spec section must correspond to the appropriate line item(s) in the estimate.

The estimate should include, but is not limited to, the following ﬁelds: CSI number, line item

description, and quantity. Class 3 to Class 1 estimates should separate unit costs and total costs

into labor, material, and equipment.

While developing the estimate, apply cost-estimating methodology in a manner that agrees with the

level of design detail available. When providing cost estimates, expert judgment is key to accurately

predicting cost.

d. Final Submission

Refer to Chapter 05: Bid Packaging Requirements.

4) COST IMPACT FACTORS

a. Design Contingency

The Consultant should utilize Design Contingencies, as needed in their professional judgement, to

ensure that the estimate produced at each stage of development accurately represents the cost of

the project. The Consultant should indicate in the Basis of Estimate either the aggregate Design

Contingency used or itemized design contingencies per major speciﬁcation division. In general, the

Design Contingency amount should be identiﬁed by the Consultant, and decrease as the design

progresses and areas of uncertainty are resolved.

b. General Requirements (Division 1)

The Consultant shall include an estimate of General Requirements, which include all costs that are

not direct construction costs but are associated with the speciﬁc project. This includes all general

condition items typically identiﬁed in the contract. General requirements should be project-speciﬁc

and itemized to include at a minimum (refer to DDC Standard Construction Cost Estimate Template

for itemized list):

i. Costs for on-site Contractor and non-direct labor personnel like superintendents and

project engineers.

ii. Costs for ﬁeld trailers, temporary restrooms, Contractor parking, site security, and trash

disposal.

iii. Costs for equipment not directly tied to a speciﬁc direct construction operation. For

example, a tower crane needed for multiple trade use would be in general requirements,

but a crane needed by the HVAC sub to lift mechanical equipment to the roof would be

included in direct costs. Hoists for construction personnel and material would also be

included in general requirements.

iv. Costs for compliance with safety requirements, including job site orientation, PPE, and

testing required to ensure conditions stay within required parameters when working with

materials like lead dust or silica dust.

v. Costs for typical General Gontractor (GC) roles such as job site cleaning, snow removal,

temporary heating, and dust control.

CHAPTER 04: PROJECT CONTROLS

C. CONSTRUCTION COST ESTIMATING

CHAPTE R 04: PR OJ ECT CONTROLS

C. CONSTRUCTION COST ESTIMATING

vi. Costs for insurances such as Builder’s Risk and Public Liability.

vii. Building Information Modeling (BIM), shop drawing, and coordination costs for GC and

sub-contractors.

viii. Commissioning costs for GC and sub-contractors.

ix. Costs for permits and fees.

x. Cost for inspections, surveys, and other processes.

c. Overhead and Proﬁt

The Consultant shall include an estimate of Overhead and Proﬁt, which reﬂects the Project Team’s

assumptions for the amount the bidder will add to cover their operational costs and expenses. This

cost does not include overhead costs assignable under General Requirements.

d. Cost Escalation

The Consultant shall include an estimate of annual escalation costs. The Cost Escalation includes

inﬂation based on reference to various economics publications (RS Means, Engineering News

Reports, etc.) and shall be calculated to the midpoint of the approved construction schedule. DDC

typically recommends 4.5% per year as a standard rate of escalation. The Project Team may specify

a different rate for the project, subject to approval, and shall provide rationale for any such rate in the

Basis of Estimate (BOE).

The cost factors listed above (items 4.a-4.d) constitute the basis for the Consultant’s Design Fee. Items

5.a-5.c below include additional project budget considerations carried “below the line” to be developed

collaboratively by the Project Team and reviewed regularly at the Cost Estimating Workshops.

5) ADDITIONAL PROJECT BUDGET CONSIDERATIONS

a. Bid Contingency

The Consultant shall include bid contingency in the estimate to account for the successful bidder’s

risk exposure during construction not captured elsewhere. It reﬂects the bidder’s evaluation of risk

associated with the project, including risk transferred to the Contractor per DDC’s contract terms

and conditions. Bid contingency may include the following risks:

i. Extended time lapse between contract award and Notice to Proceed, which increases

escalation risk to bidders.

ii. Uncertainties related to site logistics and project schedule delays.

iii. Bidder’s evaluation of challenges unique to DDC contracting, including anticipated delays

in payments, change orders, and contract close-out.

The project Risk Register and Gap Analysis form the basis of calculating Bid Contingency. Bid

contingency may be allocated by CSI Division.

b. Construction Contract Allowances

The Consultant shall include Construction Contract Allowances to estimate the amount that bidders

will be directed to include in their bids. Construction Contract Allowances cover the cost of known

but undeﬁned contract work requirements, e.g., possible fees from Con Edison or NYC Parks. It

also covers anticipated ﬁeld conditions encountered that are different from the scope deﬁnition and

speciﬁc areas of work difﬁcult to quantify at time of bid, e.g., asbestos abatement, HazMat, mold, etc.

Construction Contract Allowances are not intended for scope changes.

c. Construction Contingency

The Consultant shall include Construction Contingency to budget for anticipated cost growth in

a project during construction due to unanticipated changes. This amount should also be adjusted

to address the cost of unforeseen changes that were not addressed by Construction Contract

Allowances. It also covers unique features that make determining ﬁnal quantity or scope difﬁcult.

The amount assigned to Construction Contingency must exclude all items included in Construction

Contract Allowances.

The DDC Project Manager will account for Consultant Design fees, CM fees, Commissioning fees, Special

Inspection services and other soft costs in their overall project budget, and these items should not be

included in the Construction Cost Estimate.

CHAPTER 04: PROJECT CONTROLS

C. CONSTRUCTION COST ESTIMATING

CHAPTER 05:

BID PACKAGING

REQUIREMENTS

A. INTRODUCTION

B. BID PACKAGE COMPONENTS

C. ORGANIZING, FORMATTING AND PRESENTING

THE BID PACKAGE

D. METHODS OF PROCUREMENT

E. DDC SPECIFICATION REQUIREMENTS

F. CONSULTANT WORK SESSIONS

9494

A. INTRODUCTION

The Bid Packaging team is responsible for reviewing DDC Public Buildings’ technical speciﬁcations and all other

bid documents for compliance with a set of stringent legal requirements for public projects. These requirements

differ signiﬁcantly from those of any other public or private entity, and as such the Consultant must follow the

special requirements in this chapter completely and thoroughly.

Compliance with DDC Bid Packaging technical speciﬁcations requirements is MANDATORY.

Failure to comply with these requirements will be reﬂected in the Consultant’s performance

evaluation and will affect the issuing of payments.

It is essential that the Consultant prepare documents that are complete, fully coordinated, and free from

ambiguities or inconsistencies. The Consultant is obligated to:

i. Comply with all DDC and New York City requirements for bid document

formatting;

ii. Coordinate between the speciﬁcations and the various schedules in the

Addendum to the General Conditions;

ii. Review all documents, including those produced by sub-consultants, prior to

submission to DDC to ensure that all the criteria listed below are met.

Bid Documents are created by the systematic evolution of Design Documents into legally formatted, biddable

and contractually executable drawings, speciﬁcations and other supporting documentation, required for the

procurement of capital projects. Bid Documents include the Bid Drawing Set and the Bid Package. The Bid

Drawing Set includes all Drawing Sheets signed and sealed by the Consultant, formatted in the standard DDC

format. Coordinate with DDC PM for latest version of Drawing Sheet template. If the project scope includes

Asbestos Abatement, Consultant shall incorporate the corresponding HazMat Drawings, available from the DDC

PM and provided by DDC’s Ofﬁce of Environmental and HazMat Services (OEHS), see Chapter 06: Design

Criteria for more information. The Consultant is also responsible for providing a Bid Drawing Set Title Page to be

signed by DDC.

B. BID PACKAGE COMPONENTS

The Bid Package comprises the Bid Drawing Set, Procurement requirements for bidders (via the City of New

Yo rk 's PAS S Po r t s y s te m ) a s wel l a s t h r ee di s t in c t Co nt r a ct Vo l u me s :

1) PASSPORT PROCUREMENT AND VOLUME 1: BID BOOKLET, INCLUDING BUT

NOT LIMITED TO THE FOLLOWING:

a. MWBE Requirements

b. Proprietary Items List

c. Special Experience Requirements (SER)

d. Bid Form

e. Bid Breakdown (formatted from Consultant’s cost estimate)

f. Pre-Award process

g. Project Reference Forms

CHAPTER 05: BID PACKAGING REQUIREMENTS

A. INTRODUCTION

B. BID PACKAGE COMPONENTS

h. Construction Employment Report

i. Bid Opening and Pre-Bid Walkthrough Information

2) VOLUME 2: STANDARD CITY CONTRACT DOCUMENTS, INCLUDING BUT NOT

LIMITED TO THE FOLLOWING:

a. PLA (Project Labor Agreement)

b. Information for Bidders

c. Standard Construction Contract

d. Prevailing Wage Schedule

e. DDC General Conditions

3) VOLUME 3: TECHNICAL REQUIREMENTS, INCLUDING BUT NOT LIMITED TO THE

FOLLOWING:

a. Addendum to the General Conditions

b. Te ch n i ca l spe ci ﬁ c at i o ns Tab l e o f Con te n t s

c. Te ch n ica l s p ec i ﬁ cat io n s

d. Appendix items as applicable (Geotechnical Report, LEED Checklist, etc.)

C. ORGANIZING, FORMATTING, AND

PRESENTING THE BID PACKAGE

The following is a list of deliverables required by the Consultant for the ﬁnal Bid Package. While several of

these components will be needed prior to design completion, the ﬁnal, formatted version will be necessary for

bid. It is mandatory that the Consultant review all Bid Package deliverables and their corresponding formats

(coordinate with DDC PM for latest versions), to facilitate a timely transition from Schematic Design and Design

Development into Construction and Bid Documents.

1) ADDENDUM TO THE GENERAL CONDITIONS

a. Format

The Addendum to the General Conditions must be written in the standard DDC format. (Coordinate

with DDC PM for latest version.) This document must be delivered to the DDC PM as an editable

Word document.

b. Description

The Addendum to the General Conditions is required for all Bid Packages. The DDC General

Conditions, which includes all Division 1 General Requirements sections, are included with every

competitively bid project. Generally, the DDC General Conditions documents are not to be edited

by the Consultant. If customization of the General Conditions is needed for a speciﬁc project,

the Consultant must review the DDC General Conditions and use the Addendum to the General

Conditions to revise or supplement the General Conditions articles for project-speciﬁc conditions.

i. There are two versions of the Addendum to the General Conditions:

CHAPTER 05: BID PACKAGING REQUIREMENTS

C. ORGANIZING, FORMATTING, AND PRESENTING THE BID PACKAGE

1. Addendum for Single Contracts

2. Addendum for Multiple Prime Contracts (Wicks Contracts)

ii. The Consultant shall be provided with an editable Word document template of the DDC

Addendum to the General Conditions. (Coordinate with DDC PM for latest version of

the General Conditions and the Addendum to the General Conditions.) This document

has highlighted ﬁelds which contain instructions to the Consultant for preparing

each section. Only the highlighted areas of the document are to be edited, and the

highlighted instructions shall be deleted for the ﬁnal revised document.

iii. The Addendum to General Conditions includes applicability of sections related to the

DDC General Conditions, as well as Schedules A-E corresponding to the project scope.

The Consultant must ﬁll out the following Schedules as per instructions given in the

Addendum to General Conditions, and noted below:

1. Schedule A

The Consultant shall prepare Schedule A, which provides information on contract

Requirements, such as contract duration, liquidated damages, retainage, etc.

2. Schedule B

The Consultant shall prepare Schedule B, Warranty from Manufacturer, which lists

Warranties that are included in the Consultant’s speciﬁcations. The Consultant shall

provide a list of the speciﬁcations sections for the material or equipment for which

a warranty is required and include the length of the warranty period as speciﬁed.

3. Schedule C

The Consultant shall provide a complete list of all Contract Drawings, including

HazMat Drawings provided by DDC OEHS, if applicable.

4. Schedule D

Requirements for electrical motor equipment may be included in the speciﬁcations.

If applicable, the Consultant shall complete Schedule D as appropriate for the

project.

5. Schedule E

The Consultant shall prepare Schedule E (Separation of Trades) for Multiple Prime

Contracts (Wicks) only. The Consultant shall review the speciﬁcations and the DDC

General Conditions for each of the items listed on Schedule E and shall ensure that

the correct information has been entered for each separate contract.

3) COST ESTIMATE

a. Format

The Consultant’s Cost Estimate must be written in the standard DDC format. (Coordinate with DDC

PM for latest version.) This document must be delivered to the DDC PM as an editable (unlocked)

Excel document.

b. Description

The Consultant’s Cost Estimate will be required for all Bid Packages. The Consultant’s Cost

Estimate shall be used as a basis for the Bid Breakdown to be ﬁlled out by bidders at the time

of bid. Thus, the estimate must correspond exactly to the rest of the Bid Package documents

(speciﬁcations, proprietary items, etc.) and include line items for all items in the project scope (See

Chapter: 04 Cost Estimating).

CHAPTER 05: BID PACKAGING REQUIREMENTS

C. ORGANIZING, FORMATTING, AND PRESENTING THE BID PACKAGE

4) UNIT PRICE SCHEDULE

a. Format

If the Project Team determines that a Unit Price Schedule is required for a speciﬁc project, the

Consultant must ﬁll out a Unit Price Schedule template in standard DDC format. (Coordinate

with DDC PM for latest version). This document must be delivered to the DDC PM as an editable

(unlocked) Excel document.

b. Description

A Unit Price Schedule may be required for some Bid Packages. Although the ﬁnal bids shall be

lump sum, a unit price schedule may be used to supplement the cost estimate. The Unit Price

Schedule shall be for additional work only and is typically used for items with unknown quantities

at the time of bid (such as for façade restoration or excavation work). If a Unit Price Schedule is to

be used in a project, it will be a standalone, separate document. The Consultant shall not include

references to unit prices within the technical speciﬁcations.

5) PROPRIETARY ITEMS

a. Format:

If the Project Team determines that Proprietary (sole source) Items shall be required for a speciﬁc

project, the Consultant must ﬁll out a Proprietary Items List in standard DDC format, as well

as provide a justiﬁcation for such items. (Coordinate with DDC PM for latest version.) These

documents must be delivered to the DDC PM as follows:

i. One editable Word document of Proprietary Items List.

ii. One PDF document of Proprietary Items justiﬁcation, on Consultant’s letterhead.

b. Description:

Proprietary Items may be required for some Bid Packages. The use of sole-source proprietary

items is not the default option, and the use of proprietary items will only be entertained when the

Consultant has exhaustively determined that there are not three acceptable equivalent products

available and that the product cannot be sufﬁciently described with a performance speciﬁcation.

Although New York City Procurement Policy Board rules do not permit specifying proprietary items,

under limited circumstances, if required for speciﬁc project conditions, proprietary items may be

required. All proprietary items must be approved in advance by DDC ACCO. Written justiﬁcation

must be provided early in the design process by the Consultant and/or the entity requesting the

proprietary item(s). The Consultant shall provide the Proprietary Items Cost template in standard

DDC format, as well.

i. The Consultant must ﬁrst ﬁll out the Proprietary Items List, which shall list the product

and manufacturer and the related speciﬁcation section.

ii. Additionally, the Consultant, often in conjunction with the Sponsor Agency, must

compose a justiﬁcation for the Proprietary Item(s), on their ofﬁce letterhead, which

states why a particular manufacturer and product is required for the project. Proprietary

Items are most often justiﬁed for upgrades or modiﬁcations to existing systems (such

as a Roof or Fire Alarm), or as part of a system-wide standard required by the Sponsor

Agency. Proprietary Items shall not be approved for preferred products.

iii. The DDC PM shall submit the Proprietary Items List and justiﬁcation for review by

the Bid Package Unit, and subsequently coordinate approvals with DDC ACCO. Upon

submittal of all documentation, proprietary item requests may either be approved or

denied.

CHAPTER 05: BID PACKAGING REQUIREMENTS

C. ORGANIZING, FORMATTING, AND PRESENTING THE BID PACKAGE

iv. If Proprietary Items are approved, proprietary speciﬁcation sections must include only

one sole-source manufacturer and product within Part 2: Products, and the text “No

Substitutions Permitted.” However, the remainder of the sections must be generic, and

performance-based. Proprietary cut sheets from manufacturers are not allowed in the

Bid Package (even for approved proprietary items).

v. If Proprietary Items are not approved, speciﬁcation sections which are not approved for

proprietary items must include three manufacturers and the text “or approved equal”.

vi. If the design is based on a particular manufactured product, the Consultant may

include the language “Basis of Design.” The use of Basis of Design does not relieve

the Consultant from identifying two additional manufacturers that offer comparable

products based on the performance criteria described in Part 2: Products, and must not

be used solely to indicate a preference.

6) SPECIAL EXPERIENCE

If the Project Team determines that Special Experience Requirements shall be required for a speciﬁc

project, the Consultant must provide a justiﬁcation for such requirements. (Coordinate with DDC PM for

sample). This document must be delivered to the DDC as a PM PDF document of Special Experience

Requirements justiﬁcation, on Consultant’s letterhead:

a. Description

Special Experience Requirements (or SER) may be required for some Bid Packages. Although

New York City Procurement Policy Board rules do not permit specifying experience requirements

exceeding three years, under exceptional circumstances if required for speciﬁc project conditions,

special experience may be required. All Special Experience Requirements must be approved in

advance by DDC Law and DDC ACCO. Written justiﬁcation must be provided early in the design

process by the Consultant.

i. The Consultant shall assist the DDC Project Team in the speciﬁcation of SER for the

Contractor and/or sub-contractors and for all highly specialized trades, as well as for

any specialized manufacturer. When ﬁnalized and approved, these requirements shall

become part of the Bid Package. During the Bid and Award phase, the Consultant shall

assist in the review and veriﬁcation of the special experience qualiﬁcations submitted

by the Contractor and/or proposed sub-contractors. Qualiﬁcations for the Prime

Bidder(s) shall be determined at the time of bid; qualiﬁcations for sub-contractors and

manufacturers shall be after award.

ii. The Consultant, often in conjunction with the Program Unit, must compose a justiﬁcation

for the Special Experience Requirements, on their ofﬁce letterhead, which states why

a particular sub-contractor or manufacturer will need specialized experience for the

project. SER is often justiﬁed for warranty requirements (such as for a Roof Installer),

for historic experience (such as for a Mason on a landmark building), or for situations

uniquely based on the project scope. Speciﬁc Contractors or sub-contractors may not

be speciﬁed; however, Contractor or sub-contractor qualiﬁcations may be speciﬁed if

approved.

iii. There are several categories of Special Experience, and the Consultant must

identify which category is required in their justiﬁcation. Refer to the DDC Technical

Speciﬁcations Instructions (TSI) for additional information and the standard levels of

Special Experience.

CHAPTER 05: BID PACKAGING REQUIREMENTS

C. ORGANIZING, FORMATTING, AND PRESENTING THE BID PACKAGE

100

iv. The DDC PM shall submit the SER justiﬁcation for review by the Bid Package Unit, and

subsequently coordinate approvals with DDC Law and DDC ACCO. Upon submittal

of all documentation, the request for Special Experience Requirements may either be

approved or denied.

v. If SER is approved, include “Special Experience Requirements Notice to Bidders" shall

be included in the ﬁnal Bid Package and shall indicate all applicable requirements. Refer

to DDC TSI for additional information.

7) COMMISSIONING SPECIFICATIONS

a. Format

If the Project Team determines that a Commissioning Agent shall be required for a speciﬁc project,

DDC shall retain a Commissioning Agent (CxA) to provide corresponding speciﬁcations. (See

Chapter 07: Commissioning.) The Consultant must coordinate with the DDC PM and the CxA

to incorporate their speciﬁcations into the technical speciﬁcation set. These documents must be

delivered to the DDC PM within the speciﬁcations as one single, combined original PDF document,

included within the technical speciﬁcations.

b. Description

Consultant must incorporate and review Commissioning speciﬁcation sections for format issues;

in some instances, the Consultant may need to correct the issue date or other format change.

Te ch n ica l i n fo r m ati on w it h i n t he s pe c i ﬁca ti o n s p r ovi de d by t he Cx A sh o u ld n ot be m od i ﬁ ed.

The Consultant shall ensure that the Commissioning speciﬁcation sections are represented in the

Ta bl e o f C o n te n t s a nd i n t h e C on s u lt a n t’s C os t Es t i mat e a s w e l l.

8) ASBESTOS AND/OR HAZMAT SPECIFICATIONS

a. Format

If the Project Team determines that asbestos speciﬁcations shall be required for a speciﬁc project,

the DDC PM shall provide the corresponding asbestos speciﬁcations, from DDC OEHS, to the

Consultant. The Consultant must incorporate these speciﬁcations into the technical speciﬁcation

set. These documents must be delivered to the DDC PM within the speciﬁcations as a single,

combined original PDF document, included within the technical speciﬁcations.

b. Description

Asbestos and/or other HazMat speciﬁcations may be required for some Bid Packages. Hazmat

work includes, but is not limited to, asbestos abatement, lead abatement, petroleum storage, and

handling equipment abatement and the lawful disposal of other hazardous materials regulated by

Federal, State and City environmental protection authorities. DDC OEHS will conduct probes at pre-

selected locations on the project site and determine what is required for bid.

Most commonly, asbestos speciﬁcations will be included in the Bid Package. Asbestos speciﬁcation

sections are typically required if the project involves any amount of demolition work. Prior to the

submission of Bid Documents, Consultant must incorporate and review asbestos speciﬁcation

sections for format issues; in some instances, the Consultant may need to remove sections not

applicable to the project. Technical information within the speciﬁcations provided by DDC OEHS

must not be modiﬁed.

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101

i. The Consultant shall ensure that the asbestos speciﬁcation sections are represented in

the Table of Contents and technical speciﬁcations as follows:

1. If the Project is a Single Contract, includes demolition scope, and asbestos has not

been found, include:

a. 028013 Allowance for Incidental Asbestos Abatement for General

Construction Work.

2. If the Project is a Single Contract, includes demolition scope, and asbestos has

been found, include:

a. 028013 Allowance for Incidental Asbestos Abatement for General

Construction Work.

b. 028213 Asbestos Abatement.

3. If the Project is a Multiple Prime Contract (Wicks), includes demolition scope, and

asbestos has not been found, include:

a. 028013 Allowance for Incidental Asbestos Abatement for General

Construction Work.

b. 220013 Allowance for Incidental Asbestos Abatement for Plumbing Work.

c. 230013 Allowance for Incidental Asbestos Abatement for HVAC Work.

d. 260013 Allowance for Incidental Asbestos Abatement for Electrical Work.

4. If the Project is a Multiple Prime Contract (Wicks), includes demolition scope, and

asbestos has been found, include:

a. 028013 Allowance for Incidental Asbestos Abatement for General

Construction Work.

b. 028213 Asbestos Abatement.

c. 220013 Allowance for Incidental Asbestos Abatement for Plumbing Work.

d. 230013 Allowance for Incidental Asbestos Abatement for HVAC Work.

e. 260013 Allowance for Incidental Asbestos Abatement for Electrical Work.

ii. Additionally, the Consultant shall ensure that the asbestos speciﬁcation sections are

represented in the Consultant’s Cost Estimate as follows:

1. Include the Allowance for Incidental Asbestos Abatement on the Summary Page

after all markups. (For Multiple Prime Contract Bids, include all four Allowances per

trade). Costs shall be as noted in Allowance for Incidental speciﬁcation section(s)

available from the DDC PM and provided by DDC OEHS.

2. Include Asbestos Abatement, if applicable to the project, within their line item

breakdown. Costs shall be as noted in Asbestos Report, available from the DDC

PM and provided by DDC OEHS.

9) GEOTECHNICAL REPORT

a. Format

If the Project Team determines that a Geotechnical Report shall be required for a speciﬁc project,

the Consultant must provide said report. The report may either have been done previously or will

need to be conducted during the Design phase. This document must be delivered to the DDC PM

as an Appendix to the speciﬁcations as a single, combined original PDF document, included with

the speciﬁcations.

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102

b. Description

A Geotechnical Report may be required for some Bid Packages, if the project requires extensive

excavation or is located on a unique and possibly contaminated site, or for other reasons

determined by the Project Team. Ensure that the Geotechnical Report is noted in the Table of

Contents as an Appendix Document.

D. METHODS OF PROCUREMENT

1) SINGLE CONTRACT BID VS. MULTIPLE PRIME CONTRACT BID

Bids may be procured as either Single Contract or Multiple Prime Contract Projects. Consultant shall

coordinate with DDC PM to determine how the project will be procured to prepare the appropriate

documentation. It is imperative that the Consultant and Project Team establish how the project is procured

prior to the Design phase, to avoid potential delays to the schedule later.

The following table lays out which projects can be bid as Single Contract, and which projects must be bid

as Multiple Prime Contract:

Question 1: How much does this project cost?

Above $3 Million Below $3 Million

Qq Question 2: Where is this project located?

City-Owned Property Non-

City-Owned

Property

City-

Owned

Property

Non-

City-Owned

Property

Renovation New Building

Bid as

RENOVATION

PLA:

Format all

documents

as one single

contract. *

Bid as NEW

CONSTRUCTION

PLA:

Format all

documents as one

single contract.

A Feasibility Study

shall be required

to establish the

applicability of

project to the PLA.

Determination

should be

established prior to

the Construction

Document Phase

to avoid delays.

MULTI-CONTRACT

WICKS:

Format all

documents as 4

separate contracts

as follows:

Contract #1: General

Construction

Contract # 2:

Plumbing

Contract #3: HVAC

& Fire Protection

Contract #4:

Electrical

REVISED

(SINGLE CONTRACT)

WICKS:

Format all documents as a

single contract.*,**

* DDC Policy requires all City Owned projects with estimated costs equal to or above $2.5 million to

bid as Renovation PLA, in case bids come in higher than expected (ie- above $3 million).

** DDC Policy requires all Non-City Owned projects with estimated costs equal to or above $2.5

million to bid as Multi-Contract, in case bids come in higher than expected (ie- above $3 million).

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103

a. The ﬁrst factor in determining whether the project shall be bid as Single Contract or Multiple Prime

Contract is the cost. If the estimated project cost is less than $3 million, the project will be bid as a

Single Contract, regardless of location.

b. If the estimated project cost exceeds $3 million, the next step is to determine whether or not it is

located on City-Owned property.

i. The project may use the Project Labor Agreement (PLA) and bid to a Single Contract,

as long as the cost of project exceeds $3 million and meets the criteria below. Although

the threshold Is $3 million, if a project is estimated to cost at least $2.5 million, it is

anticipated that the bids may come in at or above $3 million. As such, it is recommended

for projects estimated to cost at least $2.5 million to anticipate bidding to Multiple Prime

Contracts

If the project involves the renovation of an existing building or structure, the project shall

be bid using the PLA for Renovation.

1. There are currently two types of Project Labor Agreements:

a. The PLA for Renovation:

If the project involves the renovation of an existing building or structure, the

project shall be bid using the PLA for Renovation.

b. The PLA for New Construction

If the project consists of building an entirely new structure, the project may be

bid using the PLA for New Construction, assuming that the Project Team has

conducted a Feasibility Study that has been approved by DDC Law.

Whereas renovation projects can use the PLA automatically, new construction

projects must ﬁrst be approved for PLA (and subsequently, for Single Contract)

bid.

ii. If a project is located on Non-City Owned property, it cannot be bid using the PLA,

and must be bid using Wick’s Law. Projects with costs that exceed $3 million must

bid as Multi-Contract Wick's Law, which separates out the four major trades (General

Construction, Plumbing, Mechanical and Electrical Work).

1. There are two types of Wicks Law Projects:

a. Revised Single Contracts

Used for projects whose total budget will be less than $3 million.

b. Multiple Prime Contract Projects

The threshold is $3 million; however, similar to the PLA, if a project is

estimated to cost at least $2.5 million, it is anticipated that the bids may come

in at or above $3 million. As such, it is recommended for projects estimated to

cost at least $2.5 million to anticipate bidding to Multiple Prime Contracts.

c. The DDC Project Manager and Team Leader will establish with the Consultant if the project

shall be prepared as a Multiple Prime Contract Project or a Single Contract Project. For Multiple

Prime Contract Projects, or where applicable, adherence to Wick’s Law requires that the

Consultant prepare separate sets of drawings and cost estimates for four separate contracts.

The speciﬁcations shall be inclusive of all contracts but may reference the four separate Prime

Contractors. The speciﬁcations and Table of Contents shall organize the sections as per separate

contract. (Coordinate with DDC PM for latest version of drawing and table of contents for Multiple

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D. METHODS OF PROCUREMENT

104

Prime Contract Projects). These documents, unless directed otherwise by DDC PM, shall be

organized as follows:

i. Contract #1: General Construction work, including site work and vertical transportation.

ii. Contract #2: Plumbing work, including standpipe system, if required.

iii. Contract #3: Heating, Ventilating, Air Conditioning, and Fire Protection work, including

sprinkler systems, as well as combined standpipe system, if required. Note: The sprinkler

system work, which is part of Contract No. 3, shall be shown and detailed on drawings

separate from all other work within that contract.

iv. Contract #4: Electrical work, ﬁre alarm, data & telecommunications systems, A/V

systems.

2) OPEN COMPETITIVE BID VS. PRE-QUALIFIED LIST (PQL) BID

Bids may be procured to either the general public (as an open competitive bid) or to a select group, or list,

of Pre-Qualiﬁed bidders. The Consultant shall coordinate with the DDC PM to determine how the project

will be procured in order to prepare the appropriate documentation.

a. Bids procured to the general public may require additional Special Experience requirements for

the prime bidder(s). Special Experience requirements, as noted earlier in the chapter, must be

approved by DDC Law and DDC ACCO, and the Consultant shall be required to provide appropriate

justiﬁcation.

b. Bids procured to a Pre-Qualiﬁed List (PQL) of bidders will take the place of Special Experience

requirements for the prime bidder(s). Since the bidders here have already been vetted and approved

to work on City projects, the Bid and Award Phase may be signiﬁcantly shorter. Pre-Qualiﬁed Lists

may be for work on roofs, landmark buildings, or general construction projects (or others as may be

applicable). The DDC PM, working with the Project Team and Consultant, shall decide which PQL is

applicable to their speciﬁc project.

c. In order to bid to a PQL, the DDC PM must seek approval from DDC ACCO. At this time, the DDC

PM may require certain documents from the Consultant, including the cost estimate and detailed

project description.

E. DDC SPECIFICATION

REQUIREMENTS

Review all Bid Package contents in Section B. Bid Package Components.

1) DDC OMS (OFFICE MASTER SPECIFICATIONS)

As directed, the Consultant and all sub-consultants shall use DDC’s Ofﬁce Master Speciﬁcations

(OMS) system, which utilizes a commercial software tool (Deltek e-SPECS) with DDC cloud-hosted

project storage designed to generate project-speciﬁc technical speciﬁcations in compliance with DDC’s

requirements. DDC will provide the Consultant team with access to the system including log-in credentials,

training materials, and technical support. All required software will be available as a free download. The

Consultant and all sub-consultants shall comply with the requirements in the latest version of DDC’s

Te ch n ica l S p ec i ﬁ cat io n In s t ruc ti o n s ( TS I ) w h i ch is f ull y c o or d i na t e d w it h O M S .

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CHAPTER 05: BID PACKAGING REQUIREMENTS

E. DDC SPECIFICATION REQUIREMENTS

105

2) SPECIFICATIONS AND TABLE OF CONTENTS

a. Technical Speciﬁcation Instructions

It is the Consultant’s responsibility to download, review and comply with the requirements in the

latest version of DDC’s Technical Speciﬁcation Instructions (TSI).

b. Format

All technical speciﬁcations must comply with all requirements of this section. Speciﬁcation sections

developed from sources other than the DDC Ofﬁce Master will not be accepted, unless approved in

advance by the Deputy Director of Bid Packaging. The speciﬁcations must be delivered to the DDC

PM as follows:

i. One single, combined original PDF document printed directly from the e-SPECS

software, and

Ii. Fully edited speciﬁcations accessible within the e-SPECS software / OMS system.

c. Description

Te ch n ica l s p ec i ﬁ cat io n s ( a n d t he i r c o r res po n d in g Tabl es o f C o nte nt s ) w i l l b e re qu i r ed f or al l Bi d

Packages.

i. The DDC OMS speciﬁcations are Masterspec-derived and formatted per the most

current CSI numbers and headings. They are generated with DDC formatted headers

and footers. Section text has been edited to revise contract language in accordance

with DDC standards. All submissions must include an issue date, which must be

updated for each resubmission.

ii. The speciﬁcations must be inclusive of all items in the construction contract; however,

items which are not capitally eligible must be omitted. These items include (but are not

limited to) maintenance agreements, movable furniture, and spare parts, unless required

by code. Coordinate with DDC PM for full list of eligible and non-eligible scope items.

iii. All Division 1 General Requirements sections correspond to the DDC General

Conditions, which are included in Volume 2 as a reference for bidders with all contracts.

As a result, Consultant must not include any Division 1 speciﬁcation sections with the

exception of Section 019119.43 "Exterior Enclosure Commissioning" for projects that

require Building Enclosure Commissioning.

iv. Similarly, all contract-related language (regarding payments, indemniﬁcation, bidding

procedures, etc.) are included in Volume 2 as a reference for bidders with all

contracts. Speciﬁcations are to be technical in nature; Consultant must review and be

knowledgeable of the Standard Construction Contract and the Information to Bidders by

coordinating with DDC PM for latest versions.

v. All speciﬁcations must include performance information for products, and all sections

that call out manufactured products must include at least two additional manufacturers

that offer comparable products, followed by the term “or approved equal.” They must

comply with governmental and legal requirements regarding public procurement; these

include, without limitation, the Competitive Bidding Laws of the State of New York, the

NYC Procurement Policy Board, Rules of the City of New York, and the DDC General

Conditions. To ensure compliance, it is essential that Consultants prepare speciﬁcations

that are clear, accurate, and in accordance with the criteria set forth below. Accordingly,

speciﬁcations shall:

1. Permit maximum competition

2. For Multiple Prime Contracts (Wicks), permit the separate, competitive sealed

bidding of each prime construction trade.

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CHAPTER 05: BID PACKAGING REQUIREMENTS

E. DDC SPECIFICATION REQUIREMENTS

106

3. Clearly describe the City’s requirements without favoritism toward any Contractor,

supplier, or manufacturer, or to a supplier’s goods and/or services.

4. Emphasize functional or performance criteria. Requirements establishing the

signiﬁcant qualities related to type, function, in-service performance, physical

properties, as well as other special features and requirements must always be

clearly described in Part 2 of the speciﬁcations. Because DDC awards contracts

to the lowest responsible bidder, it is important that functional/performance

speciﬁcations are tightly written using acceptable commercial standards to help

ensure the quality of the job.

5. Unless approved in advance by DDC ACCO, sole-source proprietary items are not

permitted. Refer to Section C5 of this chapter for additional information.

vi. Nomenclature

Incorrect nomenclature from the private sector or other government entities is not

acceptable for documents submitted to DDC. Speciﬁcation text in the OMS has

been pre-edited to remove such references. Any new text must conform to the same

requirements as described below. Refer to the Technical Speciﬁcations Instructions (TSI)

for additional nomenclature and terminology editing guidance.

1. City of New York

References to “Owner” (or other agency or authority) as an entity should read “City

of New York” for all matters related to property and payments.

2. Commissioner

References to “Architect,” or “Engineer” should read “Commissioner.” References

to “Owner” for veriﬁcation, certiﬁcation, selection, approval, etc. should read

“Commissioner.”

3. Engineering Services

References to “Delegated Design” should read “Engineering Services.” Note that

all shop drawings and other submittals must be reviewed and approved “by the

Commissioner”. The Consultant must remain the Designer of Record (Architect of

Record and/or Engineer of Record) and the Contractor’s engineer may not assume

that responsibility. Speciﬁcations where Engineering Services are speciﬁed must

provide all required performance and design criteria such that the Contractor’s

Engineer is not required to make any design assumptions. Engineering Services

provided must meet all the requirements of the NYC Codes, rules, procurement

requirements, and regulations.

4. Authorities Having Jurisdiction (AHJ)

References to “Authority” or “Authorities Having Jurisdiction” must be revised to the

applicable Code, Standard, Entity, Department, or Agency.

vii. Moreover, the Consultant must ensure that all speciﬁcation sections are fully edited

and relevant to their speciﬁc project. The Consultant is responsible for all speciﬁcation

information submitted including those produced by its sub-consultants. Do not include

references to sponsors, clients, items or sections that are not applicable to the scope

of the project at hand. It is imperative that, prior to submitting the speciﬁcations, the

Consultant inspect all documents for adherence to all DDC requirements, completeness,

and accuracy.

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CHAPTER 05: BID PACKAGING REQUIREMENTS

E. DDC SPECIFICATION REQUIREMENTS

107

F. CONSULTANT WORK SESSIONS

The Consultant and sub-consultants responsible for writing technical speciﬁcations shall attend regular sessions

with the Bid Packaging team starting at the CD Kickoff; however, training sessions on utilizing the OMS and

the e-SPECS software will be scheduled with Consultants and sub-consultants for all new projects prior to start

of CD Phase. Sessions shall occur bi-weekly or as mandated by the DDC Bid Packaging team. During these

work sessions, drafts of all technical speciﬁcations shall be submitted for review as directed by the DDC Bid

Packaging team. For more on Design Review, Sign-Off, and Final Acceptance of Construction Documents and

the Bid Package, see Chapter 02: Overview of the Design Process.

107

CHAPTER 05: BID PACKAGING REQUIREMENTS

F. C ON SU LTANT WOR K S E S SIONS

108108

109

CHAPTER 06:

DESIGN CRITERIA

109

A. GENERAL DESIGN APPROACH

B. ACCESSIBILITY

C. HISTORIC PRESERVATION

D. BUILDING ELEMENTS AND SYSTEMS

110

111

A. GENERAL DESIGN APPROACH

All systems and components for the urban planning, architectural design, landscape design, and engineering

of public projects must be designed to meet and in some cases exceed code requirements, while adhering to

commonly established industry standards for quality, performance, materiality, fabrication, and installation.

Individual disciplines and systems must not be considered separately during design or documentation, but in

an integrated and therefore comprehensive way. Project design should always strive to be holistic in order

to creatively balance cost, schedule, and program requirements, operations and maintenance practices,

sustainability and resilience, and performance and innovation. To respect public investment, the project must

achieve a good ﬁt through a design that is well-suited to its intended use and reﬂects the present and future

needs of agency sponsors, end users, and communities.

In addition to any project-speciﬁc criteria, the following priorities must be applied across all disciplines by during

the development of the project:

1) COLLABORATIVE AND TRANSPARENT

The design of public buildings and spaces requires a transparent, collaborative, and inclusive process

that values all voices. All stakeholders, including the project’s end users, the greater community, and

all participating city agencies, must be offered an opportunity to meaningfully contribute to a common

vision for the project. Through public outreach and interagency coordination, the process must promote

discourse, exemplify accessible government, and inspire pride and a sense of ownership in the community.

2) CIVIC AND COMMUNITY ORIENTED

a. Every neighborhood in New York City possesses a unique history and character that contribute

to its sense of place. The design of public projects must actively engage the neighborhoods and

communities in which they are built by respecting and responding to their existing context.

b. Site design should reinforce community connectivity by responding to existing pedestrian routes

and nearby amenities, mass transit, parks, and other local destinations. The overall project design

should enliven the pedestrian experience with creative massing and façade articulation, an

engaging ground ﬂoor, and visible and prominent entrances and open spaces.

c. Project design must be guided by Sponsor Agency and municipal planning strategies such as

previously approved master plans, Zoning Resolution Determinations, and ULURP agreements

where applicable. Special consideration must be given to both ofﬁcially designated landmarks as

well as landmark quality structures.

d. Project design should honor history and culture and convey community identity through a design

that contributes to the character of the neighborhood with its form, materials, details, lighting, and

landscape. It should incorporate art that reﬂects and enriches local culture and identity.

e. Related Sections and Resources:

i. Chapter 06: Historic Preservation

ii. Chapter 09: Percent for Art

iii. Chapter 10: Regulatory Approvals (See information on NYC Community Boards, Public

Design Commission, Landmarks Preservation Commission)

iv. CEQR Technical Manual (The Mayor’s Ofﬁce of Environmental Coordination)https://

www1.nyc.gov/assets/oec/technical-manual/2020_ceqr_technical_manual.pdf

CHAPTER 06: DESIGN CRITERIA

A. GENERAL DESIGN APPROACH

112

3) INCLUSIVE, HEALTHY, AND SAFE

a. Public buildings and spaces must support the health, dignity, and well-being of all New Yorkers,

inclusive of all racial, ethnic, gender, sexual, religious, and cultural identities, and physical, social,

cognitive, and mental abilities. All spaces must be equitable and accessible and should be designed

to exceed minimum code requirements whenever feasible. Inaccessible public design elements of

any kind will not be permitted.

b. Whether a facility is intended for public use or agency operations, it must enable every individual to

feel welcome and valued, comfortable, and secure. Public spaces, entrances, and lobbies should be

readily perceptible from the street with a clear sense of orientation. They should be well-lit, easy and

intuitive to navigate, and supported by clear and consistent signage that is accessible to people of

different ages and cultures. They must create a welcoming atmosphere with an appropriate level of

security that has been thoughtfully integrated with the project design.

c. The project design should create indoor environments with healthy air quality, comfortable

temperatures, noise- mitigating acoustics, suitable and variable natural and artiﬁcial lighting, and

high-quality, sustainable materials.

d. Both indoor and outdoor spaces should be designed to promote physical activity and inspire

movement, provide access to daylight, fresh air, and drinking water, and provide visual connections

to nature.

e. Related Sections and Resources:

i. Chapter 06: Accessibility

ii. Inclusive Design Guidelines (Mayor’s Ofﬁce for People with Disabilities)

iii. Inclusive Design Guidelines: Sports & Recreation (Mayor’s Ofﬁce for People with

Disabilities) https://www1.nyc.gov/site/mopd/initiatives/inclusive-design-guidelines.

page

iv. Aging in Place Guide for Building Owners (NYC Department for the Aging) https://

ihcdhome.humancentereddesign.org/pdf/Aging%20in%20Place%20guide%20for%20

Building%20Owners.pdf

v. Universal Design New York (DDC) https://www1.nyc.gov/assets/ddc/downloads/

publications/guides-manuals/universal-design-ny.pdf

vi. Active Design Guidelines (DDC) https://www1.nyc.gov/assets/planning/download/

pdf/plans-studies/active-design- guidelines/adguidelines.pdf

4) SUSTAINABLE AND RESILIENT

a. Systems performance should make efﬁcient use of resources for operation and, through

benchmarking and commissioning, be capable of demonstrating that they operate as designed.

Maintenance plans must be achievable and ensure continued performance throughout each

system’s useful life.

b. The project design must consider emergent and long-term risks by planning to mitigate and

withstand the impacts of climate change and changing public health and safety conditions including

sea-level rise, intensifying storms, and extreme heat. This will include managing storm water,

offsetting the heat island effect, utilizing native vegetation, and considering short- and long-term

impacts on local and regional ecosystems, including fauna such as migratory birds.

CHAPTER 06: DESIGN CRITERIA

A. GENERAL DESIGN APPROACH

113

c. In addition to local and federal codes pertaining to ﬂood mitigation and ﬂood prooﬁng, the project

design must support community resilience by designing public facilities that perform effectively

during extreme events, provide essential services to vulnerable community members, and return

easily to normal operations

d. Related Sections and Resources:

i. Chapter 07: Commissioning

ii. Chapter 08: Sustainability and Resiliency

iii. Climate Resiliency Design Guidelines (Mayor’s Ofﬁce of Resiliency) https://www1.nyc.

gov/assets/orr/pdf/NYC_Climate_Resiliency_Design_Guidelines_v4-0.pdf

iv. Sustainable New York (DDC) https://www1.nyc.gov/assets/ddc/downloads/

publications/about-ddc/sustainable-new-york.pdf

v. Geothermal Heat Pump Manual (DDC) https://www1.nyc.gov/assets/ddc/downloads/

Sustainable/GeothermalHeatPumpManual.pdf

vi. Water Matters (DDC) https://www1.nyc.gov/assets/ddc/downloads/publications/

guides-manuals/ddc-water-matters.pdf

5) FUNCTIONAL, DURABLE, AND COST-SENSITIVE

a. The project team should select high-quality, durable materials, equipment and building systems that

are simple to operate, maintain, update, and replace when needed. These materials and systems

should be readily available and easily buildable with local construction practices to minimize lead

times, eliminate cost overruns, and prevent delays.

b. The project team should integrate functionality by thoughtfully incorporating building systems and

services into the overall design, including security, lighting, mechanical equipment, utilities, and

waste disposal, and by screening equipment from public view.

c. The project’s space planning must provide unimpeded access and required minimum clearances

per manufacturer recommendations and OSHA for the service, repair, and eventual removal and

replacement of equipment without removal of exterior walls or signiﬁcant impact on adjacent

equipment and building occupants. This includes major components such as switchboards,

motor control centers, boilers, chillers, cooling towers, pumps and air-handling units as well as

ancillary components such as valves, cleanouts and individual equipment controls. All spaces must

be designed with reasonable construction tolerances to ensure compliance with all legal and

programmatic spatial requirements.

d. When proposing novel or innovative building systems, design features, or products, the project team

must analyze and compare initial cost, long-term operating costs, and maintenance requirements in

comparison to industry standard products and practices. These recommendations must be reviewed

with both the Sponsor Agency and their facilities engineers to solicit input and manage operational

expectations. The project team may be required to prepare supplemental manuals to facilitate the

operation and maintenance of the proposed element.

e. Related Sections and Resources:

i. Chapter 06: Accessibility (Sections A-G: Elements)

CHAPTER 06: DESIGN CRITERIA

A. GENERAL DESIGN APPROACH

114

CHAPTER 06: DESIGN CRITERIA

B. ACCESSIBILITY

The Consultant is responsible for the design and construction of projects so that the building and/or site is

readily accessible to and usable by individuals with disabilities. The Consultant is responsible for complying with

all applicable local, state and federal requirements, including but not limited to, the accessibility requirements

set forth in Chapter 11 of the NYC Building Code and its associated Technical Reference Standard ICC

A117.1-2009, and the 2010 ADA Standards for Accessible Design (the “2010 ADA Standards”) as well as

all other requirements included in the Accessibility Standards, as deﬁned in section c. below. The Consultant

is encouraged to utilize United States Access Board Guidelines, whenever possible, as an additional design

resource. Conformance with only one code or standard does not fulﬁll the obligation of the Consultant. Where

there is a conﬂict or inconsistency between the requirements, the Consultant will ensure compliance with the

more restrictive requirement. Obtaining approvals and permits from the Department of Buildings or any other City

agency does not waive the Consultant’s obligation to ensure the project’s design and construction is compliant

with all applicable local, state and federal accessibility requirements.

1) SCOPING

The Consultant shall review the scope of work provided in the FEP Report/Project Objectives and analyze

the scoping provisions and triggers within the NYC Building Code and 2010 ADA Standards to ensure the

design fully meets these accessibility requirements accordingly. The Consultant must monitor compliance

of the design and its documentation during all design and construction phases. All new buildings must be

fully accessible, to the extent established by such codes and standards. When altering existing buildings,

the Consultant is responsible for verifying that the scope of work in the FEP Report/PO fully addresses

the requirements of the NYC Building Code or 2010 ADA Standards, and must notify DDC in writing of

any potential omissions or conﬂicts. The Consultant shall evaluate whether ADA Path of Travel (28 CFR

35.151(b)) is triggered by any alteration to a primary function area. If an area containing a primary function

has been altered without providing an accessible path to that area, and subsequent alterations of that

area, or a different area on the same path, are undertaken within three years of the original alteration,

the total cost of alterations to the primary function areas on that path of travel during the preceding

three-year period shall be considered in determining whether the cost of making that path accessible

is disproportionate. The Consultant shall also evaluate whether the building must be fully accessible

due to a change in the dominant occupancy/use, or based on the value of the alteration, as outlined in

NYC Building Code Sections 1101.3.1 and 1101.3.2. Once the required level of accessibility has been

evaluated, the Consultant is responsible for proper execution of the technical requirements.

2) TECHNICAL REQUIREMENTS

The Consultant is responsible for ensuring all building components are designed and constructed in

compliance with Accessibility Standards, as required by the project scope. The Consultant is advised to

provide adequate construction tolerances to ensure ordinary construction inaccuracies do not result in a

non-compliant built condition.

3) ACCESSIBILITY STANDARDS

To ensure capital construction projects are readily accessible to and usable by individuals with disabilities,

and to prevent the unlawful discrimination based on disability, the term ‘Accessibility Standards’ used

throughout this document shall mean the following, and are inclusive of current versions of all the

following:

a. The New York City Construction Codes, including Chapter 11 of the NYC Building Code;

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b. Accessible and Usable Buildings and Facilities, ICC A117.1 2009 Edition;

c. NYC Charter §224.3, regarding induction loop systems;

d. The Americans with Disabilities Act, 42 U.S. Code §12101 et seq. and regulations implementing

Title II of the Americans with Disabilities Act, 28 CFR §35.101 et seq., with particular regard

to §35.151 “New construction and alterations,” and including, but not limited to, path of travel

requirements associated with alteration work;

e. The 2010 ADA Standards for Accessible Design for State and Local Government Facilities Title II,

with particular regard to §104.1, concerning construction and manufacturing tolerances;

f. Section 504 of the Rehabilitation Act, 29 U.S. Code §794, and implementing regulations;

g. United States Access Board issued accessibility guidelines;

h. The New York State Human Rights Law, Executive Law §291 et seq., with particular regard to

§296(2)(c);

i. The New York City Human Rights Law, Administrative Code §8-101 et seq., with particular regard

to §8- 107(15); and

j. The Fair Housing Act, 42 U.S. Code §3601 et seq., as amended by the Fair Housing Amendments

of 1988, and implementing regulations at 24 CFR Part 100.

C. HISTORIC PRESERVATION

1) INTRODUCTION TO HISTORIC PRESERVATION

It is critical for preservation expertise to be brought to bear at an early planning stage. Early decisions

that deﬁne a project’s direction can have serious implications for the historic and architectural integrity of

a building or site beyond technical preservation and materials conservation. Historic preservation design

criteria apply to work on structures, interiors, sites, streetscapes and works of art that fall into three

categories based on the regulatory framework:

a. Designated New York City landmarks, interiors, scenic landmarks, and properties in designated

historic districts -- including all features within the boundaries of scenic landmarks and historic

districts -- are subject to regulatory oversight by the NYC Landmarks Preservation Commission

(LPC). The Commission makes little distinction in regulatory procedure or standards between

individual landmarks and properties within historic districts.

b. Properties that are not designated by the LPC but are of landmark quality, including those listed

on or eligible for the New York State or National Registers of Historic Places, or eligible for local

designation by virtue of their signiﬁcant historic, cultural, architectural or landscape features, are not

subject to regulatory oversight by the LPC. The determination of whether properties affected by a

project are landmark quality is made by DDC’s Historic Preservation Ofﬁce (HPO) in consultation

with the New York State Historic Preservation Ofﬁce and the Landmarks Preservation Commission.

c. Projects affecting properties in both above categories may require review by the NY State Historic

Preservation Ofﬁce (SHPO) and under the City Environmental Quality Review Act (CEQR) or other

environmental review laws, depending on funding sources and potential for adverse impacts on

historic resources. Projects affecting works of art will also require review by the Public Design

Commission.

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2) STANDARDS AND GUIDELINES

Regardless of the outside regulatory framework, all projects affecting historic properties are reviewed

by the DDC Historic Preservation Ofﬁce for conformance with historic preservation standards, generally

deﬁned by LPC rules and guidelines and/or the Secretary of the Interior’s Standards for treatment of

historic properties. The Consultant must obtain from the HPO the latest published guidelines, standards,

rules, application forms and instructions pertaining to historic preservation from any agency having

jurisdiction over a designated property. The scope of the project will determine the most appropriate way to

apply preservation standards. Every effort shall be made to achieve full compliance with the standards and

to protect the historic and architectural features which support the designation, listing, or eligibility of the

property.

3) CONSULTANT SERVICES

The extent of services described below may vary according to the overall scope of work and regulatory

framework. Other services may be required and may be more fully described in the Project Objectives-

Scope of Work or Task Order. Typically, required services include:

a. Research

Documentary, historical, and ﬁeld research sufﬁcient to inform the project scope and intent will

provide a sound basis for design decisions and help in evaluating conditions exposed during probes

and/or construction.

b. Evaluation of Signiﬁcance

The Consultant is expected to prepare an evaluation of the relative importance of features relevant

to preservation. The evaluation shall be based on research, and on an inventory of features such

as spaces, materials, structural and other building systems, equipment, furnishings, stylistic details,

craftsmanship, works of art, as well as historic or cultural signiﬁcance.

c. Existing Conditions

The Consultant shall provide a conditions report based on observation, interviews, probes and

tests. The Consultant is expected to identify, plan and oversee probes and tests, to provide detailed

reports, and to incorporate results into the design strategy.

d. Documentation

In the absence of existing measured drawings, the Consultant shall produce a set of base

measured drawings of historical features in the areas of work included in the scope. Throughout

the project, the Consultant shall keep a Record of all changes to existing and original features

including materials, methods, design intent, and detailing. The Consultant shall provide photographic

documentation of conditions and activities throughout the project.

e. Design Options

All design options shall respect the historic and architectural integrity of the structure or site. At

least one option must fully conform to applicable LPC guidelines and rules and the Secretary of

the Interior’s Standards. Any project affecting a historic resource, even if it primarily involves non-

architectural trades or is not speciﬁcally for historic preservation, can have preservation implications,

which must be considered in the design. Each scheme must fully explain the approach and the

consequences as they relate to preservation issues. Each scheme must also be accompanied by a

cost estimate and must include a life-cycle analysis with long-term cost/beneﬁt scenarios.

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f. Salvage of Historic Artifacts

Architecturally and historically signiﬁcant features and ﬁxtures such as sculpture, doors, woodwork,

light ﬁxtures, and furnishings should be incorporated into the project, preferably in their original

locations or elsewhere on the project site. If a reuse on site cannot be found, the Consultant is to

arrange for their relocation or reuse by the sponsor agency. The contract documents shall reﬂect

these determinations.

g. Application for Eligibility

The Consultant may be required to prepare an application for the determination of eligibility for the

National or State Historic Register as an additional service.

h. Special Experience Requirements

When the construction contract calls for special experience requirements, the Consultant shall

assist in the review and veriﬁcation of the special experience qualiﬁcations submitted by the

Contractor and/or proposed sub- contractors. The Consultant may be required to participate in site

visits to view qualifying work.

i. Historic Preservation Specialists

The Consultant shall provide a full range of preservation and conservation services by qualiﬁed

experts. These experts shall be used wherever appropriate, in all phases of the project, including

construction. The level of their participation and the extent of their responsibility shall be clearly

deﬁned at the beginning of the project. Specialists who may be required include, but are not limited

to: historians, archaeologists, architectural and art conservators, materials specialists, historic

structural and systems engineers, historic landscape architects, and advisors on special crafts

associated with historic properties.

j. Maintenance Handbook

The Consultant shall provide a maintenance handbook addressing all features and ﬁnishes related

to the historic preservation work. These may be conserved and restored features, new features that

replicate historic features, or other features and ﬁnishes that are complementary to the work and

contribute to the historic and architectural character of the building or site. The handbook should

include requirements and recommendations from manufacturers and suppliers of any materials or

ﬁxtures.

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D. BUILDING ELEMENTS AND SYSTEMS

D. BUILDING ELEMENTS AND

SYSTEMS

The following technical criteria must be applied to the design of building elements and systems in the project.

This criteria is presented in CSI's Uniformat classiﬁcation system, and is characterized by a description of

performative and functional requirements without regard to the materials and methods used to accomplish them.

A SUBSTRUCTURE

A10 FOUNDATIONS

A1000 Foundations General

1. Foundation Type

The Consultant must perform investigative work on the site including but not limited

to borings and evaluate this data to determine the most suitable and economical

type of foundation. The foundation must be properly designed, detailed, and

speciﬁed on the structural drawings and speciﬁcations.

2. Ground Water

The Consultant must evaluate the ground/ﬂood water conditions indicated in the

Geotechnical report. If subsurface waterprooﬁng is required, these details must be

shown on the architectural drawings, coordinated, and schematically shown on the

structural drawings

3. Settlement

The foundations must be designed to minimize overall as well as differential

settlements. For utility lines where such settlement could have detrimental effects

on facility operations, health, and safety, the settlement criteria must be more

stringent. This is to be coordinated by the Design-Builder with other trades, as

applicable.

4. Unsuitable Soils

Where the existing soils are not suitable for supporting a slab on grade, such ﬂoor

systems.

5. Vibrations and Monitoring

The Consultant must advise on the requirements for monitoring the structure and

any affected structures in the vicinity and provide relevant guidance in the notes or

on the drawings.

A1020 Special Foundations

A1020.10 Driven Piles

1. The effect of pile driving operations on adjacent properties must be taken into

consideration during design and should be reviewed with DDC. Pile types not

mentioned in the NYC Building Code must be speciﬁed only after appropriate

design analysis is performed and approval from the DOB is obtained. DOB

determination is required prior to Design Development Phase kick-off.

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A1020.50 Underpinning

1. Where the project is located adjacent to existing structures, the Consultant must

make every effort to avoid or minimize the need for underpinning. If underpinning is

found necessary, the following recommendations must be adhered to:

a. Where underpinning may be required, the Consultant must notify the

Project Manager at the Schematic Design phase to contact the adjacent

property Owner and coordinate all issues associated with underpinning.

b. The design of the underpinning is the responsibility of the Consultant and

must be designed by a Professional Engineer, licensed in the State of

New York, and retained by the Consultant. The drawings must be signed

and sealed by the Structural Engineer.

c. The Consultant must review the underpinning for its impact on the new

and existing construction and for conformance to their recommendations.

d. The Consultant is solely responsible for monitoring the conditions of the

adjacent buildings and other structures affected by the underpinning

during construction.

e. Underpinning must be identiﬁed and listed as a special inspection.

f. The Consultant must evaluate and monitor adjacent or affected historic

properties.

A40 SLABS ON GRADE

A4000 Slabs On Grade – General

1. The Consultant must design, detail, and adequately specify all new slabs on grade

to minimize or eliminate cracking and curling. Structural Synthetic Macro-Fibers

should be used as a substitute for welded wire fabric reinforcement to minimize

cracking in concrete from both plastic shrinkage and temperature shrinkage. The

design must meet the requirements of ACI 360 R, Design of Slabs on Grade, and

other applicable guidelines.

A90 SUBSTRUCTURE RELATED ACTIVITIES

1. Subsurface Investigation

In addition to providing for a suitable foundation solution, the Consultant is

expected to use best professional judgment and experience to determine a soil

exploration program that will reasonably clarify soil related work. The Consultant is

responsible for the geotechnical analysis and engineering of the project.

a. Ofﬁce of Geotechnical Investigations (OGI)

At the earliest project stage, the Consultant shall consult through the

DDC Project Manager with the DDC OGI to determine a preliminary

number of borings, their location, and other required investigations.

Contact with the OGI shall be maintained throughout site exploration.

The Geotechnical Section shall be represented at the Design Kick-off

Meeting.

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b. Site Visits

All projects that require excavation and foundation work will be visited

at the start of Pre-Schematic or Schematic Design by the Consultant’s

Structural Engineer or Geotechnical Engineer. This site visit is a

contractual obligation. Based on the project requirements and as result of

this ﬁeld visit the program of soil exploration shall be initiated.

c. Soil Exploration Program

The soil exploration program should enable the determination of the

optimal foundation solution as well as the reduction of uncertainty during

construction. DDC does not place a maximum limit on the number of

borings to be taken. The number and type of investigations should

be based on reasonable economic and engineering decisions and in

accordance with the NYC Building Code.

d. Additional Borings

When the Consultant ﬁnds that the preliminary borings are not sufﬁcient

to provide information for design and construction, additional borings

shall be ordered as soon as possible to prevent any potential delay to the

project schedule.

B SHELL

B10 SUPERSTRUCTURE

1. Superstructure Types

The Consultant must evaluate and design structural systems that are

economical, efﬁcient, durable, sustainable and ﬂexible for future modiﬁcations

and reconﬁgurations of spaces meeting the loading, serviceability, durability

and vibration requirements of the Building Code, ASCE 7 and other applicable

guidelines. The Consultant must evaluate and design lateral force resisting systems

(LFRS) that are efﬁcient and economical and appropriate for a gravity structural

framing system.

B20 EXTERIOR VERTICAL ENCLOSURES

B2010 Exterior Wall

B2010.00 Exterior Wall – General

1. Cavity Wall Air Space and Insulation

a. Cavities exceeding the code maximum will require analysis / calculations

to be performed for the tie anchors.

b. Cavity walls are designed not only to guide any moisture occurring in

the cavity to move downward to the ﬂashing and weep vents, but also to

allow a certain ﬂow of air throughout the cavity. Recommend providing

a 2- inch minimum clear drainage cavity (not including the insulation) to

be effective, to allow for proper construction of the wall, and to minimize

mortar ﬁns, droppings and bridging.

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c. Clearly indicate insulation attachment method either mechanically or

adhered to masonry backup. Friction ﬁtting rigid insulation between

horizontal reinforcement is not an acceptable solution.

d. If constructing cavity walls, provide continuous ﬂashing at the bottom of

the cavity and wherever the cavity is interrupted by elements such as shelf

angles, lintels and penetrations.

B2010.10 Exterior Cladding

1. General

a. Provide for continuity of the thermal and moisture protection layers of the

exterior vertical enclosure and its connection to the horizontal enclosure.

b. Design envelope sections to prevent condensation on interior surfaces of

or within wall/roof sections that would support mold growth.

2. Materials

The Consultant must use materials that are cost effective, durable, easily

maintained, and appropriate to the context of the project site. For renovations and

additions, the qualities of the new exterior materials must compliment or match the

existing materials when appropriate.

3. Loads

The Structural engineer must provide cladding design loads necessary for the

design of the exterior building envelope to the architect. The structural engineer

must also provide the architect with relevant building deﬂections necessary for

the design of cladding details and must recommend location of the expansion and

construction joints.

The Consultant is responsible for the strength and code compliance of all masonry

elements, including brick, block, stone, and mortar. Attachment and reinforcement

of masonry components, especially parapets, must be clearly detailed on the

drawings. Special structural investigations must be conducted on landmarks and

landmark quality structures.

4. Anti-Grafﬁti Coatings

Sponsor Agencies may require sealants to protect against grafﬁti. When specifying

sealants, the Consultant must evaluate the risks of long-term damage to materials,

particularly masonry historic structures and landmarks. Knowledge of prior coatings

on the building is required, as are material samples with and without proposed

sealants. Only non-toxic sealants must be speciﬁed. Detailed programmatic

requirements will be addressed for such projects in the speciﬁc project

requirements.

B2010.30 Exterior Wall Interior Skin

1. Where used, build with glass mat or moisture/mold resistant, Type X gypsum wall

board for the interior face of exterior walls. On exterior walls, use only interior wall

ﬁnishes that allow water vapor within the wall to escape into the conditioned space.

Do not use vinyl wall coverings, oil-based paint, and other vapor-resistant materials

as interior ﬁnishes for exterior walls.

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B2010.90 Exterior Wall Openings Supplementary Components

1. Flashing (076000)

a. The Consultant must show ﬂashing details for installation for lapping /

sealing, terminations and end dams, inside corners and outside corners

(either ﬁeld formed or prefabricated), wall to roof line, base ﬂashing

and copings. Isometric or 3D drawings must be used to convey proper

detailing.

b. Where the ﬂashing is not continuous, such as over and under openings

in the wall and on each side of vertical expansion joints, the ends of the

ﬂashing should be extended beyond the jamb lines on both sides and

turned up into the head joint at least 1 in. at each end to form a dam. It is

recommended to turn up ﬂashing into the sill joints 4”.

c. Provide weep vents and mortar net at all wall ﬂashings.

d. Flashing materials to be chosen based on durability and compatibility with

adjacent materials. Service life of ﬂashing should meet or exceed that of

the wall or roof assembly it is part of. Factors such as durability during

construction, corrosion, deterioration due to UV exposure, and movement

must also be part of the selection criteria. Dissimilar metals should be

avoided.

B2020 Exterior Windows

B2020.00 Exterior Windows General

1. Sponsor Agencies may require the use of security measures on windows to guard

against window vandalism and break- ins. The Consultant is encouraged to explore

an improved aesthetic for these applications using new materials, technologies, and

strategies to meet the Sponsor Agency’s need for security.

2. Select framing that includes advanced thermal breaks of polyester-reinforced

nylon.

3. Wherever possible, select systems that incorporate pressure-equalized technology.

4. Consider building energy efﬁciency, occupant comfort, daylighting, acoustic

performance, and security when selecting exterior window and glazing systems.

B2080 Exterior Wall Appurtences

1. Provide bird control devices per the Bird-Safe Building Guidelines, NYC Audubon,

or as required by code.

B30 EXTERIOR HORIZONTAL ENCLOSURES

B3010 Rooﬁng

B3010.00 Rooﬁng General

1. Construct in accordance with the recommendations of the National Rooﬁng

Contractor Association (NRCA) Manual – Current Edition.

2. Roof-mounted equipment should be elevated as recommended in the NRCA

Rooﬁng and Waterprooﬁng Manual and set back from the roof edge to minimize

visibility.

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123

3. Do not use pitch pockets as part of the roof design.

4. No building element may be supported by the rooﬁng system except protective

walkways manufactured speciﬁcally for use with that rooﬁng system.

5. Provide protective walkways on the roof along routes to and around equipment for

maintenance.

B3010.50 Low Slope Rooﬁng

1. For edge ﬂashings and copings on low-slope rooﬁng, follow ANSI/SPRI ES-1.

B3010.90 Rooﬁng Supplementary Components

1. Install vapor retarder in accordance with guidance in the NRCA Rooﬁng and

Waterprooﬁng Manual.

2. For Roof System Related Sheet Metal Flashing use The NRCA Manual:

Architectural Metal Flashing, Condensation Control & Rerooﬁng – 2010 and

SMACNA Architectural Sheet Metal Manual.

B3050 Horizontal Openings

B3050.10 Roof Windows and Skylights

1. Assemblies must comply with wind load testing in accordance with ASTM E 1233.

2. Skylight design must follow the guidelines of AAMA Standard 1600.

3. For the design of sloped glazing, reference the following two AAMA publications as

resources: Glass Design for Sloped Glazing and Structural Design Guidelines for

Aluminum Framed Skylights.

4. When designing for essential facilities as identiﬁed in the Speciﬁc Project

Requirements, roof window and skylight assemblies to pass ASTM E1886 missile-

impact and cyclic-pressure tests in accordance with ASTM E1996 for project's

Wind Zone for enhanced protection.

C INTERIORS

C10 INTERIOR CONSTRUCTION

C1010 Interior Partitions

1. Use cementitious wall board as a tile base.

2. Use types IR and MR and type X gypsum wallboard where applicable for high-

impact and moisture resistance per ASTM C645 and C1396.

3. Masonry partitions to be per ASTM C129, C645, C1596.

C1020 Interior Windows

1. Use insulated glazing where separating conditioned spaces.

C1030 Interior Doors

1. Per ANSI/SDI A250.8 (2017) for hollow-metal doors and frames, provide at a

minimum Heavy-Duty Doors and Frames, Level 2 or Extra-Heavy-Duty Doors

and Frames, Level 3 and Physical Performance Level A, Model 1 (full ﬂush),

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D. BUILDING ELEMENTS AND SYSTEMS

124

with full proﬁle welded frame construction, or as required in the Speciﬁc Project

Requirements.

C20 INTERIOR FINISHES

1. Finish materials must not adversely affect the health of workers or occupants.

Health considerations must extend to the material’s production, off-gassing during

installation, and environmental pollution engendered by the disposal process.

C2010.00 Wall Finishes

1. Provide moisture and mildew resistant interior wall ﬁnishes which are easily

maintained, and suitable in accordance with industry standards for the architectural

surface being ﬁnished.

C2030.00 Floor Finishes

1. When budget and maintenance conditions allow, ﬂooring from renewable resources

such as linoleum, rubber, clay, or cork, and materials with high recycled content

are encouraged. Vinyl composition tile (VCT) is discouraged. For health and

maintenance reasons carpeting is discouraged. Alternative ﬂooring should be

considered wherever suitable, and in those situations where carpet must be used,

carpet tile is preferred.

D SERVICES

D20 PLUMBING

D2000 Plumbing Performance Requirements

1. Plumbing Seismic Design

Plumbing Systems and Equipment Requiring Restraint- Plumbing natural gas

piping, motor vehicle fuel storage tankage, piping and dispensing equipment,

domestic water storage tankage, supply/return piping and heating equipment,

sanitary drainage piping and pumping equipment, vent piping, stormwater drainage

piping and pumping equipment associated with building life safety systems or other

critical plumbed equipment that must be maintained functional and operational

in the aftermath of a seismic event, must be designed for seismic forces and

adequately restrained.

2. Special Purpose Equipment Areas Served By Plumbing Systems

a. In Mechanical Equipment Rooms, potable water piping and sanitary/storm

drain piping must not be located above motor control centers, variable

frequency drives (VFD), motor disconnect switches and other mechanical

equipment controls. Where required, suitable means of protection (guards,

drain pans, pipe leak containment jacketing and leak detection) will be

provided to shield mechanical equipment from exposure to leaking and

spraying water.

b. Mechanical Equipment Rooms must be provided with ﬂoor drains and/

or other suitable means of collecting, containing, and disposing of water.

Overhead and ﬂoor mounted drain piping will be located and arranged

to maintain safe headroom and adequate walkway clearance for normal

maintenance access and service clearance.

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c. In Electrical Equipment Rooms – no potable water piping and sanitary/

storm drain piping are permitted. Where required, suitable means of

protection (guards, drain pans, pipe leak containment jacketing and leak

detection) will be provided to shield electrical equipment from exposure to

leaking and spraying water.

d. In Information Technology Equipment Rooms - no potable water piping

and sanitary/storm drain piping are permitted. Where required, suitable

means of protection (guards, drain pans, pipe leak containment jacketing

and leak detection) will be provided to shield information technology

equipment from exposure to leaking and spraying water

e. In Chemical Storage Rooms, UPS Battery Rooms and other areas with

hazardous chemical exposure environments, – an OSHA compliant

emergency eyewash station and shower will be provided. Floor drains

provided for emergency eyewash stations and shower locations will

incorporate suitable means of collecting, containing, treating, and safely

disposing of chemically contaminated water before discharge to building

drainage system and the City sanitary sewer.

f. Vertical Chases and Shafts- all potable water piping and sanitary/

storm drain piping pipes located within building vertical chases and

shafts will have accessible service drain valves with hose bibs located at

intermediate ﬂoors and the bottom of pipe risers for ease of maintenance.

Where required, provide a means of air venting and vacuum relief to allow

water to drain freely from riser piping. A ﬂoor drain will be provided at the

lowest level in each chase or shaft. Adequate access to the service drain

valves and ﬂoor drains will be provided.

D2010 Domestic Water Distribution

D2010.00 Domestic Water Distribution General

1. Domestic Cold Water Service

a. Domestic cold water service will consist of a complete piping distribution

system originating from a potable water source including the provision for

utility service water meter and backﬂow preventer equipment approved for

protecting the City water supply.

b. In the design and arrangement of cold water service piping distribution

systems, there must be no pipe dead legs or capped spurs.

c. The Domestic cold water service will supply potable cold water to all

plumbing ﬁxtures, hose bibs, plumbed equipment, domestic hot water

heaters and make up water provided for mechanical equipment equipped

with an approved air-gap ﬁtting or backﬂow protector device.

2. Domestic Hot Water Supply

a. Domestic hot water service will consist of a complete piping distribution

system originating from a potable water source and if separately derived,

include the provision for utility service water meter and backﬂow preventer

approved for protecting the City water supply.

b. In the design and arrangement of hot water service piping distribution

systems, there must be no pipe dead legs or capped spurs.

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c. Domestic potable hot water should be generated utilizing a reliable,

efﬁcient and sustainable source of energy. Energy recovery can be used

to reduce the reliance on electricity and fossil fuels for water Heating. For

speciﬁc requirements, refer to the Owner’s Project Requirements (OPR)

and the speciﬁc project requirements.

d. For emergency disinfection, domestic water heating equipment will have

the capability of heating the entire distribution system to a temperature of

160°F (minimum).

e. Storage of heated potable water must minimize stagnation, facilitate re-

circulation and point of use consumption. A heated potable water storage

and delivery temperature of 140°F (minimum) is acceptable providing that

the point of use water temperature is regulated to prevent scalding.

f. Where provided, potable hot water return systems will be designed with

balancing valves and test plugs at each return circuit.

g. Point-of-use instantaneous hot water heaters are acceptable for use at

emergency eyewash, shower and other plumbing ﬁxtures to ensure the

reliable supply of tepid water.

3. Domestic Water Service Pressure

The Domestic water service supply pressure must be sufﬁcient to provide the

design water demand volume and pressures required by plumbing ﬁxtures and

plumbed equipment.

4. Domestic Water Booster Pumping System

Where City water supply pressure is inadequate to provide the design water

demand volume and pressures required by plumbing ﬁxtures or and plumbed

equipment, provide a factory assembled and tested pressure booster pumping

system including equipment base, booster water pumps sized for design volume

demand, maximum delivery pressure requirement and full operating redundancy,

variable speed pump control, ASME hydro-pneumatic tank, pressure operating

control, pump inlet/outlet manifold piping, ﬁttings, valves, air venting devices,

pressure relief devices and other appurtenances.

5. Domestic Water Equipment Pressure Control

At all quick-closing automatic valves (mechanical makeup, drinking fountains, ﬂush

valves, single lever control faucets, temperature regulating valves, dishwashers,

return pumps, and similar equipment) water hammer arrestors will be provided.

Water hammer arrestors should be selected and applied in accordance with NYC

Code, Plumbing Drainage Institute (PDI) Standards and as recommended/required

by the plumbed ﬁxture and equipment manufacturer.

D2010.60 Plumbing Fixtures

Plumbing ﬁxture type, use, and materials of construction will be selected based on the OPR

and the speciﬁc project requirements. Coordinate ﬁxture selection and design application

with NYC Code, ADA requirements, City water supply pressure level, method of potable

cold/hot water distribution system pressure/volume regulation and ﬁxture manufacturer’s

performance requirements/recommendations.

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D2010.90 Water Metering

1. The installation of water meters must comply with RCNY Title 15, Chapter 20,

“Rules and Regulations Governing and Restricting the Use and Supply of Water”

available from the New York City Department of Environmental Protection (DEP). A

list of “Approved Water Meters and Related Equipment” is available from NYC DEP.

2. All water meter bodies, service valves and piping will be composed of non-lead

metal alloys that comply with NSF 61G/372 Standards and NYC DEP Rules.

3. NYC DEP uses a Radio Frequency (RF) ﬁxed network Automatic Meter Reading

(AMR) System for meter reading. To register the meter head installed under

permit, the installation of power receptacle is required. The Licensed Plumber must

connect all three wires from the meter register head to the receptacle. The wire

from the meter register must be 22-gauge, three conductor wire, red-black-green.

DEP will modify the power receptacle with a Meter Transmitter Unit (MTU) during

inspection of the installation.

4. Sub-metering equipment with remote monitoring capability will be used to collect

water use data for building equipment such as: cooling tower/evaporative cooler

makeup water, steam and hot-water boilers, controlled irrigated landscape areas

and other high demand water use equipment, system or process.

5. All sub-metering equipment must be conﬁgured to communicate water

consumption data to a meter data management system which is capable of

electronically storing data and creating user reports showing calculated hourly,

daily, monthly and annual water consumption.

6. NYC DEP has approved for use several devices that transmit meter information to

a point other than, and in addition to the AMR System. NYC DEP does not provide

maintenance support for these devices. The output of meter attachments is not

recognized for billing purposes. Meter attachments must not be conﬁgured to

interrogate the meter more than once every 60 minutes. Refer to the “Water Meter

Data Output to Building Management Systems Guide” available in the “Property

Managers and Trade Professionals” publication available from NYC DEP.

D2020 Sanitary Drainage Systems

D2020.00 Sanitary Drainage Systems General

1. The sanitary drainage system will consist of a complete piping and collection/

volume detention network serving all required plumbing ﬁxtures, ﬂoor drains and

other equipment connecting to the City sewer system.

2. The sanitary ﬂow will be by gravity. Where required, provide suitable means of

sanitary collection/detention (tank, pit, manhole, catch basin) and transfer pumping

capability to allow gravity ﬂow to the City sewer system.

3. Any time a project requires connecting to a City sewer, NYC DEP must approve

that the sewer can accept the sanitary and/or storm discharge. A sewer

certiﬁcation is required for any new connection to a City sewer.

4. Where a City combined sanitary and stormwater sewer presents a risk of surging

backﬂow into the building, evaluate the application of a sewer back water valve

with manual gate to prevent sustained damage and contamination of property and

building interior.

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D2020.30 Sanitary (Soil and Waste) and Vent System

1. Sanitary Drainage System

Steam condensate as well as chemically treated mechanical discharge from cooling

towers, boilers, chillers, and other mechanical equipment must not discharge

to the sanitary drainage system without proper treatment for protection of the

environment and waterways.

2. Sanitary Floor Drains

Trap primers must be provided for all sanitary drains (ﬂoor drains, receptors, open

site drains, hub drains, and similar) where drainage is not routinely expected or is

seasonal.

3. Grease Interceptors

a. Drains, ﬁxtures, and equipment discharging fat, oil, or grease-laden waste;

within 10 feet of the cooking battery; and as required by the Department

of Health, must discharge to a grease interceptor before connecting to

the sanitary sewer.

b. Grease interceptor(s) must meet criteria mandated by the Industrial &

Acid Waste Unit at DEP. Sizing of grease interceptors must be based

on the so- called volume sizing guideline, not the drainage ﬁxture-unit

technique.

4. Sand/Oil Separator

Floor drains and/or trench drains in vehicle repair garages must discharge to a

sand/ oil separator before discharging to the sanitary sewer.

5. Piping

a. Hub-Less (no hub) Cast Iron piping is permitted for the sanitary system

inside the building except for underground applications. Service weight

Cast Iron is allowed in either above or underground applications, but

underground connections must be Cast Iron bell and spigot pipe with a

lead and oakum joint.

b. Hub-less (no hub) pipe and ﬁttings must not be used for the storm piping

inside or outside the building. Only Service Weight with caulked joint (bell

and spigot, lead and oakum) for underground application must be used for

storm drainage piping. The use of the so-called “push-on-joint” or a hub

pipe with neoprene gasket is allowed for interior and above the ground

storm piping.

D2020.90 Thermal Pipe Insulation (Sanitary)

1. All sanitary sewer vents terminating through the roof must be insulated for a

minimum of 6 ft. below the roof line to prevent condensation from forming and

must include vapor barrier jacket on this insulation.

2. All piping exposed in plenums, or above the ceiling, must be insulated to prevent

condensation. The thermal pipe insulation for plumbing systems must comply with

ﬁre and smoke-developed index in accordance with the Code requirements.

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D2030 Storm Drainage Systems

D2030.00 Storm Drainage Systems General

1. The stormwater drainage system will consist of a complete piping and collection/

volume detention network serving all required building stormwater scuppers,

gutters, leaders and storm drains connecting directly and indirectly to the City

sewer system.

2. Stormwater ﬂow will be by gravity. Where required, provide suitable means of

stormwater collection/detention (tank, pit, manhole, catch basin) and transfer

pumping capability to allow gravity ﬂow into the City sewer system.

3. NYC DEP allows for different types of stormwater management systems to comply

with the stormwater performance standard, including subsurface, rooftop and

stormwater recycling systems. These systems store and slowly release stormwater

to the sewer system (detention) or dispose of stormwater onsite (retention) through

inﬁltration to soils, evapotranspiration, and recycling onsite.

4. Potable water can be conserved where stormwater is collected, stored and treated

for use in building water closets, urinals, cooling tower makeup supply and “grey

water” systems for vehicle and other non-potable washing functions. Untreated

water can be used for site irrigation of landscape features.

5. Maximum stormwater collection/detention volume will be designed in accordance

with NYC DEP “Guidelines for the Design and Construction of Stormwater

Management Systems” and “Criteria for Detention Facility Design” available from

NYC DEP.

6. Any time a project requires connecting to a City sewer, NYC DEP must approve

that the sewer can accept the sanitary and/or storm discharge. A sewer

certiﬁcation is required for any new connection to a City sewer.

7. Where a City combined sanitary and stormwater sewer presents a risk of surging

backﬂow into the building, evaluate the application of a sewer back water valve

with manual gate to prevent sustained damage and contamination of property and

building interior.

8. Clearwater drainage including cooling coil condensate drainage, evaporation pan

drainage, ice makers and similar clear, non-chemically treated drainage will be

recovered and reused for cooling tower make-up, landscape feature irrigation,

greywater use or similar purposes. Clearwater drainage without chemical,

vegetable, human, animal, protein, fecal, oil, grease, or similar pollutants may be

discharged to the stormwater drainage system where permitted by NYC DEP, NYS

DEC and the U.S. Environmental Protection Agency.

9. Foundation and Subsoil Drainage

a. The requirements of the foundation and subsoil drainage system must be

identiﬁed, capacity calculated, and materials identiﬁed by the geotechnical

soils engineer and identiﬁed in the geotechnical report. The layout and

installation details and materials (identiﬁed by the geotechnical report)

must be speciﬁed and identiﬁed in the structural foundation drawings and

indicated on the architectural drawing sections and details. See Structures

and Soils section in this Chapter.

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b. The foundation and subsoil drainage system must be provided with an

emergency power source, backwater prevention, and perforated drain tile

piping in washed gravel bed with ﬁlter fabric, which must extend to the

duplex sump pumping system as required.

D30 HVAC

D3000 HVAC Performance Requirements

1. All Owner’s Project Requirements (OPR) and speciﬁc project requirements must be

met.

2. Thermal Comfort and Humidity Requirements

The thermal comfort and humidity performance requirements of HVAC Mechanical

Systems must be designed in accordance with the NYC Building Code, NYC

Energy Conservation Construction (ECC) Code and Ref. Std. ASHRAE 55.

Indoor habitable and occupied spaces must be designed to provide a healthy and

comfortable environment year- round.

3. Ventilation

Provide for and maximize the beneﬁt of natural and or mechanical ventilation for

occupied and habitable spaces. Make reasonable provisions in equipment selection

and system design to permit the increase of outdoor air ventilation supply rate and

exhaust air rate to allow for the dilution and purge of indoor air contaminants that

may be determined to contribute to unhealthy environmental conditions.

4. Indoor Air Quality

To provide health and comfort of the building occupants, design and install the

mechanical systems to meet the requirements of the Code. Exposure limits to

contaminants (particulate, gaseous, bacterial, viral) to be established by governing

City, State and Federal Public Health Authorities.

5. Interior Noise Control

Limit occupant exposure to excessive mechanical noise and vibration. Any

equipment generating indoor noise must meet the STC, OITC, NC, RC, sound power

level, vibration displacement, velocity and acceleration limitation requirements of

the NYC Codes, latest edition of the ASHRAE Applications Handbook and other

applicable Reference Standards. Where required, perform, an in depth acoustical

and vibration analysis to identify potential noise and vibration source transmission

pathways and to develop effective isolation and control strategies for minimizing

excessive noise and vibration propagation indoors.

6. Exterior Noise Control

When outdoor noise generation is a controlling design consideration, select

outdoor mechanical equipment to reduce assembly and/or component vibration

and aerodynamically generated noise in accordance with the project acoustician’s

recommendations.

Limit the propagation of excessive outdoor mechanical noise. Any equipment

generating noise must meet the sound power level, vibration displacement, velocity

and acceleration limitation requirements of the NYC Codes, latest edition of the

ASHRAE Applications Handbook and other applicable Reference Standards.

Where required, perform, an in depth acoustical and vibration analysis to identify

potential noise and vibration source transmission pathways and to develop effective

isolation and control strategies for minimizing excessive noise and vibration

propagation outdoors.

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7. Energy Efﬁciency

The HVAC system design must meet or exceed the requirements of the NYC

ECC and Local Laws. An integrated design approach must be implemented to

incorporate all elements that will affect the performance of the HVAC System.

8. Operation and Maintenance

a. Accessibility

Design the location and installation of all HVAC System equipment,

control devices, balancing devices, means of isolation and means of

access so that it all can be safely and easily inspected and maintained.

Comply with the manufacturer’s recommended clearances around

installed equipment.

b. Operability

The sequence of operation for the control systems must be clearly

described and properly documented. The HVAC system design should

simplify control and minimize the need for overly complex control systems.

c. Reliability

Design the HVAC system so that equipment failures and normal

maintenance have minimal impact on the users. Failure of one piece of

equipment should not negatively impact large portions of the building.

Install piping and valves so that different combinations of equipment can

be used during replacement and overhaul. Equipment components, spare

parts, and materials should be readily available, and the equipment should

be serviceable, repairable by service providers and resources available

locally.

d. Recapitalization

The City if New York upgrades building Mechanical systems in phases

over many years while parts of the building are occupied. The system’s

design should consider how equipment elements will be replaced in the

future. Vertical and horizontal distribution should allow parts of the system

to remain in operation and zones of the building to be occupied during

equipment replacement.

9. Longevity

Public buildings have a longer life expectancy than most commercial ofﬁce

buildings; many buildings are over 50 years old and are expected to continue

in service for decades to come. HVAC systems are expected to have extended

service lives. They will be used by many different tenants, operated by many

different maintenance providers, and modiﬁed many times over the life of the

building. Selection of robust, reliable, energy efﬁcient equipment that can be reliably

operated over the long term is required.

10. Visibility

Exterior mechanical equipment should be located where it is not visible to the

public or, when this is not feasible, should be provided with visual screening.

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D3050 Facility HVAC Distribution Systems

D3050.10 Facility Hydronic Distribution

1. Steam, Hot, Chilled, & Condenser Water Systems and Selected Equipment

a. Piping System:

i. Steam, Steam Condensate, Hot, Chilled & Condenser water

piping must be designed in accordance with the latest edition

of the ASHRAE Fundamentals Handbook and ASHRAE HVAC

Systems & Equipment Handbook.

ii. Evaluate the piping system’s potential for expansion and

contraction and show all provisions for anchoring, guiding,

and compensation on the drawings. As required, coordinate

with Structural work for the design of all attachments of pipe

supports, guides and ﬁxed anchoring locations to the building

structural systems.

b. Pumps:

i. Determine the type of pump (centrifugal, positive displacement,

base mounted, in-line, etc.) that best ﬁts the application.

ii. Select pump materials of construction to resist wear, fatigue, and

corrosion and to operate reliably, safely and efﬁciently for the

design pressure and temperature requirements.

iii. Select the pump size and operating point of rating to maximize

hydrodynamic efﬁciency and to reduce energy consumption.

iv. Select pump operating speed to minimize operating noise and

vibration levels. Pumps that are designed for variable speed

operation must be selected to operate safely without excessive

vibration levels, excessive deﬂection of rotating assembly

elements and damage to pump casing seals and drive bearings

throughout their range of operating speed adjustment.

v. Pump equipment must have remote control and supervisory

capability for integration with BAS or other supervisory control

and monitoring systems as identiﬁed in the Owner’s Project

Requirements.

c. Boilers:

i. Choose the type of boiler (cast iron, dry-base, scotch marine,

water tube, etc.) based on the application (working pressure

and temperature, fuel used, construction material, draft type, low

emissions, condensing or not, etc.), efﬁciency requirements, and

the dimensional constraints of the boiler room.

ii. Boiler heat exchangers and auxiliary equipment must be

constructed of materials of construction to resist wear, fatigue

and corrosion and to operate reliably, safely and efﬁciently for

the design pressure and temperature requirements.

iii. Boiler and auxiliary equipment must have remote control

and supervisory capability for integration with BAS or other

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supervisory control and monitoring systems as identiﬁed in the

Owner’s Project Requirements.

d. Chillers:

i. For chilled water systems of 500 tons and larger, centrifugal

chillers should be used. Below 500 tons, reciprocating

compressor, scroll, and rotary screw chillers are permitted.

ii. Select chiller and auxiliary equipment to minimize operating

noise and vibration levels.

iii. Chiller heat exchangers, refrigerant compressor and auxiliary

equipment must be constructed of materials of construction

to resist wear, fatigue and corrosion and to operate reliably,

safely and efﬁciently for the design pressure and temperature

requirements.

iv. Chiller and auxiliary equipment must have remote control

and supervisory capability for integration with BAS or other

supervisory control and monitoring systems as identiﬁed in the

Owner’s Project Requirements.

e. Cooling Towers:

i. Design for either Induced or Forced Draft cooling towers,

whichever best ﬁts the application.

ii. Select cooling tower fan operating speed to minimize operating

noise and vibration levels. Fans that are designed for variable

speed operation must be selected to operate safely without

excessive vibration levels, excessive deﬂection of rotating

assembly elements and damage to drive bearings throughout

their range of operating speed adjustment A fan vibration switch

with a manual reset must protect tower fan assemblies.

iii. Multiple cell towers must have equalization piping between cell

basins. Equalization piping must include automatic isolation and

shutoff valves between each cell to control water ﬂow only over

those towers that are in use.

iv. Cooling tower basins, housing, splash ﬁll and mist eliminator

elements must be constructed of materials of construction

to resist wear, fatigue and corrosion and to operate reliably,

safely and efﬁciently for the design pressure and temperature

requirements. Special consideration must be given to de-icing

cooling tower basins and splash ﬁlls if they are to operate in

subfreezing weather.

v. Wind and seismic design must be incorporated. If the cooling

tower is located on the building structure, vibration and sound

isolation must be provided.

vi. Cooling tower and auxiliary equipment must have remote control

and supervisory capability for integration with BAS or other

supervisory control and monitoring systems as identiﬁed in the

Owner’s Project Requirements.

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f. Cathodic Protection

The requirement for providing cathodic corrosion protection for

underground metallic piping must be evaluated by means of a

geotechnical report including soils analysis and electric resistivity

test. Where required, cathodic protection or other accepted means of

preventing pipe corrosion must be provided.

g. Water Treatment

Provide complete systems for water treatment. The methods used to

treat makeup water must have demonstrated prior success in existing

facilities using the same municipal water supply and must follow the

guidelines outlined in the ASHRAE Applications Handbook. The design

of the water treatment for closed and open hydronic systems must take

into consideration the operational and maintenance needs of all system

equipment including such components as boilers, chillers, cooling towers,

other heat exchangers, pumps, and piping. The design must address

all aspects of water treatment: biological growth, dissolved solids and

scaling, corrosion protection, and environmental discharge regulations.

The chemical feed system equipment must have remote control and

supervisory capability for integration with BAS or other supervisory control

and monitoring systems as identiﬁed in the Owner’s Project Requirements.

h. Air Control

Pressurized diaphragm expansion tanks must be appropriately sized for

closed piping systems. Air separators and vents must be provided on

closed hydronic systems to remove accumulated air within the system.

Automatic bleed valves must only be used in accessible spaces in

mechanical rooms, where maintenance personnel can observe them, and

they must be piped directly to open drains. Manual bleed valves must

be used for terminal units and other less accessible high points in the

system. Air vents must be provided at all localized high points of the piping

systems and at each heating coil, and system drains must be provided at

all localized low points of the piping systems and at each heating coil.

i. Piping System and Equipment Identiﬁcation

All pipes, valves, and equipment in mechanical rooms, shafts, ceilings, and

other spaces accessible to maintenance personnel must be identiﬁed with

color-coated piping or color-coded bands, and permanent tags indicating

the piping system type and direction of ﬂow, or the equipment type and

number, in accordance with ASHRAE handbooks. The identiﬁcation

system must also tag all valves and other operable ﬁttings in accordance

with ASTM Standard A13.1.

D3050.50 HVAC Air Distribution

1. General Design Requirements

For dedicated zones of control, Constant Volume (CV) systems are acceptable. For

multiple zones of control, separate Variable Volume (VV) systems are required.

a. Use diffusers and registers in lieu of grilles for supply air.

b. Use sheet metal ductwork only; do not use ﬁberglass ductwork.

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c. Use external thermal duct insulation in lieu of internal insulation.

d. Turning vanes must comply with SMACNA’s HVAC Systems duct design

standard.

e. Use quadrant opposed blade dampers for balancing in lieu of splitter

dampers. All supply and return branch ductwork must be provided with

opposed blade dampers.

f. Review security requirements with Sponsor Agency. For security

applications, use framed security bars for HVAC openings or ducts 6” or

larger in any dimension.

2. System Layout

Unless limited by the Owners Project Requirements and the speciﬁc project

requirements, both overhead and underﬂoor air distribution systems can be

considered for the design of HVAC Systems. Additional consideration for

housekeeping and maintenance may be required for the application of underﬂoor

air distribution systems. See Section D 3000, Part 8. Maintenance & Operations for

additional guidance.

a. The use of Mechanical Equipment Rooms (MER) as HVC System return

air or relief air plenums is not permitted.

3. Air Delivery Devices

Air is to be supplied through diffusers or registers mounted in ceilings, sidewalls,

sills, or ﬂoors. Air is to be returned or exhausted through grilles, slots, and other

openings located in sidewalls and ceilings.

a. Adequate space ventilation requires that the selected diffusers effectively

mix the total air in the room with the supplied conditioned air.

b. The locations of the air delivery devices and the ranges of their

outlet airﬂow rates must be selected to ensure that the Air Diffusion

Performance Index (ADPI) values remain above 80% during all full-load

and part-load conditions, and below the speciﬁed noise level to achieve

the background noise criteria, in accordance with the test procedures

speciﬁed in Appendix A of ASHRAE Standard 113

c. Variable air volume (VAV) terminal units or constant air volume (CAV)

terminal units, including series-type-fan- powered VAV terminal units, may

be used. Ceiling diffusers or booted-plenum slots must be speciﬁcally

designed for VAV air distribution if used.

d. Booted plenum slots must not exceed 4 ft. in length unless more than one

source of supply air is provided.

4. Sizing of Ductwork

Energy consumption, security, and sound attenuation must be major considerations

in the routing, sizing, and material selection for air distribution ductwork. All supply,

return and exhaust ductwork must be sized in accordance with the latest editions of

the ASHRAE Fundamentals Handbook and ASHRAE HVAC Systems & Equipment

Handbook.

a. When indoor noise generation is a controlling design consideration, select

duct, plenum and air terminal device velocities to reduce air turbulence

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and aerodynamically generated noise in accordance with project

acoustician’s recommendations. The use of plenum and duct sound lining

materials must be limited and evaluated for the potential risk of occupant

health and safety exposure to airborne particulate, ﬁlament ﬁber and VOC

contaminants.

5. Testi ng of Ai r Dis tributio n System s

Air distribution systems must be tested twice for leakage; during the construction

process, before the installation of insulation and after all connections to terminal

units, air delivery and return devices, and return air and exhaust air fans have been

made.

6. Louvers

All exterior louver designations must clearly indicate size, gross and net free area.

Exterior louvers, including outdoor air intake louvers and fan discharge louvers,

should be located and positioned to deter potential vandalism.

7. Humidiﬁcation

Where humidiﬁcation is necessary, electronic or steam-to-steam generators must

be used to produce atomized hot water, clean steam, or ultrasound vapor.

a. All equipment and steam dispersion piping associated with humidiﬁcation

equipment must be stainless steel.

b. Humidiﬁers must be centered on the air stream to prevent stratiﬁcation of

the moist air.

c. When steam is required during summer seasons for humidiﬁcation or

sterilization, a separate clean steam generator must be provided and sized

for the seasonal load.

d. Makeup water for direct evaporation humidiﬁers must originate directly

from a potable source. Chemically treated water must not be used for

humidiﬁcation. Humidiﬁers must be designed so that microbiocidal

chemicals and water treatment additives are not emitted in ventilation air.

e. Each humidiﬁer must have remote control and supervisory capability for

integration with BMS or other supervisory control and monitoring systems

as identiﬁed in the Owner’s Project Requirements.

8. Air Handling Units

a. Select packaged equipment construction (single or double wall, insulation)

and fan type (FC, BI, Airfoil, etc.) that results in acceptable performance

and noise levels. Units must be ARI certiﬁed and UL listed.

b. Select design air velocities through air handling component sections and

heating and cooling coils to limit air pressure drop, aerodynamic noise and

potential cooling condensate transfer as recommended by the equipment

manufacturer.

c. Make sure there is available space and service clearance for piping coils,

drains, and traps.

d. AHU Capacities

Where possible, air handling units must be sized such that a Refrigeration

System Operating Engineer is not required to be on site to facilitate

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ﬂexible zone control, particularly for spaces that involve off-hour or high-

load operating conditions.

e. Te mp er a t ur e an d Air ﬂo w Co n t rol

Psychometric process charts must be prepared for each AHU application,

characterizing full-load and part-load operating conditions for all

processes in the system, in accordance with this Guide. AHU/coil designs

must ensure that conditioned space temperatures and humidity levels are

within acceptable range, per program requirements and the indoor design

conditions noted above.

f. Limitation of Supply Air Temperature

Comfort HVAC systems with supply air dry bulb temperatures below

50F are not permitted. Supply air must be no lower than 50F dew point

temperature to prevent condensation on the duct surfaces.

g. Cooling and Heating Coils

Select ﬁnned-tube cooling coils to ensure that the coils can be cleaned.

Dehumidifying coils must be selected to prevent water droplet carryover

beyond the drain pan at design conditions. All hot water heating and

chilled water-cooling coils must be copper tube and copper ﬁnned

materials. Equipment and other obstructions in the air stream must be

located sufﬁciently downstream of the coil so that it will not come in

contact with the water droplet carryover. Cooling coils must be selected

at or below 500 fpm face velocity to minimize moisture carryover. Heating

coils must be selected at or below 750 fpm face velocity.

h. Drains and Drain Pans

Drain pans must be made of stainless steel, adequately sloped and

trapped to ensure drainage. Overﬂow connections must be provided and

connected to the sanitary or storm line in accordance with Code.

i. Filter Sections

Incorporate the proper air ﬁltration and monitoring system for the

application. Air ﬁltration must be provided in every air handling system.

AHUs must have pre-ﬁlter and ﬁnal ﬁlter sections, each located to protect

cooling, heating and energy recovery equipment.

i. Install ﬁlter rack assemblies with pre-ﬁlter / ﬁnal ﬁlter rating of

MERV (Minimum Efﬁciency Reporting Value) of: 8 / 14.

ii. Differential pressure gauges and sensors must be placed across

each ﬁlter bank to allow quick and accurate assessment of ﬁlter

loading as reﬂected by air-pressure loss through the ﬁlter, and

the sensors must be connected to the BAS (where applicable).

iii. Where occupancy requirements or building functions are

likely to generate airborne particles, vapors, gases and other

contaminants that result in concentrations exceeding safe and

healthy levels special air ﬁlters or air cleaning components

must be provided for the supply and return air or dedicated

and localized exhaust systems must be used to contain these

contaminants.

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9. Air Systems and Equipment

a. Unless identiﬁed otherwise in the Owner’s Project Requirements, use

ductwork, instead of plenum, for air distribution (supply and return) in a

space/facility.

b. The fresh air intakes and exhaust must be located so as not to introduce

pollutants to the inhabited space. Furthermore, size the louver/grille

for reduced air velocity to minimize noise, pressure loss, and rain/snow

carryover through the intake. Incorporated drains at the building and AHU

intakes.

c. Choose the size, shape, ﬁtting/accessories, material composition, and

layout of the ductwork that best ﬁts the application and minimizes the

friction loss, as well as the overall system noise level. Generally, design

the ductwork per the latest SMACNA standards. Select ducts with aspect

ratios 4:1 or less. Incorporate volume dampers in duct branches for

system balancing.

d. Roof mounted air intakes, air exhausts, fans, AHU's and other types of

HVAC System equipment must maintain a minimum clear unobstructed

height of 12 "above the surrounding ﬁnished roof surface and when

required, be set higher to allow maintenance access to roof system.

Install HVAC equipment on roof curbs, support rails and other means

of equipment support in accordance with equipment manufacturer's

installation requirements.

e. Unless otherwise identiﬁed in the Owner’s Project Requirements, space

humidiﬁcation systems are not necessarily required for normal comfort

HVAC design applications. For the purpose of controlling indoor air

contaminants that may be determined as contributing to unhealthy

environmental conditions or for the control of special use spaces like

asset storage or computer room spaces, make reasonable provisions

in HVAC System equipment selection and system design to permit the

increase or decrease of indoor humidity levels.

f. The air ﬁltration system may be integral with the equipment. The level of

ﬁltration must satisfy the requirements of the application including the

enhanced control of indoor air contaminants that may be determined as

contributing to unhealthy environmental conditions.

g. Air Distribution Accessories:

i. Design and install the supply grilles, registers, or diffusers in

each space to result in acceptable draft conditions, noise level,

and system air pressure drop.

ii. For the return or exhaust application, design and install the grille,

h. Fans

i. Determine the type of fan (power roof ventilator utility

fan, centrifugal in-line, propeller fan, etc.) that best ﬁts the

application.

ii. Select fan materials of construction to resist wear, fatigue and

corrosion and to operate reliably, safely and efﬁciently for the

design pressure and temperature requirements.

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iii. Select fan operating speed to minimize operating noise and

vibration levels. Fans that are designed for variable speed

operation must be selected to operate safely without excessive

vibration levels, excessive deﬂection of rotating assembly

elements and damage to drive bearings throughout their range

of operating speed adjustment. Choose the fan to operate in

its safe region and safety below its maximum speed and static

pressure point.

Fan equipment must have remote control and supervisory capability for

integration with BAS or other supervisory control and monitoring systems

as identiﬁed in the Owner’s Project Requirements.

D3050.90 Facility Distribution Systems Supplementary Components

1. Controls for HVAC Components

a. Each piece of mechanical equipment must have remote control and

supervisory capability for integration with BAS or other supervisory control

and monitoring systems as identiﬁed in the Owner’s Project Requirements.

Each piece of equipment must have a metering device for transmitting

energy and water consumption data and, if applicable, a current-sensing

device for transmitting fan and/or pump motor energy consumption data

b. Integrate the control hardware and software to protect against component

freeze-up and allow for optimum operating cycles, including “free cooling”

(whenever justiﬁable) and ﬁre/smoke control.

2. Meters, Gauges, and Flow Measuring Devices

Each piece of mechanical equipment must be provided with instrumentation or

test ports to verify operating performance parameters such as delivered capacity,

pressure, temperatures, ﬂow rates, water, gas, electric and energy consumption.

Each meter, gauge, and ﬂow measuring device must be calibrated before start-

up and must have provisions for periodic calibration at its location. Permanent or

temporary testing stations must be provided for startup and testing of building

systems. Connections must be designed so that temporary testing equipment can

be installed and removed without shutting down the system.

System test and monitoring equipment must have remote control and supervisory

capability for integration with BAS or other supervisory control and monitoring

systems as identiﬁed in the Owner’s Project Requirements. For further information

on advanced metering see Electrical Engineering section in this Chapter.

D3060 Exhaust Venting

1. Emergency Generator Venting

a. A positive pressure rated, U.L. listed double wall insulated metal breeching

and chimney system may be used downstream of an emergency

generator engine exhaust silencer. All engine exhaust venting upstream

of emergency generator silencer must be insulated schedule 40 black

steel pipe with welded joints. Piping system to be sized, designed and

installed for generator back pressure. Provide a controlled means of

engine deﬂagration (overpressure) relief in accordance with engine

manufacturer’s recommendations and safety requirements.

b. Evaluate engine exhaust pipe and vent system’s potential for expansion

and contraction and show all provisions for anchoring, guiding, and

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compensation on the drawings. As required, coordinate with Structural

work for the design of all attachments of pipe and vent supports, guides

and ﬁxed anchoring locations to the building structural systems.

2. Post Fire Smoke Purge Venting

A means of providing post ﬁre smoke purge must be provided where required by

NYC Code. The means of smoke purge should be by dedicated exhaust equipment

whenever possible to avoid potential smoke contamination of HVAC System

supply, return and outdoor air ventilation ducts, fans, ﬁltration and heating cooling

equipment. Design and plan suitable means of access to smoke contaminated

duct interior surfaces and equipment components for the purpose of cleaning and

restoration after a smoke purge event.

Performance:

a. Smoke purge control isolation dampers.

Select the appropriate temperature rating and leakage class for

combination ﬁre-smoke dampers utilized for the control of the post ﬁre

smoke purge system. Isolation dampers must be provided with an override

feature, which must be activated by the NYC Fire Department at the

smoke purge control panel.

b. HVAC System design temperature rating. HVAC System ducts, fans

and accessory equipment utilized for the purpose of providing post ﬁre

smoke purge should be designed for a “cold smoke condition” that could

produce temperatures above the standard HVAC equipment design upper

operating temperature limit of 140 F.

D40 Fire Suppression

D4010 Fire Suppression

1. Fire Suppression Seismic Design

a. Fire Suppression Systems and Equipment Items Requiring Restraint- Fire

suppression sprinkler and standpipe piping, hose manifolds/racks, ﬁre

supply water storage tankage, ﬁre department apparatus water supply

connections (siamese), and water pumping equipment associated with

building life safety systems or other critical ﬁre extinguishing equipment

that must be maintained functional and operational during and in the

aftermath of a seismic event, will be designed for seismic forces and

adequately restrained.

D4010.10 Water Based Fire Suppression

1. All ﬁre suppression and extinguishment systems and equipment will be designed

and engineered.

2. A sprinkler system is a ﬁre suppression system, other than a water mist ﬁre

extinguishing system, that utilizes water as the ﬁre extinguishing agent.

3. A water-mist ﬁre extinguishing system will be installed in accordance with the

NYC Codes and NFPA 750 Standard on Water Mist Fire Protection Systems in

accordance with their listing and as amended by the Codes.

4. An automatic sprinkler system will be installed in accordance with the NYC Codes

and NFPA 13 Standard for the Installation of Sprinkler Systems and as amended

by the Codes.

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5. Standpipe systems will be installed in accordance with the NYC Codes and NFPA

14 Standard for the Installation of Standpipes and Hose Systems and as amended

by the Codes.

6. For buildings one hundred ﬁfty feet or less in height, the minimum standpipe riser

pipe size will be 4 inch. For buildings greater than one hundred ﬁfty feet in height,

the minimum standpipe riser size will be 6 inch. The height of a building determined

for the purpose of standpipe riser design, will be that of the individual riser to the

highest hose outlet (not including manifold outlets) from the level of the entrance

ﬂoor at street level at which the riser begins.

7. Unless otherwise permitted by the NYC Codes, Class III standpipe hose

connections will be provided in every required egress stairway, and a hose

connection will be provided for each ﬂoor level above or below grade. Hose

connections will be readily accessible and located at the riser on each ﬂoor-level

landing and on the entrance ﬂoor above the standpipe riser control valve.

8. Unless otherwise permitted by the NYC Codes, a Class III Standpipe System will

provide a 1-1⁄2 inch hose station to supply water for use by building occupants and

a 2-1⁄2 inch hose connection to supply a larger volume of water for use by the NYC

Fire Department (FDNY) and those trained in handling heavy ﬁre hose streams.

9. The number of standpipe risers provided will be designed and arranged so that all

locations of every ﬂoor can be reached by the ﬂow of a single twenty foot hose

stream supplied from a hose nozzle attached to not more than one hundred twenty-

ﬁve feet of hose connected to a standpipe riser outlet valve.

10. Standpipe systems that include more than one (1) pipe riser will have all risers

horizontally cross-connected at, or below, the street entrance ﬂoor level. Where

there is no cellar, standpipe riser cross-connection may be located at the ceiling of

the lowest story

11. Cross-connections will be sized at least as large as the largest standpipe riser

cross connected. When supplying only two (2) 4 inch standpipe risers, the cross

connection will not be sized less than 5 in. For all other standpipe riser cross-

connection conﬁgurations. the cross-connecting pipe will not be sized less than 6

in.

12. Each Fire Department apparatus water supply (siamese) provided to the building

must be connected to the standpipe system. The water supply pipe from the

apparatus water supply connection to the individual riser pipe or cross connecting

pipe will be 5 in., except that a 4 inch water supply pipe is permitted when

supplying a single 4 inch standpipe riser. The pipe from the apparatus water supply

connection must be run as directly as practicable to the individual riser pipe or

cross connecting pipe.

13. The ﬁre suppression system will be an integrated system of underground and

overhead piping, ﬁttings, valves, auxiliary equipment and appurtenances designed

in accordance with accepted ﬁre protection engineering standards. The system will

include a suitable and approved water supply. The portion of the system above the

ground will be a network of hydraulically.

14. Fire Pumps (21 30 00)

a. A sprinkler booster pump or ﬁre pump system will be provided if the

ﬁre suppression system hydraulic calculations indicate that City water

pressure is inadequate to properly pressurize the highest ﬂoor sprinkler

heads or supply the required standpipe hose stream demand. A ﬁve

(5) psi safety factor must be used in the system hydraulic calculations

prepared.

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b. Every automatic ﬁre pump will be designed to draw from two (2)

independent street water mains in different streets.

c. Where two City water services are supplied to the building, one service

from the street water main must be run directly to the ﬁre pump, and the

other service may be used for domestic water supply. The connection from

water main to ﬁre pumps must be at least 6" pipe size.

d. In the event that two separate and distinct water mains are not available

as a supply or the City water mains cannot produce the required supply

ﬂow and pressure, a suction tank, or tanks, suitably located and of

sufﬁcient capacity to furnish the ﬁre pump with at least a one-half hour

supply at the rated capacity of such pump. Suction tanks must be ﬁlled

by a 6" connection to the water main, controlled by an automatic ball ﬂoat

valve in the suction tank. A 6" bypass line must be provided so that ﬁre

pumps may be fed directly from the street water main.

15. Wall Hydrant Requirements

a. A freeze proof wall hydrant must be provided every 150 feet length of

the building façade so that hoses, with maximum length of 75 feet, can

service the entire facility. Provide a minimum of one freeze-proof wall

hydrant on each wall façade.

D4010.50 Fire Extinguishing

Where the discharge of water would be deleterious or hazardous, the installation of

alternative automatic ﬁre-extinguishing systems complying with the NYC Codes can be

permitted in place of automatic sprinkler protection where recognized by the applicable

NFPA Standard and approved. Such a system can be accepted where the nature of the

ﬁre hazard is such that water would be ineffective or hazardous as an extinguishing agent,

or the need to preserve the historic, irreplaceable or special nature of the contents of the

occupancy prevents against the installation of a sprinkler system.

Where approved, automatic sprinklers may not be required in the following rooms or

areas where such rooms or areas are protected with an approved automatic ﬁre detection

system in accordance with NYC Codes that will respond to visible or invisible particles of

combustion, and where an approved automatic ﬁre-extinguishing system is provided:

1. Any room or space where the application of water, or ﬂame and water, constitutes a

serious life or ﬁre hazard.

2. Any room or space where sprinklers are considered undesirable because of the

nature of the contents.

3. Generator or transformer rooms. This exemption must not apply to a generator or

transformer rooms unless such room or space is separated from the remainder

of the building by walls, ﬂoor, ceiling or roof assemblies having a ﬁre-resistance

rating of not less than 2 hours where the generator in such room is not using high

pressure ﬂammable gas in excess of 15 psi. As its fuel source.

Clean agent ﬁre extinguishing systems will be installed in accordance with the NYC Codes

and NFPA 2001 Standard on Clean Agent Fire Suppression Systems in accordance with

their listing and as amended by the Codes. If a clean agent ﬁre extinguishment system using

a ﬁxed amount of extinguishing agent is approved to be installed in place of a required

sprinkler system, a connected reserve of charged agent cylinders equal to the primary supply

must be provided.

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Where a room or space protected by an approved clean agent ﬁre extinguishing system,

a ﬁxed emergency forced ventilation is required. When the protected area is normally

occupied, a ﬁxed emergency forced ventilation system enough to accomplish at least six

(6) air changes per hour of the ﬂooded protected area must be provided unless all of the

following apply:

1. The clean agent ﬁre extinguishing system is used to extinguish a Class A Fire for

ordinary solid combustibles such as paper, wood, cloth and some plastics.

2. The design concentration does not exceed the “no observable adverse effect level”

for halocarbon agents, or “no effect level” for inert gas agents as deﬁned in NFPA

2001 and amended by the NYC Codes.

3. If other than inert gas agents are used, the quantity of the thermal decomposition

products formed from such agents is below the dangerous toxic load (DTL) for

humans as described in Meldrum's “Toxicology of Substances in Relation to Major

Hazards: Hydrogen Fluoride” (HMSO, London, 1993). Upon request by the City,

documentation of a hazard assessment of thermal decomposition products formed

from such ﬁre extinguishment agents must be ﬁled with the City.

D50 Electrical

D5010 Facility Power Generation

D5010.10 Packaged Generator Assemblies

1. Emergency and Standby Power Systems

Emergency power systems legally required standby power systems and optional

standby power systems will be designed to comply with the requirements of the

NYC Building Codes, Electrical Code, Fire Code, NYC Zoning Resolutions, NFPA

110, and NFPA 111. Compliance with NYC Electrical Code, Article 700 for the

electrical safety of the installation, operation, and maintenance of emergency

and standby systems is required, The electrical engineer will coordinate with

the mechanical engineer, structural engineer and architect on the design of the

emergency / standby power generator system.

a. Applicability of Zoning:

i. The location of emergency power system equipment and standby

power system equipment on the building exterior and building

Lot will comply with applicable zoning resolution restrictions

including : obstructions in open space, public plaza; obstructions

in required yards or rear yard equivalent; obstructions for height

and setback; special purpose districts requirements; special

ﬂood hazard zone, tidal wetlands zone, fresh water wetlands, and

coastal erosion hazard areas.

ii. For Electric Plan Review, the following will be provided and

shown:

1. When an emergency or standby generator is part of a

1000 KVA or smaller system and the generator is rated

below 1000 KVA, a one-line diagram showing how the

generator is connected to the system can be submitted

for the Electrical Plan Review. Include grounding of the

generator frame and neutral bonding. If the generator is part

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of a system larger than 1000 KVA and rated 1000 KVA

or larger, a room layout will be submitted in addition to the

one-line diagram. Grounding for the emergency generator

will be provided. Determine if a separately derived grounding

system will be used.

2. See Section D5020.00 Design Parameters for additional

guidance on electric service design, arrangement and

equipment protection requirements. Observe applicable

requirements for emergency and standby power system

distribution design arrangement and equipment protection.

b. Classiﬁcation of Emergency Power Systems:

i. The class and type of Emergency Power System ) will be

Class 72, providing a minimum of 72 hours of operating time

at rated system load without being refueled and Type 10

limiting load transfer time to a maximum of 10 seconds with

the load terminals of the automatic transfer switch set at 90

percent of both the rated voltage and frequency (Ref. NFPA

110). For modiﬁcation of emergency power system equipment

general performance requirements, refer to the Owner’s Project

Requirements (OPR) and the speciﬁc project requirements.

c. Emergency Power System

The emergency power system will supply power to designated electric

loads through the operation of an automatic transfer switch upon failure

of the normal supply. Automatic transfer switches will be provided with a

maintenance bypass switch to allow the automatic transfer switch to be

maintained while still providing power to the building.

Emergency power loads will include life safety and critical building

equipment:

i. Emergency lighting (must include all required egress lighting,

illuminated exit signs).

ii. Fire alarm system and Automatic ﬁre detection systems.

iii. Carbon Monoxide and natural gas leak detection and alarm

system.

iv. Emergency voice/alarm communication systems including FDNY

auxiliary radio communication (ARC) systems.

v. Smoke control and exit stairway pressurization systems.

vi. Fire pump, Sprinkler Booster pump and Pressure maintenance

(jockey) pump.

vii. Sewage ejector and sump pumps.

viii. Te l e pho ne S ys t e m.

ix. Security System.

x. Select lighting for security ofﬁce, electrical and mechanical

rooms.

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xi. Air compressors serving dry-pipe or pre-action sprinkler systems.

xii. Power and lighting for ﬁre command center and security control

center.

xiii. Fire service access elevators and associated controllers and the

cooling and ventilation equipment serving their machinery rooms

and machinery spaces (simultaneously all designated elevators).

xiv. Occupant evacuation elevators and associated controllers and

the cooling and ventilation equipment serving their machinery

rooms and machinery spaces (simultaneously all designated

elevators).

d. Legally Required Standby System:

Classiﬁcation of Legally Required Standby Power Systems:

The class and type of Legally Required Standby Power Systems will be

Class 48, providing a minimum of 48 hours of operating time at rated

system load without being refueled (see Ref. Chapter 4, NFPA 110) and

Type 60 limiting load transfer time to a maximum of 60 seconds with

the load terminals of the automatic transfer switch set at 90 percent of

the both the rated voltage and frequency. For modiﬁcation of required

standby power system equipment general performance requirements,

refer to the Owner’s Project Requirements (OPR) and the speciﬁc project

requirements.

This required standby power system will automatically supply power to

selected electric loads (other than those classiﬁed as the emergency

system loads) through the operation of an automatic transfer switch upon

failure of the normal power source.

Required standby power loads will include:

i. Smoke control and exit stairway pressurization systems.

ii. Fire service access elevators and associated controllers and the

cooling and ventilation equipment serving their machinery rooms

and machinery spaces (simultaneously all designated elevators).

Visitor screening equipment.

iii. Power and lighting for ﬁre command center and security control

center.

iv. Te l e pho ne s wi t ch e s a n d ﬁb er c ab l e ba tt e r y s y ste ms .

v. Mechanical control systems.

vi. BASs.

vii. Uninterruptible power systems serving technology/server rooms.

viii. HVAC systems for technology/server rooms, UPS rooms, and

communications rooms.

ix. Exhaust fan in UPS battery rooms.

x. FAA aircraft ﬂight path obstruction warning lights.

xi. Domestic water booster pumps (high rise buildings).

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e. Optional Standby System

This system will supply power to the facilities or property where life safety

does not depend on the performance of the system. The optional standby

system will supply power to selected building loads, either automatically

or by manual transfer switch. For modiﬁcation of optional standby power

system equipment general performance requirements, refer to the Owner’s

Project Requirements (OPR) and the speciﬁc project requirements.

Optional standby system loads may include:

i. General equipment areas of the buildings.

ii. HVAC and refrigeration system equipment.

iii. Data processing and communications system equipment.

iv. Receptacles and emergency lighting in large conference

rooms to facilitate command and control operations during an

emergency situation.

v. Additional building loads as required.

f. Generator System

The emergency and standby generator system will consist of one or

more central engine generators and a separate distribution system with

automatic transfer switches, distribution panels, lighting panels, and,

where required, dry-type transformers feeding 208Y/120V panels. The

generators and the generator control panel will be located in separate

rooms or enclosures.

g. Capacity

The engine generators will be sized to serve approximately 150 percent

of the design load and to run at a maximum of 60 percent to 80 percent

of their rated capacities after the effect of the inrush current declines.

When sizing generators, the initial voltage drop on generator output due to

starting currents of loads will not exceed 15 percent.

Emergency and legally required standby power systems must have

adequate capacity to safely carry all loads expected to operate

simultaneously. A temporary alternate source of power must be available

whenever the emergency or standby generator is temporarily out

of service. If the alternate power source lacks adequate capacity to

temporarily carry the entire connected load, it must have automatic and

selective load pickup and load shedding capability to ensure adequate

power supply to loads in the following order of selected priority:

i. Emergency circuits

ii. Legally required standby circuits

iii. Optional standby circuits.

h. Load Bank

i. A permanently installed electric load bank, sized at a minimum of

50 percent of generator rating, will be provided. The load bank

will be factory mounted to the engine radiator assembly. Select

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147

materials of construction that will tolerate the high temperatures

associated with radiator-mounted load banks.

ii. For diesel generators, the load bank will provide a load add/

shed feature that will maintain load levels at the generator

manufacturer’s recommended minimum load. The load bank will

have a minimum of four automatic load taps controlled by a load

add/shed relay incorporated into the run circuit on the generator.

i. Remote Annunciators

Provide remote annunciators for the emergency generator; quantity and

locations, as required.

j. Exterior Noise Control

The design and installation of new or replacement emergency and

standby generator equipment on City owned facilities or properties, and

the modiﬁcation of existing ﬁxed equipment, when located outside of the

building – in a yard, court, on a roof, or where the equipment opens to the

exterior of the building – will be subject to the requirements of the New

Yo rk C i t y N o is e Cod e a n d N YC D E P n ois e c o nt r o l r eg u l at i o ns .

i. Objectives

Provide a proactive design approach, to assure full compliance

with the Code. Evaluate, specify and install manufactured

equipment with the least available sound output and/or with

sound mitigating accessories.

ii. Outdoor Noise Propagation

In the development of emergency and standby generator

equipment selection, take into consideration the effects of

outdoor noise propagation from the site property to nearby

“sensitive receiver” properties and make recommendations

for the further evaluation of existing noise conditions at the

site and/or the selection of Noise Control Measures (NCM)

designed to adequately address Code requirements.

iii. Exterior Acoustical Assessment

Acoustical design compliance strategies will include but not be

limited to the following:

1. Retain (as required) the services of an acoustical sub-

consultant with minimum qualiﬁcations and experience

in accordance with the rules of the NYC Department of

Environmental Protection (DEP).

2. Perform an initial inspection and evaluation to identify

location and distance from the project site of any potential

line of sight sound receptor locations that may be affected

by the proposed work, particularly “sensitive receiver”

properties.

3. Establish and document existing baseline ambient noise

level conditions, identify any observed sound produced by

existing exterior equipment that exceeds Code threshold,

and request from NYC DEP a history of violations and/or

complaints.

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4. Prepare and submit an acoustical analysis of the maximum

resultant sound pressure levels resulting from the proposed

work, including noise level testing data and manufacturer’s

equipment operating performance documentation.

5. Conﬁrm that the proposed emergency and standby

generator system design and installation will comply with

the New York City Noise Code, identify an alternative design

approach, or recommend supplementary noise control

measures (such as engine exhaust silencer(s), acoustical

equipment enclosure, ultra-quiet cooling fans, unit lagging,

external intake/exhaust silencers) that will limit acoustical

energy propagation beyond the site property limits to Code

compliant levels.

6. Specify the required Noise Controlled Inspections to be

performed by the testing agency of the operating noise level

(ambient, directional) after new or replacement of exterior

mechanical equipment is installed.

7. Deﬁne the maximum permissible emergency and standby

generator sound power levels for each unit and reﬂect these

dB values in the performance speciﬁcations for the project.

The maximum sound power levels will comply with NYC

Noise Code limitations and be based on speciﬁc project

conditions such as the nature of unit mounting (dunnage),

roof deck construction, noise reduction coefﬁcient of

suspended ceiling, sound trap attenuation characteristics,

etc.

D5020 Electrical Service and Distribution

D5020.00 Distribution General

Design a complete building electric power system, including system voltage regulation,

power metering, system power distribution, means of disconnect, system equipment

protection, and system equipment grounding.

1. Distribution

Electric power will be distributed to serve all interior and exterior lighting including

parking lot lighting, all mechanical and plumbing equipment motor loads and

controls, ﬁre suppression system equipment motor loads and controls, specialty

equipment and general receptacles, elevators, dumb waiters, ﬁre alarm, mechanical

alarms and security systems, communication equipment and other miscellaneous

equipment.

2. Design Parameters

For Electric Plan Review, the following will be provided and shown:

a. The arrangement of service equipment and its proximity to the point of

service entrance including the manner in which service will be extended to

the service equipment.

b. The clearance around wall and free-standing switchboard will be shown.

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c. The location of the main switchboard and/or distribution panels in relation

to the service equipment.

d. Design of Transformer grounding will be shown.

e. The available short circuit current protection at the point of service

entrance and at the point of change in the interrupting rating of the

overcurrent protection. Where used, series ratings will be indicated.

f. A one line diagram indicating the service equipment and the distribution

equipment up to the 2nd level overcurrent protection, showing all

overcurrent devices with their ampere rating, make and type, interrupting

current ratings and bus and wire sizes. Frame and trip sizes for circuit

breakers will be indicated.

g. A statement conﬁrming that all fuses and/or circuit breakers have been

coordinated for selective short circuit overcurrent protection.

h. The location of the electric service room with respect to the surrounding

areas will be shown and means of egress from the switchboard room and

where it leads to will be shown. The legal exit(s) to which egress door(s)

lead will also be shown.

i. Means of adequate ventilation of the electric service room when the

service equipment totals 2000 KVA or larger will be provided.

j. For all panelboards provide complete panel schedules showing circuit

number, circuit breaker trip rating, load in volt-amperes for each circuit,

load description and location, summary of connected load and demand

load.

k. For all power panelboards, indicate conduit and cable size feeder for

individual circuits. Provide twenty-ﬁve percent spare feeder capacity.

l. For fused switch panels, show switch and fuse rating. Show service

voltage, phase, bus rating, short circuit current ratings, main circuit

breaker or switch and fuse if required. Indicate panel location and type of

mounting.

3. Panelboards

Main power and distribution panel bords, and lighting and receptacle power

panelboards, will be located in electrical rooms and closets. Secondary lighting and

receptacle panelboards will be located adjacent to the loads they serve. Centrally

located electrical closets, which should be stacked in multi-story buildings.

a. Power and distribution panels will be of the circuit breaker type.

b. Lighting and receptacle panels will be of the circuit breaker type with bolt

on branch circuit breakers and must have door-in-door trim.

c. In panelboard selection provide twenty-ﬁve percent spare circuit breakers.

d. Panelboards serving non-linear loads will have a 200% rated neutral.

e. All power distribution, lighting and receptacle panelboards will include a

typewritten schedule directory describing each individual circuit breaker

load.

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4. Conduit and Wiring

All conduits will be 3⁄4” minimum size and run concealed where possible. Heavy

wall, rigid, galvanized steel conduit will be installed where exposed or where

required by Code. Electrical Metallic Tubing (EMT) will be installed concealed in

hung ceilings or walls. Compression ﬁttings l will be used for EMT. Armored cable

will not be used. Aluminum conduit and wire will not be used. Flexible conduit will

only be used for short lengths.

a. Provide a drag wire in all empty conduits.

b. Cable connectors will be of the copper pressure plate type. Connections

to bus bars for cable sizes number 1/0 and larger, will be made with two

zinc-plated bolts.

c. Power wiring will be sized to limit the voltage drop in branch circuits to 2%

to the farthest outlet, and to 5% total for feeders and branch circuits.

5. Transformers

All transformers will, as a minimum, have K-13 rating and have 200% rated neutral.

a. Transformers for lighting and receptacle service will be two-winding per

phase, dry type of capacity to serve the lighting and receptacle loads

speciﬁed.

b. Transformers will have 2 ½ % taps, two above and two below rated

voltage.

c. Transformer windings will be copper. Transformers will have primary and

secondary winding protection.

d. Dry type transformers up to 45 KVA will have dB ratings not to exceed 45

dB, and above 45 KVA will not exceed 55 dB.

6. Motors and Motor Control Centers

Design and specify power for motors and controls. Motor Control Centers (MCC)

will have combination magnetic motor starter and fused disconnect. Each starter

will have hand-off auto switch, control transformer, pilot light, two auxiliary contacts,

and an external manual reset button.

D5020.10 Electrical Service

1. Electrical Service Metering

a. Flexibility

Service equipment will be designed to have adequate capacity to serve

the load of the facility plus 25% future expansion.

b. Electric Service Request

Submit to the utility company a site plan showing the building property

line, electric service entrance, equipment room, and a breakdown of the

electric load (load letter).

The request will inquire about the available service voltage, utility short

circuit current and impedance, metering requirements, charges and any

other requirements.

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The request will also indicate the desired voltage and Point of Entry (POE)

into the building or to property line manhole or hand hole, to provide a

reasonable route to the electrical room.

c. Metering

Provisions for utility company’s metering will be made at the service

entrance.

d. Monitoring

Provisions will be made to monitor voltage, amps, kilowatt hour, power

demand, and power factor.

D5020.70 Facility Grounding

1. Grounding System

Grounding systems will be designed to be coordinated with the speciﬁc type and

size of the electrical distribution system, including the following applicable generic

types of grounding systems or grounding components:

a. Separate Equipment Ground Conductor

i. The types, sizes, and quantities of equipment grounding

conductors will comply with NYCEC, Article 250, unless speciﬁc

types, larger sizes, or more conductors than required by code are

indicated.

ii. Insulated equipment grounding conductors will be installed with

circuit conductors for the following items, in addition to those

required by the code:

1. Feeders and branch circuits.

2. Lighting circuits.

3. Receptacle circuits.

4. Single-phase motor and appliance branch circuits.

5. Three-phase motor and appliance branch circuits.

6. Flexible raceway runs.

7. Metal clad cable runs.

8. Cable trays (bond each individual section).

b. Busway Supply Circuits

c. Insulated equipment grounding conductors will be installed from the

grounding bus in the switchgear, switchboard, or distribution panel to the

equipment grounding bar terminal on the busway.

d. Separately Derived Grounds

To minimize extraneous “noise” on certain systems, particularly those

in which harmonics are generated; the speciﬁc system grounds will

be separated before grounding at the service grounding electrode or

counterpoise.

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e. Isolated Grounds

Isolated grounds will be applied where the equipment served may be

particularly sensitive to external interference from sources generating

third harmonics and higher. In these instances, the grounds beginning

from the panelboard ground and the grounding conductor from the

raceway to the grounding terminal at the receptacle or outlet box, will be

electrically isolated from the main grounding system. The isolated grounds

will terminate at a common ground or counterpoise.

f. Raised Floor

All access ﬂoors will be grounded. A grounding conductor will be bonded

to every other ﬂoor pedestal and extended to the technology/server room

common ground bus.

g. Counterpoise

Where feasible, a grounding conductor (counterpoise) will be provided in

an isosceles triangle conﬁguration with sides greater than or equal to 10

ft. The conductor will be tinned copper not less than No. 4/0 AWG and be

electrically connected to the incoming domestic water services (provided

the piping for the water service is a conducting material) on either side of

the building as well as the various clusters of three ground rods spaced at

intervals. Ground rods will be 5/8 in. diameter by 96 in. long and be zinc

coated copper. The counterpoise loop will involve direct burial in earth 24

in. below grade. The following items will be connected to the counterpoise

loop. All ground rod and grounding connections will be exothermically

welded:

i. Lightning protection system “down conductors”.

ii. Transformers in substations.

iii. Emergency generator ground.

iv. Te l e com a n d d a t a r oo m gr o u nds .

v. Separately derived grounds.

vi. Isolated ground panels.

vii. Main switchgears.

viii. Normal and emergency distribution systems.

ix. Flagpoles.

h. Common Ground System

Provide a common ground bus throughout the building. A common ground

bus will originate from the main service entrance and run up through

stacked electrical rooms, where an insulated wall-mounted copper ground

plate will be installed for connecting any equipment needing a common

ground.

i. All transformers, switchboards and panelboards will be designed

with ground bus and be properly grounded.

ii. The neutral of the emergency generator will be grounded to the

ground electrode.

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D5020.90 Electrical Service and Distribution Supplementary Components

1. Arc Flash

Perform an Arc Flash analysis for the entire building electrical distribution system.

The data from the arc ﬂash calculations for individual pieces of electrical equipment

will be transposed to NFPA 70E-approved labels and all panelboards, motor control

centers, switchgear, and major electrical equipment will be appropriately labeled

and protection boundaries delineated per OSHA 1910 Subpart and NFPA 70E

requirements.

2. Short Circuit and Coordination Study

Perform a preliminary short circuit analysis for building electrical power distribution

systems. A ﬁnal short circuit and coordination analysis will be completed by the

electrical contractor’s testing agency or by an independent testing agency, and a

report will be submitted for Record.

D5030 General Purpose Electrical Power

D5030.50 Wiring Devices

1. Receptacle Outlets

a. Provide conduit grounding for general convenience receptacles. Ground

conductors will be provided for individual circuits to receptacles for

computers and all other dedicated equipment.

b. Provide Ground Fault Interrupter (GFI) type receptacles in mechanical

equipment rooms, wet locations, and near sinks in labs and lavatories.

c. Provide duplex receptacles for servicing HVAC equipment (125 volts, 20

amps, speciﬁcation grade, GFCI protected) within 25 ft. of the equipment.

d. Provide duplex receptacles for maintenance (125 volts, 20 amps,

speciﬁcation grade) so that all areas are accessible by a 50 ft. extension

cord.

e. In storage rooms, provide a minimum of one (1) duplex convenience

receptacle.

f. Provide duplex convenience electrical outlets in ofﬁces (125 volts, 20

amps) spaced approximately twelve (12) ft. maximum on center around

the perimeter of the room.

g. In ofﬁces a maximum of four (4) computer duplex receptacles will be

connected to a 20 amp circuit, and a maximum of eight (8) general

convenience duplex receptacles will be connected to a 20 amp circuit.

h. Separate circuits must be designed for copiers, water coolers, fax

machines, printers and other ofﬁce equipment.

i. Provide TVSS duplex receptacles with LED indicator, where required, for

protection of plug-in microprocessor- based equipment.

j. Refer to the Owner’s Project Requirements (OPR) and the speciﬁc project

requirements for additional guidance.

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D5040 Lighting

D5040.00 Lighting General

1. Lighting Calculations

a. Computer generated lighting calculations are required

b. Calculations will show horizontal illuminance at ground level. Light loss

factor of 0.7 must be used for calculations. In general, Illuminating

Engineering Society (IESNA) standards will apply (up to 15% deviation is

permitted).

2. Lighting Requirements (Indoor Lighting and Daylighting Criteria)

a. Museum standards for lighting works of art will follow the IES Handbook;

Installation Standards, in Fine Arts Collection Policies and Procedures.

b. Exit enclosures where Photoluminescent materials are installed will

comply with the requirements in NFPA 101.

c. Emergency electric lighting systems will consist of separate luminaries

and wiring with an independent power source, e.g., an emergency or

standby power generator, or separate luminaries or unit devices supplied

by the normal power supply and a secondary source that comes on

automatically when the normal power supply fails.

d. Emergency lighting for means of egress will be provided in accordance

with the requirements in NFPA 101. Emergency lighting outside the

building will also provide illumination to either a public way or a safe

distance away from the building, whichever is closest to the building being

evacuated.

e. Refer to the Owner’s Project Requirements (OPR) and the speciﬁc project

requirements for additional guidance.

3. Lighting Requirements (Exterior/Site/Security Criteria) (Refer to G4050)

4. Design Criteria

a. LED lamps will not be retroﬁtted into existing luminaires unless the

retroﬁtted product meets all of the following requirements:

i. UL rating is maintained for ENTIRE ﬁxture to include UL 1598C

and UL 1993.

ii. If LED product category is certiﬁed by the Design Lighting

Consortium (DLC), it is published on their Qualiﬁed Products

website: https://www.designlights.org/

iii. Retroﬁtted lamps will be tested by a recognized Testing

Laboratory in accordance with IES standards LM-79, LM-80, and

TM-21.

iv. Minimum total ﬁxture efﬁcacy of 100 lumens per watt (total

efﬁcacy is a combination of lamp plus driver plus ballast).

v. Product will be dimmable and compatible with existing lighting

control systems and future daylighting technologies.

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vi. LED products will have a “low risk” level of ﬂicker (light

modulation) of less than 5%, especially below 90Hz operation

to prevent photosensitivity epileptic seizures as deﬁned by IEEE

standard 1789- 2015LED.

vii. For common ofﬁce areas, LED product will be dimmable and

compatible with existing lighting control systems and provide

a path to compatibility with future daylighting technologies, or

reduced power consumption by at least 50% for non-controlled

ﬁxtures.

viii. For back ofﬁce areas, electrical, mechanical, and corridors,

LED products do not have to be dimmable but compatible with

existing lighting control systems and reduce power consumption

by at least 50%.

ix. Space photometrics and glare control will meet IES guidelines

for tasks performed in the retroﬁtted spaces.

x. A mock up retroﬁt of typical areas of the building is required to

conﬁrm the above performance requirements of lighting output

suitability, controllability and ﬂicker measurements.

xi. Minimize lamps, light sources ballasts and driver types.

b. Lamps

i. Effort will be made to minimize the number of lamp types within

a facility to simplify lamp maintenance.

ii. In retroﬁt scenarios, all ﬂuorescent lamps will be recycled by

ﬁrms that recover the mercury that is contained within the

lamps. All PCB containing ballasts will be disposed of through

specialized disposal ﬁrms that destroy the PCBs. All applicable

lamps must be Energy Star certiﬁed as applicable.

c. Ballasts and Drivers

i. Ballasts for ﬂuorescent lamps will be “NEMA Premium” when

applicable. Ballasts will be compatible with lighting control

system.

ii. Electronic ballasts and drivers will be used wherever possible

and have a sound rating of “A.”

iii. When EM ballasts are be used in special applications, EM

ballasts will have a sound rating of “A” for 430MA (Standard

Output) lamps, or “B” for 800 MA lamps, and “C” for 1,500 MA

lamps.

iv. Special consideration will be given to the ballast types where an

electronic clock system is also speciﬁed to conﬁrm compatibility

of application.

v. Instant-start ballasts are preferred, except where lamp

replacement is difﬁcult.

vi. Dimming ballasts are preferred, particularly in naturally lit spaces.

Dimming ballasts with minimum settings less than 5% of full

output should be limited to spaces with audio/visual equipment

or similar program.

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vii. In spaces without full-time stationary occupants, utilize stepped

ballasts, or multiple level switching, in lieu of continuous dimming

ballasts.

d. Lighting Controls

All interior lighting will be automatically controlled by a programmable

Lighting Control Panel (LCP) with integral clock except for the emergency

lighting.

i. Each area enclosed by walls or ﬂoor to ceiling partitions will have

at least one switch to control the lighting within.

ii. For spaces 2,000 sf. or less in area, lighting will be controlled by

ceiling mounted occupancy sensors and override switch.

iii. Enclosed ofﬁce lighting l will be controlled by ceiling mounted

occupancy sensors with override switch.

iv. Libraries and Places of Assembly will generally be provided with

key operated switches.

v. Corridor, Lobby and Toilet Lighting will be controlled

automatically from the Lighting Control Panel.

vi. Corridor and Stair Emergency Lighting will be unswitched.

vii. Special light controls will be provided for certain applications, as

required.

viii. Control systems will be compatible with lamps, light sources,

ballasts and lamps.

ix. Lighting controls will use individual luminaire control,

x. Ambient lighting will be adjusted per daylight availability,

occupant/vacancy, and other BAS signals, such as demand

response.

xi. Task and personalized ambient lighting will be adjusted per

occupancy/vacancy and personal dimming.

xii. Lighting controls will be commissioned to operate as intended

without false triggering.

xiii. All lighting controls will be compatible with luminaires.

xiv. Lighting control devices provided for illumination within exit

enclosures will comply with the requirements in NFPA 101.

xv. Occupancy sensors and Time Clocks - Use infrared, ultrasonic,

and microphonic occupancy sensors. Dual technology infrared

and ultrasonic combination-type sensors are recommended.

Sensors should be manual- on, automatic-off, particularly when

used in naturally lit spaces. Where occupancy sensors are not

practical, time controls will be used.

xvi. In new construction and substantial reconstruction, all exterior/

site/security lighting will be master controlled by the lighting

management system.

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5. Security Lighting, Exit Signs, and Emergency Lighting

a. Security Lighting

Security lighting in daylit spaces will be controlled by photosensors. When

security lighting also functions as emergency lighting, separate circuits

and emergency ballasts are required.

b. Exit Signs

i. Exit signs will meet the requirements in NFPA 101 and be

energy efﬁcient and environmentally friendly products (e.g., light

emitting diodes (LED type), Photoluminescent type.

ii. Locations - Means of egress will be clearly marked by

illuminated exit signs placed as required so that exits and path of

egress are easily recognized from any point in a corridor or Place

of Assembly.

iii. Design Parameters - Exit signs will have 8” letters illuminated

by light emitting diodes (LED) only. Wall mounted exit signs are

preferred over pendant mounted exit signs. The use of pendant

mounted exit signs is limited to meet visibility requirements, and

only when wall mounted units may not suit the need.

c. Emergency Lighting

Emergency lighting for means of egress will illuminate designated stairs,

aisles, corridors, ramps, escalators, walkways, and passageways leading to

an exit. Emergency lighting will be provided at exit discharges extending

to the public way and for safety and security Refer to the Owner’s Project

Requirements (OPR) and the speciﬁc project requirements for additional

guidance.

i. Emergency lighting will be provided in accordance with the

requirements of NFPA 101. At a minimum, un-switched

emergency lighting (to serve as night lights) will be provided in

the following areas:

1. Zones covered by closed-circuit TV cameras.

2. Security zones.

3. Fire command center.

4. Security control center.

5. Where required in NFPA 101.

6. UPS and battery rooms.

ii. Emergency lighting will be manually switched from within for the

following areas:

1. Communication equipment rooms.

2. Electrical rooms.

3. Te chn ol o g y/ s e rve r r o om s .

4. Engineers’ ofﬁces.

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iii. Supplemental battery-powered emergency lighting will be

provided in the following spaces to bridge the generator startup

time:

1. Generator rooms.

2. Main mechanical and electrical rooms.

3. Any locations where lighting cannot be interrupted for any

length of time.

iv. Circuits for emergency lighting in an area required to be provided

with emergency lighting will be arranged so that loss of normal

or emergency power supply does not reduce the available

lighting levels below the level required.

v. Illumination levels required for emergency lighting will be at a

minimum:

1. Place of Assembly

a. General: 1 foot-candle measured 18” above ﬂoor

b. Aisle: 2 foot-candles measured 18” above ﬂoor

c. Exit Doors: 5 foot-candles measured at the ﬂoor level

2. Corridors and Stairs:

a. 2 foot-candles measured 18” above ﬂoor.

vi. Buildings with Generator - In new buildings, major

modernizations, or major additions, where an emergency or

required standby generator is provided provide power for

emergency lighting through an Automatic Transfer Switch (ATS)

and emergency lighting panel.

vii. Buildings without an Emergency or Required Standby Generator-

In buildings not provided with an emergency or required standby

generator, emergency lighting ﬁxtures will be connected to a

power source recognized by the Code. The emergency lighting

ﬁxtures in a Place of Assembly and paths of egress to the

outside will be controlled by a relay with sensing circuit off the

local lighting panel.

6. Speciﬁc Lighting Requirements

a. Special Areas

Certain areas, where the lighting design is an integral part of the building

architecture integrate the design with the interior ﬁnishes and furniture

arrangement to enhance the functionality of the spaces.

Further consideration to adhere to the energy criteria and maintenance

criteria, as well as minimizing the number of special lamp types and

ﬁxtures is required.

Areas generally requiring special lighting treatment are as follows:

i. Main entrance lobbies.

ii. Atriums.

iii. Elevator lobbies.

iv. Public corridors.

v. Public areas.

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vi. Auditoriums.

vii. Conference rooms.

viii. Training rooms.

ix. Dining areas and serveries.

x. Libraries.

7. Lighting - Historic Buildings

Historic chandeliers, pendant lights, sconces, and other period lighting may be

upgraded with energy efﬁcient light sources and optical enhancements that

preserve the historic appearance of the luminaire and space.

Replica lighting for restoration zones will be fabricated or modiﬁed to accept

energy efﬁcient lamps.

Supplemental lighting, when required, will be designed and located to minimize

penetration of ornamental wall and ceiling surfaces and to avoid competing visually

with historic lighting.

Recommended alternatives for increasing light levels in ceremonial spaces, when

re-lamping is not sufﬁcient, will include compatibly designed ﬂoor lamps, task lights,

and discretely placed indirect lighting.

D5040.50 Lighting Fixtures

1. Energy Efﬁcient Lighting Fixtures

a. Lighting efﬁcacy (lumens per watt) and lamp life will be primary

considerations in interior lighting design.

b. Utilize the latest technology LED lights for indoor and outdoor applications

where brightness, tight focus, and long lamp life are priorities.

c. Incandescent lamps will be speciﬁed only where necessary, in limited

applications and areas, such as theatrical lighting, track lighting for

exhibits, historic interiors, and hazardous areas. Where feasible, low-

voltage halogen will be used in place of standard incandescent.

d. Do not exceed recommended spacing criteria for overhead ambient

lighting ﬁxtures.

D5080 Miscellaneous Electrical Systems

D5080.10 Lightning Protection

1. Lightning Risk Assessment

Perform lightning risk assessment calculations based on NFPA 780 to determine if

a Lightning Protection System (LPS) is required for the building. Design a lightning

protection system with UL Master Label Certiﬁcate in accordance with NFPA 780,

UL 96A.

2. Equipment and Location

The lightning protection system will be of the Franklin Rod type with air terminals

along the rooftop, rooftop perimeter, and selected rooftop mechanical equipment;

ground conductors, and dedicated ground rods. The lightning protection grounding

system will be bonded to the electrical grounding system.

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D5080.90 Miscellaneous Electrical Systems Supplementary Components

1. Seismic Design for Electrical Systems

a. New and Existing Buildings

New buildings and additions will be designed for seismic forces. If an

existing building is required to meet the requirements of the NYC Seismic

Code and a waiver cannot be obtained, the electrical retroﬁt work will

meet such requirements.

b. Building Additions

For new additions, any items in the existing building that are integrated

with the life safety systems in the new addition will meet the seismic

requirements.

c. Items Requiring Restraint

Seismic restraints will be designed for all equipment and machinery

necessary for life safety operations. Equipment and machinery will be

anchored to the building structure. Coordinate with Structural work for

attachments to building structural system. Electrical equipment and

system components including the following will be restrained as required:

i. Motors and switchgear serving ﬁre pumps.

ii. Transformers.

iii. Control panels.

iv. Major electrical conduit runs

v. All life safety equipment power, lighting and control wiring

conduits.

vi. All conduits 2 ½” diameter and larger (1 ¼” and larger in boiler

rooms and mechanical rooms).

vii. All cable trays regardless of diameter, weight and distance from

the bottom of slab or structural member.

D60 Communications

D6000 Communications General

Refer to the Owner’s Project Requirements (OPR) and the speciﬁc project

requirements for additional telecommunication system requirements. The

Te lec om mu nic at ion s Sys te ms wi ll be i nte gr ate d in to th e b ui ldi ng d esi gn in a no n-

intrusive way, The Telecommunications Systems will be provided with a redundant

power supply and connected to the building standby generator where provided.

The Owner will request telecom/data service , or any required update of an existing

service, from the service provider company. Coordinate the telecom/data system

design with the telecom/data service provider’s speciﬁcations and requirements.

Review and comply with all NYC Department of Information Technology and

Telecommunications (DOITT) requirements and standards.

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DoITT service delivery processes and procedures follow the industry standards of

Information Technology Infrastructure Library (ITIL) v3 and ISO20000. All projects

and applications hosted by DoITT must adhere to these standards for service

delivery procedures, including Incident/Problem Management, Change Management,

Asset/Conﬁguration Management, Service Request Management, Service Level

Management, Automated Monitoring /Alerting, and Automated Provisioning.

1. New Service

Submit to the telecom/data service provider a site plan with the property line

indicated together with telephone/telecommunications requirements. Request a

location for the service point of entry into the building. Coordinate the location and

source of any additional planned or potential service, such as high-capacity internet

lines. This also applies to cable television service when required.

2. Main Telecommunication Room

a. The Building Main Telecommunication Room is utilized to terminate and

interconnect outside cable/ﬁber with the backbone (data and/or voice)

cable and/or ﬁber used throughout the building. It provides facilities for

large splice containers, cable termination mounting, and possibly electrical

protectors. This space is in addition to any space required for network

switching equipment or active system components.

b. Rooms will be sufﬁciently sized for cabinets, racks and other equipment

using largest dimensions and heaviest weights so that working clearance

requirements, space for future installations, and structural requirements

are satisﬁed.

c. The room will be provided with a low impedance isolated ground. The

ground should be directly attached to the building electrical service

ground. The telecom/data main grounding busbar will provide a

dedicated extension of the building grounding electrode system for

the telecommunications infrastructure. Bond each equipment rack,

cable raceway, cable runway, cable tray, and line protector to the

Te le co m m un i c at i o n G ro u n di n g Sy st e m .

d. The sensitivity of the telecom/data equipment requires that the

telecommunications cabling and power be effectively equalized to prevent

loops or transients that can damage the equipment. The telecom bonding

backbone (TBB) will provide a reduction and equalization of potential

(voltage) differences between the telecommunications system equipment.

e. The room will be located above the Base Flood Elevation (BFE) and will

not be located beneath/adjacent toilets, showers, laboratories, kitchens,

water tanks, cooling towers, or other locations where water supply, water

re-circulation and liquid drainage are present.

f. The room will not contain building services water pipes, air conditioning

ducts, drainage pipes or other utilities crossing through the space.

g. The room will be located away from any potential sources of

electromagnetic interference such as electrical power switchgear,

transformers, motors, generators, elevator equipment or other devices

producing inductive electric loads with the potential for creating

electromagnetic ﬁelds.

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h. Provide dedicated air-conditioning and ﬁre protection to serve the room.

i. A main telecommunication room will be designed to locate and centralize

the main control equipment of the following systems:

i. Local Area Network.

ii. Tel e p ho n e Sy st e m .

iii. Cable TV System.

iv. Sound, Intercom and Security Systems.

v. Closed Circuit Surveillance System.

vi. Building Automation System (BAS).

3. Communication Closets

Design adequate communications closets to conform to the requirements of the

utility company, and telecom providers. The communication closets will be centrally

located and, in multi-story buildings, stacked strategically to increase vertical

communication pathway arrangements.

4. Empty Conduit System

Empty conduit system will be provided for telecom, data and cable TV systems.

Drag wires will be provided in all empty conduits. Conduit size will be a minimum of

2”.

5. Other Special Purpose Systems

The following special systems will be designed as indicated in the Task Order and/

or Project Objectives:

a. Audio/Visual (A/V) presentation system in conference rooms and

designated areas.

b. Video teleconferencing facilities in designated areas. Empty conduit for

roof mounted satellite antenna.

c. Entry doorbell system.

d. Entry door intercom system.

e. Electric snow melting system.

f. Electric heat tracing.

D70 Electronic Safety and Security

D7000 Electronic Safety and Security General

Refer to the Owner’s Project Requirements (OPR) and the speciﬁc project

requirements for additional electronic safety and security requirements. The

Electronic Safety and Security systems will be integrated into the building design

in a non-intrusive way. The Electronic Safety and Security system will be provided

with a redundant power supply and connected to the building emergency or standby

generator where provided.

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D7050 Detection and Alarm

D7050.10 Fire Detection and Alarm

Fire Detection and Alarm Systems will be designed and installed in accordance with

NYC Building, Electrical and Fire Codes and NFPA 72 as amended.

Fire alarm systems will be monitored by a central supervising station in accordance

with NFPA 72 and approved.

The primary and secondary power supply for the ﬁre alarm system will be provided in

accordance with the New York City Electrical Code.

Fire Detection and Alarm System wiring will comply with the requirements of

the with NYC Electrical Code and NFPA 72 as amended. Wireless protection

systems utilizing radio-frequency transmitting devices will comply with the special

requirements for supervision of low-power wireless systems in NFPA 72 as

amended.

The Fire Detection and Alarm System control panel will be a type which a certiﬁcate

of approval has been issued and will be installed in accordance with the NYC

Building, Electrical and Fire Codes and NFPA 72 as amended.

All required ﬁre alarm notiﬁcation appliances and devices will be provided and will

be listed for their purpose. Audible alarm notiﬁcation appliances will be provided and

emit a distinctive sound that is not to be used for any purpose other than that of a

ﬁre alarm notiﬁcation. Visible alarm notiﬁcation appliances must be provided in public

areas, common areas and other locations as required.

Fire alarm riser diagrams will show all ﬁre alarm devices indicated on the ﬂoor plans.

Quantities of devices on the ﬂoor plans will match the quantities indicated on the

riser diagram. Riser diagram will include class and style of circuits and levels of

survivability. The riser diagram will show the interface of ﬁre safety control functions.

1. Fire Alarm System

a. General

The ﬁre alarm system l will be a U.L. listed fully supervised, addressable

microprocessor – based multiprocessing type. The Fire Alarm System will

be integrated with the control and monitoring of building Fire Protection

and Extinguishment Systems and Building Automation System (BAS) to

override the normal control of HVAC equipment. In the event of ﬁre The

ﬁre alarm system will annunciate at the main and remote annunciator

panels and initiate occupant notiﬁcation. The ﬁre alarm system will be

activated by:

i. Automatic ﬁre detectors.

ii Sprinkler waterﬂow devices.

iii. Manual ﬁre alarm boxes.

iv. Automatic ﬁre-extinguishing systems.

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b. Remote Annunciator

A remote annunciator panel will be provided in a supervised location to

annunciate the status of the ﬁre, smoke, and sprinkler alarm systems.

c. Equipment and Locations

i. Fire Alarm Control Panel (including smoke purge, where

required) – at main building entrance lobby.

ii. Printer – In supervised location or other location, as permitted

iii. Remote Annunciator – At supervised location or other location,

as permitted

iv. Manual Pull Station – At each door leading to a building exit, in

corridors, lobbies, places of assembly and as otherwise required

to meet Code egress travel limitations.

v. Visual Annunciators (Strobes) – Wall mounted in corridors,

conference rooms, places of assembly, libraries, maintenance

shops, toilets and other locations where required by Code. Visual

annunciators must be unobstructed by other objects, visible from

any position in the area, and a maximum of 15 ft. from the ends

of corridors.

vi. Audible annunciators (Speakers/horns) – At corridors and other

locations where required by Code. Where locations coincide with

visual annunciators, use combination Horn-Strobe device type.

vii. Area Smoke Detectors – In mechanical rooms (including fuel

storage tank rooms), electrical switchgear rooms, electric closets,

main telecommunication rooms and closets, Audio/Video

closets, elevator lobbies, elevator shaft, elevator machine rooms,

non- sprinkled rooms storing combustible materials, and over

compartmentalization or ﬁre separation doors where magnetic

door holders are provided.

viii. Heat Detectors – In boiler room, kitchen, laundry room

ix. Water ﬂow and tamper switches for the Fire sprinkler system

control valves.

x. Elevator recall. (interlock with smoke detector in elevator lobbies,

elevator shaft and elevator machine room)

xi. Kitchen hood suppression system (Ansul System) – Activation

must be indicated as an alarm on the Fire Alarm System.

xii. Central Station Monitoring and, where required, Owner’s

designated remote monitoring station.

d. Existing Fire Alarm Systems

i. The ﬁre alarm systems’ installations in certain public buildings

fall under the following 5 categories:

1. No ﬁre alarm system installed in a particular facility.

2. Functional Fire Alarm system is installed – ﬁled with DOB

and approved by FDNY.

3. Functional Fire Alarm system installed – not ﬁled with DOB

and Not approved by FDNY.

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4. Currently dysfunctional Fire Alarm System – Originally ﬁled

with DOB and approved by FDNY.

5. Currently dysfunctional Fire Alarm System – Never ﬁled with

DOB nor approved by FDNY.

ii. Where projects require HVAC replacement/modiﬁcations, the

design alteration scope of work will comply with the latest

Building and Mechanical Codes and require installation of

all required smoke/duct detectors, fan shut down relays and

ﬁre smoke dampers. These devices will be integrated into the

existing ﬁre alarm system or provide local fan shut down control

as approved by FDNY.

iii. To allow successful inspection, sign-off, approvals and close-out

phases involving HVAC replacement scopes of work with each

of the categories listed above, the following guidelines can be

followed:

1. Facilities with no ﬁre alarm system installed:

Provide ﬁre alarm devices (smoke detectors, shut-down

devices, etc.) that will, in event of a ﬁre or smoke condition,

perform a local shut-down of the affected HVAC equipment.

2. Facilities with existing functional Fire Alarm system – ﬁled

with DOB and approved by FDNY: Provide additional HVAC

related ﬁre alarm devices. The additional HVAC related ﬁre

alarm devices will be tied into the existing ﬁre alarm panel.

The modiﬁcations to the existing ﬁre alarm system will be

ﬁled with DOB and submitted to FDNY for approval.

3. Facilities with existing Functional Fire Alarm system – not

ﬁled with DOB and not approved by FDNY:

Prepare all documents necessary for ﬁling a new Fire

Alarm System with DOB and approval by FDNY. The

documents will include all the additional HVAC related

ﬁre alarm devices, as well as all other (not HVAC related)

ﬁre alarm devices, and all modiﬁcations/replacement of

existing devices, as required for ﬁling of the entire system

as being new. The design and installation will comply with all

applicable codes and all authorities having jurisdiction.

4. Facilities with existing dysfunctional Fire Alarm System –

Originally ﬁled with DOB and approved by FDNY:

Provide new HVAC related ﬁre alarm devices, as well as

all necessary corrective measures to bring the existing

system into a fully functional and operational mode, The Fire

Alarm system with its additional devices and the corrective

measures provided, will be ﬁled with DOB and submitted to

FDNY for approval.

5. Facilities with existing dysfunctional Fire Alarm System –

Never ﬁled with DOB nor approved by FDNY:

Prepare all documents necessary for ﬁling a new Fire

Alarm System with DOB and approval by FDNY. The

documents will include all the additional HVAC related

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ﬁre alarm devices, as well as all other (not HVAC related)

ﬁre alarm devices, and all modiﬁcations/replacement of

existing devices, as required for ﬁling of the entire system

as being new. The design and installation will comply with all

applicable codes and be approved.

e. Sprinklers

Upon activation, sprinkler system water ﬂow indicators and tamper

switches for the ﬁre alarm or sprinkler system will transmit a signal to the

ﬁre alarm system.

f. Ducts

Smoke detectors installed in ducts will be listed for the air velocity,

temperature and humidity present in the duct. Duct smoke detectors

will be connected to the building’s Fire Detection and Alarm System.

Activation of a duct smoke detector will initiate a visible and audible

supervisory signal at a constantly attended location and perform the

intended ﬁre safety function in accordance with the NYC Building,

Mechanical and Fire Codes and NFPA 72 as amended.

D7050.30 Fuel-Gas Detection and Alarm

1. Gas and Carbon Monoxide: New Buildings, Additions, and Major Renovation

a. Multiple-Station Systems

Provide multiple-station natural gas and carbon monoxide detector/alarm

system with detectors adjacent to all gas- ﬁred equipment located within

the building (water heater, unit heaters, duct furnaces, etc.); between

boilers; and (natural gas detector only) in the gas meter room and gas

booster room, if applicable. Multiple-station system operations will be as

follows:

i. Upon detection of combustible gas and/or carbon monoxide, the

individual leak detector will signal the alarm control panel.

ii. The alarm control panel will then institute the following:

iii. Close the main gas valve on the gas service (isolation valve with

fusible link).

iv. Electrically shut down all equipment.

v. Start the explosion proof exhaust fan in the gas meter room,

where applicable.

vi. Digitally signal the BAS (if provided); and

vii. Activate the audio/visual alarms in the boiler room (or

mechanical room, for projects without boiler) and supervised

location.

b. Standalone Single Stations

Provide standalone single station carbon monoxide detectors/alarms (in

addition to multiple-station detectors as speciﬁed above) for all remaining

spaces containing fossil fuel burning equipment (spaces with gas stoves

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or dryers, labs, auto shops, generator room, indoor loading dock, etc.).

Single station carbon monoxide detectors/alarms will annunciate locally

by both visual and audible means.

c. Power

Primary power for single station detectors/alarms and for the multiple-

station alarm control panel will be hard wired, supplied from a dedicated

branch circuit, and connected to emergency power (where applicable).

The multiple station alarm control panel will be in the boiler room (or

mechanical room, for projects without boiler) and contain power supplies

to feed the gas and carbon monoxide leak detectors, control valves, and

the audio/visual alarms.

2. Gas and Carbon Monoxide: Existing Buildings

a. Standalone Single Stations

Provide standalone single station carbon monoxide detectors/alarms

adjacent to all gas-ﬁred equipment located within the building (water

heater, unit heaters, duct furnaces, etc.); between boilers; and for all

remaining spaces containing fossil fuel burning equipment (spaces with

gas stoves or dryers, labs, auto shops, generator room, indoor loading

dock, etc.).

b. Power

Primary power for single station detectors/alarms will be hard wired,

supplied from a dedicated branch circuit, and connected to emergency

power (where applicable).

D7050.40 Fuel-Oil Detection and Alarm

1. Fuel-Oil Burning Equipment

Provide leak detectors and level sensors for fuel-oil, level and capacity, high and low

levels, adjacent to fuel-oil tanks and in rooms containing fuel-oil burning equipment,

connected to a local audible alarm and to a remote alarm panel located in the

supervising station.

D7050.50 Refrigeration Detection and Alarm

1. Cooling Systems

Mechanical rooms for cooling system equipment (refrigeration, chiller machine

rooms) will be designed in accordance with the requirements of ASHRAE Standard

15: Safety Code for Mechanical Refrigeration and contain a refrigerant leak

detector with audible and visual alarm. The detector, or a sampling tube that draws

air to the detector, will be located in an area where refrigerant from a leak will

concentrate. The alarm will be sent to the BAS system, if provided.

D7050.60 Water Intrusion Detection and Alarm

1. Pumps

Provide leak detectors for pumps, connected to a local audible alarm in the pump

room and to a remote alarm panel located in the supervising station.

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D80 Integrated Automation

D8010 Integrated Automation Facility and Controls

D8010.00 Building Automation Systems

The selection of Building Automation System (BAS) control and monitoring

integration, interoperability and communication capability will be based on the

general requirements of this Section and the Owner’s Project Requirements (OPR)

and speciﬁc project requirements.

The BAS architecture provided will allow for the full integration of data gathering

devices, data storage devices, communication devices, building services equipment

control, building services equipment monitoring and building environment status

monitoring. The communication protocol of the BAS will be “open protocol“ allowing

maximum data acquisition and transmission capability between central control and

end use devices. Proprietary software, hardware and system architecture that does

not allow for full integration and open protocol functionality is not acceptable.

The BAS architecture will incorporate analog and direct digital control (Ddc) network

devices consisting of primary and secondary communication pathways (bus)

connecting high-level controllers with lower-level controllers, input/output devices

and end user interface devices.

Industry standard communication protocols including ASHRAE Building Automation

and Control network (BACnet) and Echelon-Motorola Corporation local operating

network (LonTalk) are acceptable.

BACnet capable devices will communicate over a dedicated optical ﬁber, ethernet,

ARCNET, RS-232, RS-485 or a low-bandwidth special purpose wireless network.

including Internet Protocol (BACnet/IP) and Master-Slave Token-Passing (BACnet

MS/TP).

The BAS will be capable of supporting internet Web services including

Representational State Transfer (REST). Application Programming Interface (API)

and Message Queuing Telemetry Transport (MQTT) integration that will enable

integration with cloud-based Internet Protocol

(IP) networks and universal gateways for Internet of Things (IoT) applications.

1. General

a. The BAS will be capable of scheduling building lighting and HVAC

equipment operations and maintenance and adjusting building systems

to optimize their performance to minimize overall power and fuel

consumption of the facility.

b. The BAS will have a graphical user interface, and provide trending,

scheduling, downloading memory to ﬁeld devices, real-time “live” graphic

programs, parameter changes of properties, setpoint adjustments,

alarm/event information, conﬁrmation of operators, and execution of

global commands. The BAS will record and archive all collected energy

consumption data as described in this Section.

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c. BAS designs that integrate with other Information Technology (IT) systems

are preferred to minimize costs and improve operations. Digital building

control systems such as utility metering, HVAC building automation

systems, lighting controllers, and renewable energy systems can share

common communication protocols, compatible equipment, and uniform

standards with other building IT services.

2. Direct Digital Control (Ddc) System Design Criteria

a. Level of integration

Central operator station monitoring and control will be provided in the

building.

i. Central equipment (AHUs, rooftop units, boilers, chillers, etc.) will

be provided with Human Machine Interface (HMI) Liquid Crystal

Display that can display diagnostic error codes and system

information. Provide Portable Operator’s Terminal (POT) units

to permit operator interface to facilitate controller management

(and central unit controller management in addition to the central

unit controller HMI interface), commissioning, diagnostics and

general operator interface with the installed control system. The

POT will be able to connect to all controllers.

ii. Lighting systems controlled by a BAS will have independent

power and control panels and networks. The BAS will monitor

the status and energy consumption of the lighting systems.

b. Automatic Temperature Controls

i. Standalone, programmable single or multiple loop

microprocessor PID controllers will be provided to control all

HVAC subsystems.

ii. PID control loops will be used. All chillers, boilers, terminal units,

and air handling units will have self-contained BACnet or Lon

Ta lk c o n tr o l le r s , w hi c h c a n c o mm u n ica te w it h the B AS .

iii. The control heating and cooling equipment in each zone will be

provided by a thermostat or temperature sensor located in that

zone. Perimeter systems will have at least one thermostat or

temperature sensor for each perimeter zone.

iv. Night setback and setup controls will be provided for all comfort

conditioned spaces, even if initial building occupancy plans are

for 24-hour operation. Air side economizer, morning warm-up or

cool-down options will be part of the control system. Controls

for the various operating conditions will maintain pressurization

requirements during occupied and unoccupied periods.

c. Automatic Humidity Controls

Indoor and outdoor enthalpy and/or humidity sensors will be provided.

Sensors will be calibrated in-place during system startup and at least

annually thereafter. Where precision humidity control is required, provide

dew point control, for comfort control applications, RH sensors are

permitted, provided they have been calibrated in-place and interfaced with

dry bulb sensors so that the BAS can convert these two signals to a dew

point value for control purposes.

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d. IAQ Controls

Measurement and control instrumentation will be provided to ensure

outdoor air intake rates are maintained during occupied and unoccupied

hours.

e. Setpoint Reset Controls

i. Air Systems

Systems supplying heated or cooled air to multiple zones will

include controls that automatically reset supply air temperature

required by building loads or by outdoor air temperature.

ii. Hydronic Systems

Systems supplying heated and/or chilled water to comfort

conditioning systems will include controls that automatically

reset supply and return water temperatures as required by

changes in building loads or by outdoor air temperature.

f. AM Startup

Morning startup cycles will minimize the outside air intake dampers during

the summer/winter morning pick up period. If outside conditions are

favorable, morning startup will purge the building with cool dry outside

ambient air before the initiation of the air-conditioning cycle.

g. Energy Management and Conservation

The BAS will have the capability to allow building staff to monitor system

performance and determine energy consumption.

i. HVAC control algorithms will include optimized start/stop for

chillers, boilers, pumps, air handling units, exhaust fans, fan

powered VAV and fan coil units, and all associated equipment.

Control algorithms based on predicted weather patterns will be

utilized if they are adaptive and self- correcting. A condenser

water optimization control is required to optimize the chiller,

tower, and pump energy consumption.

ii. Electrical power parameters, such as V, A, KW, KVAR, KVA, PF,

KWH, KVARH, frequency, and percent THD, will be measurable

for monitoring. See D50 Electrical Section for separate metering

of power consumption monitoring requirements.

iii. Energy management measurements will be totalized and trended

in both instances and time-based numbers. Energy monitoring

data will be automatically converted to standard database and

spreadsheet format and transmitted to a designated workstation.

The measured energy data will be capable of being analyzed and

compared with calculated energy consumption estimated during

design.

h. BAS Control and Monitoring Capabilities

The systems and components that will be controlled or monitored by the

central BAS include chillers, boilers, air handling units, cooling towers,

exhaust fans, heat ex- changers, pumps, VAV terminal units, fan coils,

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ﬁnned tube radiation, air conditioners for computer rooms and other

special spaces, building pressurization, lighting, electrical power, and

emergency generators.

i. The BAS will be capable of scheduling the operations of the

systems and equipment for occupied hours, unoccupied hours,

and weekends and holidays. Scheduling of equipment will be

determined by standalone Ddc controllers with scheduling

function or using time clocks as digital input into the Ddc

controller when the controller is an application speciﬁc controller

without scheduling function.

ii. All automatic valves and dampers will have positioners installed

to indicate operational status.

iii. The BAS will be capable of receiving current sensor based digital

signals from all ﬁeld-installed controllers and calculating the

electric energy, fuel, and water consumption by using appropriate

voltages and phases.

iv. The BAS will provide for standalone operation of subordinate

components. The primary operator workstation will have

graphical user interface. Stand-alone control panels and terminal

unit controllers will have text-based user interface panels, which

are handheld or ﬁxed.

v. The BAS monitoring capability will include logs of data created

by user-selectable features.

vi. The BAS will have approximately 30% spare capacity for future

expansion.

i. Maintenance Schedules

The central BAS will include application programs for scheduling

maintenance of the mechanical and electrical equipment, including

information on what parts and tools are needed to perform each task.

j. BAS Retroﬁt/Repair with Existing Terminal Units to Remain

For retroﬁt/repair work on conventional or BAS/Ddc control systems

where the terminal units in the spaces are to remain and are controlled

by electric or pneumatic controls, the new BAS l will be a hybrid of

standalone central unit digital controls (boilers, chillers, rooftop units,

air handling units, etc.) and the terminal units must be electrically or

pneumatically controlled.

i. If the terminal units in the spaces are controlled by pneumatic

zone control valves (i.e., pneumatic thermostats are not located

in each space) the climate control Scope of Work will include

removing the pneumatic zone control valves and providing digital

thermostats (or sensors/controllers) and control valves in each

space.

ii. Those portions of the pneumatic system that are not salvageable

will be replaced in kind with new pneumatic lines/equipment.

Defective terminal systems’ sensors, thermostats, actuators

(i.e., those associated with terminal radiation control valves, any

pneumatic VAV boxes, etc.) will be replaced with new pneumatic

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components. Any defective pneumatic compressors, dryers, PRV

stations, pneumatic main lines and branch lines will be replaced

as required.

iii. After the pneumatic devices (thermostats, control valves, etc.)

have been replaced the existing pneumatic system will be tested

to demonstrate acceptable functional operation and control.

k. No existing BAS with New Terminal Units and Major System Equipment

In the case of installation of new terminal units (i.e. a new air conditioning

unit for an existing building), the control system will be a digital stand-

alone system without an interconnecting network.

i. Salvaged air handling units will have pneumatic controls replaced

with standalone electric direct digital control (Ddc).

ii. New air handling units must be provided with new standalone

electric direct digital controls (Ddc).

iii. Major System Equipment including boilers, chillers and

commercial rooftop units will be provided with stand-alone direct

digital controls (Ddc).

F SPECIAL CONSTRUCTION AND DEMOLITION

F20 Facility Remediation

F2010 Hazardous Materials Remediation

1. Introduction

The design process must respond to environmental concerns and the project

design must incorporate measures to mitigate adverse environmental impacts

whenever feasible. The environmental review process for any project will address

rules and regulations established by the NYC Department of Environmental

Protection (DEP), NYS Departments of Health and Labor, and applicable United

States Environmental Protection Agency (EPA), and Occupational Safety and

Health Administration (OSHA) standards. While most environmental issues within

buildings undergoing renovation are associated with the presence of asbestos-

containing materials (e.g.; spray-on ﬁreprooﬁng, pipe insulation, and vinyl asbestos

tiles) other hazards may be present. Examples of these include: lead based paint,

polychlorinated biphenyls (PCBs), and biological contaminants (such as mold

and pigeon droppings). Excavated soils may contain volatile organic compounds

(VOCs), toxic metals, or other contaminants from past hazardous materials disposal

practices.

DDC’s Ofﬁce of Environmental and HazMat Services (OEHS) and the Ofﬁce of

Geotechnical Investigations (OGI) has developed a strict set of special experience

qualiﬁcations for Environmental Consultants and sub-contractors. In the case where

DDC does not provide environmental services, the Consultant may be responsible

for obtaining the services of a qualiﬁed ﬁrm or individuals licensed or certiﬁed to

perform hazardous materials investigations in NYC. Any ﬁrm selected to provide

such environmental services requires approval by DDC OEHS/OGI before they

can participate in the project. When DDC provides environmental services, the

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Consultant is expected to support and cooperate with the Agency’s efforts.

On projects for which the Consultant is responsible for obtaining these

environmental services, they shall meet the standards described below.

2. Asbestos-Containing Materials (ACM)

a. Investigator Survey

All buildings scheduled for construction/renovation, including recently

constructed buildings or newly renovated areas, must be surveyed by a

NYC Investigator to identify the presence or absence of ACM which could

be impacted during construction/renovation.

b. Abatement in Contract Drawings

With limited exceptions, contract documents shall include abatement of

all ACM that can reasonably be expected to be disturbed by construction

activities.

c. Outside Construction Area

When inspecting for asbestos or preparing abatement contract

documents, consider areas that may be impacted outside of the

immediate construction area, nearby restricted access areas, and

abatement phasing requirements.

d. Historical Reports

Historical asbestos survey reports have been compiled on a building-by-

building basis. DDC OEHS maintains ﬁles of prior asbestos survey reports

and must be contacted by the Consultant prior to any survey work.

3. Lead-Containing Materials

a. Protect Workers

The Consultant is advised that lead-containing materials have the

potential to adversely impact the health of construction workers and

others located adjacent to the work area. As such, appropriate precautions

shall be speciﬁed, including OSHA Safe Work Practices.

b. Identify Waste in Bid Documents

Lead-containing materials to be disposed of may be designated as a

hazardous waste. The Consultant will be responsible for identifying any

lead waste disposal requirements and noting them in the bid documents.

c. Note Potential Lead Release in Bid Documents

The Consultant shall be responsible for identifying any construction tasks

that could result in releases of lead for which the Contractor may become

responsible and for noting them in the bid documents.

d. Regulations on Child Occupancy

In buildings that would be considered “child-occupied”, the Consultant will

be responsible for developing lead control procedures in conformance

with the appropriate federal and state requirements. The sub-consultants

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responsible to perform such work shall be EPA Lead-Safe Certiﬁed in

accordance to the Lead Paint Renovation, Repair and Painting (RRP)

Rule. Any work of that nature being performed in child-occupied facilities

must be done by an EPA Certiﬁed Renovator or by workers trained by and

supervised by a Certiﬁed Renovator.

4. Other Hazardous Materials

a. Site Contamination

Performing construction in areas of known site contamination is likely

to increase project costs signiﬁcantly by adding follow-up environmental

investigation and reporting. In the design phase, the Consultant must

review existing environmental due diligence reports and other historical

Records to ascertain whether other contaminants may be present and to

review and coordinate the hazardous material construction documents

provided by DDC to assure they adequately address handling, removal,

and disposal of those materials. DDC OEHS has had experience

with such issues and may be consulted for assistance in developing

speciﬁcations and coordinating with regulatory agencies.

b. Waste Management

Failure to adequately identify hazardous waste streams, use approved

waste transporters, or use approved waste disposal facilities may expose

the City to long-term liability and/or result in costly change orders. The

Consultant shall ensure that all applicable hazardous waste rules and

regulations are fully understood and addressed in speciﬁcations and

contract documents.

c. PCB-Containing Materials

Oil-ﬁlled electrical equipment (transformers, bushings, capacitors, cooling

and insulating ﬂuids, contaminated soils, etc.) may pose a long-term

liability to the City and are subject to existing EPA and state regulations.

The presence of such materials must be identiﬁed before or during the

Design Development phase and the Consultant shall provide appropriate

guidance for handling and disposal.

d. Underground Storage Tanks

Underground storage tank systems (USTs) can threaten the environment

and pose a long-term liability for the City. State and federal regulations

concerning USTs must be followed. The Consultant shall identify the

presence of all USTs that may be impacted by the construction work and

include appropriate speciﬁcations in the contract documents.

e. Other Environmental Issues

The Consultant is responsible in the design phase for identifying any other

additional environmental issues that may be created by the construction.

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F30 Demolition

F3000 Demolition General

1. In addition to demolition procedures, the following must be considered when

preparing the Design Documents:

a. Salvageable Materials

i. Determination of what items, if any, the Facility wants to be

salvaged.

ii. Identiﬁcation of items which will be removed by the Facility prior

to demolition.

iii. Identiﬁcation of items to be removed by the Consultant and

turned over to the Facility.

b. Utilities

i. Determination must be made relative to utilities serving the

structure to be demolished or affected by its removal. The work

required for each individual utility must be speciﬁed (cut and

plug, remove, abandon, etc.).

ii. In general, utilities serving a structure to be demolished should

be terminated at the nearest manhole, valve, pole, etc. and totally

removed for ﬁve feet outside the structure. Termination must

include removal of wiring from abandoned conduits, and capping

or plugging of piping and conduits at both ends.

iii. Buried heating and fuel storage petroleum tanks should be

removed.

c. Site Access

i. All issues or restrictions related to accessing the demolition site

and measures to be taken for protection of facility population or

general public must be identiﬁed.

d. Scope of Work

i. The demolition means and methods should not be speciﬁed

unless absolutely necessary. Identiﬁcation of speciﬁc restrictions

(site access, hours of operation, etc.) should be included.

Coordinate with LEED requirements as outlined in Ch. 08:

Sustainability and Resiliency.

e. Foundations

i. Determining the procedure for removal of foundations and

backﬁlling basements frequently presents the largest challenge

in preparing demolition contracts. The intended re-use of the

site is often a major determining factor and should be reviewed

with the Sponsor Agency early on. In general, exterior foundation

walls should only be removed two feet below proposed Finish

Grade. Interior building walls are to be removed to the level of

the lowest basement ﬂoor, and basement ﬂoorsﬂoors need only

be broken up for drainage purposes.

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f. Backﬁlling

i. If the demolition site will be returned to a landscaped area, the

basement can typically be backﬁlled with masonry and concrete

demolition debris. If a new building will be constructed on the

site, such backﬁll should probably be avoided. However, the

ultimate responsibility for critical backﬁlling should be placed on

the new Building Contractor, NOT the Demolition Contractor.

g. Recycling

i. To comply with the spirit of good sustainable design, it is a best

practice to recycle. Coordinate with LEED requirements (See

Chapter 08: Sustainability and Resiliency).

F3030 Selective Demolition

1. For all additions, extensions and renovations requiring partial demolition of an

existing structure, the Consultant must review the Consultant’s demolition drawings

for their impact on the long-term stability of the structure. In special cases where

the demolition work may affect the overall structural integrity of the existing

building the structural engineer must prepare demolition drawings outlining

temporary stability measures, sequencing, etc.

2. An evaluation and Structural Monitoring Plan will be developed for adjacent historic

structures affected by the work.

G SITEWORK GENERAL

G00 Sitework General

1. Site Utilitites

a. During site design, the location of utilities (water, sanitary sewer,

electricity, gas, communications, etc.) must be coordinated with other site

design features and ﬁnalized.

b. Coordination with Service Providers:

i. The Consultant is responsible for coordinating the utility design

with local utility companies and/or other service providers.

ii. The Consultant is to verify the utility systems have

sufﬁcientsufﬁcient capacity and reliability to meet the building

design requirements.

iii. DDC will negotiate rates and connection charges with utility

companies, where applicable.

c. Utility Location

i. The Consultant must ensure that utility elements, such as

electrical transformers, emergency generators, backﬂow

preventers, and meters, are easily accessible by the utility

companies.

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ii. Design utility lines to avoid street trees, large trees, and

signiﬁcant planting areas. Locate utility lines so that future

maintenance and repair will not damage trees and plantings.

Storm drainage pipes should be located in unpaved areas where

possible.

iii. Water lines should be located in the unpaved area behind curb

lines or under sidewalks. Minimize locating water lines under

streets, drives, or other areas where access is severely limited.

Do not place main water lines under foundations or within the

building footprint.

iv. Locate sanitary sewer lines in unpaved areas where possible.

Follow code requirements on separation of water and sanitary

sewer lines.

v. Manholes must not be located in the main pedestrian walkways,

plazas, or entry courts.

G20 Site Improvements

G2000 Site Improvements General

1. Sidewalks, Parking Areas and Roadways

Projects may require either new or repaired street sidewalks, curbs, parking areas,

driveway aprons, curb cuts or roadway pavements. The Consultant is advised

to conﬁrm with the DOB at an early stage whether a Builder’s Pavement Plan

(BPP) application will be required. Non-standard sidewalks require PDC and DOT

approval.

a. The extent of impervious surfaces must be minimized, and tree cover over

paved surfaces must be maximized. Porous pavement and pavements with

a high solar reﬂectivity index (SRI) are desirable when budget and site

conditions allow.

b. Tree plantings and vegetated areas are encouraged in all parking areas to

provide both “green” infrastructure and shade for the pavement.

c. Sidewalks, parking areas and roadways must comply with Accessibility

Standards.

d. In certain zones, parking lots must also comply with NYC Zoning

Resolution 37-90 requiring perimeter landscaping in lots exceeding 18

stalls.

2. Site Drainage

All surface storm water runoff must be collected on site. Connection to City storm

or combined sewers must conform to current DEP regulations. Surface grading

must provide for drainage away from buildings. Reduce runoff by minimizing

impervious surfaces; consider “green infrastructure” such as green roofs, enlarged

tree pits, and bioswales; consider “gray infrastructure” such as blue roofs, porous

pavement, rain gardens and below-grade stormwater storage and inﬁltration. See

Plumbing Engineering section in this Chapter for additional drainage requirements.

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3. Site Furnishings

Site furnishing may include benches, tree guards, railings, bicycle racks, fences,

gates, waste bins, light ﬁxtures, signage, kiosks, art installations, trellis work, and

play equipment. Lighting in street rights-of-way to conform to DOT Street Design

Manual.

4. Site Lighting

The Consultant must provide for outdoor lighting and electrical power systems

and building illumination where required. Generally, unobtrusive lighting designs

and luminaire placement is preferred. Site luminaires should complement and be

integrated with other site elements. Place luminaires to reduce glare and light

pollution. Provide ﬁxture lamping, color and durability information, and catalog cuts

for selection when specifying site lighting. Neutral white illumination is preferred.

Luminaires must be resistant to vandalism and easily replaceable. Consider

photovoltaic site lighting in lieu of hard wired where cost-effective.

Full cut-off ﬁxtures and other technologies and methods that reduce nighttime light

trespass are strongly preferred. Where feasible, using a larger number of shorter,

more closely spaced, lower wattage ﬁxtures are preferable to using a smaller

number of higher, widely spaced, high wattage ﬁxtures. For more information see

Electrical Engineering section in this Chapter.

5. Recycled Materials

The use of recycled materials is encouraged where practical. Where feasible,

recycle discarded material, salvage existing topsoil, and transplant existing plant

material.

6. Ease of Maintenance

Maintenance considerations must be integrated into the design process, such

that landscaped areas can be maintained in a cost-effective and efﬁcient manner.

Anticipated maintenance must not exceed the ability of the Sponsor Agency to

adequately maintain the landscape.

G2050 Athletic, Recreational, and Playground Areas

1. Playground and resilient play surfacing design must meet the requirements and

guidelines of the Sponsor Agency, the United States Consumer Products Safety

Commission (CPSC), ASTM F1487, F1292-17a, and the NYC Building Code. Safe

fall-zones must be provided. Playground design must comply with Accessibility

Standards.

G2060 Site Development

G2060.10 Exterior Fountains

1. The use of water features, unless of very low water usage or using recycled water,

should be reserved for places of high civic importance only. Water features where

there may be public contact with the water may only utilize potable water supply

and must be ﬁltered and treated. When proposing decorative fountains and pools,

the Consultant must identify the required maintenance, safety, water consumption,

shut down, cost of operation, and winter season issues.

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G2060.20 Fences and Gates

1. The design of site fencing should be appropriate to the building and the

surrounding context. For historic buildings, restoration or replication of original

fencing and gates must be considered, subject to current code requirements.

G2060.20 Fences and Gates

1. Secure bicycle parking must be provided in compliance with applicable zoning

and building code requirements. This parking must be in view of building security

personnel.

G2080 Landscaping

G2080.00 Landscaping General

1. Planting

a. Plants must be selected based on the conditions of the site such as soil

characteristics, moisture, temperature extremes, acidity, wind, and light, as

well as their resistance to invasive pests or pathogens. The use of native

and drought tolerant plant material is encouraged.

b. Plants may include lawns, trees, shrubs, ground covers, climbing plants,

and seasonal plantings. Plants must have well-established roots at time

of planting. All plantings must conform to the Grade A ANSI standards of

nursery stock, be free of pests and diseases, contain no broken branches,

weeds or deleterious material and must not arrive on project site dried out.

i. Street Trees

Projects must provide for new or replacement street trees. Street

trees must be selected from the current NYC Parks street tree

species list. Approval for street trees is required from NYC Parks

and from DDC. Tree pits must comply with all current NYC Parks

requirements. For any tree removal located within NYC Parkland,

the Consultant must conform to the Rules and Regulations of

the NYC DPR, Section 5 - Rules Governing Tree Replacement.

ii. Maintenance Manual

For substantial planting designs, a written manual and schedule

must be prepared by the Consultant for the Sponsor Agency

users and submitted at the completion of construction.

iii. Invasive Plant Species, Pathogens, and Pests

Site design and site construction must conform to all regulations

regarding control of invasive plant species, pathogens, and pests.

For the current list of permitted, prohibited, and restricted plants,

contact NYC Parks Central Forestry and Horticulture Division at

http://nyc.gov/parks.

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1. Plant Tagging and Field Services

Plant tagging by the Consultant is an additional service that includes the following:

a. Ta g g in g of P lan t M a te r i als

The Consultant must engage the services of a licensed Landscape

Architect to select, tag with DDC seals, and supervise the planting of

all plant materials. All individual plants must be balled and burlapped or

container-grown stock. Representative samples of ground cover grown

in ﬂats must be inspected and tagged at the nursery before such plants

are prepared for shipment. All plant materials must be inspected for signs

of invasive pest infestation prior to shipment. Any infestation must be

immediately reported to the New York State Department of Agriculture

and Markets (NYSDAM).

b. Inspections of All Plantings

In addition to supervising the planting operations, the Landscape Architect

hired by the Consultant must inspect the ﬁnal planting and notify DDC

when it is appropriate to accept the planting and initiate the guarantee.

Inspections of all plantings must be made by the Landscape Architect

engaged by the Consultant throughout the maintenance and guarantee

period, and sufﬁciently early so that replacement plants may be planted in

the appropriate planting season. The Landscape Architect is to identify for

replacement all plants found to be unhealthy or infested by invasive pests.

At the expiration of the guarantee period the Landscape Architect must

notify DDC as to whether or not the Consultant should be released from

further obligation.

c. Preparing a Maintenance Report

The Landscape Architect must prepare a report for DDC indicating

whether the Consultant is complying with the maintenance portion of

the Contract and recommending actions required. Note that the planting

acceptance and release are independent from acceptance of the general

construction work. The report must be prepared at a time appropriate to

the planting installation, as determined by the DDC Construction Project

Manager.

d. Preparing a Maintenance Schedule

The Landscape Architect must prepare a written and graphic maintenance

schedule and manual for all ﬁnal project planting materials. Upon the

approval of the manual, the Consultant must submit the original to the

DDC Construction Project Manager. For each type of plant, the schedules

and manual must identify the requirements for irrigation, fertilization,

pruning, weeding, cultivating mulching, lawn care, seasonal plantings, plant

replacement, pest control and disease control.

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G2080.10 Landscape Irrigation

1. When required by the Agreement, irrigation must be provided sparingly for initial

establishment, maintenance, cleaning, and watering of plantings.

2. Hose bibs are preferable and must be provided at spacing that allows a one-

hundred-foot-long hose to reach all parts of the site without crossing entrance

approaches.

3. Use non-potable water wherever feasible.

4. Irrigation using groundwater or stormwater, treated, stored, and distributed per DEP

regulations is encouraged.

5. The irrigation system must be designed to provide water to plants only when

needed. Use rain sensors or soil moisture sensors to prevent unnecessary watering.

Avoid overspray onto paved surfaces. Drip irrigation systems are preferred.

6. Install all major components in protected, accessible locations. Provide freeze

sensors as required. Irrigation controllers and remote sensing stations must be

placed in vandal-proof unobtrusive locations and protected from freezing.

7. Install quick coupling valves throughout the system so that hoses can be connected

to the system. Locate drain valves to permit periodic draining of the system.

8. Provide irrigation water meter separately from domestic water meter. Blackﬂow

prevention must be installed.

9. Provide automatic controls so watering can be scheduled at night or in the early

morning to reduce water losses from evaporation. Use zoned irrigation systems so

that different areas can be watered at different times.

10. Irrigation systems must be provided with a Smart Controller that incorporates an

on-site rain or moisture sensor that automatically shuts the system off after a

predetermined amount of rainfall or sensed moisture in the soil.

11. Specify training on proper operation and maintenance of the irrigatioin system for

the appropriate facilities staff.

G30 Liquid and Gas Utilities

G3010 Water Utilities

1. The Consultant must ensure that utility elements, such as electrical transformers,

emergency generators, backﬂow preventers, and meters, are easily accessible by

the utility companies.

2. Design utility lines to avoid street trees, large trees, and signiﬁcant planting areas.

Locate utility lines so that future maintenance and repair will not damage trees

and plantings. Storm drainage pipes should be located in unpaved areas where

possible.

3. Water lines should be located in the unpaved area behind curb lines or under

sidewalks. Minimize locating water lines under streets, drives, or other areas where

access is severely limited. Do not place main water lines under foundations or

within the building footprint.

4. Locate sanitary sewer lines in unpaved areas where possible. Follow code

requirements on separation of water and sanitary sewer lines.

5. Manholes must not be located in the main pedestrian walkways, plazas, or entry

courts.

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G3020 Sanitary Sewer Utilities

1. Consultant to follow the regulations of NYC DEP.

2. Separate storm drains from sanitary sewers within the property limits.

3. Provide cleanouts 5 feet from the building on all service lines. Service lines should

enter the main at a manhole. Provide drop manholes if the service line does not

enter at the invert.

4. In areas where no public sewers exist, use of septic tanks and leach ﬁelds is

acceptable. Install the septic systems in accordance with code. Locate septic

systems where they can be expanded to meet future needs of the discharge

system; unless otherwise required by the Sponsor Agency, plan for a 50% larger

system.

G3030 Storm Drainage Utilities

1. Design the storm water system as required by DEP. Use gravity ﬂow for all storm

drain systems.

2. Where possible, locate storm drainage pipes in unpaved areas; offset inlets from

main trunk lines to prevent clogging.

3. Rainwater not collected for reuse from the building roof drainage system must be

discharged into the storm drain.

4. Storm Water Runoff Requirements:

a. The site design must manage storm water runoff.

b. The Consultant must conform to DEP requirements for storm water

management. The Consultant must obtain any required DEP approvals for

the storm water management plan.

G3090 Liquid and Gas Utilities Suppmementary Components

1. Manholes must be secured from unauthorized access using tamper-proof bolts.

G40 Electrical Improvements

G4010 Site Electric Distribution Systems

The routing of site utilities and location of manholes must be determined early in

the design process in coordination with the site civil engineer. The designer must

coordinate with the utility company to determine the capabilities, rate structure

options, and associated initial costs to the project and must evaluate the available

utility service options.

1. Economic Analysis

The Consultant must perform an economic analysis to justify the service voltage

and design option selected.

2. Electrical Power Services

For buildings less than 100,000 gross square-feet (gsf), utility power must be

requested at the main utilization voltage, i.e., 460Y/265V or 208Y/120V.

For buildings greater than 100,000 gsf and less than 250,000 gsf, at least one

electrical secondary service at a minimum of 460Y/265V must be provided. For

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buildings 250,000 gsf and larger, or for campus sites, electrical service must be

provided to the site, at medium-voltage distribution, for primary power distribution to

substations.

3. Transformer Vaults

When a transformer vault is required by the utility company, the Consultant

shallmust coordinate location of vaults and must establish a reference number with

the NYC Department of Transportation (DOT) Ofﬁce of Permit Management and

meet with DOT to secure vault grating location approvals. The Consultant must

contact other City Agencies, as required, for coordination and securing approvals

for new utility transformer vaults.

4. Primary Cable Selection

Medium-voltage cable selection must be based on all aspects of cable operation

and on the installation environment, including corrosion, ambient heat, rodent

attack, pulling tensions, potential mechanical abuse, and seismic activity.

Conductors for new construction buildings rated above 150 amperes may be

copper or aluminum, insulated with cross- linked polyethylene (XLP) or ethylene

propylene rubber (EPR). Conductors rated 150 amperes and below must be

copper. New cabling to be connected to equipment built or installed before

1980 must be investigated to determine compatibility of aluminum-to-copper

terminations prior to specifying aluminum cabling. Insulation must be rated at 133

percent. Individual conductor size must not exceed 500 mcm.

5. Direct Buried Conduit

Direct buried Schedule 80 PVC, coated intermediate metallic conduit (IMC), or rigid

galvanized steel must be used for the distribution of exterior branch circuits. The

minimum direct buried conduit size must be 1.5 inches. Backﬁll around the conduits

must be selected based on the thermal conductivity and be free of materials

detrimental to the conduit surface.

6. Concrete Encased Duct Banks

Concrete-encased PVC Schedule 40 duct banks must be used where runs are

under permanent pavements and where service reliability is paramount. Concrete-

encased ducts must be provided with a cover that is at least 30 in. thick. Duct

banks under railroads must be reinforced.

Ducts must slope toward manholes and all entries into buildings must have

watertight seals. Changes in direction must be by sweeps with a radius of 4 ft.

or more. Stub-ups into electrical equipment may be installed with manufactured

elbows. Duct line routes must be selected to avoid the foundations of other

buildings and structures. Electrical power and communication ducts must be kept

clear of all other underground utilities, especially high-temperature water, steam,

or gas. Direct buried duct banks must be continuously indicated by installation of

tracer tape 12” above the exterior of the duct bank.

Where it is necessary to run communication cables parallel to power cables, two

separate duct banks must be provided with separate manhole compartments. The

same holds true for normal and emergency power cables.

Duct banks must be spaced at least 1 ft. apart.

Where redundant service is required (power, communications, and/or life safety),

alternate and diverse paths with 1- hour ﬁre separations must be provided.

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7. Duct Sizes and Quantity

Ducts must be sized as required for the number and size of cables. All ducts for

medium-voltage services must be a minimum of 4 in. inner ducts must be provided

inside communication ducts wherever ﬁber optic cables will be used. Spare

ducts must be included for planned future expansion; in addition, a minimum of

25 percent spare ducts must be provided for unknown future expansion and/or

cabling replacement.

8. Manholes

Manholes must be spaced no farther than 500 ft. apart for straight runs. The

distance between the service entrance and the ﬁrst manhole must not exceed 100

ft. Double manholes must be used where electric power and communications lines

follow the same route. Separate manholes must be provided for low and medium-

voltage systems. Manholes must have clear interior dimensions of no less than 6 ft.

in depth, 6 ft. in length, and 6 ft. in width, with an access opening at the top of not

less than 30 in. in diameter. Medium-voltage manholes must be sized in accordance

with utility company requirements. Manholes must have a minimum wall space of

6 ft. on all sides where splices may be racked. Manholes must be provided with

pulling eyes, sumps, and grounding provisions as necessary.

9. Stubs

A minimum of two spare stubs must be provided (to maintain a square or

rectangular duct bank), so that the manhole wall will not need to be disturbed

when a future extension is made. Stubs for communications manholes must be

coordinated with DOITT.

10. Handholes

Handholes may be used for low-voltage feeders (600V and below), branch circuits,

or communications circuits. If used, they must be not less than 4 ft. in depth, 4 ft. in

length, and 4 ft. in width, and must be provided with standard manhole covers and

sumps of the same type provided for manholes. Generally, at least four racks must

be installed. Where more than two splices occur (600V feeders only), a 6 ft. by 6 ft.

by 6 ft. manhole must be required.

11. Penetrations

Lighting and communication circuits that penetrate ﬁre walls, ﬁre barriers, ﬁre

partitions, smoke barriers, smoke partitions, and between ﬂoors must be properly

sealed in accordance with the requirements of the NYC Building Code with

approved ﬁrestopping materials.

12. Exterior Concrete Pads

Concrete pads constructed to support exterior mechanical and electrical equipment

must be provided with sufﬁcient conduit penetrations to provide the necessary

power and control connections plus an additional 50 percent for future equipment

additions and modiﬁcations. Spare conduits need not extend more than 4 ft. past

the end of the concrete slab. All spare conduits must be capped at both ends.

G40150 Site Lighting

1. General

Exterior/site/security lighting must be provided where required by Sponsor Agency

and Code around the perimeter of the building and at parking areas for safe

passage and to deter theft and vandalism. Due to the aesthetics of exterior lighting,

its impact on the building façade and the difﬁculty in describing multiple elevations

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185

on a plan, it is essential that the Consultant provide complete exterior building

elevations to clearly depict the location and mounting height of each ﬁxture.

2. Light Trespass and Uplight Control Standards

a. Lighting design must minimize light trespass from the building and site,

reduce sky glow, improve nighttime visibility through glare reduction and

reduce development impact on nocturnal environment.

b. The exterior lighting should not exceed 80% of the Lighting Power

Densities as deﬁned by the latest ANSI/ASHRAE/IESNA standard 90.1,

Exterior Lighting Section.

c. The required light trespass and uplight control criteria included in this

document are based upon the following guidelines: The Joint IDA

(International Dark Sky) – IES (Illuminating Engineering Society) Model

Lighting Ordinance (MLO) with User’s Guide, June 15, 2011.

d. All luminaires must minimize uplight and glare. Backlight must also be

controlled when a luminaire is installed adjacent to property not owned by

the Sponsor Agency.

e. Full cut-off sources should be used for building entries and perimeter

lighting.

f. Fixtures at doorways should not exceed 10W. Building perimeter lighting

should not exceed 20W. Wattage requirements may depend on actual

application and illuminance requirements.

3. Exterior lighting must meet the IES 10th Edition Handbook recommendations and

comply with the IDA/IES Model Lighting Ordinance (MLO) for lumen density limits

and backlight, up-light, and glare (BUG) ratings or light pollution and light trespass

performance method.

The IES Lighting Handbook along with other IES documents (RP-33, RP-20,

RP-8, and DG-5) provide an industry accepted set of recommended practice for

common exterior applications. Site conditions requiring enhanced lighting beyond

these basic recommendations have also been evaluated by the IES and found

to be speciﬁc to unusual surroundings or special property function. Guidance on

when and how to provide appropriate enhanced lighting in these cases is outlined

in “Guideline for Security Lighting for People, Property, and Public Spaces” (IES

G-1). Guideline G-1 explains that effective lighting for safety and security should

consider:

a. Horizontal Illuminance, Vertical Illuminance, Uniformity/Shadows and

Glare.

b. Exterior luminaries and control systems must comply with all local zoning

laws, and lighting levels for exterior spaces must not exceed the IES 10th

Edition Lighting Handbook recommendations.

c. Luminaires with instant strike light sources at all entrances and exits must

be connected to the emergency lighting system.

4. Site Lighting

Illumination of exterior exit discharges must be in accordance with the requirements

in NFPA 101. Flagpoles, if required, must be illuminated and controlled.

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5. Open Parking Lots and Roadway Lighting

Parking lots and roadway lighting must be designed per IES Recommended

Practice RP-8 and RP-20 current version in addition to the IES and IDA/IES MLO

requirements.

6. Parking Structures

Parking structure lighting must be designed per RP-20 current version in addition

to the IES and dimmed to at least 50% during periods of low activity and turned off

when daylight is plentiful. Luminaires must meet the following standards:

a. Efﬁcacy of a minimum of 63 lumen per watt (LPW).

b. Wet-location rated.

c. Withstand mechanical vibration.

d. Life of minimum 25,000 operating hours for LED ﬁxtures before reaching

the L70 Lumen output degradation with no catastrophic failures per IES

standard LM-21.

e. Lumen depreciation per IES standard LM-79.

f. Luminaire classiﬁcation per IES TM-15.

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CHAPTER 07:

COMMISSIONING

A. INTRODUCTION

B. COMMISSIONING AGENT

C. SERVICES

D. DELIVERABLES

E. COMMISSIONING DESIGN GUIDANCE

188188

189189

A. INTRODUCTION

Commissioning is a quality control process for verifying that projects are designed, constructed, and operated

as intended. It includes clearly documenting Sponsor Agency expectations, reviewing drawings to verify that

these expectations are met, and site inspections and testing during the construction phase to make sure that

installation conforms to the design.

B. COMMISSIONING AGENT

A Commissioning Agent is an owner’s representative, managing the commissioning process and reporting

directly to the owner. DDC retains third-party Commissioning Agents through a separate contract for projects

that are pursuing LEED certiﬁcation, for projects that require commissioning to comply with the New York City

Energy Conservation Code, and for projects with large or complicated systems at the discretion of DDC and the

Sponsor Agency. The Consultant shall assist and support the Commissioning Agent throughout the project. The

Commissioning Agent will work with the Consultant team to clarify Sponsor Agency goals and make sure that

the design addresses those goals through implementation of a Commissioning Plan. Please note that the term

“Commissioning Agent” may refer to one or more individuals from one or more consulting companies.

C. SERVICES

1) COMMISSIONING MEETINGS

a. The Consultant shall participate in a Design Phase Commissioning Kickoff Meeting prior to the ﬁnal

Schematic Design Submittal. At this meeting, the Commissioning Agent will present an overview

of the commissioning process to the team. This meeting may be an allocated portion of a biweekly

progress meeting.

b. The Consultant shall participate in an Owner’s Project Requirements (OPR) Development Meeting

during early Design Development to gather any outstanding information required from the Sponsor

Agency to complete the OPR.

c. If applicable, the Consultant shall participate in a Monitoring-Based Commissioning Meeting

during Design Development. At this meeting, the Consultant, his/her LEED Consultant, and the

Commissioning Agent will present the requirements for the monitoring-based commissioning

program. The Sponsor Agency will provide feedback to clarify their expectations and capabilities

to support monitoring-based commissioning. The CxA will then provide a monitoring-based

commissioning plan and the Consultant shall ensure that the ﬁnal design supports the plan.

d. The Consultant shall participate in other commissioning meetings as required throughout the

process, at the discretion of DDC.

e. The Consultant shall ensure the participation of the appropriate team members and sub-consultants

in any and all commissioning meetings, including but not limited to the LEED Consultant, MEP

Engineer, Lighting Designer, and Envelope Consultant.

CHAPTER 07: COMMISSIONING

A. INTRODUCTION

B. COMMISSIONING AGENT

C. SERVICES

190190

D. DELIVERABLES

1) DOCUMENTATION OF PROJECT INTENT

The Consultant shall produce a narrative of the design intent, in the form of an Owner’s Project

Requirements (OPR) and Basis of Design (BOD). These documents shall memorialize the intent of the

project, including the intended function, any project-speciﬁc requirements or expectations, and how the

design proposes to meet these requirements.

The Consultant shall develop:

a. Owner’s Project Requirements (OPR)

i. The OPR shall clearly outline the project goals and the intended operation of the building.

This shall include project scope, building use, occupancy information and schedules,

budget constraints, energy efﬁciency goals, veriﬁable performance criteria, and operations

and maintenance requirements. It must address all systems to be commissioned, as well

as the building envelope.

ii. The Consultant shall provide a draft OPR document with the SD submittal, and a ﬁnal

OPR Document with the DD submittal. The OPR shall be updated and resubmitted during

CD at the discretion of DDC and will be required typically only in the event of signiﬁcant

change in project scope or intent.

iii. For projects following an expedited design track, the Consultant shall submit the draft

OPR two weeks after the SD2 submittal. The ﬁnal OPR shall be included at the next

submittal milestone.

iv. Upon request, the Commissioning Agent will provide an OPR template to the Consultant

team to guide the development of this document.

v. DDC will hold an OPR Development Meeting to clarify the Sponsor Agency’s expectations

and incorporate this input into the document.

vi. The Sponsor Agency must approve the ﬁnal OPR.

b. Basis of Design (BOD)

i. The Basis of Design explains how the proposed design will meet the requirements and

expectations outlined in the OPR. It shall describe the selected systems and explain

anticipated facility operation. The BOD shall document the rationale for the design,

including codes and standards, direction from the Sponsor Agency, concepts, calculations,

design methods, and software used. The BOD shall include a history of revisions to the

project, explaining the reasons for changes throughout the project phases.

ii. The Consultant shall provide a draft BOD document with the SD submittal, and a ﬁnal

BOD Document with the DD submittal. The BOD shall be updated and resubmitted during

CD at the discretion of DDC and will typically be required only in the event of signiﬁcant

change in project scope or intent.

iii. For projects following an expedited design track, the Consultant shall submit the draft

BOD two weeks after the SD2 submittal. The ﬁnal OPR shall be included at the following

submittal milestone.

iv. If required for compliance with LEED certiﬁcation target, Low Energy Building

measurement and veriﬁcation, or the beneﬁt of the project at the discretion of DDC,

the BOD shall include a Monitoring-Based Commissioning Protocol. Such Protocol

CHAPTER 07: COMMISSIONING

D. DELIVERABLES

191191

shall include the elements outlined in Chapter 08: Sustainability and Resiliency, A

Sustainability, Section 4 Deliverables, c Low Energy Intensity Buildings, iv Metering and

Veriﬁcation Equipment/Monitoring-Based Commissioning Protocol.

2) COMMISSIONING SPECIFICATIONS

a. The Commissioning Agent will provide Commissioning speciﬁcations to the Consultant during the

design process.

b. The Consultant shall coordinate the Commissioning speciﬁcations with the project speciﬁcations

and incorporate them into the project speciﬁcations no later than the 75% CD submittal.

3) DESIGNING FOR COMMISSIONING

The Commissioning Agent will perform design reviews of the Consultant’s submittals. The Consultant shall

respond, in writing, to all comments from the Commissioning Agent and incorporate their comments into

the design documents. For LEED projects, the Consultant shall be responsible for formatting the comment

responses for upload to LEED Online. Commissioning review comments shall be integrated into the

Design Documents as required until all review comments are closed by the Commissioning Agent.

The commissioning review is intended to comment on system functionality and control, instrumentation,

energy performance, water usage performance, access and maintainability, sustainability, and indoor air

quality impact. Other areas of comment may include constructability, cost efﬁciency, LEED compliance,

document clarity, and clarity of scope. A detailed list of commissioning review items is provided below, in

Section E: Commissioning Design Guidance below.

4) CONSTRUCTION PHASE COMMISSIONING SUPPORT

Consultant shall provide support for commissioning activities during the construction phase of the project.

Such support services include:

a. Meetings and Site Visits: The Consultant shall attend the Construction Phase Commissioning

Kickoff Meeting, and other commissioning meetings, site visits, and performance tests as required.

b. Contractor Submittals: Consultant shall coordinate the review of Contractor submittals with

the Commissioning Agent, prior to approving submittals. Commissioning Agent will review for

conformance with Design Documents, and adherence to the requirements documented in the OPR

and BOD. The Contractor shall incorporate the commissioning comments into their response to the

Contractor.

c. Requests for Information (RFI): The Consultant shall make any and all RFIs available to the

Commissioning Agent, for incorporation into their testing procedures.

d. Consultant shall support commissioning team and Contractor in resolution of issues, providing

prompt clariﬁcation as required.

e. Operations and Maintenance Manuals: Consultant shall coordinate the review of Operations

and Maintenance Manuals with the Commissioning Agent, prior to acceptance. Commissioning

Agent will review for accuracy and completeness of manuals. The Consultant shall incorporate

commissioning comments into their response to the Contractor.

f. As-Built Drawings: Consultant shall coordinate the review of As-Built Drawings with the

Commissioning Agent, prior to acceptance. Commissioning Agent will review As-Built drawings for

accuracy and completeness. The Consultant shall incorporate commissioning comments into their

response to the Contractor.

g. LEED Documentation: For all LEED projects, the Consultant shall review all LEED submittals,

provide guidance as required, and assist in uploading the proper documents to the USGBC.

CHAPTER 07: COMMISSIONING

D. DELIVERABLES

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E. COMMISSIONING DESIGN

GUIDANCE

1) The Commissioning Agent’s review will typically include the following items, as applicable to the project

scope. The Consultant shall incorporate these elements into the Design Documents:

a. General

i. Concise and complete Commissioning speciﬁcations are included, both as a stand-

alone administrative section (provided by DDC’s General Conditions) and in individual

equipment sections (provided by the Commissioning Agent). The Consultant shall

incorporate these speciﬁcations into the project documents.

ii. Drawings comply with the OPR and BOD.

iii. Complete Operations and Maintenance (O&M) requirements are included in the

speciﬁcations.

iv. Drawings show important mechanical details such as coil piping, diffuser connections,

and pumps, etc.

v. Critical section views and exploded plan views are included for congested areas and

mechanical rooms with restrictive ceiling heights.

vi. Ductwork is drawn double-line for main trunks, around AHUs, and in corridors to verify

adequate installation space and reduce interferences.

vii. Duct and piping risers are labeled for size, service, and continuation point.

viii. Equipment schedules are complete, list make and model numbers, match other

drawings, and performance data appears sensible. Equipment schedule shall match

equipment unit labels on plans.

ix. Pipe sizes are shown on the plans; piping is clearly identiﬁed.

x. Sheet notes are clear and adequate to describe the work.

xi. Room names and numbers are shown.

xii. Multiple, secondary equipment (e.g. VAV boxes) have distinctive, individual tag

numbering and equipment schedules sufﬁcient for identiﬁcation of the equipment

during TAB, commissioning, and building operation and maintenance; the tag number is

consistent on all drawings and on the equipment schedule.

b. Demolition

i. Limits of demolition are well-deﬁned. New points of connection correspond to points of

connection on the demolition drawings.

ii. If covers and other accessories (e.g. ﬁn tube covers) are removed during demolition,

they are clearly labeled for replacement in the drawings indicating new work.

iii. If demolition cross hatching is applied to an area, anything in the area that should not be

removed is clearly deﬁned.

c. Design Concepts

i. Redundancy of the equipment has been considered and explained in the documents

and complies with the OPR and BOD.

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ii. HVAC design has considered part-load and off-peak conditions; systems have adequate

ramp-down function and can operate efﬁciently at less than full load (e.g. VAV, staging).

iii. Constant volume HVAC equipment has features to control humidity at part load, such as

hot gas bypass, reheat coils, or VFD compressors.

iv. Temperature zoning appears correct. There is no conﬂict between interior and exterior

zones. The number of zones seems appropriate for the building and use.

v. Any space humidity requirements can be met by the speciﬁed equipment; humidiﬁers

and/or dehumidiﬁers are included as needed.

vi. Selected equipment and systems are generally considered reliable and easily

maintained; systems are not unusual or unnecessarily complex.

vii. Diversity has been applied to VAV system design, and AHUs are sized accordingly.

viii. Minimum ﬂowrates can be maintained through boilers and chillers with VFD pumps, or

bypass loops are required.

ix. Alternative HVAC system designs that might improve cost, efﬁciency, reliability,

simplicity, zoning, space, maintenance, or other concerns should be considered.

d. Equipment Access

i. Equipment has access space for service and maintenance.

ii. Equipment has clearance space for tube pulls, removals, and door swings.

iii. Equipment location can be safely accessed (e.g. hatches, permanent ladders, stairwells

to roof, and clear passageways)

iv. Equipment is not blocked by other equipment or utilities.

v. Access doors and panels are shown on drawings with notes.

vi. Instruments and controls are accessible.

vii. AHU ﬁlters can easily be replaced. Panel swings are acceptable.

viii. Valves are accessible and visible.

ix. Access spaces between AHU coils for cleaning have been provided.

x. Avoid installing equipment above hard ceilings.

xi. Avoid installing VAV’s or reheat coils above furniture or partitions.

xii. Large equipment can be feasibly installed or rigged through doors, roofs, basements,

halls, etc. Access allows equipment to be replaced in future.

xiii. Adequate clearance for electrical panels is provided.

xiv. Space exists for future additional equipment, if applicable.

xv. VFD cabinets and DDC panels are shown on walls or equipment.

e. Noise and Vibration

i. Equipment has vibration/spring isolators or inertia bases.

ii. Piping near equipment has spring hangers.

iii. Connections to rotating equipment have ﬂex connectors.

iv. Sound traps are installed in ductwork, if required.

v. Equipment is not installed below or above sound-sensitive areas.

vi. Ductwork has acoustical lining.

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f. Commissionability and Testing, Adjusting, and Balancing (TAB)

i. Isolation valves are provided at all equipment.

ii. Pressure gages, thermometers, P/T plugs and ﬂowmeters are available at all equipment

for testing.

iii. Branch volume dampers in ductwork are provided.

iv. Sufﬁcient straight duct sections are included for manual pitot traverses or airﬂow

monitoring stations.

v. Balancing valves are shown at base of main piping risers.

vi. Pumps have appropriate balancing accessories. Coils have balancing valves.

vii. Airﬂow diagrams are recommended to aide with air balancing and zoning analysis.

viii. Water system ﬂow diagrams are included to show piping circuit design, pump

accessories, air control devices, and make-up water connections.

ix. The Testing and Balancing speciﬁcation is adequately detailed and certiﬁcation

requirements are included.

g. Ductwork

i. No ductwork is exposed to the weather. All ducts from roof top equipment enter

straight down through roof curbs for equipment.

ii. Duct seal class and pressure class is speciﬁed or shown on plans. Duct gages should

comply with SMACNA guidelines.

iii. There are no excessive duct ﬁttings around air handling units, creating high-static

system effects and excessive losses.

iv. VAV boxes have uniform inlet connections.

v. Rectangular to round duct transition to VAV has the recommended minimum length for

proper ﬂow development.

vi. Volume dampers are shown at all diffusers and grilles.

vii. Fire dampers are located at appropriate wall/ﬂoor penetrations. Access doors are

provided at ﬁre dampers.

viii. Duct sizes are designed for proper velocity (random check).

ix. Duct liner is clearly speciﬁed and locations are indicated.

h. Typical Issues

i. The distance between the cooling tower basin and the condenser pumps allows for

adequate Net Positive Suction Head.

ii. Drawings show the Engineer has considered the existing structural elements and other

components as potential interferences in routing ductwork and piping (e.g. using “high”

ducts in shallow ceiling).

iii. Roof penetrations for piping and ducts are kept to a minimum, and all go down through

equipment curbs. Where required, penetrations are better through vertical walls (such

as roof equipment penthouses).

iv. Piping and duct penetrations through walls and slabs should be sealed

v. Relief valves for boilers, chillers, and other equipment are shown along with vent piping.

vi. Chemical water treatment equipment is shown for piping systems.

vii. Alternate piping methods (e.g. Victaulic, PEX, crimping) are speciﬁed or permitted.

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viii. Speciﬁcations are included for pipe pressure testing and cleaning and duct leakage

testing.

ix. Vents are shown at high points of piping systems or required by notes.

x. Heaters are provided in stairwells, entrances, toilet rooms, and mechanical rooms.

xi. Ventilation or cooling has been provided for electrical closets and elevator equipment

rooms.

xii. If glycol solution is needed for freeze protection, the pumps, coils, and other equipment

are rated for glycol.

xiii. Freeze protection schemes (heat tracing, insulation, pumps, etc.) are indicated.

xiv. Piping is not installed in electrical rooms or complies with all code clearance

requirements.

xv. Automatic isolation valves are provided at multiple chillers and boilers. Where possible,

isolation valves shall be easy to access without the aid of ladders.

xvi. Return air path and/or ductwork is clearly shown.

i. Air Handling Units and Fans

i. AHU Schedule has appropriate and required data: e.g. face velocity, coil heat balance,

ﬂowrates, ﬁlter efﬁciencies, and static pressures.

ii. Fan motors have 20% safety margin over calculated brake horsepower, to allow for

adjustments during TAB and inefﬁcient ﬁeld duct conditions.

iii. Condensate drain traps are detailed and sufﬁcient height is available. Condensate

drains should be sloped away from the unit and piped to the nearest drain.

iv. Adequate access space is provided between heating and cooling coils for cleaning and

temperature sensors.

j. VAV boxes

i. Responsibility for providing/mounting/installing VAV controls is clearly stated.

ii. Drawing details show a minimum of 3 duct diameters of straight duct upstream of inlet.

k. BAS/BMS and Controls

i. Detailed and complete written sequences of operation are provided for all systems, and

all equipment has a corresponding sequence of operations.

ii. Control points are labeled on ﬂow diagrams/schematics.

iii. Sufﬁcient points are available to facilitate performance veriﬁcation and O&M.

iv. The BAS includes adequate trending and reporting features.

v. VAV duct static pressure sensor locations are shown.

vi. Chilled and hot water loop differential pressure sensor locations are indicated, and

isolation valves and pressure gages are provided at transmitters.

vii. Room thermostats and space humidity sensors are shown.

viii. Flowmeters and air monitoring stations have proper downstream dimensions.

ix. A BACnet or Lonworks generic DDC interface has been speciﬁed for equipment (e.g.

chillers, boilers, RTUs) and vendor responsibilities are clearly noted. Speciﬁed BAS

protocol is compatible with equipment controller protocols

x. A BAS point list is included. Control or monitoring points to be available to BAS from

other equipment’s control panels (e.g. chiller) is provided.

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xi. Sequences of Operation correspond to AHU and other equipment details on the

drawings.

xii. Boiler/Chiller room safety equipment, interlocks, and alarms are speciﬁed.

xiii. Chillers and boilers have automatic isolation valves if needed for lead/lag sequencing.

xiv. Controls schedule/part number list is included on the drawings.

l. Sequence of Operations

i. Morning warm-up and cool-down modes are described.

ii. Economizer sequence is applied. Enthalpy sensors are used, if appropriate.

iii. Occupied and unoccupied sequences are described.

iv. A ﬁre and emergency power response matrix is provided for HVAC systems, lighting,

alarms, and generator during power outage or ﬁre alarm.

v. The emergency shutdown and ﬁre alarm sequences are described.

vi. Chilled water system sequences are provided, including start/stop, temperature control,

lead-lag, loading and unloading, and primary-secondary operations.

vii. VFD control of pumps and fans is described.

viii. Ventilation mode (Carbon dioxide) control is described, including overrides with

temperature.

ix. Energy and/or heat recovery sequences are explained, with setpoints.

x. Freeze protection strategies are included.

xi. Mechanical Room ventilation is described, including refrigerant leak mode

xii. Kitchen Exhaust and make-up air sequence are described; including Ansul suppression

system equipment interlocks.

xiii. Hot water heating system sequences including start/stop, temperature control, lead-lag,

primary-secondary operations are provided. Heat recovery feature has been explored.

xiv. Supply fan and return fan tracking strategy is provided.

xv. Sequences are included for stand-alone equipment not interfaced to BAS.

m. Indoor Air Quality

i. Outdoor air intakes at louvers or rooftop units are not close to exhaust fans, cooling

towers, plumbing vents, or boiler stacks.

ii. Outdoor air intake louvers are not close to loading docks, trafﬁc, or dumpsters.

iii. Exhaust fans serve photocopy rooms, storage rooms, break rooms, labs, etc.

iv. Ventilation rates will be met when VAV boxes are at minimum air ﬂow condition, and

calculations or procedures are included.

v. Air ﬁlters are the appropriate efﬁciency for the application, and meet applicable LEED

requirements. Filter rack appropriate for ﬁlter size and speciﬁcation.

vi. The use of duct liner and exposed insulation in AHUs has been evaluated as a potential

source of microbial contamination and debris, and the potential for such contamination

has been minimized.

vii. Demand control ventilation strategies using CO2 sensors have been considered.

Sensors have been located adequately and protected from tampering.

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n. Operations and Maintenance

i. Valves are provided at all piping risers and main branches. Valves meets recognized

quality standards.

ii. O&M Manual requirements are included in the speciﬁcations.

iii. Owner orientation requirements are included in the speciﬁcations.

iv. Equipment warranty requirements are detailed in speciﬁcations.

o. Plumbing

i. AHU condensate drains are piped to ﬂoor drains.

ii. Floor drains have trap primers where needed.

iii. Floor drains are properly vented.

iv. Proper backﬂow prevention devices are speciﬁed.

v. Hot water return system is indicated.

vi. Domestic make-up water is shown for HVAC systems ﬁll.

vii. Roof drains are combined with overﬂow drains.

viii. Plumbing drawings include riser diagrams with pipe sizes and ﬁxture units shown.

ix. A domestic water booster pump is provided if required.

x. Speciﬁcations include sterilization of domestic water piping.

xi. Gas pressure regulators are provided at appliances or equipment, if needed.

xii. Water hammer arrestors are included in the speciﬁcations, if needed.

p. Coordination

i. The voltages and phase information provided on the mechanical equipment schedules

match the electrical drawings.

ii. MEP equipment structural, space, and clearance requirements have been reviewed.

q. Electrical

i. Emergency generator loads are listed, and support life safety, data backup,

communications, heat, food refrigeration, or other Sponsor needs.

ii. Sequences of operation are speciﬁed for emergency generators, automatic transfer

switch, and uninterruptible power supply.

iii. Fire and Emergency Power Response Matrix are included.

iv. Furnishing and installation of duct smoke detectors are coordinated with Trades.

v. Drawings show important typical Electrical details such as conduit penetrations,

ductbank sections, grounding, lightning protection, cable supports, power, and control

connections at ﬁxtures, equipment and components, manholes, and handholes.

vi. Drawings show important Schedule Details such as Cable and Conduit Schedules,

Panel Schedules, Lighting Fixture Schedules, Specialty Wiring Device Schedules (or

equivalent details), and Low Voltage and Alarm Component Schedules (or equivalent

details).

vii. Drawings show important One Line, Riser, and Block Diagrams such as Overall Power

one line; Sub System Swbd or MCC one lines; Process and Instrumentation Diagrams

(P&IDs); Power, Fire Alarm, and Low Voltage Risers; and Major Interconnection Block

Diagrams.

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viii. Circuits on emergency power should be clearly indicated on the plans.

ix. Major conduit runs are laid out to ensure there are no conﬂicts with piping and

ductwork. Plan drawings show large numbers of conduits as a bank of conduits drawn

to scale (in width) with a section taken to show height and width dimensions and

conduit identiﬁcations, not as a single line.

x. Temporary power is shown and/or speciﬁed in adequate detail to be accurately bid and

to provide the temporary power required to execute the work. It is clear who provides

temporary power for the other Contractors, who pays the Utility Bills, and how they are

paid.

xi. Speciﬁcations require vendor or Contractor submit Factory Test procedures and check

lists.

xii. Equipment has clearance space for circuit breaker rack out, removals, door swings, etc.

xiii. Equipment location can be safely accessed: hatches, ladders, clear passage ways.

Room for future growth is provided, if appropriate.

xiv. Electrical equipment rooms do not have other unrelated systems running through them.

xv. Access doors and panels are shown on drawing or with notes.

xvi. All mechanical equipment and controls are included on power plans (e.g. condensate

pumps, small heaters, small booster pumps, BAS panels, heat tracing, chemical

treatment equipment, automatic valves, VAV box transformers, air compressors).

xvii. Power to plumbing automatic ﬂush valves and faucets has been coordinated. Power to

electronic trap seal primers is provided.

xviii. Furnishing and installing of motor starters, disconnect switches, VFDs is clearly deﬁned

by Trade.

xix. Convenience receptacles and lighting are provided at rooftop HVAC units and fans, if

required.

r. Envelope

i. The construction documents include documents for a partial building enclosure mockup,

if applicable.

ii. The air barrier, insulation, vapor barrier, and weather resistant barrier are continuous.

Interruptions in any of these barriers create opportunities for the development of

condensation and moisture inﬁltration in the exterior walls or roof.

iii. The wall system is free of thermal bridges, which may be a source of condensation

within the wall system in cold climates.

iv. The details describing interruptions in the typical exterior wall system (typically around

windows, doors, and skylights) ensure adequate joinery in air, vapor, weather, and

thermal barriers bridging the typical wall with the window and door systems.

v. Materials within the exterior wall systems provide adequate accommodation of

differential movement resulting from thermal stresses.

vi. The materials within the exterior wall systems accommodate movement resulting from

moisture absorption and evaporation. Some envelope materials are absorptive which

cause changes in size and movement that must be properly accommodated during

design.

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vii. All joinery of exterior wall systems is detailed to ensure no water inﬁltration paths, and

the building is designed to be completely watertight. Liquid water can penetrate a wall

system via gravity, capillary suction, surface tension, kinetic energy, hydrostatic pressure,

and air pressure. All wall systems are designed to ensure adequate drainage paths for

water to exit.

viii. All components of the exterior wall systems can safely permit the naturally occurring

movements that all buildings experience during their lifetime. Sealant joints are included

and sized appropriately to allow for the natural deﬂection of structural beams, lintels,

and angles. Adequate construction tolerances are provided between wall systems and

structural systems, and between distinct wall systems. Details depict the actual sizes of

wall components.

ix. Roof assembly is complete. If rigid insulation is used, adequate materials are provided

to protect insulation boards during construction. Adequate protection from moisture

migrating out of the concrete roof slab is provided.

x. Adequate drainage is provided for all surfaces of the roof. Drainage is not to be impaired

by normally deﬂecting structural roof members, mechanical equipment, inadequate

slope, etc.

xi. Adequate descriptions are provided for all roof penetrations, including plumbing vents,

roof drains, supports/legs/curbs for all mechanical equipment, mechanical piping,

conduits, roof hatches, etc.

xii. Materials within the roof system allow for adequate accommodation of differential

movement resulting from thermal stresses.

xiii. Effective and current ﬁeld testing (performance testing) methods are speciﬁed, as

agreed by DDC and the Sponsor Agency.

xiv. Review of construction drawing details for compliance of materials with thermal

resistance values per design.

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CHAPTER 08:

SUSTAINABILITY AND

RESILIENCY

A. SUSTAINABLE DESIGN

B. RESILIENT DESIGN

202202

203203

A. SUSTAINABLE DESIGN

1) INTRODUCTION

NYC and DDC have a long history of supporting sustainable design, starting with the High Performance

Building Guidelines, published by DDC in 1999. Mayoral initiative followed with PlaNYC in 2007

(updated 2011) and the Greener, Greater Buildings Plan of 2009.

Mayor de Blasio’s 2014 initiative, One City: Built to Last, followed this trajectory, enacting laws to ensure

that the City leads by example in efforts to reduce greenhouse gas emissions from buildings. Pursuant to

Local Law 66-2014, which committed the City to reduce its greenhouse gas emissions 80% by 2050, the

Mayor’s Ofﬁce of Sustainability published New York City’s Roadmap to 80 x 50.

The latest OneNYC 2050 strategic plan reafﬁrms these commitments, and is supported by a set of new

local laws known as the Climate Mobilization Act, requiring even greater effort to reduce greenhouse gas

emissions and achieve carbon neutrality by 2050.

DDC approaches all projects it administers with the goals of reducing energy use, conserving water

and other natural resources, and creating a healthy and resilient city. Environmentally sustainable, high

performance design and construction standards shall be fully integrated into all projects. At a minimum, the

Consultant shall meet the requirements of all City green buildings laws. Where feasible, and without adding

to the project’s cost or schedule, the Consultant’s design shall exceed the minimum legal requirements for

energy efﬁciency, water use, stormwater management and indoor air quality.

2) NYC GREEN BUILDING LAWS

The Consultant is responsible for complying with all relevant local, state and federal regulations applicable

to the project. The following are some local laws, directives and guidelines that apply to DDC projects

at the time of publication. This list is provided for the Consultant’s convenience and is by no means

exhaustive. The Consultant is responsible for researching all applicable laws, including all new laws

effective at the time the project is initiated.

a. New York City Energy Conservation Code (NYCECC): The Consultant shall design the project per

the NYC ECC current at the time of ﬁling and provide all documentation required to meet current

Department of Buildings submission requirements. The Consultant is advised that the energy code

updates approximately every three years.

b. Local Law 86-2005 (LL86) mandates energy and water efﬁciency and Leadership in Energy and

Environmental Design (LEED) certiﬁcation for certain buildings. This law is codiﬁed in Chapter 9,

Section 224.1 of the NYC City Charter and is still applicable for buildings added to the capital plan

prior to July 1, 2017.

c. Local Law 32-2016 (LL32) is an update to LL86’s LEED requirements, and Local Law 31-

2016 (LL31) is the new low energy intensity buildings law which updates most of the energy

performance requirements. These laws are codiﬁed in the same section of the charter as LL86.

d. Local Law 118-2005 establishes Environmentally Preferable Purchasing (EPP) requirements for

eligible projects not required to pursue LEED under Section 224.1.

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e. Local Law 66-2014 (LL66) commits the City to reduce its greenhouse gas emissions 80% by

2050, relative to 2005 levels, in order to help limit global warming to 2.0°C above pre-industrial

levels.

f. Executive Order 26-2017 (EO26), requires City agencies to reduce the energy consumption of

their building portfolios 20%, relative to 2017 levels, by 2025.

g. Local Law 97-2019 (LL97) mandates a 40% reduction in greenhouse gas emissions from City

government operations by 2030 and 80% reduction by 2050.

The Consultant shall consult with the Sponsor Agency to determine the impact of the project

on these targets and establish energy consumption and greenhouse gas emissions goals for

the project that reﬂect the requirements of LL66, EO26, and LL97. The goals statement shall

incorporate the ﬁndings of any energy audits, as applicable, per section A.4.b.i.

h. Local Law 22-2008 requires the City to publish its greenhouse gas inventory on an annual basis.

i. Local Law 94-2019 (LL94) mandates sustainable rooﬁng zones on all new buildings, new roofs

resulting from enlargement of existing buildings and existing buildings replacing an entire roof deck

or roof assembly. 100% of available roof space must integrate either a solar photovoltaic electricity

generating system, a green roof system, or a combination thereof. LL94 also updates reﬂectance

requirements for cool roofs.

j. Local Law 6-2016 (LL6) requires new municipal buildings and HVAC retroﬁts to utilize the

online NYC Geothermal Pre-Feasibility Tool to assess ground-source heat pumps (GSHP) as

an alternative to other HVAC system designs. If the screening tool ﬁnds that a full or hybrid

GSHP system is potentially viable for the project, LL6 requires a comprehensive engineering and

cost analysis. If the analysis ﬁnds that GSHP has the best net present value of all alternatives

considered, LL6 requires that GSHP be selected for implementation.

k. Local Law 24-2016 requires all projects to provide the Department of Citywide Administrative

Services (DCAS) an assessment of the solar photovoltaic (PV) potential of each city building with a

ﬂoor area of 10,000 gsf or more, and to identify the cost, energy cost savings, and greenhouse gas

emissions reductions of a PV system that fulﬁlls this potential. Required procedures are outlined in

the DCAS Solar 100 Report.

l. Local Law 130-2013 introduces Electric Vehicle Capacity requirements for parking lots and

facilities to support electric vehicle charging stations.

m. Executive Order 359-2013 requires all municipal new and major renovation projects to complete

the City’s Active Design Guidelines checklist and implement the Active Design Guidelines and DOT

Street Design Manual guidelines determined to be relevant and appropriate to the project. It also

requires all municipal LEED projects to pursue the Design for Active Occupants credit, whenever

practicable.

3) PERFORMANCE REQUIREMENTS

a. System-Based Energy Cost Reductions

Certain mechanical and electrical systems projects, which are not subject to whole building energy

performance requirements, or the low energy intensity criteria (see section c below), are required to

meet minimum 5-10% energy cost reduction targets beyond code.

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b. Whole Building Energy Cost Reductions

In addition to possible LEED requirements, certain projects over $12 million in construction cost

and not required to be low energy intensity buildings (see section c below) are required to exceed

energy cost reduction beyond code by speciﬁc percentages.

i. Projects over $12m shall be designed to achieve a minimum 20% energy cost reduction

relative to the NYCECC in effect at the beginning of Design Development, and up to

an additional 5-10% reduction if there are additional energy efﬁciency measures with a

simple payback of seven years or less.

ii. Projects over $30m shall be designed to achieve a minimum 25% energy cost

reduction, and up to an additional 5% reduction if there are additional energy efﬁciency

measures with a simple payback of seven years or less.

iii. Energy cost reductions shall be calculated using LEED methodology.

Refer to the Mayor’s Ofﬁce of Environmental Coordination website for more information.

Should the construction cost increase above a higher threshold at any time before the

ﬁnal construction Certiﬁcate to Proceed, the associated energy cost reduction target

for the higher threshold applies. Therefore, projects close to the thresholds shall be

designed with this in mind.

c. Low Energy Intensity Buildings

Most new buildings, additions, and major renovations are required to be designed and constructed

to use half the energy of a similar conventional building. “Half” is deﬁned as 50% of an ASHRAE

90.1-2013 baseline or half the Energy Use Index (EUI) of buildings of a similar type as determined

by the city’s benchmarking database (as measured in kBtus of source energy per sf of building area

per year). There is a third, typically stricter, compliance path similar to the Passive House standard.

Energy performance needs to be considered early in the design process. It is, therefore, imperative

to use an Integrative Process per Sections A.3.j and A.6.f.i. Simple box models are required before a

Schematic Design can be approved. Updated and further developed energy models are required at

each subsequent phase.

d. Onsite Energy Generating Buildings

Low energy intensity projects pursuant to “c” above shall consider the feasibility of design and

construction of a building that generates 10% or more of its total energy needs onsite.

e. Net Zero Energy Building

Low energy intensity projects pursuant to “c” above that are three stories or fewer must also

consider the feasibility of design and construction of a building that generates 100% of its energy

needs onsite.

f. Water Efﬁciency

All projects shall be designed to maximize water efﬁciency. For LL86 and LL32 projects involving

the installation or replacement of plumbing ﬁxtures with domestic plumbing costs greater than

$500,000, the City Charter mandates a minimum 30% potable water use reduction, to be

calculated using the methodology prescribed in LEED.

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g. Stormwater Management

Stormwater in NYC is managed with two system types.

i. Combined sewers combine stormwater and sanitary waste into one conveyance system

which typically transports wastewater to a treatment plant for processing. During heavy

rainfall, these systems overﬂow into local waterways at a combined sewer outfall (CSO).

Reducing the quantity of ﬂow in these areas is paramount.

Some limited areas in the combined sewer network have high-level storm sewer lines

which allow stormwater to overﬂow while prioritizing the sanitary waste to be treated.

Projects in areas with high-level storm sewers are subject to the requirements of the

City’s MS4 permit (see below).

ii. The Municipal Separate Stormwater Sewer System (MS4) has separate stormwater

and sanitary sewers. The stormwater drains through city infrastructure and into local

waterways with no or only very limited treatment. This also includes “direct drainage”

sites where the water drains directly into a waterway without passing through any city

infrastructure and “overland sites” where the water may pass over city streets but not

through dedicated stormwater conveyance infrastructure. Maintaining the quality of the

water is paramount in these areas.

The Consultant shall conﬁrm which stormwater system applies to their project and meet the

applicable requirements. Projects in MS4 areas and high-level combined sewer areas must

comply with the general NYC MS4 (SPDES Number NY-0287890) from the NYS Department of

Environmental Conservation. Five aspects of the permit impact capital construction projects:

i. Site Assessments: The Departments of Transportation, Environmental Protection, Police,

Fire, Sanitation, and Parks and Recreation are required to conduct assessments of their

properties and create a plan to eliminate or reduce pollutants of concern from entering

waterways. Many of these plans will require capital improvements. Therefore, these

plans shall be used in the scoping and development of any capital project.

ii. Illicit Discharges: All NYC employees are mandatory reporters of illicit discharges.

The Consultant shall also report any illicit discharges to the DDC project manager,

sustainability project director, and 311.

iii. Green Infrastructure: All projects over $2 million which generate stormwater will need to

be assessed for the feasibility of green infrastructure per the process in the MS4 permit.

iv. Construction Permits: Projects over one acre of disturbed area (soon to be reduced

to 20,000 square feet) are required to prepare a Stormwater Pollution Prevention

Plan (SWPPP) and obtain a permit from the Department of Environmental

Protection. (Formerly, such permits were issued by NYS Department of Environmental

Conservation.)

v. Post-construction Permits: For certain projects, post-construction measures are

necessary and will require a Post-Construction permit.

The Consultant shall ensure that all projects conform to all federal, state, and local laws regarding

stormwater management and assist in obtaining all permits.

Projects that are required to be Low Energy Intensity Projects must also assess feasibility of green

infrastructure.

As a matter of good practice, all projects should incorporate green infrastructure where practicable.

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h. Environmentally Preferable Purchasing Projects

Environmentally Preferable Purchasing (EPP) is typically required of projects 15,000 sf of interior

project area and greater. This is based on project size, not building size. This includes projects

that involve multiple buildings, if the total interior area exceeds the threshold. Conversely, projects

smaller than 15,000 sf in larger buildings are exempt.

Projects that are required to comply with the LEED provisions of Section 224.1 (LL86 and LL32)

are exempt. Projects that are required to comply with the system-speciﬁc requirements of Section

224.1 are only exempt for the portions of the project for said systems.

EPP projects are required to follow the Mayor’s Ofﬁce of Contract Services (MOCS) Minimum

Standards for Construction Products which cover issues such as, but not limited to, efﬁciency

requirements for lighting and HVAC equipment, minimum recycled content requirements, and VOC

content limits.

i. LEED Projects

Local law requires projects in certain occupancies to be designed to meet the standards set forth

in the United States Green Building Council’s (USGBC) LEED rating system. Projects must meet

Gold, Silver (only for legacy projects grandfathered under LL86/05), or Certiﬁed requirements in

addition to meeting any energy and water efﬁciency requirements.

Since the cost thresholds in the laws are based on construction cost as per the ﬁnal construction

Certiﬁcate to Proceed from the Ofﬁce of Management and Budget, projects shall be designed

to meet LEED standards if the estimated construction costs approach the current inﬂation-

adjusted thresholds. Also, if the scope expands to “substantial reconstruction” as deﬁned by the

law or the occupancy changes, certain provisions of Section 224.1 might then become applicable.

The Consultant is responsible for identifying scope or occupancy changes that might affect the

applicability of these laws and codes and communicating this information to the DDC project

manager and sustainability project director.

Projects shall be registered and certiﬁed with the Green Building Certiﬁcation Institute (GBCI). All

tasks, submittals, and ﬁling/registration activities required to successfully meet this standard and

receive formal certiﬁcation shall be the responsibility of the Consultant.

j. Integrative Process

In the publication One City: Built to Last, the City re-committed to reducing greenhouse gas

emissions 80% by 2050 with public buildings leading the way as “models for sustainability.”

Superstorm Sandy made us all too aware of the need for building more resilient buildings. The

City’s Active Design Guidelines promote physical activity and health in design. DDC’s Water Matters

promotes water conservation and DDC’s Project Excellence program elevates the role of design in

creating our public buildings and spaces.

DDC requires an Integrative Process (IP) that focuses on collaboration and helps to avoid the

pitfalls of a siloed systems approach. While this process is iterative and requires more up-front

investment in time and effort, it helps avoid unnecessary changes.

To be effective, the IP requires all professionals and stakeholders, from design to operations, to

be part of the process from an early stage. The architect, or prime Consultant, should serve as the

integrative process facilitator.

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Early in the design process, after the initial Pre-Schematic Design investigation, the Consultant shall

coordinate an all-hands-on-deck meeting or series of meetings to address:

i. Site issues and design constraints

ii. Sustainable design

iii. Energy and water management

iv. Resilient design

v. Active design and wellness

All projects that are applying for LEED certiﬁcation shall follow the process of and pursue the

LEED Integrative Process credit. Furthermore, for water-related strategies, attention should be paid

to minimizing impact on the combined sewer system or the municipal separate stormwater sewer

system (MS4) as applicable.

k. Project-Speciﬁc Expertise

As applicable, the Project Team shall demonstrate in-house proﬁciency in the following areas, as

described below:

i. Energy Auditing Services:

ASHRAE Level II energy auditing services including thermographic analysis of building

envelopes.

ii. Envelope Design Services:

Computer-aided structural analyses, thermal bridge analyses, and hygroscopic (WUFI)

analyses, as well as completed design of airtight building enclosures as demonstrated

by blower-door testing.

iii. LEED Services:

Project Team must include at least one LEED expert at all times that has directly, as

the primary contact person, certiﬁed a minimum of 10 LEED projects at Gold level or

higher under version 3 or later and has experience working on at least 10 additional

LEED certiﬁed projects at Gold level or higher under version 3 or later. Consultant must

demonstrate this by providing LEED Online records. Incomplete certiﬁcation efforts or

completed certiﬁcations documented primarily by another person, Consultant or sub-

consultant do not qualify..

iv. Energy Modeling Services:

LEED-compliant computer-aided energy model analyses using software in compliance

with ASHRAE 140 – 2017 Standard Method of Test for the Evaluation of Building

Energy Analysis Computer Programs, as well as completed design of buildings with low

energy consumption as demonstrated by post-occupancy measurements.

v. Energy Efﬁcient Lighting:

LEED-compliant computer-aided room-by-room illuminance, daylight, and glare

analyses, including plan analyses with a maximum 3x3-foot grid.

vi. Photovoltaic Design Services:

Computer-aided solar yield calculations using PVWatts, HelioScope, or similar software,

as well as completed design of PV systems including safety, structural, Fire Code, and

electrical analyses.

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vii. Ground-Source Heat Pumps:

Project Team must include sufﬁcient expertise for the LL6 assessment to engineer

and analyze conventional and ground source heating and cooling systems; evaluate

construction and maintenance costs, greenhouse emissions, and equipment life

expectancy; and calculate net present value/cost. For geothermal design and

construction administration, Project Team must include both geologic and mechanical

engineering expertise and experience on installed geothermal systems demonstrated to

the satisfaction of the Ofﬁce of Sustainable Design.

4) DELIVERABLES

Deliverables shall be provided by the Consultant per the schedule below (Section 5 table) and updated

in subsequent submissions based on updated information and DDC and Sponsor Agency comments.

For each deliverable, provide the applicable calculations, narratives and supporting documents necessary

to demonstrate that requirements are met. Provide explanations and calculations where appropriate for

items that are determined to be “not feasible.” For additional LEED-speciﬁc deliverable requirements, see

Sections 6 and 7.

The Integrative Process necessitates a comprehensive approach to integrating sustainability into the

design. Consultants on all DDC projects are expected to initiate a high level of sub-consultant coordination

from the beginning of design and sustain this level of coordination through construction. While the below

checklist indicates required deliverables, it’s understood that an integrative design approach will precede

these deliverables. Should any project phase be skipped, initial deliverables shall be provided in the

preceding phase, not subsequent. For projects without a Pre-Schematic phase, those deliverables shall be

provided during the investigative sub-phase of Schematic Design.

Refer to the Project Objectives for additional deliverables that may be required.

a. NYC Energy Conservation Code (NYCECC)

i. NYCECC Compliance Path Approach

The Consultant shall identify the proposed path for energy code compliance.

ii. EN Sheet - MEP Systems

iii. EN Sheet - Building Envelope

iv. Energy Modeling Form

When this compliance path is to be utilized, the consultant shall provide the completed

energy model form in excel format and the modeling input and output ﬁles that

correspond to the form.

b. Systems and Whole Building Energy Performance

i. Energy Audit Report, as applicable

For existing buildings, if a recent LL87-2009 energy audit and retro-commissioning

study or a DDC-prepared energy audit was completed for the building, a copy will

be provided by DDC. If such an audit has not been conducted, DDC may direct the

Consultant to provide a whole-building ASHRAE Level II Energy Audit, including

thermographic analysis of the building envelope. The audit shall follow the format

required by LL87 and include all energy conservation measures to support a deep

energy retroﬁt consistent with the goals of LL66 and EO26. The Consultant shall review

the results of the audit, consider any changes implemented in the building since the

audit, and incorporate into the project those Energy Conservation Measures (ECMs)

that have the highest potential to reduce energy consumption.

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ii. Energy Analysis/Modeling Report, as applicable

For projects with speciﬁc energy cost savings targets for building systems or the whole

building per Section 224.1, the Consultant shall provide calculations and/or modeling,

to the satisfaction of the DDC Ofﬁce of Sustainable Design, to demonstrate compliance.

c. Low Energy Intensity Buildings

i. Approach Path and Energy Use Intensity (EUI) Target

The Consultant shall investigate the implications of a low-energy intensity building, as

deﬁned in the City Charter, and determine:

1. the appropriate compliance path

2. the speciﬁc EUI target the building will be designed to meet

3. approximate energy end use distribution.

ii. Energy Analysis for all Design Alternatives

The Consultant shall provide “simple box” models of each proposed design option

to demonstrate that the required EUI target is attainable and what efforts (envelope

R-values, fenestration speciﬁcations, equipment efﬁciencies, etc.) must be made to

achieve that target. The Consultant shall provide an evaluation for all design alternatives

based on performance, initial cost, ease and costs of maintenance, energy cost and

greenhouse gas production, space requirements, noise levels, and payback periods.

iii. Energy Model Report

The Consultant shall provide an energy model of the chosen Schematic Design

scheme that conﬁrms the project will meet its energy efﬁciency target. Modeling shall

be performed in accordance with local law and LEED requirements using software in

compliance with ASHRAE 140 – 2017 Standard Method of Test for the Evaluation

of Building Energy Analysis Computer Programs and approved by the DDC Ofﬁce of

Sustainable Design. Additional models or variations of one model might be necessary

to meet all local laws, the energy code, and LEED requirements. The ﬁndings of the

model shall be summarized in a Report comparing baseline and proposed performance

in terms of real site and source energy units (kBtus), costs ($), and greenhouse gas

equivalent (MtCO2e) on a whole building and per unit area basis. The model and report

shall be further developed during subsequent phases. Updates to the report should be

identiﬁed with bold text (or some other means of identiﬁcation). A ﬁnal report shall be

submitted at 100% Construction Documents with such formatting removed.

iv. Metering and Veriﬁcation (M&V) Equipment / Monitoring-Based Commissioning

Protocol

The Consultant shall develop monitoring-based procedures and identify points to be

measured and evaluated to assess performance of energy- and water-consuming

systems to address the following:

1. Roles and responsibilities

2. Measuring requirements (meters, points, metering systems, data access)

3. The limits of acceptable values for tracked points and metered values (where

appropriate, predictive algorithms may be used to compare ideal values with actual

values)

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4. The elements used to evaluate performance, including conﬂict between systems,

out-of-sequence operation of systems components, and energy and water usage

proﬁles

5. An action plan for identifying and correcting operation errors and deﬁciencies

6. Training to prevent errors

7. Planning for repairs needed to maintain performance, and

8. The frequency of analyses in the ﬁrst year of occupancy (at least quarterly.)

The Consultant shall include all required equipment and metering points in the base

design of the building. M&V during operations will not be conducted by this Consultant.

v. On-Site Renewables Feasibility Study

The Consultant shall investigate the feasibility of generating on-site renewable energy

and incorporate it into the design as practicable.

vi. Net Zero Feasibility Study

For low energy intensity buildings three stories and fewer, the Consultant shall

investigate the feasibility of constructing a net zero energy building. If feasible but not

being constructed as a net zero energy building, the Consultant shall generate a report

justifying this decision.

vii. For Low Energy Intensity Projects that are not required to pursue LEED

Certiﬁcation, provide the following items from the LEED Project Deliverables

Table in Section 7, per the phase indic ated:

1. Environmental Programming Matrix

2. Solar/Wind Analysis

3. Building Occupancy Group Determination

4. Energy Goals Statement

5. Energy Analysis Plan

d. Mayor’s Ofﬁce of Environmental Coordination (MOEC) Project Intake

The Consultant shall complete and submit the draft MOEC Project Intake Form to DDC within 30

CCDs of the General Contractor’s notice of award, and the ﬁnal form at the end of construction.

More information can be found on the MOEC Reporting page.

e. Greenhouse Gas Emissions Assessment

The Consultant shall submit a greenhouse gas emissions assessment on the form provided

by DDC Ofﬁce of Sustainable Design using the methodology found in the NYC Mayor’s Ofﬁce

of Sustainability’s “Inventory of New York City Greenhouse Gas Emissions” to determine the

coefﬁcients for converting energy use into metric tons of carbon dioxide equivalent (MtCO2e).

GHG emissions in the Citywide Inventory are calculated and reported per the guidance of the

Global Protocol for Cities (GPC), which is the worldwide standard for GHG emission reporting. This

assessment shall be updated at each submission.

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f. Other Energy Deliverables

i. Solar Assessment (LL24-2016)

For roof replacements, new buildings, and additions, provide an analysis of the project’s

solar PV potential, including both building and site. Include cost, energy cost savings,

and greenhouse gas emissions reduction estimates. Incorporate the report’s ﬁndings

into the other energy performance deliverables.

ii. Sustainable Rooﬁng Zone (LL94)

1. Provide speciﬁcation for rooﬁng materials in compliance with Section BC 1511 of

the New York City Building Code.

2. Provide compliance information within the code analysis section of the investigative

SD sub-phase, and supporting design documentation in each phase.

iii. Geothermal Pre-Feasibility Tool (LL6-2016)

If the Pre-Feasibility Tool or DDC’s Ofﬁce of Sustainable Design (OSD) indicates that

a full or hybrid GSHP system is viable for the project, the Consultant shall estimate the

mechanical loads of the building and use DDC OSD guidance on using mechanical

loads to determine pre-feasibility during the investigations sub-phase of Schematic

Design. If the Tool or OSD continues to indicate that a full or hybrid GSHP system is

viable for the project with the proposed mechanical loads, the Consultant shall present

at least one GSHP mechanical scheme during Schematic Design. The Consultant shall

provide a comprehensive engineering and cost analysis following the requirements of

the law to determine whether the GSHP option has the best net present value of all

alternatives considered and, if so, describe the proposed system. If the GSHP system

will not be implemented, the Consultant must provide a justiﬁcation in accordance with

the law.

iv. Electric Vehicle Capacity (LL130-2013)

Consultant shall demonstrate compliance with required electric vehicle charging

capacity in the design documents.

g. Water Use Reduction

The Consultant shall provide calculations demonstrating potable water use reduction using the

LEED methodology.

h. Stormwater Management

i. Stormwater Management Assessment

The Consultant shall verify the stormwater system as combined sewer, combined sewer

with high-level storm sewer, MS4, direct drainage, or other system and determine

city, state, and federal stormwater management requirements including possible on-

site detention or inﬁltration and permitting requirements. The Consultant shall also

review any site assessments conducted through the MS4 permit and incorporate the

best management practices and other improvements in the implementation plan as

practicable.

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ii. Green Infrastructure Analysis

For all new construction projects, any projects that include site work, and projects

over $2 million that generate runoff in the MS4 zone, the Consultant shall study the

feasibility of Green Infrastructure. For projects in the MS4 zone, this analysis shall be in

accordance with the requirements of the City’s MS4 permit. Green infrastructure shall

be incorporated in the design as practicable.

iii. Stormwater Pollution Prevention Plan (SWPPP)

For projects subject to the City’s MS4 Construction and Post-Construction Program,

the Consultant shall prepare the SWPPP in accordance with the MS4 permit for all

construction and post-construction requirements including maintenance protocols.

The Consultant shall serve as the engineer-of-record on the permit and be prepared to

make changes to said plan to accommodate the ways and means of the Contractor and

resubmit the plan for DEP approval as necessary during mobilization and construction.

i. Environmentally Preferable Purchasing (EPP) Projects

The Consultant shall provide:

i. EPP-Compliant Speciﬁcations

Provide speciﬁcations in compliance with the Mayor’s Ofﬁce of Contract Services

(MOCS) Minimum Standards for Construction Products which cover issues such as,

but not limited to, efﬁciency requirements for lighting and HVAC equipment, minimum

recycled content requirements, and VOC content limits.

ii. EPP Report

Provide an EPP Report in compliance with the MOCS standards. Report shall be

updated as directed by DDC.

j. Active Design

Consultant shall provide Active Design checklists per the Active Design Guidelines published by

NYC and the Center for Active Design.

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5) PERFORMANCE REQUIREMENTS PROJECT DELIVERABLES TABLE

Deliverables shall be provided by the Consultant per the table on the following page, and updated in

subsequent submissions based on updated information and DDC and Sponsor Agency comments. For

each deliverable, provide the applicable calculations, narratives and supporting documents necessary

to demonstrate that requirements are met. Provide explanations and calculations where appropriate for

items that are determined to be “not feasible.” For additional LEED-speciﬁc deliverable requirements, see

Sections A.6 and A.7

The Integrative Process necessitates a comprehensive approach to integrating sustainability into the

design. Consultants on all DDC projects are expected to initiate a high level of sub-consultant coordination

from the beginning of design and sustain this level of coordination through construction. While the

below checklist indicates required deliverables, it’s understood that an integrative design approach will

precede these deliverables. Should any project phase be skipped, initial deliverables shall be provided in

the preceding phase, not subsequent. For projects without a Pre-Schematic phase, those deliverables shall

be provided during the investigative sub-phase of Schematic Design. Refer to the Project Objectives for

additional deliverables that may be required.

KEY:

X: First submission of applicable calculations, narratives and supporting documents necessary to

demonstrate that requirements are met.

: Continue to update documents for each subsequent submission through to endpoint. Updates to

text should be identiﬁed in bold or some other means of identiﬁcation. Final report shall be submitted at

100% CDs with such formatting removed.

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Project Deliverables

Capital Project Phases

CPSD

Pre-SD SD DD CD Construction

Int. I Int. II 100% 50% 100% 75% 100%

Bid &

Award

Constr.

Admin

Post-

Constr.

Stage

III

Energy

Code

NYCECC Compliance

Path Approach

X X

EN Sheet - MEP Systems

EN Sheet -

Building Envelope

Energy Modeling Form

Systems and

Whole Building

Energy Performance

Energy Audit Report

X X

Energy Analysis Report

X X

Low Energy Intensity

Approach and EUI Target

X X

Energy Analysis for all

Design Alternatives

X X

Energy Model Report

M&V Equipment/

Monitoring Based

Commissioning Protocol

X X

On-site Renewables

Feasibility Study

X X

Net-Zero Feasibility Study

X X

LEED Project Deliverables

(see Section 4.c.vii)

X X

MOEC

Project Intake Form

X X

GHG

Greenhouse Gas

Emissions Assessment

X X

Energy

Other

Solar Assessment

X X

Sustainable Rooﬁng Zone

Geothermal Pre-

Feasibility Tool

X X

Electric Vehicle Capacity

X X

Water

Water Use Reduction

X X

Site/

Stormwater

Stormwater Management

Assessment

X X

Green Infrastructure

Analysis

X X

Stormwater Pollution

Prevention Plan

X X

EPP

EPP Compliant

Speciﬁcations

X X

EPP Report

Active

Design

Active Design

X X

Climate Resiliency

Design Guidelines

Risks

X X

Planning

X X

Risks Summary and

Abatement

X X

Other Mitigation

Strategies

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6) LEED PROJECT DELIVERABLES

For LEED projects, the Consultant shall provide the following deliverables per the schedule below

(Section 7 table). The Consultant shall update deliverables in subsequent submissions based on updated

information and DDC and Sponsor Agency comments.

All documentation shall be updated, as applicable, at the end of each phase of design, reﬂect the

documents submitted for that phase and be consistent with each of the project’s other LEED deliverables.

Changes to text should be bold and date of revision provided.

DDC requires an integrative design approach, which will necessitate a comprehensive approach to

integrating sustainability into the design. Consultants on all DDC projects are expected to initiate a high

level of sub-consultant coordination from the beginning of design and sustain this level of coordination

through construction. While the below checklist indicates required deliverables, it is understood that an

integrative design approach will precede these deliverables. Should any project phase be skipped, initial

deliverables shall be provided in the preceding phase, not subsequent. For projects lacking a pre-schematic

phase, the Consultant shall provide the deliverables during the ﬁrst investigative sub-phase of schematic

design.

a. Environmental Design Workshop:

This goal-setting workshop to integrate high performance standards into the project shall

be organized and facilitated by the Consultant and attended by the Consultant team, DDC

representatives, and Sponsor Agency representatives, including facilities maintenance and

operations staff. For this meeting, the Consultant shall prepare for discussion preliminary drafts of

the following deliverables:

i. Environmental Programming Matrix:

Using the template provided by DDC, describe the preferred conditions of each space

including size, occupancy, hours of use, temperature, ventilation, lighting and acoustics.

The Environmental Programming Matrix shall be updated at the end of Schematic

Design and Design Development.

ii. Solar/Wind Analysis:

For new construction, additions, and substantial reconstruction, provide a site-level

sun path diagram and wind rose diagram indicating adjacent structures, and narratives

indicating how they will inform the massing, orientation, fenestration, and shading of

the project. Early “simple box” modeling of these parameters is required for Low Energy

Intensity projects and LEED projects.

iii. Energy Audit Report, as applicable:

For existing buildings, if a recent LL87-2009 energy audit and retro-commissioning

study was completed for this building, a copy of the report will be provided by DDC, if

available. The Consultant shall review the results of the audit, consider any changes

implemented in the building since the audit, and incorporate into the project those

Energy Conservation Measures (ECMs) that have the highest potential to reduce energy

consumption. If such an audit has not been conducted, DDC may direct the Consultant

to provide a whole-building ASHRAE Level II Energy Audit, including thermographic

analysis of the building envelope. The audit report shall follow the format required by

LL87 but shall address all ECMs listed in the 2017 Request for Information issued by

DCAS for “Deep Energy Retroﬁts in Support of EO26,” which will also be provided by

DDC.

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iv. Project Speciﬁc LEED Checklist:

Provide a standard LEED checklist of targeted credits to meet local law requirements,

and a brief description of how each credit impacts the speciﬁc project.

v. Project-Speciﬁc LEED Plan:

As based on the LEED checklist, the Consultant shall provide description of each

credit’s applicability to the project, the strategy proposed to achieve targeted credits,

sub-phase to be completed, and assignment of responsibilities for the entire Project

Team. Provide explanations and calculations where appropriate for credits that are

determined to be “not feasible” for this project. The LEED Plan shall be updated at the

end of Schematic Design, Design Development, 75% Construction Documents and

100% Construction Documents. Changes to text should be bold and date of revision

provided.

vi. Site Plan Indicating LEED Project Boundary:

The LEED project boundary must include all contiguous land that is associated with

the project and supports its typical operations. This includes land altered as a result of

construction and features used primarily by the project’s occupants, such as hardscape

(parking and sidewalks), septic or stormwater treatment equipment, and landscaping.

See USGBC website for further guidance. The LEED project boundary must be

approved by OSD.

vii. Building Occupancy Group Determination:

The primary occupancy group to be used for the project building, as classiﬁed in

accordance with the New York city construction codes.

viii. Energy Goals Statement:

In addition to providing the minimum energy requirements for the project as established

by code and/or local law, the Consultant shall work with the Client’s energy manager,

capital Project Team and facilities staff to establish energy consumption and

greenhouse gas emissions goals for this project that reﬂect the urgency of LL66 and

EO26. For existing buildings, the goals statement shall incorporate the ﬁndings of a

previous LL87 energy audit or a new audit.

ix. Energy Analysis Plan:

Identify the energy analysis software, methodology, occupancy schedule, temperature

set points, energy rates, and other parameters to be used in the energy analysis for the

project and propose energy efﬁcient measures and systems to be studied. Separate

analyses may be required to demonstrate compliance with LEED, local law, and code.

b. Registration

i. LEED Online Registration:

If the project is required to pursue LEED certiﬁcation, the Consultant shall register the

project with GBCI and invite “ddcsustainability@ddc.nyc.gov” to the project’s LEED

Online record. For City-owned projects, register project as “City of NY – [Project Name].”

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ii. LEED Online Submission:

The Consultant shall submit the preliminary LEED Design application to LEED Online

within 30 CCDs of the General Contractor’s notice of award. The Consultant shall

manage the review comments, collect and develop the additional project information as

needed, and submit the ﬁnal LEED Design application.

c. Energy

i. HVAC Evaluation for all Design Alternatives:

The Consultant shall provide an HVAC Evaluation for all design alternatives, based on

performance, initial cost, ease and cost of maintenance, energy cost and greenhouse

gas production, space requirements, noise levels and payback periods.

ii. Energy Model Report:

The Consultant shall provide an energy model of the chosen Schematic Design scheme

that conﬁrms the project will meet its energy efﬁciency target, including energy cost

reduction targets. Modeling shall be performed in accordance with local law and LEED

requirements using software in compliance with ASHRAE 140 – 2017 Standard

Method of Test for the Evaluation of Building Energy Analysis Computer Programs and

approved by the DDC Ofﬁce of Sustainable Design. Additional models or variations

of one model might be necessary to meet all local laws, the energy code, and LEED

requirements.

The Consultant shall provide the ﬁndings of the model in an Energy Analysis Report.

The report shall include a comprehensive analysis of energy use, energy cost and

greenhouse gas emissions for the selected design (on a whole building and per unit

area basis), demonstrating compliance with LEED, local law and code. The analysis shall

specify recommended energy efﬁciency measures (EEMs) and payback periods.

The report shall be updated at the end of Design Development, 75% Construction

Documents and 100% Construction Documents, reﬂecting the documents submitted

for that phase. Changes to text should be bold and date of revision provided. The ﬁnal

report shall be submitted with such formatting removed.

d. Environmental Construction Workshop

The Environmental Construction Workshop shall be conducted within 30 CCDs of the project’s

construction kickoff to review the construction requirements and procedures for the project and to

identify and assign responsibility for speciﬁc strategies to fulﬁll the targeted LEED certiﬁcation level

and other City sustainability requirements. This meeting shall be organized and facilitated by the

Consultant and attended by the construction manager, Contractor, primary (MEP) sub-contractors,

Sponsor Agency representatives and DDC representatives. The meeting shall address, at a

minimum:

i. Requirements of all LEED construction credits applicable to the project

ii. Erosion and Sedimentation Control (ESC) Plan and procedures

iii. Construction and Demolition Waste Management (CDWM) Plan and procedures

iv. Indoor Air Quality Management (IAQM) Plan and procedures

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v. Submittal requirements and routing, including assignment of responsibilities and

frequency of LEED construction documentation updates

vi. Construction site signage

vii. Flush-out or air quality testing requirements and scheduling

The Consultant shall review and approve the ESC, CDWM and IAQM Plans, as applicable, and

the CDWM and IAQM Plans prepared by the Contractor in advance of the Construction Kickoff

Meeting. The Consultant’s services during construction shall also include compliance review and

tracking of LEED submittal information for materials and products, collection and compilation

of all LEED construction credit information from the Contractor and construction manager. The

Consultant shall provide to DDC monthly updates on documentation of all LEED construction

credits and submit all credit documentation to GBCI within two months of substantial completion of

construction.

e. LEED Credit Deliverables

Refer to USGBC LEED Reference Guide for the project’s required measures and deliverables and

provide accordingly, except for where DDC’s required deliverables are more stringent as outlined in

section A.6.f. below.

All documentation shall be updated, as applicable, at the end of each phase of design, reﬂect the

documents submitted for that phase and be consistent with each of the project’s other LEED

deliverables. Changes to text should be bold and date of revision provided.

For each LEED credit deliverable, provide the applicable calculations, narratives and supporting

documents necessary to demonstrate that credit/prerequisite requirements are met. Narratives

should summarize the design approach to credit compliance and identify the project-speciﬁc design

and speciﬁcations requirements to be incorporated into the design documents. Provide explanations

and calculations where appropriate for credits that are determined to be “not feasible.”

f. Additional Deliverables for Speciﬁc Credits:

i. IP Credit: Integrative Process

1. Pre-Schematic Design:

Early in the pre-schematic design phase, the Consultant shall:

a. Conduct preliminary energy and water research and analysis, including a

“simple box” energy model.

b. Engage DDC in Integrative Process (IP) Workshop planning and agenda

development, as outlined in section A.3.j. for Sustainable Design and B.3.b. for

Resilient Design.

c. Prepare summary presentation of studies and analyses results to present at

the workshop. Send all analyses and studies included in the requirements to

DDC at least 3 days before the workshop.

d. Lead the IP Workshop, to be held separately from the Environmental Design

Workshop. Facilitate in identifying, clarifying and evaluating integrative design

opportunities. Listen to and synthesize DDC and Sponsor Agency responses

to identiﬁed challenges, opportunities and next steps.

e. Within two weeks after the IP Workshop, provide a summary of potential

strategies and follow up actions required, along with responsible parties for

each.

CHAPTER 08: SUSTAINABLE DESIGN

A. SUSTAINABLE DESIGN

220220

f. Complete the IP worksheet.

g. Provide an IP report that includes the following:

i. Energy and Daylight Related Systems:

Document how the energy and daylight analysis has informed the building

design, location of building on site, MEP systems and energy use. Include

the following, as applicable:

1. Established performance targets, per project’s energy

requirements by code and laws, including Energy Cost Reduction

targets and Geothermal Screening Tool results

2. Building and site program

3. Building form and site layout

4. Building envelope and façade elements on different orientations

5. Modiﬁcation to, or signiﬁcant downsizing of building systems

(e.g., HVAC, lighting, controls)

6. Modiﬁcations to exterior materials, interior ﬁnishes, and other

systems

7. Assessment of on-site renewable energy potential

8. An updated “simple box” energy model that evaluates energy

load reduction strategies

ii. Water Systems:

Document how the water budget analysis informed building and site design

decisions and the systems outlined below. Demonstrate how at least

one on-site non-potable water supply source was analyzed to reduce the

burden on the NYC municipal supply or wastewater treatment systems.

Include the following, as applicable:

1. Site location in a combined sewer or MS4 area, and the

applicable requirements

2. Monthly and annual rainfall volume landing on site and building

roof

3. Monthly and annual site and building water use

4. Rainwater quantity and quality management systems

5. Landscaping, irrigation, and site elements

6. Rooﬁng systems and/or building form and geometry

7. Potential locations for green infrastructure

8. All supply sources. Assess and quantify all potential non-potable

water supply sources, such as on-site rainwater, greywater, and

HVAC equipment condensate

CHAPTER 08: SUSTAINABLE DESIGN

A. SUSTAINABLE DESIGN

221221

9. Annual Water Demand Analysis. Calculate annual water

demands for building; match with potential supply sources

10. Potential cost impact associated with installing proposed water-

conserving systems

iii. Other systems, as applicable

iv. Meeting Minutes of IP Workshop

ii. LT Cred it: High -Pr iorit y Site

Provide initial narratives and supporting documents in Pre-Schematic Design.

1. For Option 3, if brownﬁeld remediation is part of the project’s scope of work,

provide the following deliverables:

a. Design Development: Incorporate remediation requirements into speciﬁcations

and details, and provide a narrative summarizing the actions necessary to

remediate the site and the results of these actions.

b. Construction Administration: Provide documentation from authority having

jurisdiction conﬁrming that remediation has been completed to its satisfaction.

iii. EA Credit: Enhanced Commissioning

Refer to Section 4, Low Energy Intensity Deliverables for Monitoring-Based

Commissioning Protocol. Provide deliverables as indicated in the Section 5

Deliverables Table.

CHAPTER 08: SUSTAINABLE DESIGN

A. SUSTAINABLE DESIGN

222222

7) LEED PROJECT DELIVERABLES TABLE

Refer to USGBC LEED Reference Guide for the project’s required measures and deliverables and provide

accordingly, except for where DDC’s required deliverables are more stringent, as outlined in Section A.6.f.

Refer to Sections A.6.b.ii and A.6.d for timeline details on the LEED Online Submissions.

All documentation shall be updated, as applicable, at the end of each phase of design, reﬂect the

documents submitted for that phase and be consistent with each of the project’s other LEED deliverables.

Changes to text should be bold and date of revision provided. For each LEED credit deliverable, provide

the applicable calculations, narratives and supporting documents necessary to demonstrate that credit/

prerequisite requirements are met. Narratives should summarize the design approach to credit compliance

and identify the project-speciﬁc design and speciﬁcations requirements to be incorporated into the design

documents. Provide explanations and calculations where appropriate for credits that are determined to be

"not feasible".

KEY:

X: First submission of applicable calculations, narratives and supporting documents necessary to

demonstrate that requirements are met.

: Continue to update documents for each subsequent submission through to endpoint. Updates to

text should be identiﬁed in bold or some other means of identiﬁcation. Final report shall be submitted at

100% CDs with such formatting removed.

CHAPTER 08: SUSTAINABLE DESIGN

A. SUSTAINABLE DESIGN

223223

LEED Project

Deliverables

Capital Project Phases

CPSD

Pre-

SD DD CD Construction

Int. I Int. II 100% 50% 100% 75% 100%

Bid &

Award

Constr.

Admin

Post-

Constr.

Stage

III

LEED Project Kick Off

Environmental Design/

Construction Workshop

X X X

Environmental

Programing Matrix

X X

Solar/Wind Analysis

X X

Energy Audit Report,

as applicable

X X

Project-Speciﬁc

LEED Checklist

X X X

Project-Speciﬁc

LEED Plan

X X X

Site Plan Indicating

LEED Project Boundary

X X

Building Occupancy

Group Determination

X X

Energy Goals Statement

X X

Energy Analysis Plan

X X

Registration

LEED Online Registration

LEED Online Submission

X X

Energy

HVAC Evaluation for all

Design Alternatives

X X

Energy Model Report

LEED Credit Deliverables

Integrative Design

Workshop - Energy and

Water

X X

IP Credit:

Integrative Process

X X

LT Credit: Sensitive

Land Protection

X X

LT Credit: High-

Priority Site

X X X

LT Credit:

Surrounding Density

X X

LT Credit: Access to

Quality Transit

X X

LT Credit: Bicycle

Facilities

X X

LT Credit: Reduced

Parking Footprint

X X

LT Credit: Green Vehicles

X X

SS Prerequisite:

Construction Activity

Pollution Prevention

SS Environmental

Site Assessment

X X

SS Site Development,

Protect/Restore Habitat

SS Open Space

SS Rainwater

Management

X X

SS Heat Island Reduction

SS Light Pollution

Reduction

WE Outdoor Water

Use Reduction

WE Indoor Water

Use Reduction

WE Building-Level

Water Metering

WE Cooling Tower

Water Use

WE Water Metering

CHAPTER 08: SUSTAINABLE DESIGN

A. SUSTAINABLE DESIGN

224224

LEED Project

Deliverables

Capital Project Phases

CPSD

Pre-

SD DD CD Construction

Int. I Int. II 100% 50% 100% 75% 100%

Bid &

Award

Constr.

Admin

Post-

Constr.

Stage

III

LEED Credit Deliverables (cont.)

EA Minimum/ Optimize

Energy Performance

EA Building-Level

Energy Metering/

Advanced Energy

Metering

EA Fundamental

Refrigerant Management

EA Fundamental and

Enhanced

Commissioning

EA Demand Response

EA Renewable

Energy Production

X X

EA Enhanced Refrigerant

Management

EA Green Power and

Carbon Offsets

MR Storage and

Collection of Recyclables

MR Construction

and Demolition Waste

Management Planning

MR PBT Source

Reduction-Mercury

MR Building Life-Cycle

Impact Reduction

MR BPDO-EPDs

MR BPDO-Raw

Materials Sourcing

MR BPDO-

Material Ingredients

EQ Minimum Indoor Air

Quality Performance

EQ ETS Control

EQ Enhanced Air

Quality Strategies

EQ Low-Emitting

Materials

EQ Construction IAQ

Management Plan

EQ IAQ Assessment

EQ Thermal Comfort

EQ Inerior Lighting

EQ Daylight

EQ Quality Views

EQ Acoustic Performance

ID Innovation/ Pilot

Credits

ID Active Design

ID LEED AP with

Specialty

CHAPTER 08: SUSTAINABLE DESIGN

A. SUSTAINABLE DESIGN

225225

B. RESILIENT DESIGN

1) INTRODUCTION

A changing climate and rising sea levels will challenge NYC in the coming years. Resilient design, broadly

speaking, delivers projects capable of adapting to these changes. Well-coordinated tactics that can evolve

and adapt over time can create robust buildings, infrastructure, neighborhoods and services.

2) CLIMATE RESILIENCY DESIGN GUIDELINES

The City is taking a proactive stance against potential environmental threats. In March 2019, the Mayor’s

Ofﬁce of Resiliency (MOR) issued the third version of their Climate Resiliency Design Guidelines (CRDG).

While these guidelines are not mandatory at present, resiliency needs to be an integral part of all new

city projects. These guidelines should serve as a starting point to incorporate resiliency into our planning

and design process as we begin to understand the risks we face. Refer to the latest version of the CRDG

available on MOR’s website.

3) DELIVERABLES

For each of the applicable deliverables listed below, refer to the Sustainable Design’s Section 5

Deliverables Table for anticipated deliverables by phase.

a. Risks

As part of the initial investigation and research phase of Schematic Design, the Consultant shall

investigate the risks that climate change poses to the project. The ﬁndings shall be on the agenda

of the Integrative Process meeting or a separate Resilient Design meeting, as appropriate.

Using the CRDG as a basis, the Consultant shall investigate the following risks:

i. Increased Heat

The CRDG address two aspects of increased heat: increasing the urban heat island

effect and the resultant increased demand on building systems.

1. Heat Island Effect

The Consultant shall design all projects to reduce their contribution to the heat

island effect as practicable. For projects pursuing LEED certiﬁcation, the design

shall pursue the two Heat Island Effect credits, one for the roof and one for non-

roof. Non-LEED projects can also use these credits as a guide.

2. Building Systems and Enclosure

While the impact of increased heat on building systems will likely be signiﬁcant,

the time frame in which these changes will occur exceeds the useful life of most

HVAC equipment. According to the CRDG, it is not necessary to design building

mechanical systems for these increased temperatures.

CHAPTER 08: SUSTAINABLE DESIGN

B. RESILIENT DESIGN

226226

On the other hand, most of our buildings will eventually experience these increased

temperatures. The useful life of the building enclosure long exceeds the time

frame in which we expect to see signiﬁcant increases. Passive strategies, namely

increased insulation, window performance, and air tightness, will help mitigate the

impacts of rising temperatures and contribute to a more energy-efﬁcient building

from the onset. These and other strategies, such as operable windows, also provide

for passive survivability when systems fail.

The Consultant shall give due attention to thermal expansion, warping, softening,

or other forms of material change, as well as accelerated degradation of structural

integrity caused by excessive heat.

The Consultant shall also investigate any alternate or emergency uses for the

facility, such as libraries being used as cooling centers. Depending on the criticality

of the facility, redundancy or back up power might be necessary.

ii. Increased Precipitation

The NYC Panel on Climate Change (NYC PCC) predicts that the City will see increased

precipitation in “normal” storms as well as more intense precipitation events.

1. Design Storm:

The CRDG lay out the process the Consultant shall use to determine increased

DEP requirements for CSOs, MS4, and direct drainage. These ﬁndings should be

incorporated into the Integrative Process meeting for water-related issues.

During schematic design, for projects with DEP retention requirements, the

Consultant shall provide a baseline design based on the current DEP requirements

and an up-sized design to meet the increased retainage suggested by the CRDG.

The Consultant shall also provide a cost estimate for this alternate.

2. Intense Precipitation Events

Although not speciﬁcally addressed in CRDG v. 3.0, the City is at risk for severe

ﬂooding due to intense precipitation events such as the ﬂooding in Islip, NY on

August 12-13, 2014, 13.57” of rain over 24 hours was recorded. Had this storm

tracked 40 miles to the east, portions of the city would have been devastated. In

such an event, the ﬂow would exceed the capacity of roof drains and storm sewer

systems and the water would ﬁnd its way through scuppers and the streets. In

many cases, very simple design adjustments can prevent signiﬁcant ﬂooding or

reduce the damage from ﬂooding.

The Consultant shall investigate the risks associated with Intense Precipitation

Events that greatly exceed typical design capacities and explore the ways in

which drainage systems would fail or overﬂow. Attention should be paid to both

environmental risks, such as relatively low-lying sites, and building-speciﬁc risks,

such as roof overﬂows. The intent of this investigation is to discover potential

hazards and avoid them.

Once the results of the City’s assessment of intense precipitation events is

published, the Consultant shall incorporate those ﬁndings into their designs.

Unlike hurricanes, these events are usually sudden and unpredictable, so they do

not offer a chance to prepare barriers or other deployable structures. Management

of Intense Precipitation Events must be built into the original design.

CHAPTER 08: SUSTAINABLE DESIGN

B. RESILIENT DESIGN

227227

iii. Sea Level Rise (SLR)

The NYC PCC predicts up to 75” of SLR by 2100 in the worst-case scenario. The

middle range prediction is 22-55”, which will have severe adverse impacts on many city

facilities.

1. Tidal Inundation

The CRDG lays out the process the Consultant shall use to determine the design

ﬂood elevation based upon expected tidal inundation due to Sea Level Rise (SLR).

Since tidal inundation will be a regular occurrence, all designs should prevent any

damage or loss of use to the facility for the expected life of the project.

The Project Objectives will present preliminary information on tidal inundation due

to SLR. The Consultant shall verify all information.

2. Storm Surge

The CRDG lay out the process the Consultant shall use to determine the design

ﬂood elevation (DFE) for storm surge, incorporating the effects of SLR. Ideally, all

facilities will be able to handle storm surge passively, but in some cases special

designs incorporating wet or dry ﬂoodprooﬁng might be necessary. There is usually

advanced warning of ﬂood threat, so deployable structures may be acceptable, but

not preferred.

The Project Objectives will present preliminary information on current DFE and

future DFE based on the CRDG and the determine degrees of resilience to

explore.

The Consultant shall identify impacts, base code compliance, CRDG compliance

and professional best practices. During Schematic Design, the Consultant shall

design, present, and cost out CRDG-compliant as well as non- or partially-

compliant schemes so that the City can ascertain the beneﬁts and costs of multiple

perspectives.

b. Planning

Following the initial schematic design investigation sub-phase, the Consultant team shall conduct

a Resilient Design meeting. Depending on the issues discovered, this may either be a dedicated

meeting or be part of a larger Integrative Process meeting.

For each of the above risks, the discussion should include:

i. Is this an issue at all? High elevations are not at risk for ﬂooding due to SLR but may be

affected by intense precipitation.

ii. Can we avoid the issue through design? Consider raising the elevation of the building

above the design ﬂood elevation or the surrounding area.

iii. Can we design around it? Wet or dry ﬂoodprooﬁng, while not desirable, may be viable

options. Refer to the latest versions of the NYC Building Code and ASCE 24 Flood

Resistant Design and Construction to determine options, as based on project speciﬁcs.

iv. How? Identifying design constraints at this early stage will help set the course for a

successful project.

v. Costs associated? Many solutions can be free or have very little impact on the budget

when incorporated early.

vi. What risks cannot be avoided? Some projects must accept a certain level of risk. This

exercise will help the Sponsor Agency identify those risks.

CHAPTER 08: SUSTAINABLE DESIGN

B. RESILIENT DESIGN

228228

c. Risk Summary and Abatement

As Schematic Design progresses, the Consultant shall address all risks and design issues for each

option presented. At the culmination of Schematic Design, the Consultant shall present all the

required design features necessary to address climate resilience issues.

During subsequent design phases, the Consultant shall ensure that further developments and/

or modiﬁcations of the design continue to address all climate resilience issues. Systems shall be

integral with the design whenever possible.

d. Other Mitigation Strategies

In some cases, design alone will not be sufﬁcient to assure resilience. Whenever special systems

will need to be implemented (e.g. deployment of ﬂood barriers), or where special procedures will

be necessary (e.g. relocating vehicles or storage to higher ground), the Consultant shall prepare

a Climate Resilience Action Plan to clearly communicate to the building operators the steps

necessary to protect the asset(s) and how to train staff in their proper use. An outline of this

document shall be presented at 100% Design Development with the full document at 100%

Construction Documents. Drafts shall be presented at the 75% interim submissions for both.

Simplicity and brevity is appreciated.

CHAPTER 08: SUSTAINABLE DESIGN

B. RESILIENT DESIGN

229

CHAPTER 09:

PERCENT FOR ART

229

A. INTRODUCTION

B. THE PERCENT FOR ART LAW

C. GENERAL INFORMATION FOR THE CONSULTANT

D. APPROACHES TO COMMISSIONING PUBLIC ART

E. PERCENT FOR ART CONTRACT

F. ARTWORK REVIEW INFORMATION

G. ARTWORK PAYMENTS

H. DELIVERABLES

230230

231

CHAPTER 09: PERCENT FOR ART

A. INTRODUCTION

B. THE PERCENT FOR ART LAW

231

A. INTRODUCTION

The Percent for Art Program offers City agencies the opportunity to acquire, commission, or restore works of art

speciﬁcally for City-owned buildings throughout the ﬁve boroughs. Managed by the City’s Department of Cultural

Affairs (DCLA), the Percent for Art Program has commissioned hundreds of site-speciﬁc projects in a variety of

media — painting, new technologies, lighting, mosaic, glass, textiles, sculpture, and works that are integrated into

infrastructure and architecture — by artists whose sensibilities reﬂect the diversity of New York City. Percent for

Art seeks to commission works from the broadest range of artists from all backgrounds. By bringing artists into

the design process, the City’s civic buildings and public spaces are enriched. For more information and to view

examples of past Percent for Art projects visit: www.nyc.gov/percent.

As the City’s primary capital construction project manager, the Department of Design and Construction (DDC)

partners with DCLA to implement the Percent for Art program on eligible capital projects. For each eligible

capital project, an art project manager from DDC’s Public Art Unit and a representative of the Percent for Art

Program at DCLA, join the project management team for the duration of the project. Completed artworks

become a part of the collection of the City of New York.

B. THE PERCENT FOR ART LAW

Since 1982, New York City’s Percent for Art law (Local Law 65/1982) has required that one percent of the

budget for eligible City-funded construction projects be spent on public artwork. The Percent for Art law is

deﬁned in Chapter 9 § 224 of the New York City Charter, and procedures related to the implementation of the

law are described in Title 43 § 2 of the Rules of the City of New York.

1) EXCERPTS FROM THE RULES OF THE CITY OF NEW YORK: “PERCENT FOR ART

LAW PROCEDURES”

a. Applicability

“These regulations apply to projects listed in the city’s capital budget and include each line

project and each project of a multi-project effort generally described in a lump sum budget line.

Individual projects, including multi-year projects, which are part of a major improvement program or

betterment at a speciﬁc site, may be subject to these rules as set forth below.”

b. Exemptions

“In the scope of each capital project, the Design Agency [DDC] shall speciﬁcally state, either, that:

the project is an eligible project, as deﬁned in § 224 of the Charter; or the project is not an eligible

project.”

“The mayor may exempt a capital project from the provisions of this section if, in his/her sole

judgment, the inclusion of works of art as provided thereby would be inappropriate.”

c. Implementation

“It is the intent of the Percent for Art Law that the works of art be an integral part of and compatible

with the project being constructed. Hence, the procedures called for in these regulations are

meant to commence at the earliest stages of project design to assure that the project construction

schedule has incorporated into it the schedule to be followed for the creation, acquisition, or

restoration of the works of art to be included therein.”

232

CHAPTER 09: PERCENT FOR ART

C. GENERAL INFORMATION FOR THE CONSULTANT

232

2) EXCERPTS FROM THE NEW YORK CITY CHARTER: “WORKS OF ART”

a. Eligible Capital Projects

“Works of art shall be provided for each capital project which involves the construction or the

substantial reconstruction of a city-owned public building or structure the intended use of which

requires that it be accessible to the public generally or to members of the public participating in,

requiring or receiving programs, services or beneﬁts provided thereat.”

b. Art Allocation

“An amount not less than 1% of the ﬁrst $50,000,000 and 1/2% of any amount in excess of

$50,000,000 of capital funds appropriated by the city for each such capital project, other than

funds appropriated for the acquisition of real property, shall be allocated for works of art; provided,

however, that this section shall in no case require, but shall not prohibit, the expenditure of more than

$900,000 for works of art for any capital project, nor more than the sum of $4,000,000 for all works

of art in any ﬁscal year.”

C. GENERAL INFORMATION FOR

THE CONSULTANT

1) OVERVIEW OF KEY RESPONSIBILITIES

The Consultant shall:

a. Design any site preparation required to integrate the artwork with the design of the capital project,

including engineering and detailing or accommodating all resources necessary to support the

artwork;

b. Participate in meetings and give presentations;

c. Provide project materials and information to the Artist;

d. Make payments to the Artist for services performed;

e. Advise the Artist of all applicable statutes, ordinances, and regulations of any governmental regulatory

body having jurisdiction over the project and monitor the Artist’s compliance with said requirements;

f. Coordinate reviews of the artwork at key milestones;

g. Monitor compliance by and act as liaison to the Artist with regard to certain procedures as set forth in

the Percent for Art contract for the project.

233

CHAPTER 09: PERCENT FOR ART

D. APPROACHES TO COMMISSIONING PUBLIC ART

E. PERCENT FOR ART CONTRACT

233

D. APPROACHES TO COMMISSIONING

PUBLIC ART

The art allocation can be used in several different ways, as described below. The approach employed will be

based on the speciﬁc considerations of each project.

1) ARTIST FULL SERVICES

The Artist is responsible for designing, fabricating, and installing a site-speciﬁc artwork. The Consultant

ensures that the capital project has been designed to properly receive the artwork at installation.

2) ARTIST DESIGN ONLY

The Artist collaborates with the design team to develop an artwork that is fully integrated into the design

of the capital project. The Contractor is responsible for installing the artwork as part of the construction of

the capital project.

3) ARTWORK PURCHASE

Readily available artworks may be chosen and purchased for pre-determined locations within the capital

project. The Consultant manages transport, delivery, installation, and any other vendor services in relation

to the artworks.

4) ARTWORK CONSERVATION

Existing artwork is accessed and conserved by professionals. When appropriate, the art allocation can

be used for restoring or refurbishing existing artworks for the site, the moving of artworks to the eligible

project from another site, storage of artwork offsite while building renovation is in process, or any other

appropriate alternative recommendations. The Consultant manages the conservation project and ensures

that any necessary site preparation is completed before the installation or re-installation of the artwork.

E. PERCENT FOR ART CONTRACT

Upon selection, the Consultant shall retain and contract with the selected Artist(s). The Artist shall be responsible

for providing the artwork, as described in the Percent for Art contract. The actual contract utilized will be

determined by the speciﬁcs of a given project and the artwork approach pursued.

234

CHAPTER 09: PERCENT FOR ART

F. ARTWORK REVIEW INFORMATION

234

F. ARTWORK REVIEW INFORMATION

The artwork shall be reviewed and approved at key milestones, as described in the Percent for Art contract for

the project.

1) REVIEWING ENTITIES

a. Core Review Group

All artwork reviews are conducted ﬁrst by the Core Review Group (CRG). The CRG includes

representatives of:

i. The Consultant

ii. The Department of Design and Construction

iii. The Department of Cultural Affairs

iv. The project Sponsor Agency

v. The facility user, if applicable

b. Community Board

Once an artwork proposal is approved by the CRG, and before Conceptual review by the Public

Design Commission, the proposal should be presented to the local community board.

c. Public Design Commission

All Percent for Art commissions must be reviewed by the Public Design Commission (PDC).

Artwork reviews should be coordinated with PDC reviews of the capital project and submitted in

tandem as shown below, whenever possible. For the installation of new artworks, PDC reviews

the project at three points: Conceptual review, Preliminary review, and Final review. For more

information, including submission checklists for each review, please refer to requirements regarding

Artwork Installation on the PDC website at www.nyc.gov/designcommission.

Capital Project Reviews New Art Work Reviews

Submit in

Tandem

Preliminary Review Conceptual Review

Final Review Preliminary Review

2) CONCEPTUAL REVIEW

Artworks should be submitted for Conceptual review and approval early in the design process and will be

reviewed at a committee meeting prior to a public hearing. If any signiﬁcant design changes are made in

design development after Conceptual approval, the project must be submitted for committee review and

approval prior to proceeding to fabrication drawings.

3) PRELIMINARY REVIEW

Preliminary review and approval by the Public Design Commission shall take place when the design has

been fully developed. Approval at this stage means that a work of art can be fabricated and installed.

In addition, any conservation, restoration, repair, alteration, replication, removal, or relocation of any City-

owned artwork must be submitted to the Public Design Commission for Preliminary review and approval

before the work begins. Artworks shall not be sold, disposed of, altered, modiﬁed in any way, or relocated

without the prior written approval of the Public Design Commission.

235

CHAPTER 09: PERCENT FOR ART

G. ARTWORK PAYMENTS

235

4) FINAL REVIEW

Final review by the Public Design Commission does not occur until installation of the artwork is complete.

Final review and approval are based on the submission of color, archival-quality photographs documenting

the completed work in situ.

G. ARTWORK PAYMENTS

The Consultant is responsible for payments to the Artist. The artwork allowance will be added to the Consultant’s

scope of work through a Task Order and identiﬁed as an allowance in the Consultant’s payment requisitions.

The artwork allowance is calculated based on the capital budget for the project and is allocated as a lump sum

amount that is paid out according to the Fee Schedule in the Percent for Art contract for the project.

1) FEE SCHEDULE

A typical Fee Schedule for a Full Service Percent for Art project follows for reference. Please refer to the

actual Fee Schedule in the signed Percent for Art contract for the project for the speciﬁc terms.

Payment Milestone Percent of Total

A Initial Proposal 6%

B Conceptual Design 7%

C Preliminary Design 7%

D Notice to Fabricate 25%

E Fabrication 50% completion 25%

F Fabrication 100% completion 15%

G Installation 10%

H Final Acceptance 5%

Total 100%

2) PAYMENT PROCESS

When a payment milestone can be approved according to the requirements described in the Fee Schedule,

the following process is used to submit and process a payment to the artist:

a. The Consultant or DDC’s Public Art Unit notiﬁes the artist and CRG of approval of the milestone.

b. The Artist submits an invoice to the Consultant for the payment milestone that has been reached,

along with any required documentation.

c. When preparing a payment requisition to DDC, the Consultant adds a corresponding percentage of

the Consultant’s fee for artwork to the amount of the artist’s invoice.

d. The Consultant includes the Artist’s invoice and any required documentation in their next payment

requisition to DDC.

e. DDC has up to 30 days for review. At any point during the review period, DDC auditors may reject

the requisition and ask the Consultant to revise and resubmit it. The 30-day review clock starts over

upon resubmission,

f. The City issues payment to the Consultant;

g. Upon receipt of funds from the City, the Consultant issues payment to the Artist as soon as possible

or within 10 business days.

236236

H. DELIVERABLES

1) CAPITAL PROJECT DELIVERABLES

a. Pre-Design or Schematic Design Phase

i. Initial Artwork Meeting

The Consultant is asked to participate in a brainstorm meeting to consider opportunities

for artwork and any constraints within the project scope. The Consultant may

recommend general locations and site parameters for the artwork, a concept (i.e. media,

style, materials), and/or artists to be considered. An overview of the Percent for Art

process is provided during the meeting.

ii. Workshop/Design Charrette (optional)

If requested, a charrette may be held with project stakeholders and/or potential artists

under consideration. The Consultant will prepare and present opportunities for artwork

and any related constraints within the context of the proposed project. The Consultant

will use the charrette to gather feedback about the site, initial artwork ideas, and to

assess compatibility with the Consultant’s design approach, and Sponsor Agency or

community goals and preferences. This charrette may be conducted in lieu of Artist

Selection Panel 2, depending on the project.

iii. Artist Selection Panel 1 (Managed by DCLA)

1. The Consultant will present a brief overview of the project and art opportunities

to the artist selection panel. The presentation should include project scope, site

designs, art opportunities and any related constraints, budget, schedule, and any

other considerations relevant to the panelists, Sponsor Agency, site context, and/or

local community.

2. During the panel, DCLA staff will present approximately 30 to 60 different artists

to be considered for the project. The group of artists considered may include

suggestions from: the Consultant, Project Team, panelists, community members,

and/or elected ofﬁcials, among others. A DCLA staff person chairs the panel and

the voting panelists choose a small group of artists to be considered as ﬁnalists,

generally 3 to 6 artists.

3. The voting panelists include three arts professionals from the neighborhood or

borough where the project will be located and one representative each from

DCLA’s Percent for Art Program, DDC’s Public Art Unit, and the Sponsor Agency.

The Consultant and all other participants are considered advisory panelists.

An invitation to participate in the selection panel in an advisory capacity is also

extended to representatives of the Public Design Commission, local community

board, and local elected ofﬁcials.

iv. Artist Orientation

1. DDC and DCLA staff will arrange a project orientation for the artist ﬁnalists. The

orientation meeting may be conducted on site, where appropriate. During the

meeting, the Consultant and Project Team will provide an overview of the project

and neighborhood context, current design, artwork budget, opportunities and

constraints for the artwork, and potential locations, if identiﬁed.

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2. The Consultant shall distribute electronic ﬁle copies of the current design materials

to the artist ﬁnalists before or immediately following the Artist Orientation. The

materials will include: a project narrative that includes project history, mission,

vision and scope; a design description that includes site map, existing site photos,

proposed plans, and renderings or other visuals that will inform the artists about

the project, site, and opportunities; a community proﬁle; drawings of identiﬁed art

locations and opportunities; and project sponsor information.

3. The Consultant shall also be available to respond to questions or requests for

additional information from the artists, as requested.

v. Artist Selection Panel 2 (Managed by DCLA)

1. The Consultant will present a brief overview of the project and art opportunities

to the artist selection panel. The Consultant shall participate as an advisor to the

panel.

2. Each artist is given a 30-minute time slot to present his/her proposal and/or past

work to the panel.

3. The voting panelists select an artist(s) who will be awarded the commission,

plus one or more alternates. Afterward, DCLA will notify the artist ﬁnalists of the

outcome of the panel.

vi. Percent for Art Contract

1. Upon selection, the Consultant shall retain and contract with the selected Artist(s),

using the approved Percent for Art contract for the project, as provided by the City.

2. If applicable, Payment Milestone A (Initial Proposal) is payable upon contract

signing and submission of an initial proposal for the artwork

b. Design Development Phase

i. Artist Conceptual Design Development

The Consultant will participate in meetings with the artist and/or Project Team

throughout the Conceptual Design development process.

1. The Artist’s Conceptual Design phase usually begins with a kick-off meeting with

the artist and CRG/Project Team.

2. The Consultant shall distribute electronic ﬁle copies of the current design materials

to the artist, as requested. The materials requested may include: a project narrative,

location maps, photos of the existing site and neighborhood context, existing and

proposed site plans, and drawings, renderings, or other visuals.

3. Throughout the Design Development phase, the Artist and Consultant shall work

together to integrate the artwork into the project design and the Consultant shall

advise the artist and Project Team of any applicable regulations, design parameters,

and/or potential issues.

ii. Artist Conceptual Design Review

1. Core Review Group

Upon the Artist’s submission of a completed Conceptual Design proposal, the

Consultant shall arrange for review of the Conceptual Design proposal by the CRG.

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2. Community Board

Once the Artist’s Conceptual Design proposal has been approved by the CRG, and

before Public Design Commission review, the City will schedule a presentation

to the local community board for the project, if applicable. The Consultant will

attend the community board meeting to answer any relevant questions and give a

presentation if requested.

3. Public Design Commission

Following the presentation of the Artist’s Conceptual Design proposal to the

community board or, if no such presentation is made, after the Conceptual Design

is approved by the CRG, DDC, and DCLA will submit the artist’s proposal to the

Public Design Commission for Conceptual review. During the period in which the

Public Design Commission is considering the Conceptual Design proposal, the

Artist and Consultant shall be available to meet with the Project Team, Percent for

Art Program, and/or Public Design Commission to discuss the Conceptual Design

proposal and make revisions as requested. The Consultant shall accompany the

artist to the Public Design Commission hearing for the artist’s Conceptual Design

proposal, if applicable, and be prepared to answer any relevant questions.

If applicable, Payment Milestone B (Conceptual Design) is payable upon approval

by Public Design Commission of the Conceptual Design proposal for the artwork.

c. Construction Documents Phase

i. Artist Preliminary Design Development

After Public Design Commission approval of the Artist’s Conceptual Design proposal,

the Artist will prepare and submit to the Consultant a detailed Preliminary Design

proposal for the artwork. The Preliminary Design proposal should specify the materials,

dimensions, weight, ﬁnish, proposed site preparation requirements, proposed installation

method, and any additional modiﬁcations to the site necessary to prepare it for the

artwork. To assist the artist in preparing the Preliminary Design proposal, the Consultant

shall furnish to or obtain for the artist all drawings, material samples, and other similar

documentation necessary to enable the artist to prepare the Preliminary Design

proposal in compliance with any applicable legal requirements.

ii. Artwork Site Preparation/Design Integration

The Consultant is responsible for coordinating the design of the selected site with the

artwork, including engineering and detailing all resources necessary to support the

artwork and/or accommodating electrical, structural, landscaping, lighting, footings,

plumbing, and any other loads imposed by the artwork; provided, however, that all such

work shall have been fully outlined and approved in advance by the City as part of the

approved artwork design. By 75% CD review, the CDs shall note all artwork locations

on relevant drawings and all required site preparation shall be detailed, including any

drawings, dimensions, speciﬁcations, notes, and/or other information required by the

Contractor; or that are necessary for proper coordination during construction.

iii. Artist Preliminary Design Review

1. Core Review Group

Upon the Artist’s submission of a fully developed Preliminary Design proposal, the

Consultant shall arrange for review of the Preliminary Design proposal by the CRG.

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2. Public Design Commission

Following CRG approval of the artist’s Preliminary Design proposal, DDC and DCLA

will submit the artist’s proposal to the Public Design Commission for Preliminary

review. During the period in which the Public Design Commission is considering the

Preliminary Design proposal, the artist and Consultant shall be available to meet

with the Project Team, Percent for Art Program, and/or Public Design Commission

to discuss the Preliminary Design proposal and make revisions as requested. The

Consultant shall accompany the artist to the Public Design Commission hearing for

the artist’s Preliminary Design proposal, if applicable, and be prepared to answer

any relevant questions.

If applicable, Payment Milestone C (Preliminary Design) is payable upon approval

by Public Design Commission of the Conceptual Design proposal for the artwork.

d. Construction Administration Phase

i. General Construction Coordination

The Consultant will monitor construction progress, with special attention paid to

ensuring that site preparation for the artwork is scheduled appropriately, executed

correctly, and coordinated with any relevant sub-contractors.

ii. Artwork Shop Drawings Review

The Consultant, along with the CRG, shall review all shop drawings, including materials,

means, and methods, and provide comment. The Consultant should inform the CRG

in writing of any proposed deviation from the approved Preliminary Design for the

artwork. Signiﬁcant changes in the appearance, color, or dimensions of the artwork may

require submission of an amended Preliminary Design proposal to the Public Design

Commission for review. Upon approval of shop drawings for the artwork, a Notice to

Fabricate will be issued by DDC. Fabrication should not commence before a formal

Notice to Fabricate is issued.

If applicable, Payment Milestone D (Notice to Fabricate) is payable upon the artist’s

submission of approved schedule for fabrication and installation, and receipt of a Notice

to Fabricate.

iii. Artwork Inspection at 50% Fabrication

The Consultant, along with the City, will inspect the artwork at 50% fabrication

completion and provide comment. The Consultant should inform the CRG in writing

of any deviation from the approved Preliminary Design and/or shop drawings for the

artwork. Upon approval by the CRG, DDC will issue a letter documenting the approval.

If applicable, Payment Milestone E (50% Fabrication) is payable upon 50% completion

of the fabrication of the artwork, as determined by the CRG.

iv. Artwork Inspection at 100% Fabrication

The Consultant, along with the City, will inspect the artwork at 100% fabrication

completion and provide comment. The Consultant should inform the CRG in writing

of any deviation from the approved Preliminary Design and/or shop drawings for the

artwork. Upon approval by the CRG, DDC will issue a letter documenting the approval.

If applicable, Payment Milestone F (100% Fabrication) is payable upon completion of

the fabrication of the artwork and preliminary acceptance of the artwork by the CRG.

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v. Artwork Installation

Once installation of the artwork is complete, the Consultant, along with the City, shall

inspect the artwork along with any related plaques or signage and provide comment.

The Consultant should inform the CRG in writing of any deviation from the approved

Preliminary Design for the artwork, or if there are outstanding construction issues that

affect or may affect the artwork. If, after artwork installation, there will be ongoing or

future construction activities that could affect the artwork, the Consultant shall ensure

that appropriate measures are being taken to protect the artwork. Upon approval by the

CRG, DDC will issue a letter documenting the approval.

If applicable, Payment Milestone G (Installation) is payable upon determination by the

CRG that the artwork as installed is ready for review and acceptance by the Public

Design Commission.

vi. Post-Installation

After installation approval and the resolution of any missing, incorrect, or incomplete

items affecting the artwork, the Artist shall submit their ﬁnal deliverables to the City,

including installation photos of the artwork in situ. DDC and DCLA will then submit the

artwork installation photos to the Public Design Commission for Final Review.

vii. Artist Payment

If applicable, Payment Milestone H (Final Acceptance) is payable upon Final

Acceptance of the artwork by the Public Design Commission and completion of all other

service required of the artist under the Percent for Art contract, including submission to

Percent for Art of all required documentation.

2) CAPITAL PROJECT SCOPE DEVELOPMENT (CPSD) DELIVERABLES

a. New Artwork

The Consultant should assess the applicability of LL 65/1982 (the Percent for Art Law) to the

capital project. If the Consultant determines that Percent for Art likely applies, an anticipated

approach, budget, and possible locations or other recommendations related to the commissioning of

new artworks should be included in the Phase 3 and Final CPSD Reports.

b. Existing Artwork

If the project includes existing artwork(s), commissioned through the Percent for Art program or

otherwise, the Consultant should also assess the applicability of LL 65/1982 (the Percent for

Art Law) to the capital project regarding artwork conservation or relocation. If the Consultant

determines that Percent for Art likely applies, an anticipated approach, budget, and locations or

other recommendations related to the conservation or relocation of the existing artwork(s) should

be developed and included in the Phase 3 and Final CPSD Reports. Any measures necessary to

protect existing artwork(s) during construction should also be identiﬁed in the Final CPSD Report,

even if the artwork is not likely eligible for conservation through the Percent for Art Program.

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H. DELIVERABLES

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CHAPTER 10:

REGULATORY

APPROVALS

A. INTRODUCTION

B. REGULATORY APPROVAL SERVICES

C. REGULATORY APPROVAL DELIVERABLES

D. DEPARTMENT OF BUILDINGS

E. NEW YORK CITY COMMUNITY BOARDS

F. PUBLIC DESIGN COMMISSION

G. LANDMARKS PRESERVATION COMMISSION

H. ADDITIONAL REGULATORY AGENCIES

242242

243243

A. INTRODUCTION

The Consultant is responsible for ﬁling complete applications and documentation, and for obtaining all approvals

for the project in accordance with current requirements of the appropriate regulatory entities and utility

companies.

B. REGULATORY APPROVAL SERVICES

It is the professional responsibility of the Consultant to ensure that the project’s design satisﬁes all applicable

codes and regulations. The Consultant shall ﬁle complete applications and documentation to obtain required

approvals from the appropriate regulatory entities and utility companies. The Consultant shall include projected

dates for all required regulatory approvals and utility company applications in the overall project schedule and

update the status on a regular basis.

1) The Consultant shall ﬁle for utility service requests at the earliest possible time because review periods

can be of considerable duration. Where the same utility company provides electric, gas, and/or steam

service, requests for such services must be made at the same time. The Consultant shall include a plot

plan of the proposed building, with the desired points of service entry measured from a ﬁxed surveyed

point. The Consultant will submit a copy of accepted service requests to the DDC Project Manager.

2) Immediately upon ﬁling any application, the Consultant shall submit copies to the DDC Project Manager

and the Ofﬁce of Community Outreach & Notiﬁcation (OCON). The Consultant must follow through to

insure rapid handling and examination, to minimize time loss. The Consultant must notify the DDC Project

Manager if any delays occur. Copies of responses from regulatory agencies and utilities must be submitted

to the DDC Project Manager.

3) When approvals have been received and changes are subsequently made which affect the work, the

Consultant shall arrange to ﬁle amendments and receive approvals for the revised work. The Consultant

shall advise the DDC Project Manager and OCON of any developments which conﬂict with submittals

under review or submittals previously approved by regulatory agencies.

4) The Consultant shall provide documents required for permitting amendments and sign-offs.

CHAPTER 10: REGULATORY APPROVALS

A. INTRODUCTION

B. REGULATORY APPROVAL SERVICES

244244

C. REGULATORY APPROVAL

DELIVERABLES

1) DELIVERABLES BY PHASE

Copies of all regulatory agency approvals of both plans and applications shall be included in the required

milestone submissions.

a. Schematic Design

i. Any regulation that impacts the siting or other schematic development of the project

must be resolved prior to the conclusion of the SD phase to ensure that there are no

fatal ﬂaws in the selected scheme. This includes zoning issues requiring a determination

(ZRD1), egress easements, or other property line issues that may impact the building’s

footprint.

ii. Public Design Commission Review. See section in this Chapter for requirements.

b. Design Development

i. Determinations by the New York City Department of Buildings (DOB)

Any item requiring clariﬁcation or pre-consideration by the DOB must be ﬁled as a

Construction Code Determination (CCD1) and fully resolved by the conclusion of the

DD phase. Approved CCD1s are to be included with the DD Submission.

The DOB has primary responsibility for the enforcement of the NYC Building, plumbing,

mechanical, fuel and gas, electrical, energy conservation codes, the Zoning Resolution,

portions of the NYS Multiple Dwelling Law and Labor Laws, as well as the enforcement

of regulations relating to construction, alteration, maintenance, use, occupancy, safety,

and sanitary conditions of buildings in New York City. The DOB also issues violations for

non-compliance with the Building Code. Some NYC Building Code items and ﬁlings also

require approval by the DEP, DOT, FDNY, OER, or other agencies. Projects adjacent to

waterways are reviewed by the New York City Department of Small Business Services

(SBS) rather than the DOB.

ii. Hazardous Materials

When hazardous material abatement is not performed by DDC, the Consultant shall ﬁle

the appropriate documentation with DEP and DOB.

iii. Public Design Commission Review. See section in this Chapter for requirements.

iv. Landmarks Preservation Commission. See section in this Chapter for requirements.

c. 75% CD

i. Plan/Work Applications

The initial DOB Filing Set should be completed and ﬁled with the DOB before the 75%

CD phase. Electronic ﬁlings are preferred by DDC. The Consultant shall ﬁle appropriate

applications with DOB for project work. The Consultant shall be governed by DOB

application and approval procedures as related to individual application type, such as

New Building, Alteration, Use Permits, Public Assembly, etc.. Any ﬁlings with other

Agencies having Jurisdiction must also be initiated prior to the 75% CD Phase. Filing ID

numbers shall be provided as part of the submission.

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C. REGULATORY APPROVAL DELIVERABLES

245245

ii. Special Inspections/Progress inspections

Special/progress inspections are paid for and furnished by DDC. For each project

DDC will identify the Registered Professional responsible for the special/progress

inspections. The Consultant is responsible for identifying all items that will require

special inspections. This information should be provided to DDC four weeks prior to

the projected pre-ﬁling date at the DOB. After the application is approved, DDC will

designate the special/progress Inspection provider who will perform the inspections.

iii. Builder’s Pavement Plan (BPP)

The Builder’s Pavement Plan Unit of the DOB and DOT reviews and approves paving

applications that are required for all new buildings and Alt 1 projects. Paving plans must

show sidewalks, street trees, curbs, roadway work, street modiﬁcations, sidewalk vaults,

drainage across sidewalks, and planned legal sidewalk, road, and curb elevations as

established by DOT or by ofﬁcial waiver of legally established grades.

iv. Department of Small Business Services (SBS)

The Waterfront Permits unit at SBS, instead of DOB, reviews and approves construction

on properties adjacent to the waterfront and certain other specialty projects.

v. Public Design Commission Review. See section in this Chapter for requirements.

vi. Any related existing violations which will be corrected during the process of the

application shall be included in the application process.

d. 100% CD

Any objections received by any authority having jurisdiction are to be submitted with the 100% CD

Submission.

i. B-Scan/DOB Now: Build

The Consultant shall provide copies of DOB approved plans and applications to DDC to

be held at the project construction site. The documents shall bear original DOB approval

stamp. Whenever E-ﬁling, or DOB Now Filing, Consultant shall include DDC staff (CPM,

PM, Deputy Director and Director) as delegates.

ii. Amendments

The Consultant must ﬁle amendments for changes implemented during construction

that cause the executed work to differ from that for which approvals were originally

obtained from the regulatory agencies.

iii. Sign-offs and Certiﬁcate of Occupancy

Consultant participation may be required during the sign-off and the Certiﬁcate of

Occupancy process at the DOB. Any related existing violations corrected during the

process of the application shall be administratively closed out.

iv. Record Set

The Consultant shall also provide a digital copy of scanned, approved plans and

applications on a digital storage device for DDC’s records.

CHAPTER 10: REGULATORY APPROVALS

C. REGULATORY APPROVAL DELIVERABLES

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D. DEPARTMENT OF BUILDINGS

1) BACKGROUND AND HISTORY

a. Background

i. The Department of Buildings (DOB) promotes the safety of all people that build, work,

and live in New York City by regulating the lawful use of over one million buildings

and construction sites across the ﬁve boroughs. The Department enforces the City’s

Construction Codes, Zoning Resolution, and the New York State Multiple Dwelling Law.

ii. The Department enforces compliance with these regulations through its review and

approval of building plans, permitting and licensing functions, and inspections.

2) DEPARTMENT OF BUILDINGS REVIEW IS REQUIRED IN THE FOLLOWING

INSTANCES:

a. Building Systems Installation & Modiﬁcations

b. Alterations

c. Renovations

d. Demolition

e. Construction Equipment

f. New Buildings

3) SUBMISSION REQUIREMENTS

a. DOB Is in a process of modernizing its submission interfacing. As a result, there are currently three

approaches to submitting initial applications. They are:

i. Manual paper ﬁling which should be avoided at all costs. Forms may be found here:

https://www1.nyc.gov/site/buildings/about/forms.page

ii. Hub Filing otherwise called E-ﬁling or E-submit. This method is ﬁrst generation of

e-ﬁling and has 4 variants (Development Hub, Hub Full-Service, Hub Self-Service, NYC

Development Hub) https://a810-eﬁling.nyc.gov/eRenewal/loginER.jsp

iii. DOB Now: Build not to be confused with DOB Now: Safety, DOB Now: Inspections,

DOB Now: Licensing which is the second-generation e-ﬁling and DDC preferred

method of ﬁling. https://a810-dobnow.nyc.gov/publish/#/ For more, see their FAQ and

Resources sections.

1. Each of the above forms of ﬁling has three variants for review type:

a. Plan examined (DDC preferred variant)

b. Self-Certiﬁcation of objections

c. Self-Certiﬁed

CHAPTER 10: REGULATORY APPROVALS

D. DEPARTMENT OF BUILDINGS

247247

2. Closeout inspections have two variants:

a. Self-Certiﬁed usually called Directive 14

b. Agency inspection usually called Non-directive

b. Minimum DOB submission requirements for ﬁrst review are:

i. Initial Application form (PW1, PA1, Laa1 or other)

ii. 3 sets of plans conforming to Bscan standards

iii. Cost afﬁdavit (PW3)

iv. Identiﬁcation of special and progress inspections (TR forms)

v. Asbestos Form or ﬁling with DEP

c. Upon receipt of initial objections from DOB the applicant shall schedule

meetings with the plan examiner to resolve objections. Objections are usually

resolved by processing a Pre-approval amendment:

i. Submitting a PW1 to clerical staff and an AI1 form listing resolution by objection

number and meeting with the plan examiner in ofﬁce or virtually

ii. Meeting with plan examiner and their supervisor (for objections not resolved in previous

step)

iii. Meeting with Chief plan examiner (for objections not resolved in previous step)

iv. Submitting a formal reconsideration process for Commissioner’s review or Technical

review

v. Getting mayoral override or affected agency waiver

4) TIMING OF SUBMISSIONS

Projects are submitted prior to 75% CD. As determined complex projects requiring DOB Zoning or

Building Code pre-determinations may also require submission earlier in the timeline. On occasion,

relatively simple projects may be ﬁled at about 90% CD. Approval shall be attained prior to construction

kickoff meeting.

5) POST-APPROVAL AMENDMENTS

DOB has a process to amend initial approvals via the Post Approval Amendment process. This process

is basically the same as the initial approval. Changes are submitted to DOB / Changes are reviewed /

Objections are resolved via appointments and approval is obtained.

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D. DEPARTMENT OF BUILDINGS

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E. NEW YORK CITY COMMUNITY

BOARDS

1) BACKGROUND AND HISTORY

Community boards are local representative bodies. There are 59 community boards throughout the City,

and each one consists of up to 50 unsalaried members, half of whom are nominated by their district’s City

Council members. Board members are selected and appointed by the Borough Presidents from among

active, involved people of each community and must reside, work, or have some other signiﬁcant interest

in the community. Each community board is led by a District Manager who establishes an ofﬁce, hires

staff, and implements procedures to improve the delivery of City services to the district. While the main

responsibility of the board ofﬁce is to receive complaints from community residents, they also maintain

other duties, such as processing permits for block parties and street fairs. Many boards choose to

provide additional services and manage special projects that cater to speciﬁc community needs, including

organizing tenants associations, coordinating neighborhood cleanup programs, and more.

2) RESPONSIBILITIES & COMMITTEES

a. Responsibilities, include but are not limited to:

i. Dealing with land use and zoning issues: CBs have an important advisory role and

must be consulted on the placement of most municipal facilities in the community.

Applications for a change in or variance from the zoning resolution must come before

the board for review, and the board’s position is considered in the ﬁnal determination.

ii. Assessing the needs of their own neighborhoods: CBs assess the needs of their

community members and meet with City agencies to make recommendations in the

City’s budget process.

iii. Addressing other community concerns: Any issue that affects part or all of a community,

from a trafﬁc problem to deteriorating housing, is a proper concern of community

boards. It is important to note that while community boards serve as advocates for their

neighborhood, they do not have the ability to order any City agency or ofﬁcial to perform

any task. Despite this limitation, boards are usually successful in resolving the problems

they address.

b. Committees:

Board committees do most of the planning and work on the issues that are brought to action

at community board meetings. Each community board establishes the committee structure

and procedures it feels will best meet the needs of its district. Committees may be functional

committees that deal with speciﬁc Charter mandates (e.g. “Land Use Review” and “Budget”

committees) or agency committees that relate to a particular agency (e.g. “Police” and “Sanitation”

committees), among other structures. Non-board members may apply to join or work on board

committees, which helps provide additional expertise and manpower.

CHAPTER 10: REGULATORY APPROVALS

E. NEW YORK CITY COMMUNITY BOARDS

249249

3) CONSULTANT RESPONSIBILITIES

a. Community Boards have pre-set meeting dates/times/locations. This is something to keep in

mind when LPC or PDC approval is required before DOB permits may be issued. The Consultant

must anticipate the need to present to the community board and as soon as possible and with

the knowledge and assistance of DDC-Ofﬁce of Community Outreach & Notiﬁcation (OCON). It

is much more likely to be added to the agenda for any particular committee one or two months in

advance then it is to be added on an agenda that is only a few days or weeks away.

b. Community Boards generally do NOT have any meetings in July or August (Summer Hiatus)

c. The Consultant must prepare presentations and must attend/present as required by the needs of

the project and by DDC.

F. PUBLIC DESIGN COMMISSION

1) OVERVIEW

a. Background

The Public Design Commission (PDC) is New York City’s design review agency. PDC approval is

required for work on City-owned property as stipulated in Chapter 37 of the New York City Charter.

PDC reviews projects during design, construction, and closeout, and PDC approval is required to

obtain a building permit and a Certiﬁcate of Occupancy from the Department of Buildings (DOB).

By properly planning for PDC review, teams can ensure an efﬁcient process that does not impact

the project schedule. All submissions and communication with PDC are managed via DDC’s PDC

liaisons, who are responsible for guiding teams through the review and approval process and

handling all PDC-related matters on behalf of the agency.

b. History

PDC was originally established as the Municipal Art Commission in 1898 to regulate public art

and architecture. Created in response to the City Beautiful movement, the Art Commission was

established as part of the City Charter that consolidated the ﬁve boroughs into a single municipality.

It was renamed the Public Design Commission in 2008 to better reﬂect its mission: “As an advocate

for excellence and innovation in the public realm, the PDC works to ensure the quality and viability

of public projects, programs, and services for New Yorkers in all ﬁve boroughs for years to come.”

Additional information can be found on the Commission’s website at: http://www1.nyc.gov/site/

designcommission/index.page

c. People

PDC is comprised of eleven Commissioners serving pro bono and a staff headed by an executive

director. As stipulated by the City Charter, the Commissioners include an architect, landscape

architect, painter, sculptor, and three lay members, all of whom are nominated by the Fine Arts

Federation and appointed by the mayor. They also include one representative of the Mayor’s ofﬁce,

the Metropolitan Museum of Art, the New York Public Library, and the Brooklyn Museum.

CHAPTER 10: REGULATORY APPROVALS

F. P U B LIC DES IGN COMM IS SION

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d. Purview

PDC reviews permanent works of architecture, engineering, landscape, and art on City-owned

property, where “permanent” is deﬁned as lasting for 365 days or more. PDC reviews exterior work

only, regardless of whether that work is visible, except in the case of art. PDC reviews all artworks

on City-owned property, both exterior and interior, and serves as the curator and caretaker of the

City’s public art collection.

Properties designated as NYC landmarks are subject to review by the Landmarks Preservation

Commission (LPC) instead of PDC. However, PDC has binding jurisdiction over construction of

new structures and works of landscape architecture within scenic landmarks. Additionally, PDC

has binding jurisdiction of all works of art on City owned property, including designated Landmarks.

In cases where PDC review is binding, LPC has advisory review and a written Advisory Report

from LPC must accompany the submission to PDC. See Landmarks Preservation Commission

section in this Chapter for more information, including jurisdictional purview, and to PDC’s website

for additional jurisdictional information: http://www1.nyc.gov/site/designcommission/review/

jurisdiction.page

e. Role of DDC’s PDC Liaisons

DDC’s Project Excellence team serves as the liaison to PDC, managing the submission process

and handling all PDC-related matters on behalf of the agency and its Consultants. The team

provides guidance on civic design requirements and best practices to aid projects in receiving

timely approval. DDC’s PDC liaisons advise teams on the required PDC approvals, provide up-to-

date guidance on submission requirements, and provide an in-depth review of all draft submissions

before they are submitted to PDC. All communication between project teams and PDC is handled

via the liaisons, who further assist in acquiring the requisite agency signoffs from DDC and partner

agencies. Liaisons are key stakeholders in all projects requiring PDC review and approval and

remain engaged from project kickoff through design and construction.

2) REQUIRED REVIEWS

a. Overview

PDC reviews and approves projects during design, construction, and project closeout. PDC

Commissioners meet once a month to review projects submitted by all agencies City-wide. To

be reviewed at PDC’s monthly meeting, projects must be listed on DDC’s monthly transmittal and

submitted to PDC on the required date. Before a project can be submitted to PDC, a complete

draft of the submission must be reviewed and approved by DDC’s PDC liaisons. PDC’s monthly

meeting calendar is posted on their website, and DDC’s PDC liaisons maintain and distribute a

calendar that includes draft submission deadlines.

b. Stakeholder Review and Approval

Before a project can be submitted to PDC for review and approval, it must be reviewed and

approved by all stakeholders, including the DDC Program Unit, A&E, and Project Excellence

teams, the Sponsor Agency, and any other agencies with jurisdiction over the project or site. In

addition, the community is given the opportunity to review projects prior to PDC review through the

Community Board process.

All projects subject to the Uniform Land Use Review Procedure (ULURP) must be reviewed by

PDC at a conceptual level during the application and pre-certiﬁcation phase, and prior to ULURP

certiﬁcation. Submission should be made at or around the same time as the Department of City

Planning (DCP) inter-divisional meeting.

See the Additional Regulatory Agencies section in this Chapter for additional information on partner

agency and Community Board requirements.

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c. Review of Capital Projects During Design

During design, the requirements for PDC review and approval depend on project type, scope, and

complexity. Large or complex projects such as new buildings, major additions or renovations, and

master plans, require at least three levels of design review. Standard projects, such as façade

replacements, ADA upgrades, and site improvements, typically require two levels of design review.

Projects with limited exterior scope, such as system upgrades, may qualify for a single level of

design review. Teams must consult with DDC’s PDC liaisons at project kickoff and throughout

design and construction to identify all required PDC reviews.

i. Conceptual Review

Conceptual review and approval occurs at Schematic Design Interim II Submission,

after selection of a schematic design scheme. It is required for all new buildings

and signiﬁcant additions, major infrastructure, master plans, or other large-scale or

complex projects. As noted above, all projects subject to the Uniform Land Use Review

Procedure (ULURP) must receive PDC conceptual review prior to ULURP certiﬁcation.

PDC conceptual review occurs prior to review by Community Board.

ii. Preliminary Review

Preliminary review and approval occurs at Schematic Design Final Submission. It

is required for all projects that were reviewed at a conceptual level, and for all other

projects with exterior work unless they qualify for a single design review as described

below. PDC preliminary review occurs after review by the Community Board. If the

design changes substantially after this milestone, the project must be submitted for

interim review as described below.

iii. Final Review and Combined Preliminary/Final Review

Final review and approval occurs at approximately 75% CD and is required for all

projects with exterior work, including those that were reviewed at conceptual and

preliminary levels. Projects with limited exterior scope, such as system upgrades, roof

replacements, or window replacements, may qualify for a single combined preliminary/

ﬁnal review at this milestone as identiﬁed by DDC’s PDC liaisons. PDC preliminary/ﬁnal

review occurs after review by the Community Board.

Final approval by PDC is required to obtain a building permit from the Department

of Buildings and must be secured before construction can proceed. If the design

changes after this milestone, the project must be submitted for amended ﬁnal review as

described below.

iv. Interim Review

Interim review and approval occurs between preliminary and ﬁnal review, and may be

required to address any conditions of approval stipulated by PDC at preliminary review.

Interim review is also required when the design changes substantially after preliminary

approval. DDC’s PDC liaisons guide the team in determining whether interim review is

required or appropriate.

v. Informal Review

Informal review is available for complex and high-priority projects with expedited

timelines, including projects receiving an Emergency Declaration. It occurs during a

pre-schematic or master plan phase, or during the early stages of schematic design.

Informal review does not take the place of the required design reviews but, for time-

sensitive projects, can aid in achieving Commission buy-in and support early decision-

making.

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d. Review of Capital Projects During Construction

i. Amended Final Review/Construction Change

Amended ﬁnal review and approval occurs when the design changes after the project

has received ﬁnal approval. When this occurs during construction, amended ﬁnal

review is also known as “construction change review,” and design revisions must be

submitted to PDC prior to proceeding with the work. To expedite the approval process,

construction change submissions have an abbreviated set of requirements and may be

submitted outside the typical review cycle upon coordinating with DDC’s PDC liaisons.

ii. Extension of Approval

Extension of approval occurs when the ﬁnal approval expires prior to the start of

construction. Final approval by PDC is conditioned on construction commencing within

two years.

e. Review of Capital Projects During Closeout

i. Final Sign-off

Final sign-off occurs when the construction of a project is complete. It is required to

demonstrate that the project was built as approved.

Final sign-off by PDC is required to close out a building permit and obtain a Certiﬁcate

of Occupancy from the Department of Buildings.

f. Waivers for Replacement-in-Kind

For projects eligible for a PDC waiver, the waiver request occurs after a permit application has been

submitted to DOB and DOB has returned an objection identifying the requirement for PDC review.

Waivers are available for projects where the exterior work is strictly limited to repair or replacement-

in-kind, with replacement components having the same speciﬁcations, size and ﬁnish as existing

components. Replacement of exterior mechanical equipment does not typically qualify for a waiver.

DDC’s PDC liaisons will advise whether the project qualiﬁes for a waiver.

g. Review of Artwork

Artwork is subject to separate review and approval by PDC, including the installation of new artwork

through the Percent for Art program and the conservation or relocation of existing artwork. DDC’s

PDC liaisons and Public Art team provide guidance on submission requirements and coordination

with capital project submissions.

i. Percent for Art

PDC requires Percent for Art projects to be submitted for conceptual, preliminary, and

ﬁnal review. Conceptual review and approval occurs early in the design process and

should occur when the associated capital project is submitted for preliminary review.

Preliminary review and approval of Percent for Art projects occurs prior to fabrication,

and requires information on the fabricator, installation speciﬁcations, maintenance

requirements, and maintenance funding. Final review and approval occurs after

installation of the artwork and is required to demonstrate that the work was installed

as approved. As with capital projects, interim review may be required to resolve any

conditions of approval or to address substantial changes after approval. DDC’s PDC

liaisons guide the team in determining whether interim review is required or appropriate.

See Chapter 09: Percent for Art.

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ii. Artwork Relocation and Conservation

PDC requires any conservation, repair, alteration, removal, or relocation of existing City-

owned artwork to be submitted for preliminary and ﬁnal review. For complex projects or

when additional guidance is needed, projects can be submitted for conceptual review

before requests for proposals (RFPs) are completed and/or before a conservation

team has been engaged. Preliminary review and approval occurs prior to the start of

work. Final review and approval occurs after the work is complete and is required to

demonstrate that the work was executed as approved.

3) SUBMISSION REQUIREMENTS

Each type of PDC review has speciﬁc submission requirements, many of which are detailed on checklists

speciﬁc to the submission (conceptual, preliminary, etc.) and project type (structures, open spaces, etc.)

DDC’s PDC liaisons provide the relevant checklists and submission instructions. For submission types that

do not have a checklist, DDC’s PDC liaisons identify the items required for the submission.

For any submissions that require an application as identiﬁed on the checklist, DDC’s PDC liaisons are

responsible for completing the application, obtaining the required agency signatures, and delivering the

original application to PDC.

4) SUBMISSION PROCESS

Successful review and approval by PDC requires that teams work closely with DDC’s PDC liaisons

throughout the project to accurately plan for all required approvals.

a. Early Planning

The team must consult with DDC’s PDC liaisons early in the design process to identify the required

PDC approvals. This early coordination ensures that the PDC review and approval process does

not impact the overall project schedule. DDC’s PDC liaisons remain key stakeholders throughout

the design and construction process and will guide the team in planning for PDC approvals in the

event of scope or design changes.

b. Pre-Submission Planning

Two to three months prior to submitting for PDC review, teams must reach out to DDC’s PDC

liaisons to obtain the current review calendar, submission checklist, and project-speciﬁc instructions

and guidelines.

c. Submission and Review of Drafts

DDC requires that a complete draft of the submission, including all items on the checklist, be

provided to DDC’s PDC liaisons by noon two weeks prior to the PDC submission date. Additional

time may be required for large or complex projects that require submission by multiple agencies.

Prior to submission of a draft, the design of the project must be approved by the DDC Program

Unit and A&E team, in addition to the Sponsor Agency and any other agencies with jurisdiction

over the site. DDC’s PDC liaisons review the draft for completeness and clarity of the submission,

conformance to PDC requirements and guidelines, alignment with city-wide standards and best

practices, and appropriateness of the design. Multiple draft revisions may be required within the

two-week period prior to PDC submission.

For certain high-priority projects, DDC may require the Consultant to present the project in person

at DDC before it is submitted to PDC. This meeting generally occurs at least one week prior to the

submission to PDC.

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d. PDC Submission

PDC requires submission of hard copies, samples and models, and digital ﬁles as described

below. With the exception of the application form and Community Board letter, all items are the

responsibility of the Consultant. DDC’s PDC liaisons complete the required application form,

obtain the requisite agency signature(s), and deliver the monthly transmittal, signed application, and

Community Board letter to PDC.

i. Submission of Digital Files

DDC submits all digital ﬁles to PDC directly. A complete digital submission, including a

checklist and all indicated items, must be submitted to DDC’s PDC liaisons by noon on

the day before the PDC submission date.

ii. Submission of Hard Copies

Hard copies are delivered by the Consultant to the north entrance of 1 Centre Street

and dropped off in the mail room for screening. All materials must be clearly labeled

with the project name and addressed to the Design Commission at City Hall, Third

Floor. Hard copy submissions are due on the submission date by noon and may not be

delivered early.

iii. Submission of Samples and Models

Large or delicate samples and models may be delivered directly to PDC’s ofﬁces on the

third ﬂoor of City Hall on the submission date. Such deliveries must be coordinated in

advance with DDC’s PDC liaisons, who will arrange a delivery time with PDC staff.

After PDC has completed their review, the Consultant will be required to pick up any

models or large samples at a pre-arranged time coordinated via DDC’s PDC liaisons.

e. PDC Review

Upon submission to PDC, the project is reviewed by staff and informal committees of

Commissioners. PDC provides feedback including questions, requests for information, and requests

for revision. These requests are conveyed to the team via DDC’s PDC liaisons and require timely

response due to the limited review period.

f. PDC Meeting

Three business days prior to the monthly meeting, PDC distributes a meeting agenda via DDC’s

liaisons. The agenda includes three sections: Committee, Consent, and Public Hearing. Projects

on the Committee Agenda will be presented to PDC by the Consultant, with the DDC and Sponsor

Agency teams in attendance. Projects listed on the Consent Agenda are recommended for

approval at the meeting and do not require attendance by the team. Projects may be scheduled for

a Public Hearing if a member of the public wishes to testify.

The meeting agenda is limited to the major types of design review submission (conceptual,

preliminary, and ﬁnal review, with interim review submissions occasionally presented). Other

submission types, such as construction changes, are handled via communication with DDC’s PDC

liaisons and are not included on the meeting agenda.

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i. Meeting Attendance

Meetings are typically held in PDC’s ofﬁces on the third ﬂoor of City Hall, and teams

presenting a project on the Committee Agenda are required to arrive 45 minutes in

advance of their scheduled presentation. However, meeting times and locations are

subject to change and will be conﬁrmed by DDC’s PDC liaisons.

PDC will have the team’s submitted presentation displayed on a screen, and samples

and models will be laid out on a table. Teams may not bring any new material to the

meeting.

g. Approval and Documentation

Following the monthly meeting, PDC distributes formal communication documenting the results of

their review. The type of communication depends on the type of review. In addition, PDC meetings

are video recorded and may be viewed via a link on PDC’s website. All communication from PDC is

distributed via DDC’s PDC liaisons.

i. Interagency Communication Memo

Projects that were presented at the monthly meeting as part of the Committee Agenda

will receive an interagency communication memo summarizing feedback from the

Commission and identifying the next step. Formal approval is not granted by the

interagency communication memo, but the project may be recommended for approval at

PDC’s next meeting.

ii. Certiﬁcate and Perforated Drawing Set

Projects on the Consent Agenda will receive a numbered certiﬁcate, which serves as the

formal documentation of PDC approval. The certiﬁcate types are as follows: Conceptual

(for Percent for Art projects only), Preliminary, Final, and combined Preliminary/Final.

Preliminary certiﬁcates may include conditions of approval that must be addressed in

subsequent submissions.

Certiﬁcates for ﬁnal approval include the following conditions: that construction must

commence within two years of the certiﬁcate date, and that photographs be submitted

for ﬁnal sign-off upon completion of the work. For projects receiving ﬁnal approval,

PDC also provides a perforated drawing set for record of the approved design.

iii. Email

PDC may require that a project be revised and resubmitted at a subsequent submission

date before it is calendared for the monthly meeting. This type of request is

communicated via email to DDC’s PDC liaisons.

For submission types not listed on the monthly meeting agenda, including construction

changes, ﬁnal sign-offs, and some interim submissions, PDC’s response will be provided

by email via DDC’s PDC liaisons. This email serves as the formal documentation of

PDC’s review and approval.

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G. LANDMARKS PRESERVATION

COMMISSION

1) BACKGROUND AND HISTORY

a. The Landmarks Preservation Commission (LPC) is the mayoral agency responsible for designating

and protecting New York City’s architecturally, historically, and culturally signiﬁcant buildings

and sites. Since its creation in 1965 by the Landmarks Law, Section 3020 of the New York City

Charter, and Chapter 3 of Title 25 of the Administrative Code, LPC has granted landmark status

to more than 36,000 buildings, including 1,415 individual landmarks, 120 interior landmarks, 11

scenic landmarks, and 144 historic districts in all ﬁve boroughs. The agency consists of eleven

commissioners comprised of at least three architects, a historian, a realtor, and a planner or

landscape architect, as well as at least one commissioner from each borough. The paid chair leads

the agency and a staff headed by the executive director.

b. The objective of designating landmark properties is to “safeguard the city’s historic, aesthetic,

and cultural heritage” and to “foster civic pride in the beauty and accomplishments of the past.”

Protection of designated properties is achieved through mandatory review and approval of plans for

restoration, alteration, addition, reconstruction or other proposed changes.

c. The LPC has jurisdiction over all properties that are either designated or pending designation as

NYC landmarks. The four types of landmark designation are individual (exterior), interior, scenic,

and historic districts. In addition, projects undergoing City Environmental Quality Review (CEQR)

fall under LPC jurisdiction. Properties reviewed under CEQR or other environmental laws might be

listed on or eligible for the New York State or National Registers of Historic Places or meet criteria

for local designation, even if they are not New York City designated landmarks. CEQR review covers

historic, aesthetic, cultural, archaeological, and architectural resources.

d. Coordination between LPC and the Public Design Commission

Areas of overlapping jurisdiction between the LPC and the PDC have been minimized with the

adoption of Local Law 77 (1995). If the project primarily concerns an individual landmark, or a

project within an historic district, the LPC will conduct the only design review, and PDC review will

not be required. For these projects LPC review and approval will be binding. However, all projects

within scenic landmarks, except for work on existing buildings, and all works of art as deﬁned by the

PDC will continue to require review by both the PDC and LPC.

2) DDC HISTORIC PRESERVATION OFFICE

The DDC Historic Preservation Ofﬁce assists and guides the Consultant in the completion of all steps

leading to approval of the project by the Landmarks Preservation Commission and by other entities

having jurisdiction over historic properties such as the State Historic Preservation Ofﬁce (SHPO). The

DDC Historic Preservation Ofﬁce should be contacted at the outset of projects potentially within the

jurisdiction of the LPC to verify the designation status of the property. Assistance is provided throughout

the application and approval process, and HPO may also monitor the job during construction. The schedule

of LPC submission deadlines and hearings is available on the LPC website. Please note that “landmark

quality” properties also are identiﬁed by the DDC Historic Preservation Ofﬁce. (See Historic Preservation

Design Criteria in Chapter 06: Design Criteria of this Guide for details).

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3) PROCEDURES

There is usually only one formal application to the Landmarks Preservation Commission for a given project;

however, there are sometimes two or more separate submissions. The ﬁrst submission accompanies the

application form for the proposed work. This is typically done during the Design Development phase when

a clear design direction has been determined. At this point a Landmarks Preservation Commission staff

member will be assigned to the project, and the likely level of action, either staff review or public hearing,

will be established.

The second required submission is for the ﬁnal approval, issued in the form of a permit or report. This

submission includes ﬁnal construction documents including speciﬁcations. For some simple and straight-

forward projects, a single submission near the end of design will be sufﬁcient. When a submission for ﬁnal

approval has been deemed complete by LPC staff, the Commission has 45 business days to issue a report.

For more complex projects, such as those involving a Pre-Schematic Phase or extensive alterations to a

landmark, it is important to involve the LPC early. For these projects it is useful to have a pre-submission

meeting with the LPC staff to discuss project scope and possible alternative design strategies. It is also

useful to discuss the scope of work and get advice on appropriate presentation materials. Initial contact

could be by telephone or by a meeting, depending on the nature of the project. HPO will guide the Project

Te am o n th e ap p r opr ia t e t i m ing f o r i n t era ct i o ns w ith L PC b a s ed on t he n at u r e o f t h e p r oje ct .

For projects that require a pre-submission meeting with LPC, the Consultant shall prepare all information

as required to discuss alternate strategies, schematic designs or scopes of work with the LPC staff. DDC

will receive and review the Consultant-prepared materials prior to the meeting with LPC. This meeting

should include the Sponsor Agency, the Consultant, staff of the DDC Historic Preservation Ofﬁce, the

DDC project manager and team leader. After approval by DDC, the Consultant will deliver the required

submission materials to the LPC.

4) SUBMITTAL REQUIREMENTS FOR INITIAL APPLICATION

Please see the Permit Application Guide on the LPC website http://NYC.gov/landmarks for the latest

submission requirements for various types of work. These may specify materials in addition to the

general illustrative materials described below. All submission materials must be approved by DDC prior to

submitting to the LPC. Two sets are required for the LPC and two sets for DDC.

a. Application Form

The application form will be prepared by the HPO staff, with the Chief of Historic Preservation

entered as “Person Filing Application,” and the Associate Commissioner of A&E signing as “Owner.”

b. Landmark Presentation Illustrative Materials

Materials illustrating the proposed design shall include a full and complete set of drawings,

renderings, photographs, and photo-montages that clearly and completely describe all the proposed

work that affects the protected features, interior or exterior, of the landmark structure or site.

Materials will typically show, side by side, historic, existing, and proposed conditions. These typically

include all relevant ﬂoor plans, building sections, exterior elevations, interior elevations if applicable,

details, and building and site context.

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c. Samples

One set of material and color samples with supporting product literature and identiﬁcation

speciﬁcations is required.

d. Research

Relevant research, test reports, and documentation shall be submitted with the application.

e. Presentations to the Landmarks Preservation Commission Staff

Accompanied by DDC staff and the Sponsor Agency representative, the Consultant is required to

make presentations to the LPC staff.

f. Mock-Up Requirements

For all rooftop additions and/or mechanical equipment installations, the Consultant will be required

to provide all necessary information for the construction of a wood or light steel frame mock-up

matching the overall size and conﬁguration of the proposed addition/equipment. Photographs

of the completed mock-up shall be part of the LPC submission package. In certain cases, the

mock-up may be required to remain in place for a period of time to allow Commission members

an opportunity to visit the site. Costs for the construction of the mock-up shall be identiﬁed as a

reimbursable expense or part of the construction budget, depending on the direction of the DDC

project manager.

5) SUBMITTAL REQUIREMENTS AND PROCEDURES FOR A PUBLIC HEARING

(IF REQUIRED)

Projects requiring public hearing review can be scheduled about ﬁve weeks after the Commission receives

a substantially complete application. Hearings are held on at least two Tuesdays per month, generally

during normal business hours. The scheduled time for each item on the day’s calendar is posted on the

LPC web site at the end of the week before the hearing.

If a public hearing is required for LPC review, the Consultant must ﬁrst present the proposed project to

the appropriate committee of the local community board prior to the hearing. The Sponsor Agency will

typically take the lead in scheduling this with the assistance of DDC and the Consultant. Usually one

presentation to the CB committee is sufﬁcient. However, depending on the nature of the proposed project,

the Consultant may be required to present to the full Community board as well. LPC requires that the

community board have the opportunity to review the project and submit a written resolution by the time of

the scheduled Landmarks public hearing.

It is at this stage that the Consultant must include OCON for input regarding the presentation that the

Consultant plans on showing to the Community Board. OCON may require some revisions be made

and provide the Consultant with contacts and guidance on engaging the Community Board. Once the

presentation has been executed, the Consultant will ask the Community Board to provide a “resolution”

letter which is then included as part of the submission to LPC.

Please note that most of the 59 Community Board’s Committees meet only once per month and do not

meet at all in July and August.

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Illustrative materials for the public hearing are as described in section (4) above. In addition, the Consultant

must provide 12 sets of 11 by 17-inch, color copies of the presentation for distribution to the LPC

commissioners. Digital presentations in ﬁnal form can be submitted by PDF or thumb-drive about one

week prior to the hearing. Presentation boards are also acceptable.

At the close of the public hearing, the Commission will vote on the project, request revisions or additional

information, or defer action. A vote, which requires a majority of the 11 commissioners, may be to approve,

approve with speciﬁed modiﬁcations, approve with revisions to be worked out with staff, or deny. A vote

(other than a denial) will result in issuance of a Status Update Letter describing the action taken. This

letter will indicate that a permit (or report) will be issued upon review of ﬁnal contract documents that

conform to the Commission’s approval.

6) SUBMITTAL REQUIREMENTS FOR FINAL APPROVAL

Final Construction Documents shall include:

i. Two sets of signed and sealed drawings and one set of speciﬁcations each for LPC and

DDC.

ii. One set of material and color samples as well as related product literature and

speciﬁcations.

7) CHANGES DURING CONSTRUCTION

If there are changes to the design during construction that deviate from the approved LPC drawings, the

Consultant shall prepare for submission to LPC all necessary drawings and documentation illustrating the

changes, with a letter requesting an amendment prepared by the HPO staff.

8) NOTICE OF COMPLIANCE FROM LPC

At the end of the construction phase, LPC will issue a Notice of Compliance if so requested. The LPC

Notice of Compliance is a requirement by the Department of Buildings before its ﬁnal sign-off. The

Consultant shall submit to DDC ﬁnal photographs with key of all work that affected any of the protected

features of the landmark structure or site. DDC will forward these photographs to LPC with a request for

issuance of a Notice of Compliance. The Consultant shall also submit to DDC and LPC as-built drawings

for any portions of the work that deviate from the LPC-approved drawings. After determining that all the

work was completed in accordance with the approved plans and speciﬁcations as well as any amendments

to the approval, LPC will issue the Notice of Compliance.

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H. ADDITIONAL REGULATORY

AGENCIES

Depending on circumstances, approval may also be required from other agencies. The following list is intended

as a guide and should not be considered comprehensive.

1) NYC DEPARTMENT OF CITY PLANNING (DCP) AND THE CITY PLANNING

COMMISSION (CPC)

The DCP and the CPC have overall responsibility for zoning variances, special permits, and Uniform

Land Use Review Procedure (ULURP). ULURP is required for zoning changes, site selection, acquisition

and disposition of City owned property, select concession contracts, select revocable consents, permits,

and map changes. Consultant services in support or preparation of ULURP shall be identiﬁed in the

Agreement.

2) NYC DEPARTMENT OF TRANSPORTATION (DOT)

DOT is responsible for operations relating to streets, bridges, and tunnels, and the issuance of necessary

permits. These include review and approval, as necessary, by:

a. Administrative Superintendent of Highway Operations (ASHO)

ASHO may place a hold on a permit when the proposed work location is scheduled for resurfacing

by DOT in the near future or was resurfaced within the past 18 months.

ASHO may release the hold if the proposed work can be scheduled or designed in a way that does

not interfere with planned or recent work. ASHO may also place a hold when the proposed work

location is part of a DDC street reconstruction project, in which case DDC will review the permit

and seek to coordinate the proposed work with the reconstruction

b. Bureau of Permit Management and Construction Control (the Bureau)

The Bureau issues permits relating to the maintenance and repair of public roads, streets, highways,

parkways, bridges, and tunnels. Permits are required to be taken out by the Contractor for street

closings, sidewalk and roadway construction, protective bridges (sidewalk sheds) and other similar

construction operations. The Consultant may be required to prepare necessary drawings.

c. Ofﬁce of Franchises, Concessions, and Revocable Consent (OFCRC)

Approval from the OFCRC of DOT is required for any construction extending beyond the property

line, whether above or below street level, that is not exempt by provisions of the NYC Building Code,

and underground tunnels, vaults, and utilities. It is required for other work, including the construction

of bridges over streets and tunnels or utilities under roadways. Such approval can be withdrawn at

any time (revocable consent). Any above ground work, requiring revocable consent will also require

the approval of the PDC or LPC.

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3) METROPOLITAN TRANSIT AUTHORITY (MTA)

If the proposed construction could infringe upon or adversely affect structures of subsurface, surface, or

elevated transit systems, it will be necessary to receive the approval of the MTA prior to receiving approval

by the DOB.

4) FIRE DEPARTMENT (FDNY)

The FDNY’s Bureau of Fire Prevention enforces all laws and rules pertaining to the prevention of ﬁre.

5) NYC DEPARTMENT OF ENVIRONMENTAL PROTECTION (DEP)

The NYC DEP enforces all laws and rules pertaining to environmental conditions and hazardous materials

and includes:

a. Asbestos Control Program

While DEP oversees asbestos reporting and abatement in the City, DDC has primary responsibility

for identifying asbestos containing materials at DDC projects and developing drawings and

speciﬁcations for their abatement (see Section A-1 of this Appendix, Part A, “Design Process”,

and Part K, “Hazardous Materials”). In most instances, the Consultant’s responsibility is limited

to identifying potential areas of asbestos containing material and coordinating other work with

abatement work. Asbestos forms may need to be ﬁled with DEP regardless of whether the overall

project requires ﬁling with DOB.

b. Bureau of Environmental Planning and Analysis

The Bureau supports the City and State Environmental Quality Review processes (CEQR and

SEQR) through which City agencies may be required to assess, disclose, and plan for the

mitigation of the environmental consequences of projects (see NYS Department of Environmental

Conservation below). Consultant services in support of CEQR/SEQR, including environmental

assessment statements (EAS) and environmental impact statements (EIS), shall be identiﬁed in the

Agreement.

c. Division of Air and Noise Policy, Permitting and Enforcement

This division regulates activities and equipment that emit atmospheric contaminants, including

demolition activities that can produce airborne particulate matter, boilers that can produce noxious

gases, and construction vehicles that can produce both kinds of contaminants. This division also

enforces the NYC Noise Code, Local Law 113. The Consultant is responsible for ensuring that

noise-producing elements of the project scope, such as outdoor mechanical equipment, comply with

code.

d. Bureau of Water and Sewer Operations (BWSO)

BWSO authorizes the repair or replacement of water and sewer lines, the installation of backﬂow

prevention devices, and the connection of domestic water, sprinkler, sanitary, and stormwater

systems to City water and sewer mains. BWSO also provides water pressure tests for connections

to new domestic water and sprinkler systems and conﬁrms the availability of sewer service for new

sanitary and stormwater systems. If applicable to a project, BWSO approvals are required to obtain

DOB approvals (see Appendix A-1 Section I, “Plumbing Engineering Design Criteria”).

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e. Bureau of Wastewater Treatment (BWT)

Construction activities such as excavations and well drilling that will discharge more than 10,000

gallons per day of ground water into the public sewers must obtain a Dewatering Permit from

BWT. Projects involving well point de-watering in Brooklyn and Queens must also contact the NYS

Department of Environmental Conservation (see below).

f. NYC Water Board

The Board manages DEP’s Comprehensive Water Reuse Program, which offers a rate reduction for

buildings that capture and use stormwater.

6) NYC DEPARTMENT OF PARKS AND RECREATION (NYC PARKS)

NYC Parks approves projects within parks or designated parkland, as well as removal or planting of street

trees. Street tree plantings may be required for new construction or signiﬁcant renovation projects as

required by DCP regulations. Street tree planting approval is required prior to DOB or DOT approval. Street

tree plantings must be inspected and accepted by NYC Parks Forestry division to obtain DOB ﬁnal sign-off

or Certiﬁcate of Occupancy.

7) NYC DEPARTMENT OF HEALTH AND MENTAL HYGIENE (DOHMH)

The DOHMH approves the operations of food service establishments and swimming pool facilities.

DOHMH regulations also pertain to other types of facilities including day care centers and animal care

facilities.

8) NYC DEPARTMENT OF SANITATION (DSNY)

The DSNY approves refuse disposal methods, including disposal of special refuse.

9) ENVIRONMENTAL CONTROL BOARD (ECB)

The ECB is the division of the Ofﬁce of Administrative Trials and Hearings (OATH) that hears cases on

violations of City laws that protect the public’s health, safety, and environment issued by agencies including,

but not limited to, the DOB, DOT, FDNY, DEP, and NYC Parks.

10) UTILITY COMPANIES AND NYS ENERGY RESEARCH AND DEVELOPMENT

AUTHORITY (NYSERDA)

Utility companies review and approve applications for electric, gas, and steam connections. Consultants

are also expected to be aware of and help Sponsor Agencies apply for energy conservation incentive

programs by NYSERDA and individual utility companies.

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11) COMMUNITY BOARDS

Community Boards review and make recommendations pertaining to projects located within their

boundaries. All projects that must undertake a PDC or LPC review must begin with a presentation

reviewed by the community board and/or particular committee and/or the Full Board themselves.

Consultants may need to present new buildings, major additions, and landscape projects to at least one

group the community board designates and on occasion more than one. The Consultant should be in

direct contact with DDC/Ofﬁce of Community Outreach & Notiﬁcation (OCON) to begin this process. The

Consultant is also responsible for all services in support of Community Board notiﬁcation and review, if

required or if requested by DDC/OCON.

12) MAYOR’S OFFICE OF ENVIRONMENTAL COORDINATION (MOEC)

This ofﬁce coordinates the City Environmental Quality Review (CEQR) process. DDC projects that have

potential for signiﬁcant effects on the environment, including historic resources, are subject to CEQR.

During the process these potential effects are identiﬁed and disclosed, and options for avoiding or

mitigating the effects are proposed. See the CEQR Technical Manual (https://www1.nyc.gov/site/oec/

environmental-quality-review/technical-manual.page). CEQR requirements and procedures are equivalent

to those for the New York State Environmental Quality Review (SEQR) (see section 13, below). OER has

an electronic ﬁling process for applications at the following website: https://a002-epic.nyc.gov/app/

search/advanced

13) NEW YORK STATE AGENCIES

a. Department of Environmental Conservation (DEC)

DEC administers and enforces the State’s Environmental Conservation Law (ECL). Consultants

for DDC projects will work primarily with DEC’s ofﬁce for Region 2, which covers New York City,

and with the Division of Environmental Permits, which conducts environmental assessments and

reviews projects that require DEC permits. Permit applications are processed according to the ECL’s

Uniform Procedures Act. The most common DEC reviews, permits, and authorizations required for

DDC projects include:

i. State Environmental Quality Review (SEQR)

DDC projects that receive State funding, require a DEC permit, or require discretionary

action such as a variance by a State agency, must proceed through SEQR. Under SEQR,

an Environmental Assessment Statement (EAS) must be prepared to identify potential

environmental impacts; if such impacts are anticipated, an environmental impact

statement (EIS) must be prepared to describe how they will be mitigated.

Under SEQR, projects may be designated as follows:

1. Type I Action: Projects that meet or exceed statewide or agency thresholds,

typically – but not always – requiring the preparation of an EIS.

2. Ty p e I I A c t i o n : P r o j e c t s t h a t d o n o t r e q u i r e f u r t h e r S E Q R r e v i e w .

3. Unlisted Action: Projects that do not meet Type I thresholds but may still require an

EIS.

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H. ADDITIONAL REGULATORY AGENCIES

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ii. State Pollutant Discharge Elimination System (SPDES)

This permit is required for construction activities involving soil disturbance of at least

one (1) acre, or less than 1 acre where DEC ﬁnds a potential threat to water quality.

Construction activities involving soil disturbance of more than 5 acres at a time must

comply with additional requirements. To obtain approval, projects must prepare a

Stormwater Pollution Prevention Plan (SWPPP) that conforms to the NYS Stormwater

Management Design Manual. Because the SWPPP for a project in New York City

must be approved by DEP (see above), such projects must also conform to the DEP

Guidelines for the Design and Construction of Stormwater Management Systems.

iii. Coastal Erosion Hazard Area

This permit is required for construction activities on land along coastal waters including

the Hudson, Harlem, and East Rivers; the Kill van Kull and Arthur Kill; Long Island

Sound; the Atlantic Ocean; and all connecting water bodies, bays, harbors, shallows,

and wetlands. To obtain approval, projects must have public beneﬁt, must not cause an

increase in erosion or have adverse effects on protective features or natural resources,

and must be safe from ﬂood and erosion damage. DEC maintains maps of the State’s

Coastal Erosion Hazard Areas.

iv. Tidal Wetlands and Freshwater Wetlands

This permit is required for construction activities that could impact wetland functions. To

obtain approval, projects must not degrade or destroy any wetlands. DEC maintains the

State’s Fisheries (freshwater wetlands) Maps and Tidal Wetland Inventory. In general,

the City’s wetlands are concentrated around the south shores of Brooklyn and Queens

(see Critical Environmental Areas below), the north shore of Queens, the southeast

shore of the Bronx, and the north and west shores of Staten Island, with small tidal and

freshwater wetland areas scattered throughout the ﬁve boroughs, especially Staten

Island and the major parklands of northern Queens.

v. Critical Environmental Areas (CEA)

The shoreline of Jamaica Bay, which includes parts of Brooklyn and Queens, is the only

designated CEA in New York City. Projects subject to SEQR that are in or substantially

contiguous to this area must speciﬁcally evaluate potential impacts to the unique

characteristics of the CEA, which may include its beneﬁt or threat to human health;

valuable natural, agricultural, cultural, historic, recreational, or educational qualities; or an

inherent environmental sensitivity to change.

vi. Environmental Remediation

DEC maintains the States’ Registry of Inactive Hazardous Waste Disposal Sites and,

together with the New York City Mayor’s Ofﬁce of Environmental Remediation (OER),

oversees the remediation of State Superfund Sites and brownﬁelds in the City.

b. Ofﬁce of Parks, Recreation and Historic Preservation (OPRHP)

In addition to administering the seven (7) New York State parks within the City, as well as Hudson

River Park, jointly administered with the City through the Hudson River Park Trust, OPRHP

administers the State’s Open Space Conservation Plan, which identiﬁes conservation and historic

preservation priorities on public and private property in the City and throughout the State.

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H. ADDITIONAL REGULATORY AGENCIES

265

c. State Historic Preservation Ofﬁce (SHPO):

This ofﬁce of OPRHP maintains the National and New York State Registers of Historic Places

(see Landmarks Preservation Commission above) and maps of known areas of archeological

sensitivity. SHPO acts as the primary reviewer of projects receiving state or federal funding that are

found through SEQR (see DEC above) to have potential impacts on Register-listed properties or

archeological resources. Projects receiving only City funding are reviewed by LPC.

d. Department of State

Projects located in Coastal Erosion Hazard Areas (see above) must obtain a Coastal Consistency

Certiﬁcation from the Department’s Coastal Management Program. The certiﬁcation will be

incorporated into the permit decision of the U.S. Army Corps of Engineers if federal approval is

required, or of DEC if no federal approval is required.

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266

Acknowledgements

Tom Foley, PE, CCM, DBIA, NAC

Commissioner

Design Consultant Guide Team:

Eric D. Boorstyn, AIA LEED AP

Associate Commissioner Architecture & Engineering

Starling Keene, RA

Quilian Riano

Kate Solis, LEED AP

Sarah Yehuda

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H. ADDITIONAL REGULATORY AGENCIES

267

Contributors:

DDC ARCHITECTURE & ENGINEERING:

Ashwani Bedi, PE

Dora Blount

Margaret Castillo, FAIA, LEED AP

Carol Clark

Chris Diamond, PE, LEED AP

Xenia Diente

Omar El-Anwar, PhD, PMP, CCP

Jenny Gillette, RA, LEED AP BD + C

William Harris, RLA

Frank Kugler, RA

Joseph Le Pique, RA

Rebecca Massey, CEM, CBCP, CEA

Brett Miller, PE

Mathew Park, AIA, CEM, CPCP, LEED AP BD + C

Rebecca Schmidt, LEED AP, CPHD

Sarah Shelley, CDT, LEED AP

Ron Tagliagambe, RA

Subhash Tuladhar, PMP

Isaac Vanunu, PE

Jeremy Woodoff

Raymond Zebrowski, RLA, LEED AP BD + C

PROJECT EXCELLENCE:

Michaela Metcalfe, AIA, CCM, LEED AP

Rebecca Yurek, AIA

CREATIVE SERVICES:

Michael Estabrook

Carol Hayes

Hoey-Ling Lee

CHAPTER 10: REGULATORY APPROVALS

H. ADDITIONAL REGULATORY AGENCIES

Allied Works

EMS STATION 17

FEBRUARY 18TH, 2020

PERSPECTIVE VIEW

Scale: N/A

Building Front

nyc.gov/ddc