PlaceofAssembly

AGuidetothe NewYorkCityPlaceofAssemblyProcess

Departmentof Buildings
MichaelR.Bloomberg Mayor

NewYorkCity FireDepartment
SalvatoreCassano FireCommissioner

RobertLiMandri Commissioner

StephenGoldsmith DeputyMayorforOperations

TableofContents
1.Background...........................................................................................................................3 2.InitialPlaceofAssemblyCertificateofOperation................................................................4 A.FilingaPlaceofAssemblyApplication..............................................................................4 B.PlanExamination..............................................................................................................6 C.Inspection .........................................................................................................................8 . D.Issuance..........................................................................................................................12 3.RenewalPlaceofAssemblyCertificateofOperation.........................................................13 A.RenewalInspection ........................................................................................................13 . B.RenewalIssuance............................................................................................................19 4.ChangeofOwnershiporEstablishmentName...................................................................20 5.AgencyContactInformation..............................................................................................21

1.Background
Thisguideisintendedtogiveestablishmentownersanddesignprofessionalshelpfulinformationabout thePlaceofAssemblyissuanceprocess,pointoutcommonmistakestoavoid,andprovideasenseof thetimerequiredtocompletetheprocess. Asamatterofpublicsafety,NewYorkCityrequiresaPlaceofAssemblyCertificateofOperation(PA) forallpremiseswheretheCertificateofOccupancyindicatesthat75ormoremembersofthepublic may gather indoors or 200 or more may gather outdoors for religious, recreational, educational, political or social purposes, to consume food or drink, await transportation, or any similar group activities.Whensuchgroupsgather,itisnecessarytoensurethatthespaceissafeandissues,suchas properegressandemergencylighting,areappropriatelyaddressed. Both the Department of Buildings (DOB) and the Fire Department (FDNY) oversee the PA permitting process.DOBenforcesadherencetotheBuildingCodeandconductsallreviewsandinspectionsforthe initialissuanceofaPA.FDNYisresponsibleforallreviewsandinspectionsforrenewalPAstoensure compliancewiththeFireCode.

2.InitialPlaceofAssemblyCertificateofOperation

A. FilingaPlaceofAssemblyApplication WhenshouldIapply? If the proposed plans for your New Building (NB) or Alteration 1 (ALT1) will result in a CertificateofOccupancyrequiringaPA,youcansubmitthePAapplicationtoDOBoncethe NB/ALT1applicationhasbeenfiledandanassociatedDOBjobnumberhasbeenissued. 1) AnNBisdefinedasanewstructurecreatedonanexistinglot. 2) An ALT1 is an alteration in which the use or occupancy of an existing property changes. SomeexamplesofALT1sinclude: Changingtheestablishmentsuseormaximumoccupancy(numberofpeopleallowed inthespace) Changingthebuildingsegress(thewaypeopleleavethebuilding) DidYouKnow? If you are applying for your PA during the NB or ALT1 process, your NB or ALT1 construction inspection (the inspection that occurs once the structure is built or the workiscompleted)andPAinspectionwillbeconductedsimultaneously.Ifyouapplyfor aPAafteryourNBorALT1constructioninspectionhasbeencompleted,aseparatePA inspectionwillbeconducted.

WhatinformationanddocumentsmustbesubmittedwithaPAapplication? AcompletedPAapplicationincludesthefollowing: 1) PA1Form:ThisformisthemaincomponentofthePAapplicationandwillaskforcertain information, including the legal name of the establishment and a related DOB job number. The PA1 form must be completed and signed by a Professional Engineer or RegisteredArchitect(PE/RA). 2) Proposed Plans (Establishment Layout): The plans should include primary plans (the layoutthatwillbeusedmostfrequently)andcanincludeuptotwoalternateplans.All plansmustusethe2008BuildingCodeoccupancydesignations. 3) FilingFeeReceiptApplicantsmustpaythenonrefundablePAfeeof$235($200filing feeplus$35processingfee)totheDOBcashierinordertoobtainareceipt.Cash,check, moneyorderandcreditcardareaccepted. 4) CopyofCO/TCOACertificateofOccupancy(CO)orTemporaryCertificateofOccupancy (TCO)documentsthelegaluseand/oroccupancyofabuilding.DOBwillnotissueaPA withoutavalidCOorTCO,whichcanbeprintedfromBISWeb(www.nyc.gov/bis).Ifyou aresubmittingthePAapplicationwithanNBapplication,youcanprovideacopyofthe CO/TCOonceitisissued. 5) POC1Form(ifProfessionallyCertified)ThisformissignedbyboththePE/RAandthe ownerandcertifiesthatthePE/RAhassubmittedplansthatareincompliancewithall applicablelaws,includingBuildingCoderegulation.WhilethePE/RAandtheownerare responsibleforcompliance,thePE/RAmaybesubjecttolegalanddisciplinaryactionif an audit reveals noncompliance. See p. 8 for more information about professional certification.

WheredoIsubmittheapplication? SubmitthecompletedPAapplicationinpersonattheDOBBoroughOfficeintheboroughin whichtheestablishmentislocated.Officelocationsandcontactinformationcanbefoundon page23. DidYouKnow? AslongasaPE/RAcompletesthePA1,anyonecansubmitthePAapplication,including theowner,filingrepresentative,orotherownersrepresentative. HowwillIknowiftheapplicationiscomplete? When you submit your application at the borough office, DOB staff will review it for completenesswhileyouwait.Ifthereisanyinformationordocumentationmissing,thestaff willprovideyouwithanAO1(AdministrativeObjection)form,whichexplainswhatismissing. Afteryouobtainthemissingdocumentation,youcanresubmittheapplicationatnoadditional cost.Thereisnodeadlineforresubmission,butyourapplicationcannotbeprocesseduntilyou resubmit.

B.PlanExamination All PA plans must be approved by DOB. If you submit your application as Professionally Certified, your plans are accepted right away. However, if your application was not ProfessionallyCertified,yourplanswillbereviewedbyaDOBPlanExaminer. WhatisProfessionalCertification?Whatdoesitmeantosubmitanapplicationthatway? DOBoffersaProfessionalCertificationProgramthatenablesaPE/RAtocertifythattheplans theyfilewithDOBareincompliancewithallapplicablelaws.Thissavestimeintheapplication process by eliminating the need for DOB plan examination. An application that is professionally certified goes through the same filing, payment and data entry process. However, if all required documents are submitted, the application will be accepted. Twenty percentofallprofessionallycertifiedapplicationsareselectedforauditwithintendaysoffirst PAissuance.Ifobjectionsareraisedduringtheaudit,theapplicantisresponsibleforresolving theobjectionsbeforethePAwillbeissued.

WhathappensinPlanExam? TheDOBplanexaminerwillcheckthatyourplansareincompliancewiththeBuildingCode.If thePlanExaminerfindsthattheplansdonotconformtotheBuildingCode,thenhe/shewill providetechnicalobjections. HowlongdoestheinitialPlanExamtake? Theamountoftimebetweensubmissionofplansandinitialplanapproval/disapprovalvaries. Typicallyittakesbetweenoneandtwelvebusinessdays. HowwillIknowtheresultsofthePlanExam? ByenteringtheapplicationnumberintoBISWeb,youcanlookupthestatusoftheapplication toseeiftheplanswereapprovedordisapproved.Iftheyweredisapproved,DOBwillmaila copy of the objections to the applicant of record (the name and address on the PA1 application),andemailacopyifanemailaddresswasprovided. HowdoIclarifyorresolveobjections? To clarify or resolve objections, call 311 to schedule an appointment. It will take approximately one to ten business days from the time an appointment request is made to meet with a plan examiner. Once all objections have been resolved, the application is approved.

Credit:AndreannaSeymore

 DidYouKnow? TheMostCommonObjectionsforPlanExam: Theindividualspace,floor,orbuildingdoesnotprovidethenecessaryegressto supporttheplaceofassembly(PA)activity ThebuildingsCertificateofOccupancydoesnotreflectthecorrectuse. The travel distance between PA space and firerated safe area, such as a stairwelloroutside,doesnotmeetminimumBuildingCoderequirements. The separation between kitchen and PA space is not firerated according to Building Code requirements (only applicable for kitchens where cooking will occur). C.Inspection WhenshouldIschedulethePlaceofAssemblyinspection? Onceyourplansareapproved,youcancalltheDOBConstructionunitinyourboroughoffice toscheduleaninspection.Seepage23forcontactinformation. Whomustbepresentattheinspection? Someone representing the establishment must be on site during the inspection to provide accessandensurerequireddocumentsareonsite.Thisshouldbetheownerortheowners representative,suchasanemployee,thePE/RA,orfilingrepresentative.

Credit:AndreannaSeymore 8

Whatistheinspectorlookingforduringtheinspection? The DOB inspector will be looking for general compliance with the Building Code, including adequateegress,lighting,andexitsigns.Inaddition,thefollowingitemsmustalwaysbekept onsite: 1) Complete Set of DOBapproved PA Plans (Primary and Alternate Plans, if applicable) The actual layout of the PA space, including tables, chairs, etc., must match the DOB approvedplans.

2) FlameSpreadLetterAflamespreadletterisaletterfromthemanufacturerofcertain products describing the flammability of the product. Products that require a flame spreadletterinclude,butarenotlimitedto,carpeting,windowtreatments,wallpaper, foam,andupholstery.ThePE/RAshouldbefamiliarwithmostofthematerialsusedat the site, and will inform the applicant which letters are required and how to obtain them.

3) EmergencyLightingLetterorTR1Form An Emergency Lighting Letter (or Electrical Letter) is submitted by the licensed electricianonrecordandcertifiesthathe/shecompletedwork. TheTR1formissubmittedbyaspecialinspector,hiredbytheowner,priortothe PA inspection to certifythat the electrical work in the site is compliant. A special inspectorissomeonethatworksforaDOBregisteredspecialinspectionagencyto perform tests or inspections of materials, equipment, constructionrelated activities,andperiodicmaintenance.

4) Maximum Occupancy Sign A sign indicating the number of people that may legally occupythespace,asdeterminedbytheCertificateofOccupancy, mustbecreatedand posted.Itshouldread: OCCUPANCY BY MORE THAN _____ PERSONS IS DANGEROUS AND UNLAWFUL Certificate of Operation No______ Commissioner, (where applicable) Dept. of Buildings,CityofNewYork

HowwillIknowiftheestablishmentpassedorfailedtheinitialinspection? Atthetimeoftheinspection,theinspectorwillinformtheownerorownersrepresentative whether the establishment passed or failed. A copy of the results will be mailed to the owner of record at the address noted on the PA1 form. If an email address has been provided,theresultswillbeemailedaswell. DidYouKnow? TheMostCommonReasonsforFailingPAInspection: Exitsignsarenotinthecorrectarea(ThedonotcomplywithBuildingCode ordonotmatchapprovedplans). Failure to post occupancy sign indicating the maximum number of people allowedinthespace Failuretoproducesignoffletterfromelectrician(EmergencyLightingLetter orTR1) Improperlockingdevicesondoors(TheydonotcomplywithBuildingCode ordonotmatchapprovedplans).

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Theestablishmentfailedinspection.WhatdoIdo? MissingDocumentation:Itemssuchastheapprovedplans,flamespreadletter,orTR1, aremissingfromthesite. Resolution: Submitting the missing documentation to the DOB Borough Office Constructionunit.

Plan Deviation: Thephysicallayoutoftheestablishmentdoesnotmatchtheapproved plans. Resolution:Modifytheactuallayouttomatchtheplansorresubmitrevisedplansby filing a Post Approval Amendment (PAA) with DOB. Note that resubmitted plans mustgothroughthesameplanexamandinspectionprocessesastheinitialPAplans. BuildingCodeViolations:BuildingCodeviolationsareissuedduringtheinspection. Resolution: Owners are required to correct all Building Code violations. For those violations resulting from professional certification, the applicant must resolve the objectionsbeforethePAwillbeissued.

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D.Issuance OnceIpassinspection,howdoIgetthePACertificateofOperation? ApproximatelythreetofivebusinessdaysafterapassedinspectiontheDOBstaffwillcallto notifyyouthattheresultsarereadytobepickedupattheDOBConstructionunit.Youwill need to pick up the job folder from the DOB Record Room and bring it, along with the inspectionresults,toDOBApplicationProcessing. DOB staff will review your application one last time to ensure that the number of people allowedisconsistentacrossthePAplansandtheTCO/CO.Ifeverythingisinorder,thestaff will process your application and print your PA which must be framed and posted in a location that is visible to people entering the establishment. The PA is also available on BISWebtodownload. PACertificateofOperation DidYouKnow? IftheestablishmenthasoutstandingDOBobjectionsornoTCO/CO,DOBwillnotissue aPA.

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3.RenewalPlaceofAssemblyCertificateofOperation

A.RenewalInspection
WhydoIneedaRenewalPA? Toensurecontinuedpublichealthandsafety,anestablishmentmustrenewitsPAannually. This requires an inspection of the premises by the Fire Department (FDNY). The initial PA issuedbyDOBisonlyvalidforoneyear. HowdoIrenewmyPA? ArenewalPArequiresaninspectionbyFDNY.Youdonotneedtodoanythingtoinitiatethe renewal process; FDNY will automatically return to the establishment for renewal PA inspections.

DidYouKnow? FDNY performs many different types of building inspections throughout the year. Renewal PA inspections are performed annually by FDNYs Public Assembly Unit, withintheBureauofFirePrevention.Inaddition,FDNYperformsseveralothertypes of inspections, including those performed by the District Offices and Local Fire Companies. WhenwillmyrenewalPAinspectionoccur? AftertheestablishmentobtainstheinitialPA,anFDNY PublicAssemblyInspector willvisit thesitewithinafewmonthsforthefirstrenewalinspection. Thisrenewalinspectionmay occureventhoughinitialPAhasnotexpired.

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After that first renewal inspection, the establishment will be placed in an inspection district. Each subsequent renewal PA inspection will occur during a designated month each year,basedonthatinspectiondistrict. For example, a restaurant may obtain its initial PA in April 2009. An FDNY Public Assembly InspectorcouldperformthefirstrenewalPAinspectioninAugust2009,givingtherestauranta prorated renewal PA inspection. The establishments in the restaurants inspection district are inspected each January, so the restaurants second renewal PA inspection would then occur in January 2010. Every renewal PA inspection thereafter will occur in January. An establishmentmayalsobesubjecttoarandomreinspectionforqualityassurancepurposes, orasaresultofacomplaint. WillIknowwhatdateortimeFDNYiscoming? DuetothenatureofPAinspections,youwillnotbenotifiedinadvanceofFDNYsfirstrenewal inspection.However,afterthesecondrenewalPAinspectionyouwillknowinwhichmonth FDNYisscheduledtoperformyourannualrenewalPAinspection. WhatifmyestablishmentisnotopenwhentheFDNYInspectorarrives? If your establishment is closed when FDNY arrives for your renewal PA inspection, the inspectorwillreturnthefollowingweek.Iftheestablishmentisclosedduringthesecondvisit, the inspector will leave a note instructing the owner to contact FDNY to schedule an inspection. If the owner does not call to schedule a new inspection time, the inspector will continuetoattempttogainaccessfortheinspection.PleasenotethatifyourPAisallowedto expire,youmayreceiveaviolationforOperatingWithoutaValidPermit.

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CanIrequestaninspection? You may only request a renewal PA inspection if the establishment was closed when the inspectorarrived.IfyoucalltheFDNYPublicAssemblyUnitat(718)9992436to schedule yourrenewalPAinspection,FDNYwillmakeeveryattempttoscheduleyourinspectionfora convenienttime. WhatisFDNYlookingforduringtheRenewalPAInspection? In addition to looking for general Fire Code compliance for fire alarms, range hoods, and sprinklers systems, the FDNY inspector will look at the PA space to ensure that the actual layoutcomplieswiththeplans.Thefollowingitemsmustalwaysbeonsite: 1) SetofapprovedplansandinitialPAfromDOB 2) EmergencyLightingandExitSigns 3) MaximumOccupancySign 4) Flame Proofing Affidavit Affirmation that materials in PA space, such as curtains, upholsteryorcarpet,wereeithertreatedwithflameproofingmaterialsortestedtobe flameproof,asconfirmedbyanFDNYCertificateofFitnessholder(individualcertified byFDNYtoperformsuchtreatmentortesting). HowwillIknowiftheestablishmentpassedtherenewalinspection? The FDNY inspector will let the owner or owners representative know on site if the establishmenthaspassedorfailed. Theestablishmentpassedtherenewalinspection.Whathappensnext? Within15daysoftheinspection,FDNYwillsendabilltotheownersmailingaddress.The feeforthefirstrenewalinspectionisaslidingscalebasedonoccupancythemorepeople thatcanoccupytheestablishment,thehigherthefee.Renewalreinspectionsarebilledat $210anhour.Thelengthoftheinspectionwillalsovarybyestablishmentsize.Youcanmail in your payment (check or money order only), or you can pay in person, at 9 MetroTech Center,Brooklyn,bycash,check,moneyorderorcreditcard.

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Theestablishmentfailedtherenewalinspection.Whathappensnext? If the establishment fails the inspection, the inspector will issue one of two types of violations: 1) A Notice of Violation (NOV) is an Environmental Control Board (ECB) order issued for conditionsthatdonotrepresentanimminenthazard(e.g.plansnotonsite).AnNOVmust be corrected within 35 days. An NOV will list violating conditions and an ECB court date, whichwilloccur15daysafterthe35daycorrectionperiodends. IfyoureceiveanNOV,youwillnotneedareinspection.Instead,onceyouhavecorrected thecondition(s),youmustsubmitproofofcorrection,suchasaffidavitsorphotographs,to theFDNYEnforcementUnitat9MetroTechCenter,1stFloor,Brooklyn(entranceonFlatbush Avenue).ThecorrectionaffidavitformisincludedintheNOVandcanbemailedordelivered inpersonbeforetheendofthecorrectionperiod.Ifyoudonotcorrecttheviolationwithin 35days,youmustattendyourECBcourtdate.Pleasenotethatallaffidavitsaresubjectto auditbyFDNY. You may also contest the violation. For more information on how to contest an ECB violation,pleasevisitwww.nyc.gov/ecb. DidYouKnow? You can avoid going to an ECB hearing by correcting your violations prior to the court date by means of a Compliance Review. However, this does not apply to repeatviolations.

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DidYouKnow? TheMostCommonReasonsWhyFDNYIssuesECBViolations(NOVs): Failuretopostpermits(e.g.PA,maximumoccupancysign,Certificateof Occupancy,etc) Failuretoproduceflameproofingaffidavit ValidCertificateofFitness/CertificateofQualificationholdernotonsite(Only applicableforcertaintypesofPAspacessuchasbanquethallsandcabarets) Missingordamagedlightingorexitsigns 2) A Violation Order (VO) is an order relating to imminent safety hazards (e.g. blocked egress).AVOcanresultinacriminalsummonsifanestablishmentdoesnotcomplywithin thecorrectionperiodlistedontheorder,either24hoursor30days.

The inspector will return after the correction period has passed to reinspect the establishmentandwilldetermineiftheconditionshavebeencompletelycorrected,partially corrected(atleast75%done),orhavenotbeencorrectedatall(conditionslessthan75% completeareconsiderednotcorrected). Iftheviolationsarecompletelycorrected,theinspectorwilldismisstheVOandthe establishmentwillpassinspection. Iftheinspectordeterminesthattheviolationsarepartiallycorrected,theapplicant willhavetheoriginaltimeframegiven(24hoursor30days)tofinishthecorrections before the FDNY inspector will return. At that time, the violations must be completelycorrectedortheownerwillreceiveacriminalsummons. If the violations have not been corrected at all, the owner will receive a criminal summons. Ifaviolationisconsideredlifethreatening,suchasinadequatefireprotectionsystems(e.g. fire alarm, sprinkler system), or the establishment has falsified information on its application,theinspectormayshutdowntheestablishmentbyissuingavacateorder.

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DidYouKnow? TheMostCommonReasonsWhyFDNYIssuesViolationOrders(VOs): ApprovedfloorplansorPAnotonsite Plansnotupdatedaftermajorrenovation OperatingcontrarytoCertificateofOccupancy(CofO) Observedestablishmentname,ownernameorusedescriptiondoesnotmatch records Obstructionintravelpath(pathfromPAspacetofireratedsafearea,suchas stairwelloroutside) Egressblockedorlocked Overcrowding(morepeopleinspacethanallowedbyPA)

WhatifIdisagreewiththeresultsofmyrenewalinspection? Iftheownerbelievesthattheviolationswereissuedinerror,arequestforreinspectioncan bemadebycontactingtheFirePreventionUnitat(718)9992436.AnFDNYinspectorwillre inspecttheestablishmentandeitherdismissorupholdtheviolation.Ownerswillbebilled $210anhourforallreinspections.Iftheviolationisdismissed,thereinspectionfeewillbe dismissedaswell. WhatifIhavemultiplePAspacesinmyestablishmentandoneormorefailinspection? IfyouhavemultiplePAspaceswithinasingleestablishmentandatleastonePAspacefails the renewal inspection, the violation applies to the entire establishment. If the PA expires beforetheviolationiscorrected,youmayreceiveaviolationforOperatingWithoutaValid PermitforusinganyofthePAspaces.

DidYouKnow? Iftheestablishmentpassedinspectionbuttheapplicantdoesnotpaythe bill,therenewalPAwillnotbeissuedandtheestablishmentmayreceivea summonsforOperatingwithoutaValidPermit.

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B.RenewalIssuance
WhathappensafterIpaythePArenewalinspectionbill? Afteryoupaythebill,andthepaymentisprocessed,FDNYwillnotifyDOBtoissuearenewal PAandDOBwillmailittotheestablishmentsownerofrecord.AswiththeinitialPA,the renewal PAmust be framed and posted in a location that is visible topeople entering the establishment.RenewalPAsarenotavailableonBIS. HowlongistherenewalPACertificateofOperationvalid? BecausethefirstrenewalPAyouwillreceiveisprorated,theexpirationdatewillvary.After thefirstrenewal,eachsubsequentPAisvalidforoneyear.

RenewalPACertificateof Operation

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4.ChangeofOwnershiporEstablishmentName The name of my establishment owner or lessee has changed. Do I need to do anything withmyPA? Ifthenameofyourestablishmentchanges,oriftheownersmailingaddresschanges,you mustinformDOBassoonaspossible. Iftheonlychangebeingmadeisthenameoftheestablishment,owner,orlessee,youcan submit the changes on the PA1 form by checking off Change to Owner/Lessee/Name of Establishment at the top of the form. The applicant does not need to be a PE/RA when submittingaPA1forpurposesofanameoraddresschange. Note:IfyourPAisapreBISpermit,youmustcompleteandsubmitanOP45Form(Affidavit forPlaceofAssembly)totheDOBBoroughOfficeConstructionunitinsteadofthePA1.No PE/RA seal is required. PreBIS permits were issued prior to the implementation of BIS, which varies by borough (from 1989 to 1991). You can identify a preBIS PA Certificate of Operation if the job number is alphanumeric and sequentially numbered by calendar year (i.e.NB28/88,Alt107/75). If any other changes are being made, including layout or physical alteration, a full amendmentisrequired.Seepage11formoreinformationonPostApprovalAmendments.

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5.AgencyContactInformation

DepartmentofBuildings
www.nyc.gov/buildings

BoroughOfficeConstructionUnits: Manhattan 280Broadway,3rdFl. NewYork,NY10007 (212)5665232 Bronx 1932ArthurAve.,5thFl. Bronx,NY10457 (718)5796905 Brooklyn 210JoralemonStreet,8thFl. Brooklyn,NY11201 (718)8023685 Queens 12055QueensBlvd. KewGardens,NY11424 (718)2860610 StatenIsland 10RichmondTerrace, BoroughHall,2ndFl. StatenIsland,NY10301 (718)8162209

FireDepartmentofNewYork
www.nyc.gov/fdny

BureauofFirePrevention 9MetroTechCenter,1stFloor Brooklyn,NewYork11201 (718)9992466 EnforcementUnit 9MetroTechCenter,1stFloor(EntranceonFlatbushAvenue) Brooklyn,NewYork11201 (718)9991378

NewYorkCityGovernmentInformation
311(fromwithintheCity) (212)NEWYORK(fromoutsideoftheCity) (212)6399675

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