Operating Procedure
Title: ISSUANCE OF ENTRY PERMITS Number: 50-001
Effective Date: August 1, 1984 Page 1 of 5
Revised Date: March 1, 1994
1. PURPOSE
To establish the Policy and Procedure for the issuance of entry permits to organizations and individuals other than Metro-North employees requiring entrance onto Metro-North property at a specified location, for a specified time, to perform a specific task or tasks.
1.1. Objectives
a. Provide non-railroad personnel with the proper authorization to be on Metro-North property.
b. Ensure that proper insurance coverage to protect the railroad is in effect before an entry permit is executed.
c. Provide a formal means of notification to concerned departments and personnel within Metro-North that non0railroad personnel will be on the property at the location, time and for the specific reason as stated in the entry permit.
d. Ensure that the permittee pre-pays to Metro-North an amount sufficient to cover the cost of issuing the permit plus all railroad labor protective services including overhead (conductor/flag, lineman, signalman, railroad police officer, use of any railroad, utilities, etc.), estimated to be incu7rred during the time the permit is in effect.
e. Ensure that the fees received from permittees are allocated properly and that any excess payments are refunded or any additional amounts due are collected by establishing a billable work order number and other Accounting and Accounts Receivable information.
2. SCOPE
All operating and non-operating properties within Metro-North’s jurisdiction except leased retail commercial spaces.
3. DEFINITIONS
a. Entry permit – A signed contract between the railroad and the permittee which authorizes the permittee to enter railroad property at a specified location and time to carry out specified tasks which may or may not require the railroad to provide protective services to the permittee. Entry permits are not used for permanent occupancies or to effect modifications to railroad facilities. In addition, they are not applicable for visits to shops, other operating facilities, or locomotive cab rides, for which purposes separate forms are used.
b. Fees – An amount charged to the requestor (except as noted in Sections 4.1.f) which covers Metro-North’s costs including the administrative cost of preparing the entry permit and/or the cost of providing any railroad protective that may be required.
c. Railroad Protective Liability Insurance – An insurance policy, purchased by the permittee, which provides a minimum acceptable amount of liability coverage for those persons covered by the entry permit while they are on railroad property.
d. Operating Property – In this Policy/Procedure, this term refers to property above, below or immediately adjacent to “live” track, third rail, catenary, and/or power lines.
e. Non-Operating Property – In this policy/Procedure, this term refers to property that is not above, below, or immediately adjacent to “live” track, third rail, catenary and/or power lines.
f. Project Management – Individuals in the railroad department to which the original request for an entry permit was made, and/or the department which is responsible for the work anticipated under the entry permit.
g. Requestor/permittee – Individuals, corporations, all levels of government agencies and other entries desiring to enter upon railroad property.
4. POLICY
4.1. Guidelines
a. General Requirements - Entry permits are required for individuals, corporations, all levels of government agencies, and other agencies who wish to enter upon Metro-North operating and/or non-operating property to carry out specific tasks generally requiring some amount of railroad protective service. Such tasks are for a short duration of time (less than one year) and do not involve the use of mechanical equipment other than highly portable items such as surveying equipment, boring rigs, etc.
b. Construction Projects Requiring Force Account Agreements – Entry permits are not intended for purposes of general construction, unless such construction clearly meets the criteria described in Section 3.1. above. Entry onto railroad property for construction purposes is covered by a separate Force Account Agreement.
c. Exemption to Permit Requirement for CDOT Employees – No permit is required for entry by employees of the Connecticut Department of Transportation (CDOT), as an existing agreement is in force between CDOT and the railroad covering their personnel.
d. Activities Not Requiring Entry Permits – No permit is required for persons entering non-operating property for administrative or other normal business activities.
e. Special Events – The Corporate Communications Department and the GCT Development Office have Project Management responsibility for entry permits required for special events (filming, parties, product presentations, etc.). The procedure for entry permit approval, in these cases, excludes review by the Chief Engineer and follows the rest of the process except that final approval may be given by the Director, Corporate Communication, the Executive Vice President or the President.
f. Permit Fees – Metro-North may charge a fee, in advance, for entry permits including a standard component covering the railroad’s administrative costs in issuing and monitoring the permit, as well as a variable component covering the estimated cost of any railroad protective services that will be required. The fee for entry by New York State Department of Transportation personnel, as well as certain other government agencies, may be waived. The fee may also be waived if the party is entering railroad property either at Metro-North’s request and/or for its benefit.
g. Term of Entry Permits – Permits are issued for terms up to one year. The expiration date of a permit may be extended upon written request to Metro-North prior to the current expiration date.
4.2. Responsibilities
a. Administration – The Chief Engineer is responsible for the administration of this Policy and Procedure.
b. Insurance Requirements - The permittee must supply proof of insurance meeting Metro-North’s contract requirements and the Metro-North Risk Management Department must review and certify this documentation before the permit is executed.
c. Interpretation – The Vice President, Operations is responsible for the interpretation of this Policy and Procedure.
d. Exceptions – Any exceptions of variations to this Policy and Procedure must be approved by the General Counsel or the President.
5. PROCEDURE
5.1. Request
a. The requestor applies for an entry permit to the Chief Engineer indicating the specific location of the proposed work (includes a map), the purpose, and the estimated duration of the entry. The Chief Engineer reviews and forwards the request to the Project Management for further evaluation.
b. Project Management reviews the request: determines whether it is required or whether there is valid reason to not issue the permit; whether the preparation fee should or should not be charged; and estimates the extent and cost of any railroad protective services that will be required. The Department then forwards this information to the Chief Engineer.
c. If the entry permit is not needed or will not be issued for some specific reason, the Chief Engineer advises applicant of same. If Project Management has recommended issuance, the Chief Engineer prepares the permit, and confers with Treasury to determine whether there are any outstanding arrears from the contractor. The entry permit is then returned to Project Management for review.
5.2 Review
a. Projects Management will either approve or disapprove the entry permit, and return it to the Chief Engineer for appropriate action. If the permit is approved, the Chief Engineer will forward it to the General Counsel for review.
b. The General Counsel either approves the permit and returns it to the Chief Engineer, or submits an explanatory memo to the Chief Engineer.
c. The Chief Engineer sends the approved entry permit to the requestor with a cover letter explaining insurance, fees and advance deposit requirements.
d. The Requestor signs the permit, and provides proof of insurance and payment (unless waived), as stipulated in the permit to the Chief Engineer.
e. Upon receiving the package from the requestor, the Chief Engineer forwards the insurance information to Metro-North’s Risk Management Department for review to ensure it conforms to railroad specifications and to resolve any problems with the requestor. If the policy is approved, the Chief Engineer is notified.
f. After the insurance policy is approved, the Chief Engineer forwards the permit to the Vice President, Operations for approval and signature. The Vice President, Operations (or designee) returns the signed permit to the Chief Engineer for execution.
5.3. Execution
a. The Chief Engineer completes a Request for Work Order Number Form AR -6 and submits it to Accounts Receivable. This department issues a Work Order Number, records the requestor’s payment of the standard payment fee (if applicable), and sets up a liability in the Company I&C Advance Account for the estimated costs associated with railroad protective services.
b. The Chief Engineer sends out various notifications:
i. A copy of the approved permit and AR-6 Form along with the requestor’s check to the Manager, Credit and Collection, Treasury Department for deposit;
ii. A copy of the approved permit to the requestor with a letter of notification;
iii. Copies of the approved permit (along with the map, plans and other pertinent data) to the General superintendent of Transportation, the Chief of Police and representatives of any other departments that will be providing protective services or may be affected by the work to be done during the time permit is in force; and
iv. The original signed copy of the entry permit to the General Counsel’s office for registration.
c. Project Management arranges for a railroad representative to coordinate with the requestor/permittee for access to railroad property.
5.4. Billing
a. Project Management monitors the cost of railroad protective services charges against the Work Order Number established for the entry permit.
b. Accounts Receivable bills the permittee monthly, per Project Management advice.
c. The requestor/permittee reviews all charges upon receipt of invoice and should questions arise, contacts the Manager, Credit and Collections, Treasury Department for proper disposition.
d. Project Management notifies the Treasury and Accounts Receivable Departments of project close-out, Treasury will review all charges billed to the permittee’s account. If the account is determined to be in order, Treasury will authorize the Accounts Receivable Department to reclass the amount on deposit and apply the funds against the receivables billed. If surplus funds remain in the permittee’s account, treasury will complete an AP-1 form authorizing a refund to the permittee. If the charges are disputed by the permittee, Treasury will confer with Project Management to determine the validity of the charges billed. If adjustment is required, Treasury will instruct the Accounts Receivable Department to adjust the account in accordance with the support documentation provided by Project Management. If funds in permittee’s account are exhausted before all associated charges are billed, Treasury will advise Project Management and collect the outstanding amount due from the permittee.
This procedure sets forth only guidelines and does not constitute a contract, express or implied. Metro-North expressly reserves the right to change or cancel this procedure at its sole discretion at any time.
Approved: Signed by R. Kirner, Vice President, Operations, on 3/18/94
Signed by R. Bernard, General Counsel, on 3/18/94
Signed by G. Firnhaber, Executive Vice President, on 3/21/94
Signed by D. Nelson, President, on 3/22/94