4. Procedure
The Authority may need
to take appropriate action based on nonpayment, lapse of insurance or other
violations of terms and conditions of permits and leases. Following notice, the appropriate response
will be determined including permit revocation, lease termination, site visits,
emergency action, collection of delinquent accounts, removal of encroachments,
etc.
4.1. Delinquent
Accounts for Nonpayment
4.1.1. The Credit
and Collections Unit (CCU) will send annual invoices for permits to permittees
one month prior to the permit payment date and periodic invoices for leases per
the terms and conditions of the lease.
The PERMIT AND LEASE INVOICE1 will state the consequences of
late payment (e.g., applicable interest, collection fees, and possible
revocation of the permit or termination of the lease).
4.1.2. If
payment is not received within 45 days from the date of the original invoice, the
CCU will send out a NONPAYMENT DELINQUENCY NOTICE2 to the owner of
the delinquent account and copy the Division Permit Coordinator (DPC), the Headquarters
Permit Coordinator (HQPC) and the appropriate Project Manager where applicable
for permits. For leases, copies are sent
to the Bureau of Real Property Management (BRPM), the Division Director (DD), and
the appropriate Project Manager where applicable (e.g., wireless communication
towers, fiber optics, etc.).
4.1.3. If
payment is not received within 15 days from the date of the delinquency notice,
the CCU will send a NONPAYMENT FINAL NOTICE3 to the owner of the
delinquent account stating that the permit will be revoked or the lease
terminated within 30 days unless full payment, interest and any additional
charges assessed to the account are received.
A copy of the final notice will be sent to the individuals listed in
4.1.2.
4.1.4. If
payment is not received within 30 days from the date of the final notice, the CCU
will contact the Legal Department and the HQPC for permits or BRPM for leases
to identify the appropriate action as described in Section 4.4.
4.1.5. If a
late payment is received anytime prior to revocation of a permit, see Section
4.4.3.
1 Exhibit 1
2 Exhibit 2
3 Exhibit 3
4.2. Lapsed
Insurance
For the protection of Authority assets, it is critical
that proper insurance coverage be maintained for all permits and leases. Once notified of lapsed insurance coverage,
failure of the permittee/lessee to restore proper insurance coverage will
result in the revocation of permits, and the possible termination of leases.
4.2.1. The
Insurance Compliance Unit (ICU) will identify accounts for which insurance policies
will expire in thirty days and send an INSURANCE NOTICE1 to the account
owner. If the insurance information is
not received within 15 days, the ICU will send a SECOND INSURANCE NOTICE2. A FINAL NOTICE-LAPSED INSURANCE3 will
be sent if proof of insurance is not received by the expiration date of the
insurance. The ICU will send a copy of
the notices to the DPC, the HQPC for permits, and BRPM and DD for leases, and
the appropriate project manager where applicable (e.g., wireless communication
towers, fiber optics, etc.).
4.2.2. If a
valid insurance certificate is received, ICU updates PERMITS Plus and places
proof of insurance in account folder.
4.2.3. If the
permittee/lessee fails to provide documentation of insurance before the current
policy expires, the ICU will notify the Legal Department, the DPC, the HQPC for
permits, and BRPM and DD for leases to determine the appropriate response as
described in Section 4.4.
4.3. Other Permit or Lease Violations
4.3.1. Through periodic site inspections or other notice, the DPC may
identify conflicts between the permitted use of/work on the property and Authority
operations, or may identify that the permittee or lessee is not complying with
the provisions of the permit or lease including Authority
employees/agents/contractors access to the property, exceeding the scope of the
permit or lease, if the use and/or work obstructs the maintenance or operation
of the Thruway system, or for other reasons.
The DPC will notify the DPC, the HQPC for permits or BRPM and DD for
leases, of any violations.
1 Exhibit 4
2 Exhibit 5
3 Exhibit 6
4.3.2. For
lease violations, BRPM, in consultation with the Legal Department and the DD,
will coordinate lease violation notices and actions in accordance with the
terms and conditions of the lease and determine the appropriate actions as
described in Section 4.4.
4.3.3. For permit violations, the DPC, in consultation with the DD, will notify
the permittee of the violation and establish a timeframe for resolving the
issue. If the violation is causing a
health, safety, or environmental impact or other emergency conditions requiring
immediate action, the Authority may take any required steps to address the
emergency immediately.
4.3.4. The DPC, in consultation with the DD, may work with the permittee
to resolve the issue. This may require
the permittee to cure any defects (e.g., remove illegal structure, return the
area to its preexisting condition, etc.).
4.3.5. If the permittee fails to correct the violation within the
established timeframe, the DPC will contact the HQPC to determine the
appropriate response as described in Section 4.4.
4.4.
Determining the
Appropriate Response
4.4.1. The HQPC
for permits or BRPM for leases will coordinate a review of the proposed permit revocation
or lease termination in consultation with staff from the Legal Department, CCU,
and others as needed to determine the appropriate action to be taken. This may include revocation of the permit,
termination of the lease, removal of encroachments, or referral of the account
to collection agencies and/or the Office of the Attorney General (OAG). As needed, the HQPC or BRPM may request that
the DPC conduct a site inspection as described in Section 4.5. to assist in determining
the appropriate response. Removal of
encroachments is discussed in Section 4.6 and collections are described in
Section 4.7.
4.4.2. If an
emergency situation exists which endangers life or the Thruway System, the
Legal Department will be notified immediately for guidance on the appropriate
actions such as seizure of lands, equipment or supplies necessary to avert such
endangerment. The Legal Department may
forward these issues to the OAG or take other action as permitted by statute
and regulations.
4.4.3. In some
cases the delinquent payment may be received prior to a determination to revoke
the permit or terminate the lease has been made.
4.4.3.1. For
permits, if a late payment (including interest and penalties) is received
anytime prior to revocation of a permit, the CCU will take the account out of
delinquency and notify the DPC, HQPC, and the Legal Department. The HQPC, in
consultation with the DPC, the Legal Department and the CCU, may (a) continue
the permit revocation; (b) stop the permit revocation; or (c) take other action
as needed. A record of late payment will
be maintained by the CCU in the account file.
4.4.3.2. For
leases, if delinquent lease amounts are paid in full (including any interest
and penalties) prior to lease termination, CCU will take the account out of
delinquency and notify the DD, BRPM and the Legal Department. BRPM, in consultation with the Legal
Department and the CCU, may (a) continue the lease termination process; (b)
stop the lease termination process; or (c) take other action as needed. A record of late payment will be maintained
by the CCU in the account file.
4.4.4. If the
permit is to be revoked or the lease terminated the following steps will be
taken:
4.4.4.1. For
permits that are being revoked for nonpayment or lack of insurance, the CCU
will send a CANCELLATION NOTICE+ notifying the permittee that the permit
is revoked and that a site inspection will be conducted within 21 days. A copy of the notice will be sent to the DPC
and the HQPC.
4.4.4.2. For
other types of permit violations resulting in permit revocation, the DPC will
send a CANCELLATION NOTICE notifying the permittee that the permit is revoked
and that a site inspection will be conducted within 21 days. A copy of the notice will be sent to the HQPC
and the CCU.
4.4.4.3. For
lease termination, the Legal Department will coordinate the termination of the lease
including termination notices and notify the Contracting Officer, BRPM, DD and
CCU of the proposed termination. The Authority
Board will be notified of the proposed lease termination by the Contracting
Officer.
+ Exhibit 7
4.4.4.4. No
refunds will be given for revoked permits or terminated leases unless the
permit conditions or lease terms require otherwise.
4.4.5. If
permit account payment has been received after a permit has been revoked or the
account closed, the CCU will notify the DPC and the HQPC. The HQPC, in consultation with the DPC, the
Legal Department, and the CCU as needed, may direct that a new permit be issued
or the old permit reinstated.
4.4.6. The DPC will
conduct a site inspection within 21 days of notice of the permit revocation or
lease termination in accordance with Section 4.5. to determine further action
that may need to be taken. The DIVISION
INSPECTION REPORT+ report will be forwarded to the individuals
listed in 4.4.1 to determine the appropriate response and actions needed (e.g.
removal of encroachments, site restoration, referral to collection for
nonpayment and/or restoration costs, etc.).
Removal of encroachments is described in Section 4.6. and collections in
Section 4.7.
4.5.
Division Site Inspections
4.5.1. The DPC will conduct site inspections within
21 days of notice of a permit revocation or lease termination, or as needed.
4.5.2. The DPC
will conduct a site visit using the DIVISION INSPECTION REPORT to verify the
address and inspect the site to ensure that the property has been vacated, no
actions are required to rectify a potential environmental or navigation
problem, and that the property has been restored to the same or better
condition as existed prior to issuance of the permit/lease.
4.5.3. If the
property has not been restored, the DPC will identify any work that is required
or structures that should be removed. In
the event the property has not been restored, and a structure remains on the
property, follow Section 4.6. for encroachments.
4.5.4. The DPC
will provide the HQPC for permits or BRPM for leases with a completed REPORT documenting
the site visit and noting any required follow-up action. This report will become part of the
Transaction Record and be used to determine the appropriate actions to be taken
in accordance with Section 4.4.
+ Exhibit 8
4.6. Encroachments
4.6.1. During the site inspection or through other notice, the DPC may
become aware of encroachments on Authority real property. Encroachments exist in two scenarios: A building, structure, or other personal
property or parts of these erected, placed, maintained, or otherwise occupying
Authority property as a result of (1) a revoked permit or terminated lease, or
(2) an illegal occupation not covered by a permit or lease.
4.6.2. If environmental degradation is noticed or potentially could
occur, then the DPC will contact the HQPC for permits or BRPM for leases for
guidance on other appropriate actions.
Code Compliance personnel may also be contacted by the DPC to identify
structural issues that may exist. The
Division Environmental Specialist will assist in identifying environmental
issues associated with encroachments.
4.6.3. The DPC will notify the Legal Department of the encroachment and
copy the HQPC for permits and BRPM for leases.
The Legal Department will coordinate notices, service of notices, and
actions related to encroachments. The
Legal Department will keep the DPC, HQPC for permits and BRPM for leases, apprised
of the status and action taken, including any further collection activity or
other responses needed by others.
4.7. Collections of Delinquent Accounts and
Other Costs
4.7.1. When it
has been determined by the Legal Department, the CCU, and HQPC for permits or BRPM
for leases, that an account should be referred for collection, the CCU will
prepare a collection file. Collections
may include delinquent accounts as well as other costs such as costs to remove
encroachments, restore a site, etc.
4.7.2. The CCU
will coordinate the collection of the account with the contracted collection
agency and notify the Legal Department of the collection activity, or forward
the collection file to the Legal Department for handling or for forwarding to
the OAG for action. At a minimum, the collection
file should contain:
· Copy of the terminated lease or revoked permit
· Total amount of the delinquency (rents/fees, interest, additional
fines, restoration costs, etc.)
· Current contact information (name, address, phone number)
· Copy of invoices and letters sent
· Copy of DIVISION INSPECTION REPORT+
· Documentation of any other attempts or information regarding
collection
· Other information pertinent to the permit/lease, such as
environmental issues, encroachments or other structures, noncompliance or
issues.
4.7.3. The Legal Department or the CCU will receive
reports from collection agencies and/or the OAG regarding accounts that have
been turned over to them for collection.
Each department will keep the other informed as to the status of
collection activity.
4.7.4. The CCU
will receive checks collected by collection agencies and the OAG, and may also
receive payment directly from former account holders after the accounts have
been turned over for collection. The CCU
will notify the Legal Department and the DPC, the HQPC for permits or BRPM for
leases of any checks received. The Legal
Department will review the individual case and approve the check, and provide
notification that the check has been approved for deposit.
4.7.5. If the
matter is deemed uncollectible by a collection agency or the OAG, the matter
will be referred to the Legal Department for determination of further
appropriate action.
5. Responsibilities
BRPM will review Division Inspection Report (for leases) and
assist in determining the appropriate action when the violation involves a
lease or when a lease will be terminated.
+ Exhibit 8
The CCU is responsible
for invoicing permittees and lessees and sending delinquency, final, and
cancellation notices for nonpayment and accounts with lapsed insurance. The Unit will maintain the account files and
prepare collection files for delinquent account and work with contract
collection agencies.
The DD will consult with the DPC to resolve permit issues.
The DPC will conduct site inspections and coordinate
resolution of permit violations, and oversee the encroachment notice and
service.
The Division Code and Compliance personnel
may assist in identifying structural or other issues affecting an
encroachment.
The Division Environmental Specialist will
assist in identifying environmental issues associated with encroachments.
The HQPC will review Division Inspection Report
(for permits) and assist in determining the appropriate action when the
violation involves a permit or when a permit will be revoked.
The ICU will determine if permittees and lessees have proper
insurance coverage and notify applicants that do not have insurance coverage.
The Legal Department will assist the HQPC/BRPM in determining
the appropriate response to permit and lease violations and coordinate OAG
assistance and the collections process.
7. Flowcharts
EXHIBIT 1
SAMPLE PERMIT AND LEASE
INVOICE
This form will be used
by the CCU for annual permit and lease invoices.
Content
under development
EXHIBIT 2
NONPAYMENT DELINQUENCY
NOTICE
The notice will be sent by the CCU to a permittee/lessee
when payment has not been received within 45 days from the date of the original
invoice.
Content under
development
EXHIBIT 3
NONPAYMENT FINAL NOTICE
The final notice will be sent by the CCU to a permittee/lessee
within 15 days of the nonpayment delinquency notice if payment has not been
received.
Content under
development
EXHIBIT 4
INSURANCE NOTICE
The ICU will use this notice to notify account owners when
insurance will expire in 30 days.
Content
under development
EXHIBIT 5
SECOND NOTICE –
INSURANCE
The ICU will use this notice to notify account owners when
there has been no response to the first notice and insurance will expire in 15
days.
Content
under development
EXHIBIT 6
FINAL NOTICE –INSURANCE
If a permittee has not provided documentation of insurance by
the termination date of the insurance, the ICU will send the permit revocation
notice for lapsed insurance.
Content
under development
EXHIBIT 7
CANCELLATION NOTICE
Upon a determination to
revoke a permit or terminate a lease, a cancellation notice will be sent.
Content
under development
EXHIBIT 8
DIVISION INSPECTION REPORT
This report will be used
to document a site inspection by Division personnel.
Content
under development