Occupation Permit (OP)

1. Special Clauses & PNAPs

2. Application for Occupation Permit

1. Water Supply

2. Fire Service

3. Electrical Supply

4. Road

The OP Check List (see Appendix 1 for the OP Checklist).

1. Fire Service Inspection

2. Application for Occupation Permit

3. Certificate of Accepted Building Materials and Products and Schedule of Building Materials and Products

1. The FS Inspection

2. The OP Inspection

Application for Temporary Occupation Permit (TOP) and Subsequent Inspection

What is an Occupation Permit

An Occupation Permit (OP) is a statutory document issued by the Buildings Department (BD) certifying the satisfactory completion of a new building, part of a new building, or a temporary building.  It also certifies that the building has been constructed in accordance with the provisions of Buildings Ordinance (BO) and Regulations; is structurally safe; and has been constructed in accordance with the approved plans by BD.

Fire Certificate, the Certificate of Practical Completion and the Certificate of Compliance

In addition to the Occupation Permit issued by the BD, the Fire Certificate by Fire Services Department (FSD), the Certificate of Practical Completion by the Project Architect, and the Certificate of Compliance by the District Land Office (DLO), are considered closely interrelated for a building development.

The Fire Certificate is a prerequisite for the issuance of an Occupation Permit.

Building Ordinance and Regulations related to Occupation Permit

There are two types of Occupation Permit, a full OP and a Temporary OP (TOP). 

Special Clauses & PNAPs

Following are some special Clauses in the BO and Practice Notes for Authorized Persons (PNAP), particularly related to the Application for an Occupation Permit:-

       BO S21 – Occupation of a New Building (Occupation Permit & Temporary Occupation Permit)

       BA 25 – Certification to be given by registered contractor and authorized person on completion of building works

       BA 25A – Certification as to Supply of Water

    PNAP 53 (& PNRC 25) – Application for Occupation Permit (OP) and Submission of Record Plans and Information

1.          Appendix A – Certificate of Accepted Building Materials and Products

2.          Appendix A. 1 – Schedule of Building Materials and Products

       PNAP 87 – Permanent Water Supply to Fire Service Installations

       PNAP 133 – Temporary Buildings

       PNAP 188 – Occupation of New Buildings

PNAP 213 – Temporary Occupation Permit (TOP) for Sale Offices and Show Flats on Construction Sites.

Application for an Occupation Permit

Application for a full Occupation Permit is by submitting a Form BA 13 to BD – Certificate on completion of building works resulting in a new building and application for permit to occupy such building (PNAP 159 on Specified Form).  Form BA 13 must be jointly completed by the RGBC, RSE and AP certifying that the new building has been elected in accordance with the provisions of the BO and Regulations, is structurally safe, and has been elected in accordance with the approved building plans.

Processing of an OP Application by BD

The PNAP 188 summarizes how BD process an Application for an Occupation Permit.  By law, BD must process an Application for an Occupation Permit within 14 days once they received a Form BA 13 submission.  During this period, full cooperation from the AP is considered essential.  The AP must ensure all required certificates, record plans, and schedules are submitted with the formal application of Form BA 13.

Refusal and Resubmission

In the event that a refusal has been issued, the AP is required to make a formal resubmission of an application (Form BA 13) to the BD.

To facilitate OP inspection, a good filing management system should be established by the RGBC at the beginning of the Building Contract.  The system should be able to keep track all approval and consents by BD, mill sheets, fire rated materials and products, testing and inspection reports etc.

Seven Critical Activities

Besides the builder’s works to be completed, there are seven critical activities, which are considered critical for completion in order to meet the OP inspection.  They are namely:-

1.        Water (e.g. water connections, Water Certificates, gas or electrical water heaters)

2.        Fire Service (e.g. F S Water Supply, F S Certificate, D G License)

3.        Electrical (e.g. genset, power supply)

4.        Road (e.g. EVA, run-in/run-out, pavement, slope works)

5.        Drainage (e.g. drainage connections)

6.        Lifts & Escalators

7.        Mechanical ventilation (e.g. fresh air intake, fire dampers)

 

In addition to the seven critical activities, the installation of underground gas pipes; PCCW Telephone, Cable TV and Hutchinson Telephone underground lead-ins may affect the vehicular access at the site entrance, finishing works at street level, and the subsequent reinstatement of pavement.  Please note that HyD would only issue one Excavation Permit at any one time, therefore their installation works should be properly coordinated by the RGBC.

1. Water Supply

This includes Potable Water Supply and Flushing Water Supply connections, inspection by WSD on the completed plumbing installation, and the Certificate of Water Supply Connection to be issued by WSD.

During the inspection, it is normally required by WSD that gas or electrical water heaters must be completed at the same time with other plumbing installation.  However, early installation of water heaters would lead to a lot of damages and subsequent replacement.  In order to minimize damages, the Project Architect could apply to the WSD for permission in deferring the installation of water heaters until the end of the Building Contract.

2. Fire Service

This consists of FS Water Supply Connection, the Certificate of FS Water Supply issued by WSD, inspection by FSD for D.G. Licensing, the submission of Form 314 and Form 501, FS Inspection, and the Fire Certificate to be issued by FSD.

3. Electrical Supply

Early energizing of electrical power supply is essential at the completion of a project, since it is quite certain that temporary power supply at this stage would not be capable of satisfying the demand for handling large amount of works to be completed and the testing & commission for building services installation.  Therefore, early completion of transformer rooms, switch rooms, meter rooms, plant rooms, and early handing-over of access for Power Company to lay their underground cables, would definitely facilitate the power energizing.

In addition, the completion of generator is essential for FSD inspection.  The exhaust chute for fume emission of a generator must be inspected and approved by EPD before the OP inspection.

4. Road

This normally refers to access road, EVA, pedestrian walkways, pavements, associated slope works, underground utilities and drainage, street furniture and landscaping.

5. Drainage

This consists of Storm Water and Sewage Connections (or known as last manhole connections), and the Certificates of Drainage Connections to be issued by DSD.  For some special projects where sewage treatment plant is to be constructed, it must be operable and certified by relevant Government Authorities prior to the issuance of OP.

6. Lifts & Escalators

This consists of submission of Form 5 for Lifts and Escalators inspections and the issuance of Form 6 by EMSD.  For FS inspection, it is essential to have all fireman’s lifts completed, but for OP inspection, all lifts must be completed.

The lift machine rooms and lift shafts should be handed over to the Life Subcontractor as early as possible, so that they could complete the lifts before the passenger hoists and material hoists are removed.  The lifts are considered extremely vital for vertical transportation of labours and materials closing to the end of a Building Contract.

7. Mechanical Ventilation

This includes the provision of fresh air intake and exhaust to toilets, confined space, enclosed car parking podium, shopping arcade, basement, etc. by means of mechanical methods, such as, building automation. Inspection of the mechanical ventilation would be carried out at the same time with the F S inspection.  FSD will test whether the mechanical ventilation system and fire dampers could be automatically shutdown in case of fire.  Whilst, BD will check whether such provisions under BO and Regulations have been made.

The OP Check List

Six months before the Application for an Occupation Permit, the Project Architect, jointly with the Consultants, RGBC and Subcontractors shall produce an OP Checklist listing out all the critical activities to be completed for meeting the OP inspection.  A target date for each activity would be agreed and specified on the checklist.  In the following months, this checklist together with the Master Construction Programme would be used for monitoring and reviewing the site progress (see Appendix 1 for the OP Checklist).

1. Submission for Fire Service Inspection

The AP should make submission of Form 314 to FSD certifying the Fire Service Installation Plans are identical to the latest approved building plans no later than one month before the submission of Form 501.

The AP would make submission of Form 501 – Application for Inspection and Testing of Fire Service Installations and Equipment to FSD one month or one and a half month prior to the Application for an Occupation Permit.

2. Application for an Occupation Permit

Application for a full Occupation Permit is by submitting a Form BA 13 to BD.  Form BA 13 must be completed by the RGBC together with the RSE and AP certifying that the new building has been elected in accordance with the provisions of the BO and Regulations, is structurally safe, and has been elected in accordance with the approved building plans.

Since BD must process an OP Application within a period of 14 days, therefore the submission of Form 501 and Form BA 13 must be well planned to ensure a Fire Certificate could be obtained from FSD within the next 10 days of the 14 days period, and allowing at least three days for BD to close its file.  Besides the Fire Certificate, it is important that other certificates issued by respective Government Authorities are available at the time of the OP inspection.  Failure of providing the requisite certificates will lead to a refusal of issuance of OP.

3. Certificate of Accepted Building Materials and Products and Schedule of Building Materials and Products

Together with the Application for an Occupation Permit, the AP must submit a “Certificate of Accepted Building Materials and Products” and a “Schedule of Building Materials and Products” to BD certifying the application and performance of building materials and products to be used in construction is in compliance with the relevant provisions of the BO and regulations.  The schedules are to be prepared by the RGBC and certified by the AP.  The schedule should also cover any materials and products which have not been specified on the approved plans.  A sample of the Certificate and Schedule can be found in PNAP 53 – Appendix A and A.1.

4. Certificates and Record Plans

In addition to the submission of Form BA 13, the AP must ensure the requisite certificates and record plans are submitted with the formal application which may include the following:

• Dangerous Good (DG) Licensing Advice issued by FSD
• Fire Certificate FS 172 issued by FSD
• Fire Service Completion Advice regarding Fire Service Water Supply Connection by WSD
• Certificates regarding Water Supply Connection for Potable Water Supply and Flushing Water Supply issued by WSD
• Certificates (Form DSD 26) regarding Drainage Connections for Storm Water and Sewage issued by DSD
• Certificates for lifts (EMSD Form 6 – Permit to Use and Operate a Lift or Escalators) issued by the Electrical and Mechanical Service Department (EMSD)
• Certificate for completing the run-in/run-out and reinstatement of pavement by the Highways Department
• Form of Certificate of Approval (EPD 7(S)) for the genset chimney/flues installation from EPD in accordance with Air Pollution Control (Furnace, Ovens and Chimneys) (Installation and Alteration) Regulations, Regulation 10
• A “Plan Index Sheet” recording the approval of all General Building Plans, Structural Plans and Drainage Plans
• A letter from AP confirming all underground drainage works have been completed and all drainage installations are completed in accordance with Building (Standard of Sanitary Fitments, Plumbing and Drainage Works and Latrines) Regulations and the approved drainage plans.

Before the submission of Form BA 13, the AP & RSE together with the RGBC must check and ensure that BD has received a complete set of following reports during the course of construction, without any missing documents:-

      
• Mill sheets and testing reports for reinforcement for concrete (PNAP 122)
• Concrete Cubes Test Reports (PNAP 145) (Building (Construction) Regulation 58)
• Mill sheets, weld and bolt testing reports for structural steel works
• Certificates on Completion of Drain Test (PNAP 157)

6. Cantilevered Projecting Structures and Site Formation Works

The AP & RSE must ensure the following submissions have been made to BD prior to the Application for an Occupation Permit:-

• A Construction Report in accordance with PNAP 173, Appendix A, item 18, which included an as-built drawing, record photographs and a certificate in prescribed form (Form BA 14) for cantilevered projecting structures (span exceeding 750 mm)
•     Form BA 14 certificates the completion of Site Formation works

In building developments, site formation works are often completed at the same time together with external works, such as access roads, slope works, external drainage etc. at the end of a Building Contract.  Therefore, submission for certificating the completion of site formation works is often delayed until the end of the Building Contract.  The AP must ensure that sufficient time has been allowed for the submission and approval of Site Formation Record Plans, and for BD and Geotechnical Control Office (GCO) to carry out an inspection before the Application for an Occupation Permit.  Some float time should be allowed in the programme in case there are remedial works to be carried out after the inspection.

1. The FS Inspection

It entirely depends on their work schedule, Fire Service Officers of FSD, in most instances, are able to carry out an inspection within a period of three weeks after receiving the Form 501.  However, failure of an inspection might take the Officers another three weeks to organize inspection.  As a result, this may seriously affect the issuance of OP.  Therefore, it is very important to ensure everything is completed and ready before submitting the Form 501, so that the Fire Certificate could be issued by means of one inspection.  It should be emphasized that BD could refuse an inspection if the AP could not produce a Fire Certificate when he submitted the Application for an OP inspection.

On the date of the F S Inspection, a fire engine may be called upon by the FS Officers to make a test run on the EVA, or use it to test the capacity of the FS Pumps.  In addition, they would check the capacity of the FS and Sprinkler Water Tanks.  Depend on the complexity of the project, it is quite usual that FS Officers will need one to three days to complete an inspection.  It was told that the FSD had taken one month to complete the FS Inspection for the new H K Convention and Exhibition Centre Extension.

If there is no outstanding defect, the Fire Certificate (FS 172) will be issued by the FSD within one to two weeks.

2. The OP Inspection

BD's Building Surveyors will examine the completed building in details to ensure it is safe and fit for occupation in accordance with the approved plans and in compliance with the BO and Regulations. In addition, they will have at least one representative fully responsible for drainage inspection to ensure drainage has been constructed in accordance with the approved drainage plans. 

At the end of the inspection, they will double check with the AP on the availability of necessary certificates issued by respective Government Authorities, the completeness of the Schedule of Building Materials and Products, and finally recap the defects and outstanding works, etc.

If the inspection only reveals some minor matters to be rectified, BD may accept AP’s written confirmation and, when appropriate, photographic proof that rectification has been made prior to the expiry of the 14-day period.  This should, however, be submitted in good time to allow for preparation of the OP.  However, in most instances, BD would carry out a re-visit to ensure all outstanding matters have been satisfactory completed.

If the defects are considered major and could not be completed within a short period of time, BD would give a refusal for issuance of an OP (Please refer to the early section of this paper for resubmission of Form BA 13 and Re-inspection).  If there is no outstanding defect, the OP will be issued by BD at the end of the 14-day period.

3. The Certificate for Practical Completion

As mentioned above, the RGBC would need extra months to complete all outstanding works before the issuance of Certificate of Practical Completion.  Nowadays, residential developments become more and more complicated, it is not uncommon that the RGBC have to complete a lot of fitting-out works for the Residential Club House, EMO, children playground equipment, landscaping works, etc. right after the issuance of OP.  In addition, some developers may even demand that as-built building service drawings, operation and maintenance manuals (O/M Manuals), warranties and guarantees, etc. be approved by Consultants and handed-over before the Certificate of Practical Completion could be issued.

4. The CC Inspection

Upon the full completion of the development, the AP may invite the District Lands Office (DLO) to carry out a CC inspection.  Normally, the soft landscape is to be inspected and certified by ASD.

DLO will inspect the building to certify whether it has been constructed in accordance with the approved building plans (but inspection will not be so extensive as by BD) and the required provisions of the Land Grants.  They will check the formation of “colored” areas, the clear headroom of car parks, the number of car parks and loading/unloading bays, the active and passive recreational facilities.  They will also check whether areas specified on the approved plans have been misused, for example, a gymnasium must be used as a gymnasium and not other purpose, and plant rooms should not be used as storage areas.  They may check the caretaker’s office whether it has been missed used or built over-size.

In addition to the site inspection, the Developer must satisfy all other requirements specified at the Land Grants, for example, car parks registration, approval of Deeds of Mutual Covenant (DMC), etc.  Furthermore, DLO will write to all Government Authorities and requesting them to confirm in writing whether requisite certificates have been issued by them to the Developer, for example, Certificate of Drainage Connections, Fire Certificate, OP, etc. and whether there would be any outstanding defects or works to be completed by the Developer.  The situation would be more complicated, if the development consists of Government Communal Facilities e.g. GIC, market, bus depot, etc.

DLO will issue a CC to the Developer (optimistically within a period of three months) provided all provisions required on the Land Grants have been fully met.

Application for Temporary Occupation Permit (TOP) and Subsequent Inspections

The Developer should be aware that a development involved with Sectional Completion would be more costly than a building with full OP.  There would be double provisions for some of the plant and equipment as well as building structures.  In order for the pre-occupied portions to operate independently during the temporary occupation period, extra generator, Potable Water Supply and Flushing Water Supply Water Tanks, F S and Sprinkler Water Tanks, fireman’s lifts, plant rooms, fire escape staircases, etc. must be provided.  Fire rated separations may be needed to separate the construction site from the pre-occupied portions.

It is absolute essential for early completion of EVA, water and drainage connections power supply, telephone, Towngas, and waterproof.  In addition, extra catch platforms, hoarding and covered walkway may be needed to satisfy construction safety requirements.  Additional environmental protective measures may be required to protect the users from noise and dust nuisance.  Furthermore, additional security measures must be provided to prevent burglary.

Application of FS inspection is by submission of a Form 501 to FSD and TOP inspection by Form BA 12 to BD.  The procedures for FS and TOP inspections are similar to a full OP inspection.  The TOP will be issued after all provisions in accordance with the BO and Regulations, and the approved plans have been fully met.  There will be an expiry date applied on the TOP, which is renewable.  For a pre-occupied building, the TOP will be eventually be replaced by a full OP when the whole building is completed.

No.

Activities

Target Dates

1.

Submission of Form BA 14 for site formation

2.

Inspection by BD & GCO on Site Formation

3.

Submission of Form BA13 (Application for an OP Inspection)

4.

OP Inspection by BD (anticipated)

5.

Issuance of OP by BD (anticipated)

No.

Activities

Target Dates

1.

Submission of Form WWO 46 (Part IV)

2.

FS Water Connection

3.

Inspection by WSD

4.

FS Completion Advice regarding Water Connections issued by WSD

5.

Submission of Form 314 (Final)

6.

Completion of EVA (and Access Road if applicable)

7.

Direct Link Connection

8.

Submission of Form 501 (Application for a FS Inspection)

9.

T&C

10.

FSD Inspection Rehearsal

11.

Inspection by FSD (anticipated)

12.

Issuance of FS Certificate by FSD (anticipated)

No.

Activities

Target Dates

1.

Power On

2.

T&C

3.

Submission of Form 5 for Fireman’s lifts

4.

Submission of Form 5 for other lifts & escalators

5.

Inspection by EMSD (anticipated)

6.

Issuance of Form 6 by EMSD for Fireman’s lifts (anticipated)

7.

Issuance of Form 6 by EMSD for other lifts & escalators (anticipated)

No.

Activities

Target Dates

1.

Submission of Form WWO 46 (Part I), WWO 1036 & 1037

2.

Installation of Water Meters

3.

Submission of Form WWO 46 (Part IV)

4.

Water Main Connections

5.

Inspection by WSD (anticipated)

6.

Certificate of Water Supply issued by WSD (anticipated)

No.

Activities

Target Dates

1.

Submission on Report for Completion of Drainage Connections

2.

Submission of CCTV & Test Reports

3.

Inspection by DSD on Drainage Connection (anticipated)

4.

Certificate for completion of Drainage Connections (Form DSD 26) issued by DSD (anticipated)

No.

Activities

Target Dates

1.

Submission to FSD for VAC Control (Final Form 314)

2.

T&C

3.

Inspection Rehearsal

4.

Submission of Form 501

5.

FSD Inspection on VAC Control (anticipated to be carried out at the same time with FS Inspection)

No.

Activities

Target Dates

1.

Submission to EPD for Genset Exhaust Pipe

2.

Inspection by EDP (anticipated)

3.

Form of Certificate of Approval (EPD 7(S)) issued by EPD (anticipated)

4.

Submission to FSD applying for D.G. License Inspection

5.

Inspection by FSD (anticipated)

6.

D.G. License issued by FSD

No.

Activities

Target Dates

1.

Hand Over of Transformer Room to Power Supply Company

2.

Submission of Form WR1 by Consultant & License Electrician

3.

Inspection Rehearsal

4.

Inspection by Power Supply Company (anticipated)

5.

Energizing (switchboard) (anticipated)

6.

Meter Application for Public

7.

Meter Installation for Public

8.

Meter Application for Tenants

9.

Meter Installation for Tenants

No.

Activities

Target Dates

1.

Undertaking Letter to WSD deferring the Installation of Water Heaters

2.

Approval by WSD

No.

Activities

Target Dates

1.

Application for Excavation Permit

2.

Construction of Run-in/Run-out

3.

Inspection by Highways Department

4.

Certificate of Completion issued by Highways Department

No.

Activities

Target Dates

1.

Application for Excavation Permit

2.

Reinstatement of Pavement

3.

Inspection by Highways Department (anticipated)

4.

Certificate of Completion issued by Highways Department