The NYC Form TR4 soil investigation report is the Department of Buildings’ standardized technical report documenting subsurface conditions at a construction site before foundation work begins. A Licensed Professional Engineer or Registered Architect fills out the six-section form using data from borings or test pits, applies their professional seal, and uploads it through DOB NOW: Build as part of the job filing. Plan review will not clear, and a work permit will not issue, until the TR4 is on file and accepted.
When a TR4 Is Required
New York City Building Code Section 1803.2 requires a geotechnical investigation and report for four categories of work: new structures, horizontal enlargements, vertical enlargements or alterations that need new foundations or add more than five percent to the existing foundation’s design capacity, and any project where the commissioner or applicant of record determines one is needed.1ICC Digital Codes. Chapter 18 Soils and Foundations – New York City Building Code 2022 The TR4 is the form the city uses to report those results.
Section 1802.2 also triggers an investigation when the safe load-bearing capacity of the soil is in doubt, or when a developer claims a bearing value higher than the code’s default tables allow. Sites in Seismic Design Categories C or D face additional requirements, including evaluation of slope instability, liquefaction, and surface rupture from lateral spreading.2UpCodes. Section BC 1802 Foundation and Soils Investigations
Who Can Sign the Form
Only a Licensed Professional Engineer or Registered Architect may sign the TR4 and apply a professional seal. The form contains a certification statement in which the signer attests that the information is correct and that all tests were performed in accordance with the Administrative Code and departmental rules.3NYC Department of Buildings. TR4 Technical Report Soil Investigation That seal carries legal weight. The professional takes personal responsibility for every soil description and class number on the report.
Filing through DOB NOW: Build requires an NYC.ID account linked to the professional’s license.4NYC Department of Buildings. DOB NOW and eFiling Registration Steps and Tips Set that up before fieldwork begins so the upload isn’t held up while the report sits ready.
Completing the Six Sections
The current TR4 is a PDF download from the NYC Department of Buildings website.5NYC Department of Buildings. Forms – Buildings It has six main sections. Missing or inaccurate entries in any of them can delay plan review.
Location Information
Enter the Borough, Block, Lot, and Building Identification Number for the property. Include the house number and street name, and if applicable, apartment or condo numbers and the floor numbers where the work will take place.6NYC Department of Buildings. Instructions for TR4 Technical Report – Soil Inspection The form also has a space to affix the BIS job number label, which ties the report to a specific permit application.3NYC Department of Buildings. TR4 Technical Report Soil Investigation Check every identifier against the job filing. A transposed lot number sends the report into limbo.
Applicant Information
Provide the name, business name, phone number, email, and address of the professional preparing the report. Check the box indicating whether the applicant is a PE or RA, and include the license number.6NYC Department of Buildings. Instructions for TR4 Technical Report – Soil Inspection
Number of Required Test Pits
Enter the number of test pits or borings required by the NYC Construction Codes.6NYC Department of Buildings. Instructions for TR4 Technical Report – Soil Inspection The minimum count depends on the building’s footprint:
- Up to 750 square feet: one boring.
- 751 to 5,000 square feet: two borings.
- 5,001 to 20,000 square feet: two borings plus one for each additional 2,500 square feet or fraction thereof.
- Over 20,000 square feet: the count from the tier above, plus one boring for each additional 5,000 square feet or fraction thereof.
Retaining walls taller than 10 feet require one boring for every 50 linear feet of wall. All borings must extend into bedrock or deep enough below the load-bearing layer to show that foundation loads have dissipated sufficiently.7ICC Digital Codes. 2022 New York City Building Code – 1803.4.1 Scope of Investigation
Plot Diagram
Draw the diagram in ink at an indicated scale. Show the building outline or extension and mark the location of every boring and test pit with dimensions. The borings must be distributed uniformly under the structure or follow the load pattern the building imposes.6NYC Department of Buildings. Instructions for TR4 Technical Report – Soil Inspection A sloppy or unscaled diagram is one of the easiest ways to get a report kicked back.
Test Report
For each boring or test pit, record the date, boring or test pit number, depth in feet below curb level, a written soil description, the soil class number, and any remarks.6NYC Department of Buildings. Instructions for TR4 Technical Report – Soil Inspection The class number comes from the city’s soil classification system in Building Code Table 1806.1, which assigns numbered classes based on material type and density:
- Class 1 (Bedrock): 1a (hard sound rock) through 1d (soft rock).
- Class 2 (Sandy gravel and gravel): 2a (dense) and 2b (medium).
- Class 3 (Granular soils): 3a (dense) and 3b (medium).
- Class 4 (Clays): 4a (hard), 4b (stiff), and 4c (medium).
- Class 5 (Silts and silty soils): 5a (dense) and 5b (medium).
- Class 6 (Nominally unsatisfactory): loose granular soils, soft clays, organic materials, and peats.
- Class 7: controlled and uncontrolled fills.
When a soil stratum falls between two classes, the code requires using the allowable bearing pressure of the lower class.8UpCodes. Chapter 18 Soils and Foundations – New York City Building Code 2022 Getting the class number wrong is not just a paperwork problem. It can lead to a foundation designed for soil that isn’t actually there.
Signature and Seal
The professional applies the PE or RA seal in the designated space, then signs and dates over the seal. The certification statement above the signature line confirms that the tests comply with all Administrative Code provisions and departmental rules.3NYC Department of Buildings. TR4 Technical Report Soil Investigation
Filing Through DOB NOW: Build
Upload the completed TR4 through DOB NOW: Build, the city’s online platform where professionals submit jobs, upload documents, and track permit applications.9NYC Department of Buildings. DOB NOW Build – Buildings Navigate to the relevant job filing and locate the technical report section. The system currently requires two separate uploads for a TR4: one labeled “TR4 Plot Diagram” and another labeled “TR4 Test Report.” The paper TR4 form can be uploaded as a PDF for both, or you can upload a separate geotechnical report that includes a diagram to satisfy both required documents. The DOB has noted that a system update will eventually combine these into a single upload called “TR4 Test Report and Plot Diagram.”10NYC Department of Buildings. DOB NOW Build Frequently Asked Questions
DOB NOW sends automated email notifications at milestones throughout the application process, so you will receive updates when the report is reviewed or if the examiner raises objections.9NYC Department of Buildings. DOB NOW Build – Buildings The filing is a prerequisite for obtaining a work permit. The project cannot move to active construction until the TR4 clears review.
The Companion Special Inspection
The Building Code requires that boring and test pit operations undergo continuous special inspection, separate from the TR4 itself. The special inspector must directly witness 100 percent of the borings and test pits and then prepare a written report confirming that the work followed the procedures in Section 1802.5, that the soil descriptions accurately reflect the recovered samples, and that samples were taken at the depths indicated. There is an exception for existing boring or test pit records that the commissioner has already accepted.11UpCodes. New York City Building Code 2014 – 1704.7.4 Special Inspection of Subsurface Investigations, Borings and Test Pits
A separate special inspection under Section 1704.7 also confirms that the site has been prepared in accordance with the approved geotechnical report before footings, foundations, or fill are placed.12UpCodes. Chapter 17 Structural Tests and Special Inspections – New York City Building Code 2014 The special inspection reports are separate documents from the TR4, but they work together. If a special inspection reveals discrepancies with what the TR4 states, expect the job to stall until the conflict is resolved.
Penalties for Missing or Deficient Reports
Failing to provide required documentation on a construction site exposes property owners and contractors to civil penalties under NYC Administrative Code Section 28-202.1. The ranges depend on how the DOB classifies the violation:
- Immediately hazardous violations: $1,000 to $25,000 per violation, plus up to $1,000 per day the violation remains uncorrected.
- Major violations: up to $10,000 per violation, plus up to $250 per month uncorrected.
- Lesser violations: up to $500 per violation.
These penalties are pursued through the Environmental Control Board.13NYC Department of Buildings. 1 RCNY 102-01 – Violation Classification and Certification of Correction A missing TR4 on a project that requires one can also draw a stop-work order, which freezes all construction activity until the deficiency is resolved. The daily penalties for immediately hazardous violations add up fast.