How to Complete and File the NYC DOB TR1: Filing and Rejections

The NYC DOB TR1 form, formally the “Technical Report: Statement of Responsibility,” is the document that identifies who is accountable for every required inspection on a New York City construction project before the Department of Buildings will issue a permit. The owner, the registered design professional who filed the job, and each retained special or progress inspector all sign it, and almost every filing now moves through the DOB NOW: Build portal rather than paper.

When You Need to File a TR1

A TR1 is required whenever a job application triggers special inspections, progress inspections, or both under Chapter 17 and Section 110.3 of the NYC Building Code. That covers most new building permits and major alteration permits: anything with structural work, foundations, fire-resistance-rated construction, excavation support, standpipe systems, heating systems, or energy code compliance. The form’s Location Information, Applicant Information, Special Inspection Categories, and Progress Inspection Categories sections are marked “required for all applications,” so the TR1 travels with the standard permit package rather than being requested later.¹

The TR1 does not cover energy code progress inspections. Those go on a separate form, the TR8. A Technical Report – Final is also filed at the end of certain work types (antenna, earthwork, foundation, green roof, mechanical systems, solar, and structural), where the design professional certifies that the finished work matches the approved documents.²

Who Signs the TR1

Four roles show up on a completed TR1:

The design applicant, a licensed Professional Engineer (P.E.) or Registered Architect (R.A.), who filed the job and certifies that the inspection agencies the owner engaged are acceptable.
The owner, who acknowledges having retained the identified inspectors and attests to the accuracy of the form.
The Special Inspection Agency (SIA), a third-party firm registered with the DOB. The owner retains the SIA directly, not the contractor, so inspections stay independent of the crew doing the work.³⁴
The progress inspector, a P.E. or R.A. retained by the owner with no conflict of interest on the project.⁵

Which Inspections Go on the Form

Special Inspections

Section 3 of the TR1 is a checklist of special inspection categories drawn from Section 1705 of the Building Code. You check every category the scope of work triggers. The list runs broad: concrete, masonry, smoke control systems, excavation support (slurry walls, underpinning), demolition operations, standpipe pressure tests, fire pump tests, heating systems, chimneys and vents, aluminum welding, flood zone compliance, and tenant protection plan compliance in occupied buildings under alteration. If your plans touch any of these, the corresponding box must be checked and an SIA must accept responsibility for it.³

Progress Inspections

Section 4 covers progress inspections. Under Section 110.3, these are:

Footing and foundation
Lowest floor elevation
Structural wood frame
Fire-resistance-rated construction
Energy code compliance (filed on the TR8, not the TR1)
Tenant protection plan compliance
Other inspections required by the approved documents

Progress inspectors verify that the work, as it advances, substantially conforms to the approved drawings.⁵

Section-by-Section Walkthrough

The paper form has nine sections. DOB NOW: Build reproduces the same fields electronically, so knowing the layout tells you what each party is signing off on.

Sections 1 Through 4: Project and Inspection Details

Section 1, Location Information: Borough, Block, and Lot (BBL), house number and street address, and the DOB Job Number. Every field must match the job filing exactly.
Section 2, Applicant Information: business name, address, phone, license type, and license number of the P.E. or R.A. who filed the job.
Section 3, Special Inspection Categories: checkboxes in subsections 3A through 3D. A box marked with a symbol means a report is required for that item.
Section 4, Progress Inspection Categories: the same checklist format across subsections 4A through 4D.

Sections 5 Through 7: Signatures and Responsibility

Section 5, Design Applicant’s Statements and Signatures: the P.E. or R.A. seals the form, then signs and dates over the seal, certifying that the retained inspection agencies are acceptable.
Section 6, Owner’s Statement and Signature: required whenever an inspection applicant identifies responsibilities in Section 7. The owner attests to the accuracy of the form.
Section 7, Inspection Applicant’s Identification of Responsibilities: for special inspections, the principal or director of the SIA certifies that the agency meets the qualifications in 1 RCNY §101-06 for every category checked. For progress inspections, the inspector personally accepts responsibility for performing the inspections or supervising qualified personnel. Seal, signature, and date required.¹

Sections 8 and 9: Completion and Withdrawal

Section 8, Certification of Partial Completion: used when an inspector withdraws before all work is finished. The withdrawing inspector reports the results or status of work performed to date.
Section 9, Certification of Full Completion: the inspector certifies that all specified work is complete and substantially conforms to the approved documents and applicable code, with any exceptions in an attached report.

Filing in DOB NOW: Build

Almost all TR1 filings go through DOB NOW: Build, and you need an NYC.ID account to log in. If you already have a DOB eFiling account, the same email and password work.⁶

The TR1 is not uploaded as a standalone PDF. The portal has a Technical Report section inside each job filing, and every party fills out their own portion after logging in. The special inspector checks a box to electronically sign acceptance of responsibility; name and date auto-populate. That inspector then uploads a scanned copy of their physical seal and signature as a required document. The progress inspector follows the same steps.⁷

Design professionals and licensed contractors also have to complete the DPL-1 (Design Professional/Licensee Seal and Signature form), physically sign and seal it, and upload the completed document under required documents. A missing DPL-1 is one of the most common reasons a filing stalls.²

If your project was originally filed in the older Building Information System (BIS), paper filing at a DOB borough office may still be required. Jobs in DOB NOW do not appear in BIS and vice versa, so you file the TR1 through whichever system holds the original job.⁶

Replacing or Withdrawing an Inspector Mid-Project

The rules differ depending on whether the permit has been issued.

Before the permit issues, the applicant, owner, filing representative, or delegated associate can supersede an inspector by editing the applicable row in the TR1 section of DOB NOW and deleting the prior inspector’s email address. Deleting the email without adding a replacement removes the inspector but keeps the inspection requirement open for a new name.

After the permit issues, select “+Supersede Inspectors (Post Permit)” in the TR1/TR8 section. The superseding inspector must state whether any work was performed under the previous inspector and upload a report explaining whether they reviewed that work or the prior inspector’s report. A $130 fee applies if a report is provided.⁸

An inspector withdrawing from a permitted job selects “+Withdraw Inspectors (Post Permit)” and uses Section 8 to certify the results or status of work performed. When the replacement inspector comes on, Section 7 asks them to indicate either that none of the inspections were performed by the predecessor, or that some were performed with results attached in a report.¹ Legacy BIS-filed jobs follow the older procedures in OPPN #18/92.⁹

Common Reasons TR1 Filings Get Rejected

Mismatched BBL or Job Number. If any of these fields differ from the permit application, the filing is rejected on intake. Verify against the job filing in DOB NOW before anyone signs.
Missing seal-and-signature upload. Every inspector and design professional has to upload a scanned physical seal and signature. The electronic checkbox is not a substitute; the portal requires both.⁷
Missing DPL-1. Design professionals must upload the completed Seal and Signature form under required documents.²
Unchecked inspection categories. If the scope of work needs a special or progress inspection and the corresponding box is not checked, the filing is incomplete. Cross-check the approved plans against Sections 1705 and 110.3.
Missing owner signature. Section 6 must be signed whenever Section 7 identifies responsibilities. Without it, the TR1 will not be accepted.¹

Why the TR1 Matters at the End of the Job

The TR1 sets up the inspection trail that has to be completed before the Department of Buildings will issue a Certificate of Occupancy. A CO requires final inspection sign-offs for construction, plumbing, elevators, and electrical, along with no open applications, no open violations, all fees paid, and all outside agency approvals in place.¹⁰

If an inspector named on the TR1 withdrew and was never replaced, or if Section 9 was never filed for a checked category, the CO does not issue. Keeping the TR1 current throughout the project (replacing withdrawn inspectors promptly, closing out every checked category with a final certification) is what keeps the path to occupancy open.

1
NYC Department of Buildings. TR1: Technical Report Statement of Responsibility
2
NYC Department of Buildings. DOB NOW: Build Frequently Asked Questions
3
UpCodes. New York City Building Code 2022 – Chapter 17 Special Inspections and Tests
4
NYC Buildings. 1 RCNY 101-06 – Special Inspectors and Special Inspection Agencies
5
NYC Department of Buildings. Progress Inspections
6
NYC Department of Buildings. DOB NOW Build
7
New York City Department of Buildings. DOB NOW: Build – Technical Reports TR1 and TR8 Step-By-Step Guide
8
NYC Department of Buildings. Supersede and Withdrawal Guide
9
NYC Buildings. Special Inspections
10
NYC Buildings. Certificate of Occupancy