Certificates of Occupancy
What Is a Certificate of Occupancy?
A Certificate of Occupancy establishes the legal use and type of permitted occupancy of a building or portion of a building. The C of O may identify the use of individual floors or spaces, occupancy classifications, and other information establishing the lawful configuration of the building.
A Certificate of Occupancy is not simply a record of the construction work. It establishes what the building or space may legally be used for.
New buildings are generally required to obtain a Certificate of Occupancy. An existing building must have a current or amended Certificate of Occupancy when an alteration results in a change in use, egress, type of occupancy, or another condition that affects the existing Certificate of Occupancy. In some circumstances, a Temporary Certificate of Occupancy (TCO) may be issued while outstanding items are being completed.
Not every renovation requires an amended Certificate of Occupancy. Minor alterations that do not affect the legal use, egress, or occupancy may instead be completed with the applicable permits and inspections and closed with a Letter of Completion.
Certificate of Occupancy General Requirements
Examples of projects that may require a new or amended C of O include:
Converting a warehouse or other commercial space to office use.
Converting a commercial or loft building to residential use.
Increasing the legally permitted occupancy where the change affects the Certificate of Occupancy.
Changing a one-family or two-family building to a different legal occupancy or use.
Vertically enlarging a building or otherwise making an alteration that changes information contained in the existing Certificate of Occupancy.
The fact that construction work is substantial does not, by itself, mean that a new Certificate of Occupancy is required. The requirement depends on whether the completed work changes conditions that affect the building’s legal occupancy or existing Certificate of Occupancy.
Buildings Without a Certificate of Occupancy
Not every New York City building is required to have a Certificate of Occupancy.
Buildings constructed before 1938 generally were not required to have a Certificate of Occupancy, unless a subsequent alteration changed the building’s use, egress, or occupancy. When a Certificate of Occupancy is not required, DOB may provide a Letter of No Objection as evidence of the legal use of the building.
Before Applying for a Certificate of Occupancy
For a new building or major alteration requiring a new or amended Certificate of Occupancy, the process generally involves several stages:
- First, the required plans and documents are prepared by the appropriate Registered Architect or Professional Engineer and filed with DOB.
- After the application has been approved or otherwise authorized to proceed, the required permits are obtained and the construction work is performed in accordance with the approved documents.
- During construction, required Department inspections, Special Inspections, and Progress Inspections. The exact inspections depend on the scope of work and the requirements of the project.
- Once construction is complete, the required inspections, permits, and other project requirements must be completed before the Certificate of Occupancy can be issued.
Applying for a Certificate of Occupancy
The Certificate of Occupancy process is now primarily handled through DOB NOW.
For projects requiring a Certificate of Occupancy, the applicant submits a Certificate of Occupancy Request through DOB NOW: Build. The request is reviewed by DOB staff, and the required supporting documentation and project sign-offs are verified.
DOB’s current system also uses an approved Schedule of Occupancy to establish the occupancy information for the building. For BIS jobs, the Schedule of Occupancy is submitted through DOB NOW and is used in the Certificate of Occupancy process.
A Certificate of Occupancy Worksheet is also required for a final Certificate of Occupancy, as well as certain Temporary Certificate of Occupancy requests.
Construction, Plumbing, Electrical, and Elevator Sign-Offs
DOB NOW records the applicable Construction, Plumbing, Electrical, and Elevator Certificate of Occupancy signoffs electronically, when those disciplines apply to the project. The system displays the status of the applicable signoffs as part of the Certificate of Occupancy request. Not every project requires all four categories.
Construction Sign-Off
A required final construction inspection is scheduled through DOB NOW: Inspections
The inspector reviews the completed work for compliance with the approved plans and applicable requirements. If deficiencies or discrepancies are identified, they must be corrected before the required sign-off can be completed.
Where the completed construction differs from the approved plans, the appropriate corrective procedure must be followed. Depending on the nature of the change, this may include a Post-Approval Amendment (PAA) or, where permitted, submission of revised as-built drawings. The DOB specifically provides that substantive changes require a PAA, while certain non-substantive changes may be documented through as-built drawings before project sign-off.
Plumbing Sign-Off
Current DOB procedures provide for plumbing Certificate of Occupancy sign-offs through DOB NOW: Inspections. The applicant of record requests the final plumbing sign-off through the system after the applicable plumbing requirements have been satisfied.
Current plumbing inspections and certifications are governed by the DOB’s applicable inspection procedures, including Department inspections and authorized certifications where applicable.
Electrical Sign-Off
Electrical Certificate of Occupancy signoffs are coordinated through DOB NOW: Inspections. The DOB’s current inspection system provides electronic scheduling and tracking of electrical inspections and related signoffs.
The electrical contractor must complete the applicable electrical filing, inspections, and certifications before the electrical portion of the Certificate of Occupancy process can be completed.
Elevator Sign-Off
When an elevator is present and the project requires an elevator Certificate of Occupancy sign-off, the applicable elevator inspections and requirements must be completed.
Elevator-related violations, required inspections, and other outstanding elevator requirements can affect the ability to obtain final occupancy. DOB NOW: Inspections is used to manage applicable elevator inspections and their results.
It is important to review the building’s elevator records and outstanding requirements early in the Certificate of Occupancy process rather than waiting until the end of construction.
Violations and Outstanding Applications
Outstanding violations and applications can delay the issuance of a final Certificate of Occupancy, particularly when they affect the safe occupancy or legal use of the building.
The DOB’s current guidance recognizes circumstances in which a Certificate of Occupancy may be issued despite open applications or violations that do not affect safe occupancy, and it provides procedures for certain waivers or other resolutions. For a Final Certificate of Occupancy, however, required applications and violations generally must be closed or otherwise resolved in accordance with DOB requirements.
Owners should review outstanding violations, permits, applications, and required inspections well before the Certificate of Occupancy is requested.
Special and Progress Inspections
In addition to DOB inspections, many projects require Special Inspections and Progress Inspections.
Special Inspection Agencies submit required Special Inspection reports to DOB. Other required inspections may be performed by the DOB, the Applicant of Record, licensed professionals, contractors authorized to self-certify, or other qualified parties, depending on the applicable code and DOB procedure.
All required inspection reports and certifications must be completed before final project sign-off.
Final Project Sign-Off
Before a final Certificate of Occupancy can be issued, the owner and project team must ensure that:
All required construction work has been completed.
Required permits have been obtained and closed or signed off.
Required Department and Special and Progress Inspections have been completed.
Required plumbing, electrical, elevator, and other applicable sign-offs have been completed.
Any DOB objections have been resolved.
Required fees have been paid.
Required documents and certifications have been submitted.
Any necessary Post-Approval Amendments have been approved.
The completed work conforms to the approved plans and applicable laws and regulations.
Temporary Certificate of Occupancy
In some cases, a building or portion of a building may be safe to occupy even though certain requirements for final approval remain outstanding. In such circumstances, DOB may issue a Temporary Certificate of Occupancy (TCO).
A TCO permits occupancy for a limited period while outstanding items are resolved. The DOB states that TCOs typically expire after 90 days, although they may be renewed when the applicable requirements are satisfied.
A TCO is not the same as a final Certificate of Occupancy. The owner must continue to resolve the outstanding items necessary to obtain the final C of O.
Final Certificate of Occupancy
Once the Certificate of Occupancy request has been submitted and all applicable requirements have been satisfied, DOB reviews the request and issues the Certificate of Occupancy.
The final Certificate confirms the legal use and permitted occupancy of the building or affected portion of the building.
For a new building or major alteration, DOB’s final Certificate of Occupancy confirms that the completed work conforms to the submitted plans and applicable legal requirements.
Certificates of Occupancy can be accessed through the DOB’s Building Information System (BIS).
Conclusion
Obtaining a Certificate of Occupancy in New York City is no longer simply a matter of obtaining four paper inspection signoffs. The current process is primarily electronic and involves coordination among several agencies.
The most important part of the process is to begin planning for project close-out early. Required inspections, violations, permits, Special Inspections, as-built conditions, and other outstanding requirements should be identified and resolved before the final Certificate of Occupancy request is submitted.
For projects that do not require a new or amended Certificate of Occupancy, DOB may instead issue a Letter of Completion after the required final inspection and project close-out requirements have been satisfied.