BACKGROUND. The 1916 Zoning

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1 APPENDIX A Evolution of New Yor ork City s Zoning Resolution BACKGROUND New York City s built fabric is a product of the interaction between zoning and building regulations, advances in technology, and the economics of construction. Until the late 19 th Century, New York was by contemporary standards a low-rise city, its tallest structures the spires of churches. The height of buildings was limited by the lack of practical technologies for supporting the weight of tall buildings and for moving large numbers of people vertically within tall structures. Despite the compact character of buildings, however, residential densities were extraordinarily high, as a largely impoverished population crowded into tenements. The 1916 Zoning In the last years of the 19 th Century and the first decade of the Twentieth, rapid advances in steel-frame construction technology and the development of practical highspeed elevators led to a proliferation of tall commercial buildings in Lower Manhattan. The canyon-like effect of tall buildings rising without setback on narrow streets and the tendency of new buildings to block the light and air of older buildings led to calls for statutory limitations on building height. With the enactment in 1901 of the New Tenement Law, housing reformers concurrently took the first steps toward developing zoning regulations that would limit the height and lot coverage of multifamily residential buildings. The 1916 zoning, the nation s first, had unified bulk regulations that shaped the city s development in its period of greatest growth and established New York as an American city with a distinct and instantly recognizable streetscape. To regulate the bulk of buildings, the zoning established: Height districts, which regulated building height. This was based upon an envelope that was defined by a vertical plane rising from the street to a certain multiple of the street width, above which a sky exposure plane rose at an angle specified by the ratio of height to setback from the street. However, the envelope could be penetrated by a tower covering not more than 25 percent of the lot. Height districts were generally mapped to permit greater height (and hence greater density) in the center of the city and along subway lines. Area districts, which regulated lot coverage and yards. 45

2 Drawbacks of the 1916 zoning The 1916 zoning had a number of important virtues. It accommodated the rapid growth of the city in the 1920's, which dispersed the city s growing population along the new mass transit lines away from Manhattan and the older areas of Brooklyn where it had been concentrated at the turn of the century. The boroughs outside Manhattan developed a distinctive four-to-six story scale in many areas and lower-rise, homeowner scale in others. However, the 1916 zoning was criticized over time for several important shortcomings relating to the bulk controls. In the central business district, the emerging postwar prototype of corporate headquarters architecture known as the International Style, exemplified by Lever House and the Seagram Building, did not comport well with the ziggurat style of design promoted by the bulk controls. Except on very large sites, which were increasingly difficult to assemble as Manhattan was built out, the 25 percent tower did not permit upper floors large enough for typical corporate office layouts. There was no effective control on density. It was estimated in 1958 that the city was zoned to house a population of 55 million, effectively no limit at all. This was manifested in a number of ways. In Manhattan, and parts of the other boroughs with the less restrictive height and area districts, the combination of high streetwall heights, high lot coverages, and no maximum unit count led to the development of buildings with large numbers of excessively small units, with some, including for servants rooms, fronting on interior courts and rear yards with little light and air. Many of these units were seen as obsolete and in need of replacement. Moreover, with the exception of a small number of single- or two-family districts, apartment buildings could still be built and the character of only a few low-rise neighborhoods was protected. The 1961 Zoning In December 1960, New York City adopted an audacious new zoning resolution, to take effect a year later, that was intended, together with urban renewal and highway construction, to accomplish nothing less than the remaking of the city. The new Zoning Resolution was designed to create a more open city, to put finally into place effective 46

3 controls on density, and to permit, as a tradeoff for the real estate industry s acceptance of these density controls, an efficient tower form in the highest-density areas of the city. The 1961 zoning attracted the support of community activists and civic organizations throughout the city who perceived the urgent necessity of the separating uses, new density controls, more design flexibility and open space to protect and improve the quality of life of city residents. Over the entire city, permitted density was cut by 80 percent. This effectively curtailed the spread of six-story elevator apartment buildings into low-density areas and, for several decades, mid-density apartment houses on most Manhattan midblocks. To assuage the concerns of the real estate industry, in addition to the increase in tower coverage in the Manhattan core a grace period lasting several years was enacted permitting development to continue under the pre-1961 regulations. The promise of the new Resolution, however, was short-lived. As the first post-1961 development began to appear in the mid-1960's, following the grace period, the buildings met with immediate criticism. The tower set back from the street, the archetypical building form of the 1961 zoning, was perceived as alien to New York s pedestrian-oriented streetscape. The organic mix of uses in older urban neighborhoods was now seen as a virtue, not a drawback, of urban living. New innovations responded to these complaints. Indeed, most of the hundreds of zoning amendments over the past four decades can be viewed as repeated attempts to fix the 1961 zoning. As these amendments have accreted over the decades, the zoning bulk regulations in many parts of the city have become so complex that they have become inconsistent, incoherent and ineffective. The complexity of these interlocking rules is overwhelming. Few people, even among zoning practitioners, fully understand how these rules interact. The confusion has deprived communities, elected officials, and the development community alike of the certainty zoning is supposed to provide. 47

4 APPENDIX B Explanation of Existing Zoning Rules How Bulk is Regulated Today The zoning bulk regulations today are based upon a number of conceptual frameworks, some of which apply exclusively in certain districts and some of which overlap. Distinctly different bulk rules can apply to different uses, or even different buildings incorporating the same use, within the same zoning district. The conceptual frameworks include the remnants of the 1961 system, which initially applied uniformly throughout the city; modified 1961 regulations, which include some but not all elements of the 1961 zoning and revisions intended to control undesirable impacts of those regulations or promote new objectives; contextual zoning, which generally attempts to shape new development in ways reminiscent of the buildings developed prior to 1961; special districts, which in many cases override the bulk regulations otherwise applicable and substitute rules tailored to neighborhood-specific objectives; and the waterfront, where special bulk rules also apply. Exhibits B-1 and B-2 below indicate which types of regulations apply, by district. The exhibits are indicative of the current rules complexity, which bewilders experts and nonexperts alike; but even these do not capture every nuance of the existing rules. 48

5 EXHIBIT B-1 BULK RULES APPLYING IN GENERIC ZONING DISTRICTS 1961 Rules Only Modified 1961 Rules Contextual Rules Only 1961 and Contextual Rules 1961, Modified 1961, and Contextual Rules R1-1, R1-2, R2, C7, C8-1, C8-2, C8-3, C8-4, M1-1, M1-2, M1-3, M1-4, M1-5, M2-1, M2-2, M2-3, M2-4, M3-1, M3-2 C5-2A, C6-1A, LH-1, LH-1A, LH-2, LH-3 R6A, R6B, R7A, R7B, R7X, R8A, R8B, R8X, R9A, R9X, R10A, R10X, C4-2A, C4-3A, C4-4A, C4-5A, C4-5X, C4-6A, C4-7A, C5-1A, C6-2A, C6-3A, C6-3X, C6-4A, C6-4X Residences are subject to contextual rules; community facilities and commercial uses (in C1 and C2 overlay districts and the C districts specified below) to 1961 rules: R3-1, R3-2, R3A, R3X, R4, R4-1, R4A, R4B, R5, R5B, C3, C4-1 Residences are subject to 1961 or optional contextual rules; community facilities and commercial uses (in C1 and C2 overlay districts and the C districts specified below) to 1961 rules: R6, R7-1, R7-2, R8, C1-6, C1-7, C2-6, C4-2, C4-2F, C4-3, C4-4, C4-5, C4-6, C4-7, C5-2, C5-3, C5-4, C5-5, C6-1, C6-2, C6-3, C6-4, C6-5, C6-6, C6-7, C6-8, C6-9 Residences are subject to 1961, modified 1961 or optional contextual rules; community facilities and commercial uses (in C1 and C2 overlay districts and the C districts specified below) to 1961 rules: R9, R10, C1-8, C1-9, C2-7, C2-8, EXHIBIT B-2 BULK REGULATIONS IN SPECIAL DISTRICTS Special Districts That Modify Applicable Bulk Regulations or Establish New Bulk Regulations Special Midtown District Special Lower Manhattan District Special Lincoln Square District Special Battery Park City District Special United Nations Development District Special Park Improvement District Special Jacob K. Javits Convention Center District Special Sheepshead Bay District Special Clinton District Special Northside Mixed Use District Special Madison Avenue Preservation District Special Scenic View District Special Planned Community Preservation District Special Atlantic Avenue District Special Natural Area District Special Coney Island District Special South Richmond Development District Special Franklin Street Mixed Use District Special Little Italy District Special Tribeca District Special City Island District Special Ocean Parkway District Special Bay Ridge District Special Fulton Mall District Special Hunters Point Mixed Use District Special Union Square District Special Hillsides Preservation District Special Grand Concourse Preservation District Special Mixed Use District Special Districts That Do Not Modify Applicable Bulk Regulations Limited Commercial District Special Transit Land Use District Special Garment Center District 49

6 1961 Bulk Regulations Where still in effect, the 1961 bulk regulations have two alternative sets of height and setback regulations for all uses in most districts. The basic control on height is the sky exposure plane. In R1 and R2 districts, and for community facility buildings in R3, R4 and R5 districts, including those with letter suffixes, the sky exposure plane begins at a certain height (either 25 or 35 feet) above the line marking the maximum depth of the required front yard. It then rises at one foot of height for every foot of additional depth. In R6-R10 and equivalent districts, not including those with a letter suffix, and not including situations where modified 1961 regulations are in effect (see below); all noncontextual commercial districts and all manufacturing districts, two sets of height and setback regulations are available. The regular height and setback, defines an initial setback distance from the street line, the maximum height of any portion of a building within that initial setback distance, a height at a point beyond the initial setback distance where a sky exposure plane begins, and the slope of that sky exposure plane. The regular height and setback permits buildings to be located close to the street, similar to buildings developed under the pre-1961 zoning. The alternate height and setback regulations (applicable in R6-R10 and equivalent districts) are intended to provide additional height in exchange for setting the building back from the street. These regulations promote the vertical slab design, often called the tower in the park, which inspired the new urban vision of the 1961 drafters. Because the sky exposure planes become increasingly high as they move away from a street, on large, deep lots they permit very tall buildings. To further accommodate the vertical slab design, in the highest-density districts the 1961 regulations permit height and setback sky exposure planes to be penetrated by a tower that occupies not more than 40 percent of the area of a zoning lot (more coverage is permitted on small lots). Such towers have no height control. Exhibits B-3 and B-4 below summarize the regular and alternate height and setback regulations for all zoning districts where such regulations apply, as the sole applicable provisions or as an option. Exhibit B-5 summarizes the applicability of the percent tower regulations. 50

7 EXHIBIT B REGULAR HEIGHT AND SETBACK REGULATIONS Zoning District On Narrow Street (Less than 75 feet) Initial Setback Distance On Wide Street (75 feet or Greater) Maximum Height of a Front Wall or Other Portion of a Building Within the Initial Setback Distance Sky Exposure Plane Slope Over Zoning Lot (Expressed as a Ratio of Vertical Distance to Horizontal Distance) Height Above the Street or Front Yard Line (in Feet) On Narrow Street On Wide Street C1 or C2 in R1-R5 C3, C4-1, C8-1, M1-1 R6 or R7 C1 or C2 in R6 or R7 C1-6, C2-6, C4-2, C4-3, C4-4, C4-5, C7, C8-2, C8-3, M1-2, M1-4, M2-1, M2-3, M3 R8, R9, R10 C1 or C2 in R8, R9, R10 C1-7, C1-8, C1-9, C2-7, C2-8, C4-2F, C4-6, C4-7, C5, C6, C8-4, M1-3, M1-5, M feet or two stories, whichever is less feet or six (R6 and R7 without commercial overlay) or four (all other) stories, whichever is less feet or nine (R8, R9 and R10 without commercial overlay) or six (all other) stories, whichever is less 30 1:1 1: :1 5.6: :1 5.6:1 EXHIBIT B ALTERNATE HEIGHT AND SETBACK REGULATIONS Depth of Optional Front Open Area (in Feet) Alternate Sky Exposure Plane Slope Over Zoning Lot (Expressed as a Ratio of Vertical Distance to Horizontal Distance) Zoning District On Narrow Street (Less than 75 feet) On Wide Street (75 feet or Greater) Height Above the Street or Front Yard Line (in Feet) On Narrow Street On Wide Street C1 or C2 in R1-R5 C3, C4-1, C8-1, M1-1 R6 or R7 C1 or C2 in R6 or R7 C1-6, C2-6, C4-2, C4-3, C4-4, C4-5, C7, C8-2, C8-3, M1-2, M1-4, M2-1, M2-3, M3 R8, R9, R10 C1 or C2 in R8, R9, R10 C1-7, C1-8, C1-9, C2-7, C2-8, C4-2F, C4-6, C4-7, C5, C6, C8-4, M1-3, M1-5, M :1 1.4: :1 7.6: :1 7.6:1 51

8 EXHIBIT B-5 APPLICABILITY OF 1961 TOWER REGULATIONS Zoning District R7-2, R8; C1 and C2 in R7-2, R8; C1-6, C1-7, C2-6, C4-4, C4-5, C6-1, C6-2, C8-3, C8-4 R9, R10; C1 and C2 in R9, R10; C1-8, C1-9, C2-7, C2-8 C4-6, C5-1, C6-3 C4-7, C5-2, C5-3, C5-4, C5-5, C6-4, C6-5, C6-6, C6-7, C6-8, C6-9 M1-3, M1-4, M1-5, M1-6 Applicability Community facility buildings, except, in R7-2 and R8 districts, those within 100 feet of a public park of one acre or more, or a street line opposite such a park. Community facility buildings and buildings with at least 75 percent of floor area in non-residential use; buildings with more than 25 percent of floor area in residential use, except those located on a wide street, within 125 feet of such wide street frontage on the short dimension of a block, and within 100 feet of such wide street frontage on the long dimension of a block. However, in R9 and R10 districts, those buildings within 100 feet of a public park of one acre or more, or a street line opposite such a park, are not eligible. Residential and community facility buildings. A building containing either residential or community facility uses and commercial uses is also eligible, but the commercial portion of the building must not penetrate the sky exposure plane. Residential, commercial and community facility buildings Commercial, community facility and manufacturing buildings Floor area ratios (FARs), the ratio of floor space in a building to lot area, are the primary control on the intensity of development. FARs vary by use, with community facility FARs generally higher than those for residential or commercial use. For residential buildings there are additional controls on the intensity of use. To regulate population density, the zoning establishes minimum lot sizes for zoning districts permitting only single-family housing, and lot area per room in medium- and high-density districts permitting a variety of housing types. The number of rooms permitted on a zoning lot controls the number of units; a studio apartment counts as 2 ½ rooms, a one-bedroom apartment as 3 ½ rooms, and so forth. In R6, R7 and R8 districts the zoning is also calibrated to reward the preservation of on-site open space. This is achieved by increasing the permitted residential floor area ratio as the building gets taller, provided that its lot coverage is reduced. This system promotes the use of the alternate height and setback regulations for residences, which require that the building be set back from the street, to achieve the maximum FAR. In the highest density districts, the 1961 zoning rewards the provision of open space amenities for the public for all types of buildings. This is achieved through floor area bonuses that award additional bulk in exchange for the provision of amenities. Exhibits B-6, B-7, B-8 and B-9 below detail the 1961 floor area and density controls and the open space amenity bonus regulations by zoning district. The bonus provisions are often called incentive zoning, a concept that was pioneered by New York City in Incentive zoning is intended to reward private real estate developers with additional floor area in exchange for providing a public amenity that has the effect of ameliorating the impact of the additional density. 52

9 EXHIBIT B FLOOR AREA AND DENSITY REGULATIONS FOR RESIDENTIAL BUILDINGS IN SINGLE-FAMILY DISTRICTS Zoning District Floor Area Ratio * Minimum Lot Size Dwelling Units Per Acre Open Space Ratio ** R ,500 square feet R ,700 square feet R2.5 3,800 square feet EXHIBIT B FLOOR AREA AND DENSITY REGULATIONS FOR RESIDENTIAL BUILDINGS IN R6-R8 DISTRICTS Zoning District Maximum Permitted Floor Area Ratio Height Factor *** at which Maximum FAR is Achieved Open Space Ratio at which Maximum FAR is Achieved Maximum Building Lot Coverage Corresponding to Open Space Ratio Minimum Lot Area per Room at Maximum Permitted FAR Maximum Dwelling Units per Acre at Maximum FAR (Assume 3 ½ Room Average) R percent R percent R percent EXHIBIT B FLOOR AREA AND DENSITY REGULATIONS FOR RESIDENTIAL BUILDINGS IN R9 and R10 DISTRICTS Zoning District Maximum Permitted Floor Area Ratio Without Bonus Maximum Permitted Floor Area Ratio With Bonus Minimum Lot Area per Room at Maximum Permitted FAR Without Bonus Maximum Dwelling Units per Acre at Maximum FAR Without Bonus (Assume 3 ½ Room Average) Minimum Lot Area per Room at Maximum Permitted FAR With Bonus Maximum Dwelling Units per Acre at Maximum FAR With Bonus (Assume 3 ½ Room Average) R not applicable not applicable not applicable R * ** In these districts, new homes tend to be somewhat larger than the floor area ratio implies because certain floor space is permitted to be deducted from the zoning definition of floor area. The Open Space Ratio is defined as the number of square feet of open space required on a zoning lot, as a percentage of the floor area on that zoning lot. For example, if the lot is 9,500 square feet, the open space ratio is 150 and the floor area ratio is.5, there must be 150 square feet of open space for every 100 square feet of floor area. This is achieved by leaving 75 percent of the lot open and constructing a house covering 25 percent of the lot. *** The height factor of a building is generally the number of stories, excluding cellars. 53

10 EXHIBIT B FLOOR AREA REGULATIONS FOR NON-RESIDENTIAL BUILDINGS Floor Area Ratio Districts Where Applicable to a Community Facility Building Districts Where Applicable to a Commercial or, Where Permitted, a Manufacturing Building.5 C1 and C2 in R1 and R2 C3 1 R1, R2, R3; C1 and C2 in R3; C3 C1 and C2 in R1, R2, R3, R4, R5; C4-1, C8-1, M R3 (Bonus for Deep Front and Side Yards) C1 and C2 in R1, R2, R3; C3 (Bonus for Front Yards) 2 R4, R5; C1 and C2 in R4, R5; C4-1 C1 and C2 in R6, R7, R8, R9, R10; C1-6, C1-7, C1-8, C1-9, C2-6, C2-7, C2-8, C7, C8-2, C8-3, M1-2, M1-4, M2-1, M2-3, M3-1, M R4, R5 (Bonus for Deep Front and Wide Side Yards); C8-1, M1-1 C1 and C2 in R4, R5; C4-1 (Bonus for Front Yards) 3.4 C4-2, C4-3, C4-4, C4-5, C4-6 4 C R6, R7-1; C1 and C2 in R6, R7-1; C4-2, C4-3, C8-2, M1-2 5 C8-4, M1-3, M1-5, M2-2, M2-4 6 C6-1, C6-2, C R7-2, R8; C1 and C2 in R7-2, R8; C1-6, C1-7, C2-6, C4-4, C4-5, C6-1, C6-2, C8-3, C8-4, M1-3, M1-4, M C6-1, C6-2, C6-3 (Bonus for Open Space Amenity) 10 R9, R10; C1 and C2 in R9, R10; C1-8, C1 9, C2-7, C2-8, C4-6, C4-7, C5-1, C5-2, C5-4, C6-3, C6-4, C6-5, C6-8, M R9, R10; C1 and C2 in R9, R10; C1-8, C1 9, C2-7, C2-8, C4-6, C4-7, C5-1, C5-2, C5-4, C6-3, C6-4, C6-5, C6-8, M1-6 (Bonus for Open Space Amenity) C4-7, C5-2, C5-4, C6-4, C6-5, C6-8, M1-6 C4-7, C5-2, C5-4, C6-4, C6-5, C6-8, M1-6 (Bonus for Open Space Amenity) 15 C5-3, C5-5, C6-6, C6-7, C6-9 C5-3, C5-5, C6-6, C6-7, C C5-3, C5-5, C6-6, C6-7, C6-9 ( Bonus for Open Space Amenity) C5-3, C5-5, C6-6, C6-7, C6-9 ( Bonus for Open Space Amenity) 54

11 Modified 1961 Bulk Regulations There have been numerous modifications to the 1961 zoning regulations. Some of the more significant include: R10 INFILL These regulations, which now apply in the few remaining R10 districts in Community District 7 in Manhattan, requires that front walls extend along street lines on wide streets, and on narrow streets up to 50 feet beyond a wide street intersection. The front wall may not set back below a height of 125 feet, and must set back beyond a height of 150 feet. NON-CONTEXTUAL ZONING DISTRICTS WITH LETTER SUFFIXES C6-1A is intended to permit bulkier commercial buildings than the standard C6-1 district by providing the ability to increase the underlying FAR by 50 percent, to 9, through provision of an open space amenity. Buildings with community facilities within them may be developed as a tower. C5-2A is intended to promote buildings that define a streetwall and are shorter than those permitted by the C5-2 district. No bonuses are permitted, and the tower regulations do not apply, but 12 FAR is permitted as-of-right. LIMITED HEIGHT DISTRICTS Limited Height Districts were an attempt, prior to the creation of the contextual zoning framework, to address the problem of out-of-scale development in historic areas. Because limited height districts were superseded by contextual zoning, only two of the four districts created were ever mapped. LH-1, with a maximum building height of 50 feet, is mapped in Brooklyn Heights and Cobble Hill, Brooklyn, with underlying zoning districts of R6 and R7-1, and the Gramercy Park area of Manhattan, with underlying zoning of R7B and R8B. LH-1A, with a maximum building height of 60 feet, is mapped on the Upper East Side of Manhattan, with underlying zoning of R8B. The unmapped LH-2 has a height limit of 70 feet, and LH-3, 100 feet. INCLUSIONARY HOUSING This provision extended the concept of incentive zoning by providing a floor area increase in R10 and equivalent commercial districts in exchange for the provision of low-income housing on the same lot, within the same community district, or within a half-mile of the site. Generally, inclusionary housing, as adopted, was an alternative to open space amenities, but as the ability to receive such bonuses was removed by contextual zoning and Tower-on-a-Base (see below) inclusionary housing became the only mechanism for a residential building to achieve 12 FAR on many R10 and commercial equivalent sites. TOWER-ON-A-BASE This provision was intended to limit the height of buildings in R9 and R10 and equivalent C1 and C2 districts fronting on wide streets and substitute a well-defined streetwall for the previously bonused open space amenities. Buildings that are 25 percent or more 55

12 residential must have a streetwall that extends the full length of its street frontage and has not less than 70 percent of its length within eight feet of the street line. This required street wall must be at least 60 feet high, but not more than 85 feet. Above this base, a tower is permitted, which must cover at least 30 percent, and not more than 40 percent, of the lot area of the zoning lot. Depending on tower coverage, between 55 and 60 percent of the floor area of the building must be located below a height of 150 feet. The tower must be set back at least 10 feet from a wide street and 15 feet from a narrow street. Contextual Zoning Contextual Zoning consists of two distinct sets of regulations. Lower Density Contextual Zoning is mandatory for residential buildings in R2X, R3, R4 and R5 districts, including all districts with letter or number suffixes. The Quality Housing Program is applicable in R6-R10 districts. In districts with an A, B or X letter suffix (except C5-2A and C6-1A, described above) contextual regulations are mandatory for all buildings. In districts without a letter suffix (R6, R7-1, R7-2, R8, R9, R10) and their commercial equivalents, the contextual regulations are optional for residential buildings and for buildings that are partly residential. However, in most special districts (see Appendix D) and on certain lots in Study Areas, * the contextual regulations are not applicable at all. LOWER DENSITY CONTEXTUAL ZONING In R3 and R4 districts, height and setback are defined by maximum perimeter wall heights and, above those heights, sloping planes that meet at a specified maximum height. The effect of these regulations is to define a pitched-roof building form characteristic of historic development types in these districts, although a building need not have a pitched roof if it stays within the height and setback envelope. R4B and R5B have envelopes modeled upon flat-roofed two-story and three-story rowhouse prototypes, with maximum building heights of 24 feet and 33 feet, respectively. In R5, buildings may rise at the streetwall to a height of 30 feet and a maximum building height of 40 feet. For developments utilizing the optional regulations for a predominantly built-up area ** the R5B height and * ** On lots in R6 and R7 districts in the study areas, that were occupied by one-, two- or three-family detached or semi-detached residences on August 14, 1987, where 70 percent or more of the aggregate length of the blockfronts in residential use on both sides of the street facing each other are occupied by such residences, the Quality Housing Program is inapplicable. The remaining study areas with qualifying blockfronts are located in Soundview and Castle Hill in the Bronx; Flatbush, Midwood and Brighton Beach in Brooklyn; and Elmhurst/Corona, Forest Hills, Jamaica and Flushing in Queens. A predominantly built-up area is a block entirely within R4 and R5 districts and their commercial equivalents having a maximum area of four acres which is developed with buildings on lots comprising more than 50 percent of the area of the block. Eligible lots in such areas for the optional regulations are not more than 1.5 acres; and not occupied, as of October 21, 1987, by a single- or two-family detached or semidetached residence where 75 percent of more of the aggregate length of the blockfronts in residential use, on both sides of the street facing each other, are occupied by such residences, except where the facing block fronts are more than 75 percent in commercial or manufacturing use or the lot is located in the Special Coney Island Mixed Use District, the Special Hunters Point Mixed Use District, the Special Ocean Parkway District, or an area of Borough Park, Brooklyn. 56

13 setback rules are applicable. Because these bulk regulations were designed to around traditional housing types, they were not made applicable to community facility and commercial developments which remain subject to the 1961 regulations. In Lower Density Contextual Zoning, density is controlled by Floor Area Ratios, Maximum Lot Coverage and Lot Area per Dwelling Unit, as shown in Exhibit B-10 below. 57

14 EXHIBIT B-10 FLOOR AREA, OPEN SPACE AND DENSITY REGULATIONS LOWER DENSITY CONTEXTUAL ZONING Zoning District Floor Area Ratio Maximum Lot Coverage Minimum Lot Area per Dwelling Unit R2X.85 * Governed by yard requirements 2,850 square feet R3A.5 * Governed by yard requirements 1,185 square feet R3X.5 * Governed by yard requirements 1,660 square feet R4A.75 * Governed by yard requirements 1,425 square feet R * Governed by yard requirements 970 square feet R3-1, R3-2 (detached and semi-detached oneand two-family home).5 * 35 percent 1,040 square feet R3-2 (all other).5 * 35 percent 1,450 square feet R4.75 * 45 percent 970 square feet R4B.9 55 percent 970 square feet R4 (Predominantly Built-Up Area), R5B percent 666 square feet R percent 605 square feet R5 (predominantly built-up area) percent 545 square feet * May be increased by up to 20 percent provided that any such increased floor area is located under a sloping roof with headroom of between 5 and 8 feet. 58

15 QUALITY HOUSING PROGRAM The height and setback of buildings under the Quality Housing Program is governed by streetwall location, setback and maximum height. A minimum base height defines the lowest level at which a building may set back from the streetwall, and a maximum base height the highest level of a permitted streetwall, beyond which the building must set back. The required setback is 10 feet on a wide street and 15 feet on a narrow street. No setback is required for building walls beyond 50 feet of a street line. The maximum building height is defined for the portion of a building beyond the setback. These rules are summarized in Exhibit B-11 below. EXHIBIT B-11 HEIGHT AND SETBACK REGULATIONS FOR THE QUALITY HOUSING PROGRAM Zoning Districts (includes C1 and C2 districts mapped within the applicable Residence Districts) Where Rules Apply Streetwall Location Minimum Base Height Maximum Base Height Maximum Building Height R6, C4-2, C4-3, C6-1A R6, C4-2, C4-3, R6A, C4-2A, C4-3A, C6-1A Wide street, inside Manhattan Core * Wide street, outside Manhattan Core Residential buildings and partly residential buildings in residence districts: No closer to the street line than the closest street wall of an existing building, or 15 feet from street line, whichever is less R7, C1-6, C2-6, C4-4, C4-5, C6-1 Wide street, inside Manhattan Core R7, C1-6, C2-6, C4-4, C4-5, C6-1, R7A, C1-6A, C2-6A, C4-4A, C4-5A Wide street, outside Manhattan Core Non-Residential and Partly Residential buildings in Commercial Districts: At least 70 percent of the aggregate width of streetwalls must be located within eight feet of the street line R7X, C4-5X All locations R6, C4-2, C4-3, C6-1A Narrow street, beyond 100 feet of an intersection of a wide street Residential buildings and partly residential buildings in residence districts: More than 50 feet of frontage: No closer to the street line than the streetwall of an existing adjacent building. Less than 50 feet of frontage: No closer to or further from the street line than the streetwall of an existing building. In either case: Need not be located beyond 15 feet of the street line. Non-Residential and Partly Residential buildings in Commercial Districts: Same as above, except that C1 and C2 in R8B has same rules as C1 and C2 in R8A R6B All locations R7, C1-6, C2-6, C4-4, C4-5, C6-1, R7B Narrow street, beyond 100 feet of an intersection of a wide street R8B All locations * The Manhattan Core refers to Community Districts

16 Zoning Districts (includes C1 and C2 districts mapped within the applicable Residence Districts) Where Rules Apply Streetwall Location Minimum Base Height Maximum Base Height Maximum Building Height R8, C1-7, C6-2 Narrow street, beyond 100 feet of an intersection of a wide street Residential buildings and partly residential buildings in residence districts:: Wide streets and narrow streets within 50 feet of an intersection with a wide street (except houses of worship): R8, C1-7, C6-2 Wide street (I) street wall required along full street frontage; R8A, C1-7A, C6-2A All locations R8X All locations (2) at least 70 percent of the street wall required to be within 8 feet of the street line R9, C1-8, C2-7, C6-3, R9A, C1-8A, C2-7A, C6-3A R9, C1-8, C2-7, C6-3, R9A, C1-8A, C2-7A, C6-3A R9X, C1-8X, C2-7X, C6-3X R10, C1-9, C2-8, C4-6, C4-7, C5, C6-4, C6-5, C6-6, C6-7, C6-8, C6-9, R10A, C1-9A, C2-8A, C4-6A, C4-7A, C5-1A, C6-4A Narrow street, beyond 100 feet of an intersection of a wide street Non-Residential and Partly Residential buildings in C1 and C2 Districts: Wide streets and narrow streets within 50 feet of an intersection with a wide street: Wide street (I) street wall required along full street frontage; (2) 100 percent of the street wall at grade and at least 70 percent above a height of 12 feet generally required to be at street line Narrow street, beyond feet of an intersection of a wide street Wide street Non-Residential and Partly Residential Buildings in C4, C5 and C6 districts: Same as in C1 and C2, except that the requirements apply along an entire narrow street frontage Narrow street, beyond 100 feet of an intersection of a wide street Wide street R10X, C6-4X All locations Same as in R10 and equivalent commercial districts, except that in C6-4X districts, a bonused open space amenity is excluded from the street wall location requirements beyond 50 feet of a wide street line None ** ** Above the maximum base height, a tower is permitted covering not less than 33 percent and not more than 40 percent of the lot, provided it is set back at least 10 feet from a wide street and 15 feet from a narrow street. 60

17 As in Lower Density Contextual Zoning, residential density under the Quality Housing Program is controlled by Floor Area Ratios, Maximum Lot Coverage and Lot Area Per Dwelling Unit. These regulations are shown in Exhibit B-12 below. Unlike the 1961 regulations, commercial or community facility buildings, or buildings containing a mix of uses, generally are not permitted to exceed the maximum residential FAR. However, in R8A and equivalent commercial districts, the maximum community facility FAR is 6.5, and in R8B districts in Manhattan Community District 8, the maximum community facility FAR is 5.1. EXHIBIT B-12 RESIDENTIAL FLOOR AREA, OPEN SPACE AND DENSITY REGULATIONS QUALITY HOUSING PROGRAM Zoning District Where Rules Apply Floor Area Ratio Maximum Lot Coverage Corner Lot Interior or Through Lot Minimum Lot Area per Dwelling Unit R6B All locations R6, C4-2, C4-3, C6-1A Narrow street, beyond 100 feet of an intersection of a wide street R6, C4-2, C4-3, C6-1A R6, C4-2, C4-3, R6A, C4-2A, C4-3A, C6-1A, R7B Wide street, inside Manhattan Core Wide street, outside Manhattan Core R7, C1-6, C2-6, C4-4, C4-5, C6-1 Wide street, inside Manhattan Core; narrow street, beyond 100 feet of an intersection of a wide street R7, C1-6, C2-6, C4-4, C4-5, C6-1, R7A, C1-6A, C2-6A, C4-4A, C4-5A Wide street, outside Manhattan Core R7X, C4-5X All locations R8B All locations R8, C1-7, C6-2, R8A, C1-7A, C6-2A, R8X Narrow street, beyond 100 feet of an intersection of a wide street; wide street, within Manhattan core R8, C1-7, C6-2 R9, C1-8, C2-7, C6-3, R9A, C1-8A, C2-7A, C6-3A Wide street, outside Manhattan core All locations R9X, C1-8X, C2-7X, C6-3X All locations R10, C1-9, C2-8, C4-6, C4-7, C5, C6-4, C6-5, C6-6, C6-7, C6-8, C6-9, R10A, C1-9A, C2-8A, C4-6A, C4-7A, C5-1A, C6-4A All locations 10 * * For all residential or partly residential buildings, the floor area ratio may be increased to 12 pursuant to the Inclusionary Housing Program. 61

18 Special Districts and Waterfront Of the 32 special districts, most have provisions that override some or all of the bulk regulations of the underlying zoning districts. Most commonly, special districts were a reaction to the 1961 rules or to the consequences of modified 1961 regulations. Some districts, such as the Special Midtown and the Special Lower Manhattan Districts, have bulk regulations that are virtually completely independent of the underlying regulations. Others, such as the South Richmond Special District, modify only specific provisions of the underlying bulk rules. While the objectives of district bulk rules are varied, the most common was to enact a sort of proto-contextual zoning in areas where the 1961 tower-in-a-park prototypes were seen as inappropriate. As a consequence of the creation of generic contextual districts in the 1980's, the rate of creation of new special districts slowed significantly since these problems could now be addressed in a different way. However, despite the similarities between contextual zoning and many of the special districts that preceded it, the Quality Housing optional regulations were not made applicable in non-contextual districts within most special districts because of concerns about the difficulty of reconciling technical inconsistencies among the different regulatory frameworks. A fuller discussion of the existing bulk provisions in each of the special districts and how those rules would be affected by the proposed amendment is provided in the Appendix D. On waterfront blocks, the 1961 bulk regulations apply to airports, heliports, seaplane bases and, in C8 or manufacturing districts, buildings for industrial or automotive service businesses. Much of the remaining waterfront is either parkland, and hence unzoned, or lower-density districts subject to the underlying lower-density contextual bulk regulations for residential development. For other buildings in all zoning districts, special height and setback rules apply. A detailed explanation of the waterfront bulk regulations and how those rules would be affected by the proposed amendment is provided in the Appendix D. Split lots Special regulations apply when a lot is divided by a boundary between zoning districts, or is subject to other regulations resulting in different height and setback regulations, different maximum floor area ratios, lot coverages, or minimum lot area for residences. When the lot 62

19 existed prior to the enactment of the 1961 zoning, or a subsequent amendment creating the difference in regulations, a series of complex rules are triggered to determine the placement of bulk on the lot. These rules were intended to provide flexibility to property owners who may otherwise be disadvantaged by the need to comply with disparate rules on different portions of the lot. Where the lot is newly created, by combining lots that were previously separate in districts subject to different regulations, however, no such relief is provided. Each portion of the lot is governed by the rules that pertain to it. 63

20 APPENDIX C Analysis of Building Height by Zoning District Statistical Analysis of Building Heights by Zoning District An analysis of typical building heights indicates that, despite New York s reputation for skyscrapers, the tall buildings promoted by the 1961 alternate height and setback and 40 percent tower regulations are uncharacteristic of the prevailing development in most areas of the city. New York City s residential and non-residential building heights were tabulated using Real Property Assessment Data (RPAD) from the New York City Department of Finance. Separate tabulations were prepared both for all buildings, and for those buildings constructed between 1980 and 1997, the last year of data available, to distinguish recent trends from overall conditions. RPAD includes data on the number of stories. While floor to floor heights vary, the average is roughly nine feet per floor for residential buildings and 12 feet per floor for most commercial buildings, with ground floor retail space often somewhat higher. These floor to floor heights are especially common in newer construction, while older buildings constructed before the Second World War may have somewhat higher floor-to-floor heights. Therefore, data on the number of floors gives a reasonable indication of overall and recent building heights in the city. The city s low-rise residential areas, mapped R1 to R5, are occupied almost entirely by residential buildings with one, two, or three stories. Low-rise zoning districts contain 36 percent of the 174,132 housing units that have been completed since percent outside Manhattan. Residences in R3 to R5 districts are already subject to mandatory contextual height and setback regulations, and houses in R1 and R2 districts, as a practical matter, do not exceed three stories despite theoretically more liberal height and setback rules, due to FAR and other limitations as well as homeowners preferences. Therefore, heights of residential buildings located within R1 to R5 districts are not discussed further. Buildings in mid- and high-rise contextual districts are also subject to mandatory height limits. Such buildings account for 3.9 percent of the housing units that have been built since 1979 citywide; 10.3 percent in Manhattan. Development in these districts would be 64

21 unaffected by the proposal. Both residential and non-residential buildings in these districts are therefore excluded from the rest of the analysis. Additional residences are located in manufacturing and C8 districts that do not generally permit housing. They are subject to special rules, and are also not discussed further here. The data show that buildings in mid- and high-rise districts in Manhattan differ from those in the other boroughs because of Manhattan s extraordinary density, so data for Manhattan are discussed separately from the rest of the city. There are 47,600 post housing units located in mid- and high-rise non-contextual districts in Manhattan, and 36,300 in the other boroughs. Boroughs Outside Manhattan: Residential Buildings in Mid- and High- Rise Non-Contextual Districts All Existing Buildings. Data on the number of lots with, and housing units in, residential buildings outside Manhattan, by number of stories and mid- and high-rise non-contextual zoning district, is presented in Exhibit C-1. Although these districts permit greater heights, buildings with one to three stories nonetheless account for 86 percent of the residential lots, and 30 percent of the housing units, within them. Outside Manhattan, R6 districts, and commercial overlay zones within R6 districts, account for the majority of mid- and high-rise lot area. In R6 districts (whose zoning regulations were designed to promote thirteen story buildings), low-rise one to three story buildings account for 89 percent of the lots and 40 percent of the housing units. Since taller buildings have more housing units on each lot than low-rise buildings, they account for the majority of the housing in mid- and high-rise zones despite accounting for a small share of the lots. Still, the typical mid-rise apartment building outside Manhattan has just four, five, or six stories. Four to six story buildings account for 13.5 percent of the lots, and 52 percent of the housing units, in these districts. Buildings with nine or more stories account for just 0.4 percent of the lots, and 15.5 percent of the housing units. Buildings with seven or eight stories are relatively uncommon: they account for 0.2 percent of residential lots, and 2.4 percent of residential housing units. The data show modest differences between the predominant R6 districts and districts that permit larger buildings, such as R7, R8, and C4-4. The higher districts have 65

22 proportionally fewer low-rise one to three story buildings, but they do not have many more high-rise buildings with nine stories or more. Buildings with nine or more stories account for just 0.2 percent of the lots in R6, 1.0 percent in R7-1, 2.3 percent in R7-2, and 1.3 percent in R8. Only in R7-2 do buildings with nine or more stories account for a substantial share of the housing units 46 percent but R7-2 is little mapped outside Manhattan. Recent Buildings. Data on the number of lots with, and housing units in, post-1979 residential buildings outside Manhattan, by the number of stories and mid- and highrise non-contextual districts, is presented in Exhibit C-2. This tabulation shows that low-rise buildings have become even more common, and mid- and high rise buildings less common, in recent years. Among recent construction, buildings with one to three stories account for 95 percent of the lots (9 percent higher than all buildings), and 52 percent of the housing units (20 percent higher than all buildings). A higher share of recent mid-rise buildings, however, have seven or eight stories rather than four to six. Buildings with seven or eight stories accounted for 0.6 percent of the lots and 14.1 percent of the housing units built in the 1980s and 1990s (compared with 0.2 and 2.4 percent respectively for all buildings). Those with four to six stories accounted for 4.0 percent of the lots and 22 percent of the housing units (a decline of 13.5 and 52 percent respectively compared to all buildings). Among recent buildings, the share of lots with nine or more stories was slightly higher, at 0.4 percent, and the share of housing units somewhat lower, at 11.8 percent, than among all buildings. Data on recent buildings reveals little difference among mid-rise zones. Low-rise buildings accounted for more than 94 percent of the lots and half of the housing units in R7 as well as in R6 districts; most of the recent housing units in R8 districts are in taller buildings, but there are few such buildings. However, there is a difference among boroughs. Buildings with nine or more stories account for 30 percent of recent housing units in Queens, compared with just 8.7 percent in the Bronx, 6.0 percent in Brooklyn, and none on Staten Island (which has little mid- and high-rise zoning). From 1980 to 1997, 13 lots in Queens were developed with residential buildings of 9 to 13 stories, and seven lots with buildings of 14 to 23 stories. These account for 20 of the 37 lots in all four boroughs with recently-built residential buildings over 9 stories. 66

23 Manhattan: Residential Buildings in Non-Contextual Districts All Existing Buildings. Data on the number of lots with, and housing units in, Manhattan residential buildings, by number of stories and mid- and high-rise noncontextual zoning district, is presented in Exhibit C-3. The data show that conditions in Manhattan are much more diverse than in the other boroughs, and high-rise buildings are much more common in zoning districts that permit them. Overall, buildings with one to eight stories account for 93 percent of the residential lots, and 53 percent of all housing units, in non-contextual districts. In the most common of these districts, R7 and its commercial equivalents such as C4-4, buildings with one to eight stories account for 98 percent of the residential lots and 72 percent of the housing units. In R9, R10 and commercial equivalent districts, however, high-rise buildings predominate. Buildings with nine or more stories account for 30 percent of the lots and 82 percent of the housing units in R9, R10, and their commercial overlay districts. They account for 38 percent of the lots and 82 percent of the housing units in equivalent C4, C5 and C6 districts. Still, buildings with more than 23 stories are uncommon, even in Manhattan noncontextual zones. RPAD tabulates just 85 residential lots with buildings that have 36 or more stories, and just 172 lots with buildings that have 24 to 35 stories. Almost all are in 10 FAR districts. These buildings account for just 5.4 percent and 8.5 percent, respectively, of the housing units in Manhattan non-contextual zones. Recent Buildings. Data on the number of lots with, and housing units in, post-1979 Manhattan residential buildings, by number of stories and mid- and high-rise noncontextual zone, are presented in Exhibit C-4. The data show that mid-rise buildings have become less common, and high-rise and very tall buildings more common, in the post-1979 period. Buildings with one to eight stories account for just 45 percent of the residential lots, and just 14.5 percent of the residential units. A much lower share of lots with recent buildings, and recent housing units, are located in R7 districts, and a much higher share are located within R9 and R10. Even within R7 and equivalent commercial districts, recent buildings with one to eight stories accounted for 78 percent of the lots but just 50 percent of the housing units. 67

24 Post-1979 buildings account for just 391 of the 21,284 lots in Manhattan noncontextual districts, but they account for 51 of the 85 lots with buildings over 35 stories, and 49 of the 172 lots with buildings of 24 to 35 stories. Buildings with more than 35 stories account for 35 percent of the housing units in recent buildings, and buildings with 24 to 35 stories account for an additional 23 percent. Zoning changes over the past 20 years, however, have already narrowed the area where such buildings can be built. Of the 51 recent buildings with 36 or more stories, 31 are located in R9, R10, and equivalent overlay districts the ability to build such buildings in these districts is already limited on wide streets, where they are generally (but not exclusively) mapped. Six are located in special districts that have their own height limitations. Seven are located in the Midtown and Lower Manhattan Special Districts, where the large number of high-rise commercial buildings means that very high-rise residential buildings are not out of place. Only seven are in commercial districts outside Midtown and Lower Manhattan, in areas where new tall residential towers continue to be permitted by zoning. Analysis The preponderance of low-rise buildings outside Manhattan, even in mid-rise zoning districts, is driven by cost, market, and business factors. Two- and three-story, one- to three-family buildings are the least expensive housing to build per square foot. They do not require extensive lobby and hall space, and do not require elevators. They are also the most marketable, since many Americans prefer owner-occupied houses, and such houses account for a relatively small share of the city s existing housing stock. And, small houses may be built by small construction companies with limited access to working capital, while taller buildings require access to extensive credit and technical expertise. Small houses can be built and sold quickly, while larger buildings started in a boom may be not be finished until a recession, a characteristic that increases risk. And small houses may be built on a single small lot, while the construction of a new large apartment building generally requires the assemblage of many small lots, one of whose owners can disrupt the process by refusing to sell. Mid- and high-rise housing construction has become less common throughout the country as well as in New York. In the early 1970s, more than 100,000 units per year were built nationally in apartment buildings with four or more stories. That dropped to between 50,000 and 75,000 68