3.4.1 Application Procedure for Canopy Authorizations and Permits

Application for a canopy installation involves three major steps. First, the applicant must obtain authorization from the Highway Inspection and Quality Assurance (HIQA) unit for the placement of the canopy at the proposed location. Second, after obtaining HIQA's authorization, the applicant must obtain a permit to install the canopy at the approved location and apply for a permit to maintain the canopy once it is installed. The permit to maintain the canopy will remain on hold until after the canopy is installed and inspected. Third, following installation of the canopy, a final inspection by HIQA is required to confirm compliance with the applicant's submitted plans. After the canopy passes final inspection, HIQA will release the hold and the applicant must return to the Permit Office to obtain the permit to maintain the canopy.

Following are the specific steps for canopy authorizations and permits:

Authorization

1. To request authorization for the installation of a canopy, an applicant must initiate the process at the HIQA office in the borough where the proposed canopy will be located. At the HIQA borough office, applicants will be given a Canopy Authorization Application (Appendix B, Forms, contains a copy of this application), which outlines the requirements necessary to gain authorization. HIQA borough office locations may be found in Appendix C, NYC DOT Contact Information.
2. The applicant submits a completed Canopy Authorization Application, which must include the following:

1. Written approval from the owner of the property to which the canopy will be attached.
2. A statement of the basic construction details including type, description and color of the canopy covering; type, diameter and gauge of all supporting members; description of the frame, wind bracing assembly and sidewalk and building fastenings; description of proposed lettering on the canopy covering including exact wording and dimensions thereof; three 5 inch by 7 inch photographs of the proposed site.
3. A statement that the canopy design and construction conforms to NYC DOT Standard Details of Construction. See the most recent version of Drawing # H1029 of the NYC DOT Standard Details of Construction.
4. A sketch showing the canopy dimensions, location and all street facilities and furniture within 15 feet of both sides of the proposed canopy.
5. If applicable, a permit from the Landmarks Preservation Commission (LPC) for the placement of a canopy in a historic district or attached to a landmarked building. The permit application is available online. View additional information about historic districts. 
6. Certification by the manufacturer that the covering is flameproof. Where certification is unobtainable from the manufacturer, certification by the installer may be submitted instead.

3. Based on the documents submitted, HIQA makes a preliminary determination as to whether the proposed location may be suitable for a canopy. If the proposed location may be suitable, HIQA performs an inspection in order to confirm its suitability.
4. Upon completion of the inspection, HIQA makes a final determination as to whether the location is suitable for a canopy placement. If the location is deemed suitable, HIQA signs the Canopy Authorization Form indicating HIQA approval and returns it to the applicant. If the proposed location is unsuitable, the canopy authorization is denied and the request for a canopy ends at this point. However, a new request may be submitted at a later date, if conditions at the location change.

Obtaining Installation Permit, Installation and Application for Maintenance Permit

5. After obtaining HIQA's authorization, the applicant will be referred to the Permit Office in the borough in which the canopy will be located.

   A permit must be obtained to install the canopy at the approved location (Erect Canopy Permit from the "01" Street Opening Permit series). Only a canopy installer or authorized agent that is registered with NYC DOT can apply for a permit to install the canopy.

   In addition, a second permit must be applied for to maintain the canopy. The canopy maintenance permit is from the "07" Canopy Permit series; the specific permit type to be applied for depends on the land use to which the canopy is being attached. The full list of Canopy Permit types is shown in the table. The applicant may apply directly for this permit type without being a registered permittee, provided he or she can demonstrate proof of required insurance. The applicant must maintain valid insurance and a canopy maintenance permit as long as the canopy exists.

6. Once the canopy installation permit application has been reviewed and approved by the Permit Office, the permit is issued to the canopy installer or authorized agent, and canopy installation can begin. The second permit for canopy maintenance is automatically placed on a Canopy (CAN) hold until a final inspection has been conducted by HIQA. Section 3.5 Other Provisions Pertaining to Permits contains more information on holds.

Inspection and Obtaining Maintenance Permit

7. Once the canopy is installed, the canopy installer or authorized agent must contact the HIQA borough office for a final inspection to determine whether the installed canopy conforms to the submitted plans.
8. If the installed canopy fails final inspection, HIQA will reject the canopy maintenance permit and notify the applicant of the rejection. The applicant will also be notified of any corrective action necessary and recourses available.
9. If the installed canopy passes final inspection, HIQA releases the CAN hold on the canopy maintenance permit and notifies the original applicant. The applicant will be able to pick up the permit from the Permit Office in the borough in which the canopy is located upon payment of the appropriate fee.

Canopy Permits