Examples of activities for which a work permit may be issued include:

· Work by a permittee/lessee on real property under an existing occupancy permit/lease/easement.

· Work to be performed by contractors, State agencies, municipalities or individuals for construction, maintenance, inspection, survey, or any other type of short term work on real property under the jurisdiction of the Authority and an occupancy permit or disposal is not contemplated.

Work permits shall not be issued in advance of an occupancy permit unless approved by the Executive Director, except in those situations when preliminary planning work such as site inspections, surveys, environmental testings or soil borings, is necessary for preparation of materials to be submitted as part of the application package. Except for such preliminary planning work, when a work permit is requested in advance of an occupancy permit, the Division Permit Coordinator (DPC) should consult with the Office of Real Property Management (ORPM) prior to taking any action.

Work permits may be issued for requests from governmental entities to occupy Authority right-of-way on a short term basis, for transportation related projects. Such requests would include, but not be limited to, the use of Authority real property for storage, access and construction staging areas.

4. Procedure

4.1. Procedure for Processing and Issuing a Work Permit

4.1.1. Upon receipt of an inquiry for a work permit for use of real property under the jurisdiction of the Authority, the Division Permit Coordinator provides the inquirer the WORK PERMIT APPLICATION (TA-W41338) and advises that the OCCUPANCY AND WORK PERMIT ACCOMMODATION GUIDELINES (TAP-401) set forth the fundamental requirements for occupancy and work permits and advises that other related documents (the UTILITY OCCUPANCY SUPPLEMENT (TAP-401U) and the Design and Construction Requirements for Occupancies (TAP-421A-E)*) set forth additional requirements depending on the type of proposed activity. The DPC evaluates the inquiry and helps familiarize the inquirer with the aforementioned documents. The DPC should direct the inquirer to the Real Property page of the Authority’s website (www.thruway.ny.gov) to view and download these documents or can provide hardcopy upon request.

* The Specification Diagrams for TAP-421A-E can be found on the Finance And Accounts Intranet page. These diagrams are in an 11” x 17” format and require a large format printer. The DPC should either print and provide the appropriate diagram(s) to the inquirer or e-mail the pdf file(s).

4.1.2. Upon receipt of an application package (e.g., insurance certificate, surety deposit/bond and application fee), the DPC verifies that the application package is complete.

4.1.2.1. If complete (including a current insurance certificate written by a company certified to do business in New York State and providing adequate coverage as provided in the Standard Insurance Limits - Work & Occupancy Permits (TAP-526) chart), DPC enters the information and amounts into PERMITS Plus, which generates the work permit number, and places the certificate in Division file.

4.1.2.2. If incomplete, the DPC either calls the applicant or sends a MISSING DOCUMENT LETTER¹ to the applicant requesting any missing documents.

4.1.3. The DPC sends the application fee and surety deposit/bond to the Accounts Receivable Unit (ARU) and sends a receipt to the applicant. ARU deposits the funds, files the bond and notes receipt of funds in PERMITS Plus.

4.1.4. The DPC reviews and approves/disapproves the work permit application. If rejected, the Division Director (DD) sends a REJECTION LETTER² to the applicant and the DPC will coordinate with ARU the refund of any deposit (application fees are not refundable) and update PERMITS Plus file status. The DD sends a copy of the letter to the DPC for the Division file and a copy to ORPM.

4.1.5. If approved, the DPC issues the permit. The DPC sends a WORK PERMIT COVER LETTER³ and a valid permit to the applicant. The DPC either scans the signed permit application and all related documents and links them to the PERMITS Plus file or forwards a copy of the approved work permit application and all related documents to ORPM.

¹ Exhibit 1

² Exhibit 2

³ Exhibit 3

4.2 Procedure for Administering a Work Permit

After a work permit is issued, it is administered as follows:

4.2.1. The DPC informs the appropriate Division Program Managers of the work.

4.2.2. The DPC serves as the point-of-contact for interactions with Division and Headquarters staff.

4.2.3. The DPC is responsible for the monitoring of the work to ensure the permittee’s compliance with the terms of the permit.

4.2.4. Whenever a permittee’s work or maintenance activity will affect the movement of Thruway traffic or Thruway traffic safety, the DPC coordinates with the permittee and the Division Traffic Supervisor the filing, approval and implementation of the permittee’s traffic control plan.

4.2.5. Where applicable, the DPC coordinates with the Division Code Compliance Specialist, prior to the issuance of the work permit, to ensure that code issues are addressed.

4.2.6. During the course of the work, the DPC conducts or coordinates with appropriate program area(s) periodic on-site inspection(s) of the work based upon the type of work being conducted.

4.2.6.1. Any violations of the work permit should be addressed in accordance with SOP-PERMIT AND LEASE ENFORCEMENT (500-2-02.7) which includes guidance in emergency situations.

4.2.7. The DPC conducts or coordinates a final site inspection to determine if work was done pursuant to the terms of the permit.

4.2.7.1. If the work is complete and in compliance with the permit requirements, the DPC proceeds with step 4.2.8. below.

4.2.7.2. If the work is incomplete and the permit has expired, the permittee may request an extension. Upon submission of the required fees, the DPC may extend the permitand send a PERMIT EXTENSION LETTER¹ to the permittee.

¹ Exhibit 4

4.2.7.3. If work is not completed or not in compliance with permit requirements, then the DPC attempts to resolve the issue in accordance with SOP-PERMIT AND LEASE ENFORCEMENT (500-2-02.7).

4.2.8. The DPC notifies ORPM if any related lease or occupancy permit needs modification based on the work completed. Upon concurrence from ORPM, the DPC amends the occupancy permit as appropriate. If a lease needs modification based on the work completed, ORPM takes appropriate action.

4.2.9. The DPC records any and all expenses (e.g., labor, materials, equipment, etc.) incurred by the Authority as a result of the permittee’s actions and notifies ARU to debit the permittee’s surety deposit reimbursing those expenses. ARU debits the surety deposit, deposits the funds and indicates on PERMITS Plus that the permit reimbursement has been paid and notifies the DPC that reimbursement has been made.

4.2.9.1. If the amount of surety deposit is inadequate to reimburse the Authority’s expenses, the DPC sends a WORK PERMIT FEE LETTER¹ to the permittee with a copy to ARU. Upon receipt of the reimbursement, ARU deposits the funds and indicate on PERMITS Plus that the work permit reimbursement has been paid and notifies the DPC of the receipt of payment.

4.2.10. Upon completion of the work, the DPC obtains from the permittee as-built plans in both hardcopy and electronic format and any required certificates and/or inspections. (If permittee is unable to provide as-built plans in electronic format, the DPC where possible creates electronic files.) Files hardcopy in Division file and updates PERMITS Plus (including linking electronic files into PERMITS Plus).

4.2.11. If there are unused surety deposit funds remaining after completion of the work, site inspection, and resolution of any issues, the DPC sends a WORK PERMIT REFUND LETTER² to the permittee noting the amount of the refund with a copy to ARU. ARU refunds the amount to the permittee and notifies the DPC when the refund has been made.

4.2.12. For actions related to bonds, the DPC contacts ORPM for guidance.

¹Exhibit 5

²Exhibit 6

4.2.13. Upon completion of the work and if the work was done pursuant to the terms of the permit, then the DPC will note this and change the status of the permit to “closed” in PERMITS Plus.

4.2.14. Should the DPC receive notification of any change to the permit information, the DPC consults with ORPM. Depending upon the type of change, the permittee may be required to submit a new permit application and charged the appropriate fee. The DPC updates the identification information on PERMITS Plus accordingly.

5. Responsibilities

ARU posts fee payments and surety deposits/bond(s); notes on PERMITS Plus when fees are received; when notified, debits Authority expenses from the permittee’s surety deposit; and coordinates the refund of unused surety deposit.

The DD sends a rejection letter if the work permit application is rejected.

The DPC coordinates the review and processing of a work permit application and permit issuance and is responsible for indication in PERMITS Plus when proof of insurance is received and for forwarding all deposits and fees to ARU.

The DPC administers the work permit including: informing the appropriate Division Program Managers of the permit; serving as point-of-contact; monitoring the work to ensure that the permittee meets the work permit terms and conditions; coordinating with the Division Traffic Supervisor and Code Compliance Specialist; conducting or coordinating site inspections of the work; resolving any issues; notifying ORPM if any related lease or occupancy permit needs modification; and recording expenses incurred by the Authority and notifying ARU to debit those expenses for the permittee’s surety deposit.

Upon completion of the work, the DPC obtains from the permittee and files the as-built plans and any required certificates and/or inspections; initiates the refund of any unused surety deposit; and updates the permit’s status in PERMITS Plus.

The DPC maintains the Division work permit file and provides ORPM with appropriate materials. ORPM assists in permit enforcement issues as needed.