Certificate(s) of Occupancy
BUILDINGS WITHOUT A VALID CofO
The issuance of CofO’ s became a requirement for buildings erected or developed after the enactment of the 1938 Building Code. Buildings built prior to 1938 with alterations made thereafter which did NOT affect the existing use or occupancy, may continue occupying the building (lawfully) without retroactively obtaining a new CofO.
Aside from Department of Buildings (DOB), There are various Governing Agencies and/or banks, mortgage companies, or state authorities (i.e. SLA) that may require a building to provide a valid CofO for a specific use or establishment. For Buildings without a CofO, there are a few options and available NYC public resources to help verify existing uses or occupancy in a prior code building. Depending on the specific project and available property records, an LNO/LOV – Letter of No Objection/Letter of Verification may be requested from the DOB, if applicable.
Residential buildings with over 4 or more dwelling units.
Run a search via HPD – Records for available I-Cards or other documentation reflecting the number of dwelling located in the building. If the information on file results in a HIGHER number of dwelling units (i.e. building has 27 units but HPD reflects 32 units) the building may still be considered legally occupied. In summary, the Codes and Regulations allow an existing residential building to combine apartments (NOT add new apartments) without requiring a new or amended CofO. This should be analyzed on a per case basis verifying that ALL required conditions per DOB-Code Notes: Combing apartments are met.
Request DOB-Block/Lot search with Records Management for Pre-BIS Records
DOB-BIS Property Information became available to the public in 1990. However, many PRE-BIS applications including DOB project folders and microfilm may be available. An Architect with valid DOB-ID, Class-1 or 2 Filing Representative, or building owner can request old property records from the corresponding borough office. The search may take up to 1-2 weeks however, in my experience I have obtained folder dating as far back to the 1920’s.
Search DOF-Tax Maps, ACRIS, NYC Municipal Archives etc.
In addition to the above items, I suggest to search other municipalities within jurisdiction such as historic DOF-Tax Records & ACRIS for any declarations or exhibits, sandborn maps, NYC Municipal Archives etc. If records are not available via DOB -block/lot search, I get creative. On past projects, I have used yellow page archives from the NYC Public Library and historical news publications to verify existing building conditions. There is no guarantee that such documents will be accepted but should be considered, if necessary for the specific project.
BUILDINGS WITH A VALID CofO
When consulting on a project involving an Alteration of An Existing Building, I use the following guideline to determine whether the proposed alteration project triggers a Change of Use or Occupancy Application. The following can also be used to determine Which Codes Apply to an Existing Building.
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CofO’ s issued PRIOR to the enactment of the 1961 Zoning Resolution may not reference a specific Zoning Use Group. Many prior-code CofO’s are usually vaguely written and will likely reference 1938 BC – Occupancy Classifications (i.e. Commercial, Residential).
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CofO’ s issued AFTER the enactment of the 1968 Building Code but PRIOR to the 2008 Building Code, should reference applicable Zoning Use Groups as well as 1968 BC – Occupancy Classifications per floor. In some cases, 1938 BC - Classifications are also referenced (where applicable) for the main use/occupancy of the building.
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CofO’s issued AFTER the enactment of the 2008 Building Code should reference applicable Zoning Use Groups and 2014 BC – Occupancy Classifications. Prior code CofO’s issued after 2008 may also reference applicable 1968 and/or 1938 Occupancy Classifications.
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CofO’s issued after 2008 wherein the building was erected pursuant to the 2008 or 2014 Codes, should reflect Zoning Use Groups and 2014 Construction Classifications. Such buildings are considered “New Code” buildings for the purpose of this eGuide.
CHANGE OF USE OR OCCUPANCY – ALT-CO (FORMALLY ALTERATION TYPE 1)
After gathering all necessary Property Records including the latest Certificate of Occupancy on record for the building, the Architect can determine whether a proposed development or alteration project requires an application to amend the buildings Certificate of Occupancy.
EXAMPLES OF ALTERATION PROJECTS REQUIRING AN ALT-CO APPLICATION
The Department of Buildings (DOB) has specific requirements for each Change of use/occupancy application based on the individual characteristics of the building. When consulting on a project that involves a potential change in use/occupancy, I use the following guidelines to determine applicability.
The below are examples of Project Scopes that require an Alteration-CO – Change of Use/Occupancy application (Also referred to “ALT-CO per DOBNow”).
1. Buildings undergoing an alteration which Establishes a New Place of Assembly.
2. Alterations to existing buildings that affect/change the Certificate of Occupancy including but not limited to: (see Sample Certificate of Occupancy for reference)
- Building Code occupancy classification.
- Increase structural live load
- Increase max. occupant load (Number of persons permitted)
- Change Zoning Use Group
- Change description of use
- Increase number of dwelling units
- Change Construction Classification
- Major Change in Means of Egress/Exits
3. Subdivisions, mergers, apportionments, combining buildings, and/or changes to existing zoning lot description (meets & bounds) including any associated declarations or easements recorded with DOF-ACRIS
4. Buildings WITHOUT a CofO wherein an LNO/LOV – Letter of No Objection/Letter of Verification is NOT applicable.
Examples of select alterations that would NOT require an Alteration type 1-Change of Use/Occupancy application:
1. Alterations involving a change in egress filed as a Directive 2 where there is NO change to the CofO.
2. Alterations which converts ground floor retail/mercantile occupancy (M) to Business/service (B) wherein the Certificate of Occupancy references Zoning UG 6 in accordance with BULLETIN – 2009-025.
3. Alterations to Buildings WITHOUT a CofO wherein existing legal use/occupancy is verified. An LNO (Letter of No Objection) shall be requested prior to construction.
FILING STRATEGY ALTERATION TYPE 1 – CHANGE OF USE OF OCCUPANCY.
Based upon expected completion date of Construction/Filing Documents, the filing procedure and strategy can be filed in either of the following ways:
1. File a Standard Review Application with the Department of Buildings. This process may take 2-4 weeks for review by DOB Technical staff and may take an additional 2-4 weeks to obtain approval. The process varies based on the extent of the Project Scope, complexity of DOB objections, and availability of the DOB examiner. Unless requested, I typically do not recommend professionally certifying an Alteration-CO filing because the application is still reviewed by DOB for zoning and life safety compliance which could result in the same review time as a standard review.
2. (For Waterfront Properties) Ownership can request that the proposed work be at the jurisdiction of SBS - Small Business Services (aka. New Business Acceleration Team) wherein the application process may allow a shorter review timeframe. Although minimal, my experience with SBS from a filing/approval standpoint has not been easier compared to others. However, I believe the sign-off, inspections, and issuance of an initial CofO for an Alt1 application is known to be an expeditious process.
3. (Recommended) File application with NYC Development HUB which is a full electronic filing system and may take 4-6 weeks for review and approval. This option is preferred as it saves time and resources because all filing documents and drawings are uploaded electronically. It has also been my experience that the technical staff, due to HUB’s virtual capabilities, have a quicker and more direct review process than the Borough office.
4. Upon selecting the appropriate Agency Having Jurisdiction referenced in items 1-3 above, the applicant/owner may refer to Alteration to Existing Buildings to begin preparing a filing strategy for the Alt-1 application EXCEPT that the application cannot be filed as either a Directive 14 or Directive 2 and procuring a Temporary Certificate of Occupancy upon completion will be required.