1. Certificate of Occupancy - Minimum Requirements
September 2013

2. Agenda Basic C of O Concept/Criteria – Part 1203
Information Required on C of O
Certificate of Occupancy “Checklist” & Statement of Certification
Temporary & Conditional Certificates & Conditions of Revocation
Certificate of Compliance
Conclusion & Questions

3. Basic Concept of C of O
NO building erected, enlarged or altered, subject to the Uniform Code & Part 1203
Shall be used or occupied, unless a code compliance certificate or temporary approval for occupancy is issued, except:
Work exempted from permit requirements of Section (a)

4. Basic Concept of C of O Based on Title 19 NYCRR Part 1203
Does municipality really “Certify” buildings?
Certification that …
Is it a legally constructed building with a C of O?
Required for all work which:
Requires a building permit
Acknowledges a change of occupancy

5. Basic Concept of C of O
Devices used to restrict use of a building or structure to a specific type of use or occupancy
Acknowledges construction is complete & is used for intended purpose
Protection and Liability
Rights of tenant & owner with Certificate

6. Basic Criteria for Issuance
Verification of submittals - Records of:
Approved building permit/change of occupancy
Appropriate field inspections were made
Changes to documents were accepted
Special Inspection Reports
HVAC manuals and certification
Fire protection system testing
Record drawings (“as-builts”)

7. Basic Criteria for Issuance
Final inspections per local Code Officials
Provide punch-list, as applicable
Final inspections performed by others
Special Inspections
Fire Marshal (joint inspection with Code Official)
Third-party inspections (i.e.-fire-stopping, elevators,
electrical, fire alarm, fire sprinkler, hood systems)
No outstanding code compliance violations

8. Local Municipality Options
Local governments have option to:
Expand requirements for C of O’s to include situations not specified in min. standards of Part 1203:
Where local governments requires additional permits
Require renewal of a C of O for multiple dwellings at the time of resale. (renewal not new C of O)
Tie Operating Permit to the issuance of a C of O

9. Local Municipality Options con’t
TEMPORARY CERTIFICATE OF OCCUPANCY
Issue temporary C of O’s to buildings or portions thereof that are sufficiently complete
Period shall not exceed 1 year (may be renewed)
May place special conditions, to ensure safety & to protect interest of local municipality (clearly state)
Agreed to by the property owner (signature)

10. Agenda Basic C of O concept/criteria – Part 1203
Information required on C of O
Certificate of Occupancy “Checklist” & Statement of Certification
Temporary & Conditional Certificates & Conditions of Revocation
Certificate of Compliance
Conclusion & Questions

11. Minimum Information on C of O
Date and # of building permit
Property identification
Approved occupancy classification(s)
Main occupancy(ies)
Accessory spaces
Fire protection equipment provided
Required or voluntary

12. Minimum of Information on C of O
Occupant loads for all occupancies and spaces
Determine occupant load based on use of the space
Multiple occupancies within the same use group should be indentified by size and/or location
Assigning square footage to different occupancies provides a specific record of what was approved
Posting of loads

13. Additional Information on C of O
As applicable:
Special use permit (local zoning law)
Construction type
Version of Code the building was constructed under.

14. Additional Information on C of O
As applicable:
Operating permit:
Hazardous materials or processes
Use, operation or repair of fire protection equipment
Buildings with one or more areas of public assembly
Potential higher public safety hazard buildings (i.e.- amusement buildings, temporary assembly, etc.)

15. Additional Conditions for C of O
As applicable:
Control areas:
Hazardous occupancies/materials
Fire Safety Plans
Evacuation Plans

16. Record Keeping Maintain adequate records of:
System for issuance of Certificates of Occupancy or compliance,
Documents applying to C of O issuance

17. 10 Minutes
BREAK

18. Agenda Basic C of O concept/criteria – Part 1203
Information required on C of O
Certificate of Occupancy “Checklist” & Statement of Certification
Temporary & Conditional Certificates & Conditions of Revocation
Certificate of Compliance
Conclusion & Questions

19. Certificate of Occupancy “Checklist”
Final inspection by Building Official
Final inspection by Fire Marshal
Third Party written inspection reports
Special Inspection final reports
Hazardous materials reports
Compliance with planning & zoning

20. Certificate of Occupancy “Checklist”
Completion of site work
Fire Service Features, access roads, hydrants, fire service connections access,
Conditional permits, if weather restrictions
Verification of handicap accessibility features
Installed/provided as designed
Verify slope and cross slope along accessible route
Verify door pull and clearances when furnature has been placed.

21. Certificate of Occupancy “Checklist”
Acceptance testing of fire protection equipment
Premises identification
Plainly visible and legible from street or road fronting property
Approved signage
Fire department access, interior
Electrical service, fire sprinkler room, equipment rooms, hazards identified
Truss signage

22. Certificate of Occupancy “Checklist”
Operating permits
Lease plan (for covered malls)
Operating & maintenance manuals (for commercial HVAC systems)
Certification of commissioning of systems
Balancing reports
Owner training, as applicable

23. Statement of Certification
Statement of Municipality (inspected to verify that ______ was constructed in accordance with approved plans)
Signature of Building Official
Signature of Fire Marshal
Statement of authorized applicant (constructed in accordance with approved plans)
Signature of authorized applicant

24. Agenda Basic C of O concept/criteria – Part 1203
Information required on C of O
Certificate of Occupancy “Checklist” & Statement of Certification
Temporary & Conditional Certificates & Conditions of Revocation
Certificate of Compliance
Conclusion & Questions

25. Temporary & Conditional Certificates
Limiting language
Require files on adequate information and detailed statements of work to be done
Functional fire protection equipment (all systems fully operational)
All exiting for occupied areas maintained
Limiting time period
Relative to anticipated construction schedule

26. Temporary & Conditional Certificates
Provisions for penalties
Not a guarantee that a permit for entire building is or will be granted
Minimum criteria should be set for the continuation of work
Phased Projects
Phases clearly identified
Required fire watches during system shutdowns
Re-inspection of fire-stopping on common walls

27. Conditions for Revocation
All work shall stop until approved documents, resolution has occurred & permit is given
Exception: directed work to remove violation or unsafe condition

28. Conditions for Revocation
Construction not in accordance with approved submittals
Construction shall be per approved design, in accordance with codes
Any changes during construction shall be submitted for approval prior to work done
Certificates issued in error

29. Not Constructed in Accordance with the Approved Plans?

30. Not Constructed in Accordance with the Approved Plans?

31. Conditions for Revocation
Work performed without required permit
All new work requires a building permit, with exceptions (per local code and/or Part 1203)
Expiration of Certificate
Temporary C of O
Operating Permit

32. Conditions for Revocation
Property maintenance
Unsafe structures and equipment
Occupancy or use modified without permit
Failure of testing & maintenance of required fire protection equipment
Unsafe or hazardous conditions
Building fire or collapse

33. Revocation Process
Local Law should provide a process for revocation of a Certificate of Occupancy or Certificate of Compliance. Requires Due Process and Appeal provisions. Typically includes a hearing and action by Legislative body or Court action.

34. Unsafe Condition

35. Unsafe Conditions

36. Unsafe Conditions

37. Unsafe Conditions

38. Agenda Basic C of O concept/criteria – Part 1203
Information required on C of O
Certificate of Occupancy “Checklist” & Statement of Certification
Temporary & Conditional Certificates & Conditions of Revocation
Certificate of Compliance
Conclusion & Questions

39. Certificate of Compliance
Certificate of Compliance is applied, issued, administered and can be revoked the same as a Certificate of Occupancy. When is it appropriate to issue a Certificate of Compliance? How do they differ from a Certificate of Occupancy?

40. Certificate of Compliance
When is it appropriate to issue a Certificate of Compliance?
When the building or area will not be occupied
When the building permit is issued for a building shell
At the completion of the installation of new equipment, systems, repairs, replacements
Modifications to approved site improvements that impact existing fire service features

41. Certificate of Compliance
How do they differ from a Certificate of Occupancy? How are they similar?
The Certificate of Compliance does not authorize the occupancy of a building or space
They both close out the permit process
They provide a record of the limitation of approval granted by the municipality
They both carry the weight of the law and they both can be revoked with cause

42. New Certificate of Occupancy?

43. Contacts – DOS Regional Offices
Buffalo – (716) /2:
Kumar Vijaykumar
Andrew Hvisdak 
Finger Lakes Office – (315) :
Currently Vacant
Syracuse – (315) :
Jim King
> Adirondack Office – (518) :
- Whitney Russell

44. Contacts – DOS Regional Offices
Capital Office – (518) :
Joseph McGrath
Kingston Office – (845) :
Dan Nichols
Long Island Office – (631) /09/12:
Courtney Nation
Richard Smith

45. Contacts – DOS Regional Offices
Peekskill Office – (914) :
Erika Krieger
Southern Tier Office – (585) :
Charles Bliss
Utica Office– (315) :
Tom Romanowski
Binghamton – (607) :
Currently Vacant

46. Questions?
T.Y. Lin International would like to thank the New York State Fire Marshals and Inspectors Association for the opportunity to participate in this educational school and present this program