3. Introduction

The Corporation is responsible for the maintenance, operation, construction, reconstruction, improvement, development, financing and promotion of the Canal System and for implementation of the New York State Canal Recreationway Plan (CRP). In accordance with the provisions of the Canal Law, the Corporation has the authority to acquire, hold and dispose of real property to advance the purposes of the Corporation and thus, the interest of the State. Real property transactions (transactions) include, but are not limited to, acquisitions, sales, leases, grants of easement, and the issuance of permits.

Permits are used for transactions where the real property is needed for Corporation purposes and the real property has not been declared surplus to the Corporation’s needs but can be temporarily used on a revocable basis. Permits are used for transactions where the real property may need to be available for future Corporation or public purposes. Permits are revocable and used for transactions where the real property needs to be available upon demand for Corporation purposes. Permits are not considered disposals under the Public Authorities Accountability Act of 2005 as there is not a transfer of interest in the real property.

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.
September 2006 900-1-02.8

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/waters under the jurisdiction of the Corporation and an occupancy permit or disposal is not contemplated.

Work permits shall not be issued in advance of a contemplated occupancy permit or disposal, unless approved by the Executive Director, except in situations described in WORK PERMIT EXCEPTIONS¹.

When a work permit is requested in advance of a contemplated occupancy permit or disposal, the Division Canal Engineer should consult with the Office of Land Management (OLM).

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 Corporation, the Division Permit Engineer (DPE) will record the inquiry and send out the application package. The WORK PERMIT CHECKLIST² contains a list of information required.

4.1.2. Upon receipt of the application package, the Division Secretary will enter the application into Permits Plus to generate a work permit number, forward the application fee to the Credit and Collections Unit, and send a receipt to the applicant. The Credit and Collections Unit will deposit the funds and note the receipt of the funds in Permits Plus.

4.1.3. The DPE will verify that the application is complete. If the application is incomplete, the DPE will send a MISSING DOCUMENT LETTER³ to the applicant requesting any missing documents. Once the application is complete, the DPE will indicate this in Permits Plus.

1 Exhibit 7 2 Exhibit 1 3 Exhibit 2 September 2006 900-1-02.8

4.1.4. The DCE will review and approve/disapprove the work permit application. If rejected, the procedure would stop here and the DCE will send a REJECTION LETTER¹ to the applicant.

4.1.5. If approved, the DPE, in consultation with the DCE, will set work permit fees based on the applicable fee rate schedule. If there is no fee schedule, the DPE will contact OLM who will coordinate the determination of the appropriate fee.

4.1.6. The DCE will approve and sign the permit. The DPE will send a WORK PERMIT COVER LETTER² and a valid permit to the applicant.

4.1.7. If fees are required upon completion of the work, the DPE will send a WORK PERMIT FEE LETTER³ to the applicant. Upon receipt of the fees the DPE will send a receipt to the applicant and forward the check to the Credit and Collections Unit. The Credit and Collections Unit will deposit the funds and indicate on Permits Plus that the work permit fees have been paid.

4.2. Conducting Additional Oversight of Work

4.2.1. The DPE will conduct on-site inspection of work, if necessary, based upon the type of work being conducted.

4.2.2. If violations of the work permit are found, the DPE will refer the matter to OLM for enforcement in accordance with SOP-PERMIT AND LEASE ENFORCEMENT (900-1-02.9). In some cases where there is a threat to public health or the environment or other emergency circumstances, as determined at the discretion of the DPE, the permittee will be required to resolve the issue immediately.

4.2.3. If necessary the DPE will conduct a final site visit to determine if work was done pursuant to the terms of the permit. If work was done pursuant to the terms of the permit, then the DPE will note this and change the status of the permit to “closed” in the Project Record and Permits Plus.

1 Exhibit 3 2 Exhibit 4 3 Exhibit 5 September 2006 900-1-02.8

4.2.4. If the work is incomplete and the permit has expired, the applicant may request an extension. Upon submission of the required fees, the DPE may amend and extend the permit and send a PERMIT AMENDMENT LETTER⁺ to the permittee.

4.2.5. If work is not completed or not in compliance with permit requirements, then the DPE will notify the applicant and attempt to resolve the issue(s). If the applicant is not responsive, the DPE will refer the issue to OLM for enforcement in accordance with SOP-PERMIT AND LEASE ENFORCEMENT (900-1-02.9).

4.2.6. The DPE will notify the Bureau of Real Property Management (BRPM) and OLM if any related lease or use and occupancy permit needs modification based on the work completed.