(a) Initial permit application. Public utilities or franchisees must apply for permits under their corporate name and not their sub-contractors' name. The following information shall be provided to the Department upon initial application for a permit under these rules and shall be updated as necessary and refiled annually:
(1) If the applicant is a corporation, limited liability corporation, limited liability partnership or other entity registered with the New York Secretary of State:
(i) address and telephone number of applicant;
(ii) name and telephone number of a contact person in the event of an emergency;
(iii) affidavit acknowledging incorporation and a certified copy of the certificate of incorporation, and proof of registration with the New York State Department of State, Office of the Secretary of State. When completing the permit application, applicants must supply the Department with the identical identifying information, including but not limited to the company name, as they have provided to the New York State Department of State, Office of the Secretary of State;
(iv) names of corporate officers;
(v) names of two agents/employees designated to receive summonses or notices of violation or other notices required by these rules or other provisions of law;
(vi) New York City plumber's license certificate or other license numbers, if applicable;
(vii) name(s) of representative(s) authorized to obtain permit(s) on behalf of the applicant;
(viii) employer identification number;
(ix) e-mail address, if any; and
(x) insurance information, as set forth in subparagraphs (i) through (viii) of paragraph 3 of subdivision (a).
(2) All other applicants:
(i) address and telephone number of applicant;
(ii) name(s) of representative(s) authorized to obtain permit(s) on behalf of the applicant;
(iii) New York City plumber's license certificate or other license numbers, if applicable;
(iv) employer identification number;
(v) e-mail address, if any;
(vi) names of two agents/employees designated to receive summonses or notices of violation or other notices required by these rules or other provisions of law; and
(vii) insurance information, as set forth in subparagraphs (i) through (viii) of paragraph 3 of subdivision (a).
(3) Insurance and indemnification requirements (for all applicants):
(i) Each applicant shall, before applying for a permit, obtain a Commercial General Liability (CGL) insurance policy or policies satisfying the requirements of this subparagraph and any self-insured or uninsured entity must provide coverage that satisfies the requirements of this subparagraph. All coverage, whether a CGL policy or as provided by a self-insured or uninsured entity must:
(A) be issued by a company or companies that may lawfully issue the required policy and has an A.M. Best rating of at least A-7, a Standard and Poor's rating of at least A, a Moody's Investor's Service rating of at least A3, a Fitch Ratings rating of at least A-, or a similar rating by any other nationally recognized statistical rating organization acceptable to the New York City Law Department unless prior written approval is obtained from the New York City Law Department;
(B) provide coverage to protect the City of New York ("City"), and its officials and employees, and the applicant from claims for property damage and/or bodily injury, including death, which may, pursuant to a permit to be issued by the Department, including but not limited to a street opening permit, arise from any operations performed by or on behalf of the applicant, whether at, above, or below the surface of the street(s);
(C) provide coverage at least as broad as that provided by the most recent edition of ISO Form CG 00 01;
(D) provide coverage for completed operations;
(E) provide coverage of at least $1,000,000 per occurrence and in the aggregate, with a products-completed operations aggregate of at least $1,000,000, except that with respect to applications for permits to place a crane on a street, such minimum amount shall be no less than $3,000,000 per occurrence and in the aggregate, with a products-completed operations aggregate of at least $3,000,000;
(F) provide that the City and its officials and employees are Additional Insureds with coverage at least as broad as set forth in the most recent editions of ISO Form CG 20 26 and CG 20 37;
(G) provide that the limit of coverage applicable to the Named Insured is equally applicable to the City and its officials and employees as Additional Insureds.
(H) This policy shall not be cancelled or terminated, or modified or changed in a way that affects the City or its officials or employees by the issuing insurance company unless thirty (30) days prior written notice is sent to the Named Insured and the Commissioner of the New York City Department of Transportation, except that notice of termination for non-payment may be made on only ten (10) days written notice.
(I) If the permit applicant has applied for more than one thousand permits in the previous calendar year, the insurance policy shall contain each of the following endorsements:
(1) If and insofar as knowledge of an "occurrence", "claim", or "suit" is relevant to the City as Additional Insured under this policy, such knowledge by an agent, servant, official or employee of the City of New York will not be considered knowledge on the part of the City of the "occurrence", "claim", or "suit" unless notice thereof is received by the: Insurance Claims Specialist, Affirmative Litigation Division, New York City Law Department; and
(2) Any notice, demand or other writing by or on behalf of the Named Insured to the insurance company shall also be deemed to be a notice, demand or other writing on behalf of the City and its officials and employees as Additional Insureds. Any response by the Insurance Company to such notice, demand or other writing shall be addressed to the Named Insured and to the City and its officials and employees at the following address: Insurance Claims Specialist, Affirmative Litigation Division, New York City Law Department, 100 Church Street, New York, New York 10007.
(ii) Each applicant shall, before applying for a permit, obtain Workers Compensation insurance in accordance with the laws of the State of New York from a licensed insurance company.
(iii) Each applicant shall, before applying for a permit, file with the Department proof that the applicant has insurance in place that provides coverage set forth in this subdivision with respect to the permit period. If the applicant chooses to meet this proof with an insurance certificate, the insurance certificate shall set forth the coverage provided, state that completed operations coverage is included and that the City is an additional insured, and shall be accompanied by a sworn statement in a form prescribed by the Department from the insurer or from a licensed insurance broker certifying that the insurance certificate is accurate in all material respects, and that the described insurance is in effect.
(iv) An applicant may obtain insurance policies applicable to more than one permit application, in which case the proof pursuant to subparagraph (iii) shall state that the policies cover all such permits in specified boroughs, or throughout the City.
(v) The applicant shall provide a copy of any required policy within thirty days of a request for such policy by the Department or the New York City Law Department.
(vi) In its sole discretion, the Department may allow applicants that frequently seek permits to self-insure, provided that the applicant:
(A) presents proof of excess or umbrella CGL coverage applicable to its operations under such permits;
(B) certifies that it has a self-insurance program in place that satisfies the requirements contained in subparagraph (i) of this paragraph (3) and will continue it for the life of the permit and the Guarantee Period, as defined in subparagraph (ii) of paragraph (16) of subdivision (e) of 34 RCNY § 2-11;
(C) agrees to provide the same defense of any suit against the City and its officials and employees that alleges facts that bring the suit within the scope of the coverage required in subparagraph (i) as an insurer would be obligated to provide under the laws of New York;
(D) submits a statement, signed by a person authorized to bind the applicant and acknowledged by a notary public, in which the applicant agrees to assume full liability for satisfying all obligations set forth in this subparagraph (vi), and
(E) provides the Department with the name and address of the office or official of its self-insurance program who is responsible for satisfying the self insurance obligations.
(vii) The permittee shall maintain insurance throughout the Guarantee Period, as defined in subparagraph (ii) of paragraph (16) of subdivision (e) of 34 RCNY § 2-11, satisfying the requirements in subparagraph (i) of this paragraph (3) and providing coverage to protect the City and its officials and employees, the Department and the applicant from all claims for property damage and/or bodily injury, including death, which may arise from any defects discovered during such Guarantee Period.
(viii) The permittee shall notify in writing the CGL insurance carrier, and, where applicable, the worker's compensation and/or other insurance carrier, of any loss, damage, injury, or accident, and any claim or suit arising from any operations performed by or on behalf of the permittee for which the Department has issued it a permit, immediately, but not later than 20 days after such event. The permittee's notice to the CGL insurance carrier must expressly specify that "this notice is being given on behalf of the City of New York as Additional Insured as well as the Named Insured." The permittee's notice to the insurance carrier shall contain the following information: the name of the permittee, the number of the permittee, the date of the occurrence, the location (street address and borough) of the occurrence, and the identity of the persons or things injured, damaged or lost.
(ix) The permittee shall indemnify, defend and hold the City and its officials and employees harmless against any and all claims, liens, demands, judgments, penalties, fines, liabilities, settlements, damages, costs and expenses of whatever kind or nature (including, without limitation, attorneys' fees and disbursements), known or unknown, contingent or otherwise, allegedly arising out of or in any way related to the operations of the permittee and/or its failure to comply with any of the requirements set forth herein or law. Insofar as the facts and law relating to any claim would preclude the City and its officials and employees from being completely indemnified by the permittee, the City and its officials and employees shall be partially indemnified by the permittee to the fullest extent provided by law.
(x) A failure by the City of New York or the Department to enforce any of the foregoing requirements shall not constitute a waiver of such requirement or any other requirement.
(xi) The applicant shall submit to the department proof of its insurance on fully-executed ACORD 25 and ACORD 855 forms, or equivalent forms containing the same information, regarding applicant’s insurance.
(4) Permit bonds.
(i) A permit bond shall be submitted by all permittees to the permit office at the time of permit issuance to cover all costs and expenses that may be incurred by the City as a result of the activity for which the permit is issued or for the purpose of otherwise safeguarding the interests of the City. The permit bond shall be in the form prescribed by the Department. Such permit bonds described above shall cover all permitted activities described herein.
(ii) For a permit bond submitted for the purpose of performing street openings and excavations pursuant to 34 RCNY § 2-11, such permit bond shall be submitted in the amount of $10,000.00 for a single location within the City of New York per calendar year, $50,000.00 for two to fifty locations within the City of New York per calendar year, and $100,000.00 for fifty-one to one hundred locations within the City of New York per calendar year. Permittees who are issued permits for more than one hundred locations per calendar year shall submit a permit bond in the amount of $250,000.00.
(iii) Bonds shall be valid through the permit's guarantee period as set forth in these rules.
(iv) The issuer of the bond shall give the Department at least 30 days written notice prior to expiration or cancellation of such bond.
(v) A receipt demonstrating full payment of the bond shall be filed with the Department.
(vi) A separate bond need not be filed for each location, provided such coverage is in force for all operations in the entire borough, City or state.
(vii) A notice of continuation of certificate shall be received every calendar year for the continuation of an existing bond.
(viii) For permits with the exception of those set forth in subparagraph (ii) above and sidewalk construction permits issued pursuant to 34 RCNY § 2-09, a permit bond shall be submitted in the amount of $5,000 for a single location within the City of New York per calendar year or in the amount of $25,000 for multiple locations within the City of New York per calendar year. In the event that a permittee will also secure street opening and excavation permits within the City of New York during the same calendar year, the permittee's compliance with subparagraph (ii) above shall be sufficient to demonstrate compliance with this section.
(5) Deposits.
(i) A deposit of $5,000.00, in the form of money order or certified check, shall be required from permittees when outstanding balances for permit fees, backcharge fees, corrective action requests (CARs) or other charges exceed $3,000.00 for a period longer than forty-five (45) calendar days.
(ii) Such permittees shall maintain a deposit balance of $5,000.00 at all times until the deposit is refunded pursuant to subparagraph (iv), below. If the balance of such cash deposit falls below $5,000.00, all review of permit applications and permit issuance may cease, except in cases of emergency work.
(iii) Any amounts owed by permittees for permit fees, CAR fees, backcharge fees or other charges payable pursuant to law for a period longer than forty-five (45) calendar days shall be deducted from the deposit after notice to the permittee.
(iv) Deposits shall be refunded after one year (365 consecutive calendar days) of full compliance with all applicable laws, rules and specifications.
(b) General conditions for all permits.
(1) Permit applications for the following work shall be reviewed by OCMC prior to the issuance of permits:
(i) work to be performed for sewer and water system construction;
(ii) work to be performed in Manhattan;
(iii) work required on primary and secondary arteries;
(iv) permits to close streets;
(v) any other activity deemed necessary by the Commissioner.
(2) Permits for emergency work. Permits for emergency work shall be issued in accordance with 34 RCNY § 2-11.
(3) Before issuing a permit the Department may demand that permittee show proof of required approvals from other governmental entities.
(4) Street closings lasting more than 180 days. Permits that will result in a publicly mapped street being fully closed for more than 180 consecutive calendar days shall be issued in accordance with all the requirements of 34 RCNY § 2-16.
(c) Display of permits and signs at work site.
(1) Unless otherwise authorized, permits shall be kept at the work site or designated field headquarters at all times and shall be made available for inspection upon request of any police officer or any authorized employee of the Departments of Environmental Protection, Buildings, Police and Transportation or any other City employees specifically authorized by the Commissioner to enforce these rules. Such permits cannot be posted on construction fences, sidewalk sheds, construction containers or any other construction equipment.
(2) Signage along a single street excavation, a series of excavations or trenches.
(i) Permittees must post signs at any single street excavation or trench and/or at every 25-foot interval for a series of street excavations or trenches, indicating the following:
(A) the name of the permittee conducting the work;
(B) the name of the entity for whom the work is being conducted;
(C) the name(s) of the subcontractor(s);
(D) the permittee's telephone number for complaints;
(E) the contractor's telephone number, if not the permittee;
(F) the permit number;
(G) the purpose of the excavation or street opening; and
(H) the start and scheduled completion dates of the work.
(ii) Such signs must be conspicuously displayed and face the nearest curb line. Such signs must be easily visible and readable by pedestrians, and must conform to the Department's requirements.
(3) Construction Project Informational Signs. Permittees must post Construction Project Informational Signs for any project with a projected completion time of three months or more, or as otherwise directed by the Commissioner.
(i) At least one Construction Project Informational Sign must be posted on each block segment where the project is located, and must be easily visible and readable by pedestrians, unless otherwise directed by the Commissioner. The sign(s) must be kept in good condition, and must conform with the Construction Project Informational Sign requirements available at the Department's Permit Offices and on the Department's website.
(ii) Such signs must contain the following information:
(A) the names of the entities responsible for the project, including but not limited to the contractor, developer, and property owner;
(B) the telephone number, email address, and website for such entities responsible for the project;
(C) the name of the project and the project number (if any);
(D) the address of the project;
(E) the nature of the project;
(F) a brief description of the project; and
(G) the start and scheduled completion dates of the project.
(iii) Construction Project Informational Signs are not required for any construction or demolition project requiring a New York City Department of Buildings permit and whose site is enclosed with a fence or contains a sidewalk shed. Such signs must comply with the applicable requirements of the New York City Building Code and the rules of the New York City Department of Buildings.
(4) Permittees' identification numbers on temporary signs. Permittees must affix their Department issued five-digit identification number using a waterproof label or sticker on all temporary signs, including but not limited to temporary construction, raised plow, parking or regulatory signs. The lettering must be in Arial font black ink, 3/4 inch in height and width, placed at the lower right-hand corner of the front and the lower left and right-hand corner of the back of the sign as shown below. The labels/stickers must be visible/legible at all times. Permittees must replace any worn out or faded labels/stickers.
(d) Corrective action request (CAR).
(1) A CAR may be served by mail and/or by e-mail on the person responsible for the work and/or the condition which requires correction at his or her last known address, e-mail address or at the address or e-mail address for such person contained in the records of the Department. Where a CAR is served for a violation of § 19-147 of the Administrative Code, in the case of a utility company, the CAR may be given orally or in writing to a person or at a place designated by the utility and the utility shall respond within twenty-four (24) hours.
(2) Any corrective action required by the CAR shall be performed within thirty (30) days of the issuance of the CAR unless such issuance is protested as provided herein. Entities must obtain the required permit as noted on the CAR prior to performing the corrective action. Failure to obtain such a permit may result in a violation and the CAR will remain open until all conditions are satisfied.
(3) Within fourteen (14) days after the date of mailing of the CAR, the respondent may protest the issuance of the CAR in the manner directed on the CAR. If the respondent fails to timely protest the CAR and the Department issues a summons for an uncorrected condition, the respondent may be issued a summons for failing to respond to the CAR in a timely manner. If a protest is timely submitted and granted by the Department, the CAR fee will be waived.
(4) Protests shall be reviewed by the Department and a final determination regarding the protest shall be made within a reasonable period of time.
(5) If a protest is denied, any corrective action required by the CAR shall be performed within thirty (30) days after the date of such denial.
(6) In the event that the original permit has expired before the corrective action is undertaken, a new permit, as noted on the CAR, shall be obtained in order to complete the required work. The new permit shall not affect the guarantee period, which will relate back to the original permit.
(7) Where a CAR relates to a violation of § 19-147 of the Administrative Code and no corrective action is taken within the applicable time or where an imminent danger to life or safety exists, the Department may perform the work required by a CAR or the work necessary to avert the danger and charge the cost to the person responsible for restoring, replacing or maintaining the pavement, sidewalk, curb, gutter or street hardware in accordance with such section.
(8) Notwithstanding the above, where a condition exists that creates an imminent danger to pedestrians or vehicles, the Department may issue a priority CAR, which shall require corrective action to be taken within three (3) hours of issuance of the CAR by telephone call. The Department may also issue a priority CAR via email requiring corrective action to be taken within three (3) hours of issuance; however, should a priority CAR be issued via email, a follow-up telephone call must also be placed to the permittee.
(9) In the event that a CAR is issued within the guarantee period, the corrective action shall still be taken even after the expiration of the guarantee period.
(e) Orders.
(1) Except as otherwise provided by these rules or other applicable law, any orders issued by the Commissioner may be served personally or by mail addressed to the last known address of the person to whom the order is directed or to the address for such person set forth in the records of the Department or by delivery or mailing to a person or a location designated by the person to whom the order is directed.
(2) Except as otherwise provided by these rules, a person to whom an order is directed shall have an opportunity to be heard within five business days after a timely request for such opportunity is received by the Department. A request shall be made within the time and in the manner directed on the order. If, after considering the written objections of the respondent, the Commissioner affirms the order, the work required by the order shall be completed within 30 days after notice of such determination is mailed to the respondent.
(3) Notwithstanding the foregoing provisions, an order to cease and desist may be given orally or in writing to the persons executing the work and shall require immediate compliance therewith.
(4) In accordance with § 19-151 of the Administrative Code where a respondent fails to comply with an order issued by the Commissioner, including an order to cease and desist, within the applicable time, the Commissioner may execute the work required to be executed in such order. All costs and expenses of the City for such work may be recovered from the persons who are found to be liable for the violation.
(f) Fees.
(1) The fees for permits and CARs are specified in 34 RCNY § 2-03.
(2) Permits shall be valid for fifteen calendar days, unless otherwise specified on the permit. Permits may be extended for 14 days upon presentation of proof that circumstances beyond the permittee's control caused a delay in the work and payment of an additional fee. In the event a permittee fails to complete the work within the time period specified in the permit, another permit may be issued for a period of time to be specified by the Commissioner. There shall be a separate permit fee for each such additional permit.
(3) Payment of all fees shall be received upon application for the permit or, where applicable, no later than thirty calendar days after the billing date.
(g) Notice of street operations.
(1) Permittees and owners of underground facilities shall comply with state Industrial Code Rule No. 53 relating to Construction, Excavation and Demolition Operations at or Near Underground Facilities.
(2) Permittees shall notify the Police Department and the communications center of the Fire Department of all construction activities requiring street closing at least twenty-four hours in advance of the commencement of non-emergency work.
(3) In the event that any non-emergency construction work results in the closing of
(i) more than two-thirds (2/3) of the moving lanes per direction on any street for more than 15 minutes per hour between the hours of 1 a.m. and 5 a.m., or
(ii) half (50%) or more of the moving lanes per direction on any street or limited access roadway, for a duration of more than four minutes or two traffic light cycles of the nearest traffic signal, whichever is less, during all other hours, the permittee shall post at the site of the closing a public notification seven (7) calendar days prior to such closing in a manner directed by OCMC.
(4) Underground facility owners will be responsible for any surface defects caused by their facility underneath the roadway.
(h) Work site safety. All obstructions on the street shall be protected by barricades, fencing, railing with flags, lights, and/or signs, placed at proper intervals and at prescribed hours pursuant to 34 RCNY § 2-01.1. During twilight hours the flags shall be replaced with amber lights. Permittees shall also comply with any additional work site safety requirements set forth in these rules or in the permit.
(i) Waivers.
(1) Except where expressly prohibited by law, the Commissioner may, in his/her discretion, waive or modify these rules, in the interests of public safety and convenience.
(2) Requests for waivers shall be submitted in writing to the Commissioner.
(j) Suspension of application review. The Commissioner may suspend review of applications for permits pending:
(1) payment by an applicant of outstanding fines, civil penalties or judgments imposed or entered against such applicant by a court or the environmental control board,
(2) payment by an applicant of outstanding fees or other charges lawfully assessed by the Commissioner against such applicant pursuant to these rules or other applicable law and/or
(3) satisfactory compliance by an applicant with a CAR or order issued by the Commissioner.
(k) Permit revocation and refusal to renew permit.
(1) The Commissioner may, after giving the permittee notice and an opportunity to be heard, revoke or refuse to renew a permit:
(i) for failure to comply with the terms or conditions of such permit, these rules or other applicable law in carrying out the activity for which the permit was issued;
(ii) whenever there has been any false statement or any misrepresentation as to a material fact in the application or accompanying papers upon which the issuance of the permit was based; or
(iii) whenever a permit has been issued in error and the conditions are such that the permit should not have been issued.
(2) Prior to taking any of the actions listed in paragraph (1) above, the Commissioner shall give the permittee an opportunity to be heard upon not less than two days notice.
(3) Notwithstanding any inconsistent provision of paragraph (2) above, if the Commissioner determines that an imminent peril to life or property exists, the Commissioner may revoke a permit without affording the permittee an opportunity to be heard prior to such revocation. Upon request of the permittee, the Commissioner shall afford the permittee an opportunity to present his or her objections to such action within five days after such request is received by the Department.
(l) Refusal to issue permit. The Commissioner may refuse to issue a permit to an applicant:
(1) who has exhibited a pattern of disregard for the rules or orders of the Department or the terms or conditions of permits issued by the Department or for other applicable law,
(2) who has been found liable by a court or in a proceeding before the environmental control board of a violation of a rule or order of the Department or the terms or conditions of a permit issued by the Department or other applicable law, which violation caused an imminent peril to life or property.
(m) Embargo periods.
(1) All routine work shall be suspended during an embargo period unless approval for the work is granted by OCMC. Such suspension shall not apply to emergency work, for which an emergency number shall be obtained by the permittee pursuant to the provisions of 34 RCNY §§ 2-07 and 2-11. Information regarding embargo periods is on file at each borough permit office and is available upon request. It is the responsibility of each permittee to obtain such information prior to the commencement of any work. It shall be a violation of these rules to do any work on the street during an embargo period without the prior approval of OCMC or an emergency number.
(2) A request for approval to work during an embargo shall be submitted on a form provided by the Commissioner, along with a fee as specified in 34 RCNY § 2-03. Payment of the application fee shall not guarantee that approval to work during the embargo period will be granted and application fee is in addition to any required permit fees.
(n) Voiding and reissuing of permits. Permits may be voided and reissued only within three business days of issuance. See 34 RCNY § 2-03 for the fee for reissuance. Permits reissued after three business days shall be subject to the full permit fee.
(Amended City Record 7/8/2016, eff. 8/7/2016; amended City Record 7/20/2022, eff. 8/19/2022; amended City Record 6/26/2023, eff. 7/26/2023)