Urban Development: Comparing Building Approvals in New York and London
The building approval processes in New York and London offer a fascinating contrast in how two global cities approach urban development. Both prioritize public consultation and sustainability, but New York’s rigid zoning system stands in sharp contrast to London’s more flexible, policy-driven approach. These differences reflect each city's unique challenges and governance styles. By comparing these systems, I aim to better understand the UK's building regulations in relation to those I'm more familiar with. This comparison may also reveal gaps and opportunities for improvement in both cities’ frameworks.
Both cities, known for their complex urban environments and dynamic real estate markets, have established comprehensive approval systems that guide everything from small residential alterations to large-scale commercial projects. However, while these systems share similarities, they also reflect the distinct governance structures, planning priorities, and regulatory landscapes of each city. In New York, the process is highly centralized, focused around strict zoning laws and the oversight of citywide agencies such as the Department of Buildings (DOB) and the City Planning Commission (CPC). In contrast, London's approach is more decentralized, with local borough councils and the London Plan playing pivotal roles in shaping urban development. The role of the Mayor of London in approving projects of strategic importance and the city's strong focus on sustainability further distinguish London's planning system.
This comparison outlines the key elements of both processes, highlighting their commonalities in public consultation, environmental considerations, and regulatory oversight, while also drawing attention to the differences in governance, zoning flexibility, and the role of sustainability in shaping the future of urban development in these iconic cities.
New York
The approval process for buildings in New York City is a multi-step procedure that involves several city agencies, including the Department of Buildings (DOB), the City Planning Commission (CPC), and other relevant authorities. The process can vary depending on the complexity of the project, whether the building is new or an alteration, and whether it involves special zoning, landmarks, or environmental considerations. Here’s an overview of the general approval process:
1. Pre-Application Phase
Before submitting any official plans, it’s advisable to conduct pre-application meetings with relevant city departments, including:
NYC Department of Buildings (DOB): Understanding the codes and technical requirements.
City Planning Commission (CPC): If zoning or land-use approval is needed.
Landmarks Preservation Commission (LPC): If the building is in a historic district or involves landmarked properties.
In this phase, architects, engineers, and developers often perform zoning analyses and other feasibility studies to determine if the project complies with zoning regulations and building codes.
2. Zoning and Land Use Approvals (if applicable)
For projects that require zoning changes, special permits, or variances, approval from the City Planning Commission (CPC) or the Board of Standards and Appeals (BSA) is needed:
Zoning Changes: If the project requires a rezoning, this involves a public review process called the Uniform Land Use Review Procedure (ULURP), which includes input from the community, borough president, City Planning Commission, City Council, and the Mayor.
Special Permits and Variances: If the project requires exceptions from the zoning code, such as increased height or floor area, a special permit or variance may be needed from the BSA or CPC.
3. Architectural and Engineering Plan Submission
Once zoning compliance is ensured, detailed architectural and engineering plans are prepared and submitted to the Department of Buildings (DOB). This involves:
Submitting drawings and specifications prepared by a Registered Architect (RA) or Professional Engineer (PE).
Ensuring plans comply with the NYC Building Code, Zoning Resolution, and energy efficiency regulations.
The submission process can be done through the DOB NOW system, an online portal for filing and tracking applications.
4. Plan Review and Approval
The DOB reviews the submitted plans to ensure they comply with relevant codes and regulations. The review includes:
Zoning and Code Compliance: Ensuring the building conforms to all zoning regulations, structural safety, fire safety, and accessibility requirements.
Environmental Review: In some cases, an Environmental Impact Statement (EIS) or other assessments may be required for larger projects to assess environmental impacts, including noise, traffic, and air quality.
If issues are identified, DOB issues a Notice of Objections, and the applicant must revise the plans accordingly.
5. Permits
Once the DOB approves the plans, the applicant can apply for permits to begin construction:
Building Permit: Allows the start of construction work. All contractors must be licensed and insured.
Other Required Permits: Depending on the project, permits for electrical, plumbing, mechanical, elevator, and demolition work may be needed.
Some projects, particularly large ones, may also need a construction safety plan or site safety manager approval, especially if the project involves high-rise construction.
6. Special Approvals (if applicable)
Landmarks Preservation Commission (LPC): If the project involves a landmark or is in a historic district, approval from the LPC is required to ensure the design respects historical character.
Fire Department (FDNY): FDNY approval may be necessary for fire safety and sprinkler system installations.
Environmental Control Board (ECB): Projects affecting the environment, like those with potential contamination or brownfield sites, may need to follow environmental regulations.
7. Construction Phase
During construction, the project must undergo several inspections:
DOB Inspections: Regular inspections by DOB to ensure the work is in line with the approved plans and code.
Third-Party Inspections: For certain systems (such as elevators), third-party inspections may be required.
Contractors and site managers must maintain a safe work environment and comply with construction safety regulations, particularly on large or high-rise projects.
8. Final Inspections and Certificates of Occupancy
Final Inspections: After construction is completed, the DOB conducts final inspections to ensure all work complies with approved plans and code.
Certificate of Occupancy (CO): For new buildings or major alterations, a Temporary Certificate of Occupancy (TCO) or Final Certificate of Occupancy is required before the building can be legally occupied. This certificate confirms that the building complies with zoning, building codes, and safety regulations.
If the project involves special uses (like public assembly or certain commercial uses), additional approvals may be needed before obtaining the final CO.
9. Post-Approval Amendments (if necessary)
If changes are made during construction that deviate from the approved plans, a post-approval amendment must be filed with the DOB for review and approval.
Summary of Key Agencies Involved
NYC Department of Buildings (DOB): Main regulatory body for code compliance, issuing permits, and conducting inspections.
City Planning Commission (CPC): Oversees zoning and land-use approvals.
Board of Standards and Appeals (BSA): Issues variances and special permits for zoning exceptions.
Landmarks Preservation Commission (LPC): Approves alterations to landmarked buildings or those in historic districts.
Fire Department of New York (FDNY): Reviews fire safety compliance.
Conclusion
The process can be complex and lengthy, especially for large-scale projects or buildings in special zones like landmarks or environmentally sensitive areas. Many developers work with expediters and specialists to navigate the requirements smoothly.
London
In London, the approval process for building developments involves several steps, much like in New York, but it is governed by UK-wide legislation, local planning authorities, and various regional policies. The process is designed to ensure that developments meet planning regulations, align with local and regional policies, and consider environmental, historical, and community impacts. Here’s an overview of the approval process:
1. Pre-Application Stage
This is a crucial early phase where developers and their architects or planning consultants discuss the project with the local planning authority (LPA). This stage helps developers understand the feasibility of the project and identify any potential issues early. In London, LPAs are typically the local borough councils (e.g., Westminster City Council, Camden Council).
Pre-application advice: This is a formal process where developers submit early proposals to the LPA to get feedback before making a formal planning application. Pre-application consultations with community groups or stakeholders might also be required, especially for larger or sensitive developments.
2. Planning Application
Once the pre-application stage is complete and the design is finalized, developers submit a formal planning application to the local planning authority. Depending on the scale of the project, different types of applications may be submitted, including:
Full planning application: Required for major developments, such as constructing new buildings or making substantial alterations to existing structures.
Outline planning application: Used to assess whether a proposed development is likely to be approved based on broader principles (e.g., land use and scale). Detailed designs are submitted later in a "reserved matters" application.
Householder application: For small-scale projects, like home extensions or modifications to individual houses.
A typical planning application includes:
Site plans and elevations.
Design and Access Statement (DAS): A document explaining the rationale behind the design and how it addresses accessibility issues.
Planning Statement: This explains how the proposed development complies with local and national planning policies.
Environmental Impact Assessment (EIA) (if applicable): Required for large projects that could have significant environmental impacts, such as developments on brownfield sites or large-scale urban projects.
3. Validation and Public Consultation
Once the application is submitted, the local authority will validate it to ensure all necessary documents are provided. Following validation:
Public consultation takes place. The LPA will notify neighbors, post site notices, and potentially publish details in local newspapers to inform the public about the proposed development. Members of the public and stakeholders have the opportunity to comment, and their views are considered in the decision-making process.
Statutory consultees, such as Transport for London (TfL), the Environment Agency, or Historic England, may also be consulted, depending on the nature and location of the project.
4. Planning Review and Decision
The LPA reviews the application in line with the National Planning Policy Framework (NPPF), London Plan, and the borough's Local Plan (or Local Development Framework). This review considers:
Zoning and land use policies.
Design quality and impact on the local area.
Heritage and conservation (if in a conservation area or involving listed buildings).
Transport impacts.
Environmental and sustainability considerations.
Large or significant projects may be referred to the Mayor of London for a final decision, particularly if they involve matters of strategic importance (e.g., tall buildings, major infrastructure, or projects of citywide significance).
The planning officer will compile a report with recommendations, which is then reviewed by a planning committee or approved by senior planning officers for smaller projects. The decision could be:
Granted: The application is approved, potentially with conditions.
Refused: The application is denied, often with reasons for refusal and an opportunity to amend and resubmit.
Approved with conditions: Many approvals come with specific conditions, such as further details on materials or landscaping, which must be submitted and approved before work begins.
5. Appeals (if necessary)
If an application is refused or granted with unacceptable conditions, the developer can appeal to the Planning Inspectorate. The appeal process involves a review of the application by an independent planning inspector, who may overturn or uphold the original decision.
6. Discharge of Conditions and Permits
For applications that are approved with conditions, developers must submit details to discharge the conditions before commencing construction. This could involve additional reports on environmental impact, materials, traffic management, or drainage.
In some cases, further permits are required, such as:
Building Regulations approval: Ensures the development complies with structural and safety standards, handled separately by the local council or a private inspector.
Listed Building Consent: If the project involves a listed building, specific approval for works that affect its character is required.
Conservation Area Consent: Required for demolition or major alterations in conservation areas.
7. Construction Phase
During construction, developers must ensure the project complies with planning conditions and Building Regulations. Periodic inspections by building control officers or approved inspectors will ensure compliance with health, safety, and environmental standards. In large developments, ongoing liaison with the LPA may be required to ensure the project stays within the agreed scope. If the scope changes significantly, non-material amendments may need to be submitted and approved.
8. Completion and Sign-Off
Once construction is complete, final inspections are carried out to ensure compliance with the approved plans and conditions. The developer may need to submit documentation to confirm the building meets planning and building control standards.
In some cases, a Section 106 agreement (also known as a planning obligation) may require developers to contribute to local infrastructure, affordable housing, or public amenities. These contributions must be fulfilled before final sign-off.
9. Mayor of London and the London Plan
For larger projects or those of strategic importance, the Mayor of London has the power to intervene and review the application. The London Plan, a citywide development strategy, plays a key role in guiding decisions for large projects, particularly those relating to housing, transportation, and sustainability.
10. Post-Development
After the building is completed, developers might need to fulfill long-term obligations related to environmental impacts, affordable housing, or local community benefits as part of any Section 106 agreements or Community Infrastructure Levy (CIL) payments.
Key Agencies Involved
Local Planning Authorities (LPA): Handle most planning applications at the borough level.
Mayor of London: Reviews projects of strategic importance.
Historic England: Involved if the development affects heritage sites.
Transport for London (TfL): Consulted on projects affecting transport infrastructure.
Environment Agency: Involved in projects that could impact the environment.
Building Control: Ensures compliance with building regulations.
Key Regulations and Policies
National Planning Policy Framework (NPPF): Sets the overarching planning policies for England.
London Plan: A strategic plan guiding the development of Greater London.
Local Plans: Borough-specific planning policies that reflect local priorities.
The building approval process in London emphasizes public consultation, sustainability, heritage conservation, and strategic alignment with the city’s long-term growth goals.
Comparison
The approval processes for buildings in New York and London share several similarities but also exhibit key differences due to the distinct regulatory, governance, and planning frameworks in place in each city. Here's a detailed comparison and contrast of these processes:
Pre-Application Phase
Both cities offer a pre-application consultation phase where developers can seek guidance from the local planning authority (New York's Department of Buildings [DOB] and London's Local Planning Authority [LPA]). This phase helps identify any potential issues early in the process and allows for adjustments before a formal submission.
Community consultation is important in both cities. While public involvement can be mandatory in larger projects, the focus on engaging communities early is present in both systems, although the intensity and formal structures vary.
Planning Applications
In both cities, developers must submit detailed planning applications that include architectural plans, zoning compliance documentation, and environmental or design impact statements. New York uses DOB NOW, and London LPAs use an online system for filing and tracking applications.
Both systems emphasize zoning and land-use compliance. In New York, zoning codes are very specific and guide the development process, while in London, local plans and the London Plan outline zoning regulations at the city and borough levels.
Environmental impact assessments (EIA) are required for larger developments in both cities, particularly when projects are expected to have significant environmental or community impacts.
Public Consultation and Review
Public consultation plays a crucial role in both New York and London. In New York, the public has an opportunity to review and comment during the Uniform Land Use Review Procedure (ULURP) if zoning changes are required. Similarly, in London, local communities are notified and can comment on developments as part of the statutory consultation process.
Both cities involve other statutory bodies during the review process. For instance, Transport for London (TfL) in London and Fire Department of New York (FDNY) in New York might need to review and approve certain aspects of a project, particularly around safety or infrastructure.
Building Inspections and Approvals
Both cities require building inspections during and after construction to ensure compliance with regulations, such as building codes and safety standards. Inspectors in both cities have the authority to halt construction if the work does not meet approved plans or standards.
Final Approval
At the conclusion of construction, certificates of occupancy are required in both cities before a building can be legally occupied. This certificate ensures that the building meets all planning and safety requirements.
Contrast
Governance and Authority Structure
New York: The process is centralized around the Department of Buildings (DOB) and the City Planning Commission (CPC), which handle most building and zoning matters. Larger projects may require review by the Board of Standards and Appeals (BSA) or a referral to citywide agencies like the FDNY. The Uniform Land Use Review Procedure (ULURP) in New York is a highly structured process, involving multiple levels of government (Community Boards, Borough Presidents, City Planning Commission, City Council, and the Mayor).
London: The approval process is more decentralized. The Local Planning Authorities (LPAs) for each borough are the primary bodies that handle applications, guided by both borough-specific Local Plans and the citywide London Plan. Large-scale or strategic projects are referred to the Mayor of London. London has a regional authority layer through the Greater London Authority (GLA), whereas New York's governance remains city-centric.
Zoning System
New York: The city has a complex and rigid zoning resolution. Zoning districts are meticulously defined, with specific uses, heights, and densities assigned to various parts of the city. Rezoning or variances are subject to ULURP and can be a lengthy process.
London: Zoning is less rigid and is handled through a plan-led system, where borough-specific Local Plans (informed by the London Plan) guide land-use decisions. London's system allows for more flexibility and adaptability through broader policy guidance rather than strict zoning districts. This flexibility encourages interpretation based on a project's overall alignment with city goals, particularly sustainability, affordable housing, and public space
Role of the Mayor
New York: The Mayor can influence the approval of major projects, particularly if they involve public infrastructure, but the decision-making process primarily rests with the DOB, City Council, or relevant boards.
London: The Mayor of London has a more active role, especially for projects of strategic importance. The London Plan sets citywide development goals that must be followed by all boroughs, and the Mayor has the power to approve or call in significant projects that impact the wider region.
Environmental and Sustainability Requirements
London: The London Plan places a strong emphasis on sustainability, requiring developments to contribute to the city's goals for zero-carbon construction, improved air quality, and enhanced green spaces. Many projects must meet strict sustainability and energy efficiency criteria.
New York: While sustainability is an important consideration, it is integrated into building codes and other regulations like Local Law 97, which mandates emissions reductions from large buildings, but the approach is more piecemeal compared to London's citywide sustainability mandates.
Historic Preservation and Conservation
New York: Projects in historic districts or affecting landmarked buildings require approval from the Landmarks Preservation Commission (LPC). This process can add additional layers of review and regulation.
London: Projects in Conservation Areas or involving listed buildings are regulated by LPAs and Historic England. London places a stronger emphasis on preserving the character of entire areas (Conservation Areas), which may involve more extensive restrictions on design and use.
Appeals and Dispute Resolution
New York: Appeals can be made to the Board of Standards and Appeals (BSA) for zoning exceptions or project denials. Decisions are influenced heavily by citywide regulations and land-use plans.
London: Appeals are made to the Planning Inspectorate, an independent body that reviews cases based on adherence to local and national planning policies. The process in London tends to be more decentralized, with the Inspectorate considering broader policy impacts rather than strict zoning rules.
Summary of Key Differences
Governance: London has a more decentralized approach through borough LPAs, with the Mayor playing a stronger role in large projects, while New York has a centralized system focused on citywide agencies like the DOB and CPC.
Zoning Flexibility: London’s planning system is more flexible and policy-driven, guided by local and regional plans, whereas New York’s is more strict and zoned, requiring adherence to detailed zoning resolutions.
Environmental Focus: London places more emphasis on sustainability through the London Plan, making environmental goals central to all developments, while New York is increasingly emphasizing sustainability, but with a less integrated citywide plan.
Historical Preservation: London has a broader approach to conservation through its designation of Conservation Areas, while New York tends to focus on individual landmark buildings.
Both systems are comprehensive and ensure that urban development aligns with local priorities, but London's approach is more flexible and policy-driven, while New York’s is more structured and rooted in its zoning laws.
