Practice Note for Authorized Persons,

Buildings Department Registered Structural Engineers and APP-13

Registered Geotechnical Engineers

Submission of Certificate of Completion of Building Works,

Application for Occupation Permit
and Submission of Record Plans and Information

Submission of Certificate of Completion of Building Works

Upon the completion of building works, a certificate of completion of

building works not resulting in a new building (Form BA14/14A and/or Form MW02/04)
or resulting in a new building (Form BA12/13) should be submitted in accordance with
regulation 25 of the Building (Administration) Regulations (B(A)R). While there is no
statutory time limit under the Buildings Ordinance (BO) for processing such certificates,
the Buildings Department (BD) will generally provide a reply to Form BA14/14A within
28 days, advising the acceptance of the completed works or the outstanding issues to be
rectified. As a certificate of completion of new buildings and application for an
occupation permit (OP) are usually submitted together in Form BA12/13, they will be
processed together within 14 days in accordance with section 21 of the BO.

2. If the same contractor is employed for both the foundation works and the
superstructure works for a new building or in the alteration and addition (A&A) works to
an existing building, where spread footing foundation with excavation depth not
exceeding 4.5m is adopted, the certification of completion of both the spread footing and
superstructure works in such cases may be made in the Form BA12/13 or a single Form
BA14, as the case may be, and a separate Form BA14 for completion of the spread footing
works is not required.

Simultaneous Submission of Amended Building Plans and Application for OP

3. A Form BA12/13 is sometimes submitted at or about the same time as the

submission of amended plans for approval. This would complicate the processing of an
application for OP. In line with the declaration in the Form BA12/13 that the new
building has been erected in accordance with the plans approved, the Building Authority
(BA) takes the view that authorized persons (AP) / registered structural engineers (RSE) /
registered geotechnical engineers (RGE) should submit and secure approval of
amendment plans in advance of an application for OP. The exception is that minor
positional deviations from the approved plans which do not contravene the BO and its
subsidiary regulations may be acceptable.

Submission of Record Plans

4. Where several alterations have been made to the original design, the BA
may require, under regulation 46 of the B(A)R, the submission of “new plans” showing
the building as completed.

/5. …
 -2-

5. For those projects (including A&A works) with amendments to the

original approved building plans have subsequently been approved, the AP should submit
a set of general building plans when applying for OP and submitting Form BA14 for A&A
works, amalgamating all the plans approved by the BA and thereby representing the
building/A&A works as completed. Each of those plans should bear either the signed
and dated approval chop applied by the BA or a chop giving the AP’s personal
certification of the plans being identical to those approved by the BA on the date specified.
To limit the volume of paper, the BA would accept plans photographically reduced to not
less than a ratio of 1:200.

6. Record plans should not contain any amendments which have not been
approved.

7. In addition, the Rating and Valuation Department (RVD) has requested

that for all newly completed buildings and completed A&A works, one set of record plans
be supplied to them for rating purposes. As record plans are now mostly produced from
computer software such as AutoCAD or Microstation which could effectively shorten the
processing time and assure the accuracy of the valuation work of RVD, AP are
encouraged to submit a CD-ROM containing the softcopy of the record plans in
AutoCAD or Microstation format and marked “CD-ROM containing plans for RVD” at
the front in addition to the required paper copy for onward transmission to RVD. RVD
has committed that the record plans will only be used for relevant rating purposes and
will not be released to other Departments or parties.

Submission of Schedule of Building Materials and Products

8. Under the BO, the AP, RSE, RGE and registered contractor (RC) have
responsibilities to supervise building works including the selection and application of
building materials and to certify compliance with relevant provisions of the BO upon
completion of works. To expedite the processing of an application for OP, the BA
requires the submission of a schedule under regulation 44 of the B(A)R, confirming the
use of accepted building materials and products in construction.

9. The schedule should be submitted with an application for OP. The AP

should confirm and certify in the schedule that the application and performance of
building materials and products are in compliance with the relevant provisions of the BO
and its subsidiary regulations and the RC should confirm the use of those building
materials and products in construction. Except for regularly used building materials, the
schedule should cover all materials and products not specified on the approved plans, the
application of which would involve the structural integrity and fire safety of the building,
and the cast iron pipes and fittings as stipulated in Practice Note for Authorized Persons,
Registered Structural Engineers and Registered Geotechnical Engineers (PNAP) APP-
133. Where appropriate, a schedule should be submitted on completion of A&A works
not resulting in a new building or minor works. Sample schedules for building works
and minor works are provided at Appendices A and B respectively.

/10. …
 -3-

10. Where the building works involve the installation of fire dampers, the
fire dampers may be installed by the registered general building contractor (RGBC) of
the project and a registered specialist contractor in the ventilation works category
(RSC(V)) appointed for such purpose. Furthermore, under the Minor Works Control
System, erection or alteration of a fire damper in a ventilation system of an existing
building is designated as minor works, which may be carried out under the simplified
requirements as an alternative to obtaining approval and consent under the BO.
Reference can be made to Schedule 1 of the Building (Minor Works) Regulation and
PNAP APP-147 respectively.

11. For fire dampers installed by RGBC/registered minor works contractor

(RMWC), a RSC(V) should be engaged to inspect and certify that the fire dampers are in
safe and efficient working order pursuant to Clause E8.3 of the Code of Practice for Fire
Safety in Buildings 2011. For fire dampers installed by RSC(V), the same RSC(V)
could inspect and certify the fire dampers. The AP/RMWC in submitting the
certification on fire dampers should include an inspection certificate on fire dampers by
RSC(V).

( YU Tak-cheung )
Building Authority

Ref. : BD GP/BORD/10 (VI)

BD GR/BORD/93 (II)
BD GR/OP/4/M
BD GR/OA/177

This PNAP is previously known as PNAP 53

First issue July 1978
Last revision November 2019
This revision October 2020 (AD/NB1) (Paragraphs 10 & 11, Appendix B and
Annex B.1 amended)
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 Annex A.1
(PNAP APP-13)
Schedule of Building Materials and Products

BD Ref. : Re :
(*Address of development site/Location of alteration and addition works)
(A) Fire Resisting Products

Building Product Name of Fire Resisting Compliance Details of Test or Assessment Report Remarks/
Product Name Manufacturer Performance@ with Comments
and Place of (minutes) Relevant
Manufacture Building
Integrity Insulation Name of Name of Report Date of Test / Validity
(City and Regulations
Laboratory Laboratory / No. Assessment Date
Country) & Codes of
Accreditation Assessing Report
Practice
Body Organisation
a) Fire resisting ^
doorset
b) Lift landing door ^

c) Fire resisting ^
glazing
d) Fire-stop or sealing system
in wall/floor/curtain wall,
etc.
e) Fire dampersф

f) Others (e.g. proprietary

products, fire shutter, etc.)

@
The performance on stability has to be demonstrated where applicable.
^ Corresponding legend in approved plan should be specified where applicable.
ф
Part C of the Certificate of Accepted Building Materials and Products in Appendix A of PNAP APP-13 should be completed by RSC(V).

___________________ ______________________________
Date Signature# of authorized person
# In accordance with the registration record
* Delete whichever is inapplicable

(Rev. 11/2019)

-1-
 Annex A.2
(PNAP APP-13)

Schedule of Building Materials and Products (cont’d)

BD Ref. : Re :
(*Address of development site/Location of alteration and addition works)

(B) Other Building Materials and Products

Building Product Name of Compliance with Details of Test or Assessment Report Remarks/
Product Name Manufacturer Relevant Building Comments
and Place of Regulations &
Manufacture Codes of Practice
Name of Name of Report Date of Test / Validity
(City and
Laboratory Laboratory / No. Assessment Date
Country)
Accreditation Assessing Report
Body Organisation
a) Glazing barrier

b) Cast iron pipes and

fittings

c) Others

I confirm that the above mentioned building products have been tested or assessed as stated and hereby certify that the application and performance
of these products comply with the relevant Building Regulations.

_______________ ______________________________
Date Signature# of authorized person

# In accordance with the registration record

* Delete whichever is inapplicable

(Rev. 11/2019)

-2-
 Appendix B
(PNAP APP-13)
Certificate of Accepted Building Materials and Products for Minor Works

Minor works submission no. (if available): MW

Location or address of the minor works (if minor works submission no. is not available):

To the Building Authority,

□ Part A : to be certified by the Authorized Person appointed
(for minor works with prescribed building professionals appointed)
1. I, (name in full) ______________________________________, authorized person,
confirm that accepted building materials and products have been specified in the carrying out of minor
works in the above-mentioned submission no. Pursuant to section 56 of the Building (Minor Works)
Regulation, I duly endorse the attached Schedule of Building Materials and Products for Minor Works
(Annexes B.1 & B.2).
2. I hereby certify that the building materials and products listed in the attached Schedule are
acceptable products under relevant building regulations and that I am satisfied with the application
and performance of these products.

Certificate of Registration No. #

Date of expiry of Date Signature # of authorized person

registration #

Part B : to be certified by the Prescribed Registered Contractor appointed

□ *I/We, (name in full) ____________________________________________, prescribed
registered contractor, confirm that the accepted building materials and products listed in the attached
Schedule of Building Materials and Products for Minor Works (Annexes B.1 & B.2) have been used
and properly applied in the carrying out of minor works in the above-mentioned submission no.
□ (For minor works without prescribed building professional appointed) Pursuant to section
56 of the Building (Minor Works) Regulation, *I/we (name in
full) , prescribed registered contractor, duly endorse the attached
Schedule and hereby certify that the building materials and products listed in the attached Schedule
are acceptable products under relevant building regulations and that I am/we are satisfied with the
application and performance of these products.

Certificate of Registration No. # Signature# of prescribed

registered contractor

Date of expiry of Date Name of authorized signatory#

registration#

/Part C ...
-1-
Part C : to be certified by Registered Specialist Contractor in the Ventilation Works Category
appointed

□ *I/We, (name in full) __________________________________________, registered

specialist contractor in the ventilation works category, have inspected every fire damper installed in
the above building construction on (completion date of inspection) and hereby
certify that all the fire dampers are in safe and efficient working order pursuant to Clause E8.3 of the
Code of Practice for Fire Safety in Buildings.

□ *I/We, (name in full) __________________________________________, registered

specialist contractor in the ventilation works category, hereby confirm that the fire dampers listed in
the attached Schedule have been properly installed in the above building construction. *I/We have
inspected every fire dampers installed in the above premises on _____________ (completion date of
inspection) and hereby certify that all the fire dampers are in safe and efficient working order pursuant
to Clause E8.3 of the Code of Practice for Fire Safety in Buildings.

Name of authorized signatory#

Signature# of registered
specialist contractor
in the ventilation works category

Certificate of Registration No. #:

Date of expiry of registration#:

# In accordance with the registration record

□ Enter “” in the appropriate box
* Delete whichever is inapplicable

(Rev. 10/2020)

-2-
 Annex B.1
(PNAP APP-13)
Schedule of Building Materials and Products for Minor Works

Minor works submission no. (if available) : MW

Location or address of the minor works (if minor works submission no. is not available):
(A) Fire Resisting Products
Fire Resisting
Name of
Performance@ Details of Test or Assessment Report
Manufacturer Compliance with
(Minutes)
Building Product & Place of Relevant Building Remarks/
Name of Name of
Product Name Manufacture Regulations & Date of Test Comments
Laboratory Laboratory / Validity
(City & Integrity Insulation Codes of Practice Report No. / Assessment
Accreditation Assessing Date
Country) Report
Body Organisation
a) Service lift ^
landing
door
b) Fire ^
resisting
glazing
c) Fire-stop or
sealing system in
wall, floor, etc.
d) Fire dampersф

e) Others

@ The performance on stability has to be demonstrated where applicable.

^ Corresponding legend in prescribed plans or plans should be specified where applicable.
ф Part C of the Certificate of Accepted Building Materials and Products in Appendix B of PNAP APP-13 should be completed by RSC(V).

Date Signature# of □ authorized person (for minor works with

appointed prescribed building professionals appointed)
□ prescribed registered contractor (for minor works
# In accordance with the registration record
□ Enter “”in the appropriate box without prescribed building professionals appointed)

(Rev. 10/2020)

-1-
 Annex B.2
(PNAP APP-13)
Schedule of Building Materials and Products for Minor Works (cont’d)

Minor works submission no. (if available) : MW

Location or address of the minor works (if minor works submission no. is not available):

(B) Other Building Materials and Products

Name of Compliance with Details of Test or Assessment Report

Manufacturer & Relevant
Building Product Name of Remarks/
Place of Building Name of Laboratory Date of Test /
Product Name Laboratory Validity Comments
Manufacture (City Regulations & / Assessing Report No. Assessment
& Country) Codes of Practice Accreditation Date
Organisation Report
Body
a) Glazing barrier

b) Cast iron pipes &

fittings

c) Others

*I/We confirm that the above mentioned building products have been tested or assessed as stated and hereby certify that the application and performance of these
products comply with the relevant Building Regulations.

Date Signature# of □ authorized person (for minor works with

appointed prescribed building professionals appointed)
□ prescribed registered contractor (for minor works
* Delete whichever is inapplicable
# In accordance with the registration record without prescribed building professionals appointed)
□ Enter “”in the appropriate box

(Rev. 11/2019)

-2-