Attachment #6 - Port Authority Alteration Process Manual.pdf

Tenant Construction and Alteration Process Manual

July 2013

Tenant Construction and Alteration Process Manual

July 2013 | Page i

Table of ConTenTs Acronyms iii List of Tables iii List of Figures iii Change Log iv Note to Users: Application and Browser Requirements iv Defined Terms v

Section 1: Introduction 1

1.1 – Purpose 1

1.2 – How to Use This Manual 1

1.3 – Overview of the Tenant Construction and Alteration Process 4

1.3.1 Tenant Alteration Application (TAA) 4

1.3.2 Minor Works Application (MWA) 5

1.4 – Governing Codes and Standards 5

1.5 – Sustainable Design 6

1.6 – Business Diversity and Civil Rights 6

1.6.1 M/WBE Participation 6

1.6.2 Labor Force Goals 6

1.7 – Submittal Requirements 6

1.7.1 Tenant Construction and Alteration Process Submissions 6

1.7.2 Document Submittal Format 8

1.7.3 Record Documents 8

1.8 – Tenant Alteration Application Fees 8

1.9 – Performance Management 9

Section 2: Roles and Responsibilities 11

2.1 – Tenant Team Responsibilities 12

2.1.1 Tenant 12

2.1.2 Architect of Record/ Engineer of Record (A/EOR) 13

2.1.3 Contractor 14

2.2 – Port Authority Roles 15

2.2.1 Tenant Coordinator (TC) 15

2.2.2 Resident Engineer’s Office (REO) 15

2.2.3 Port Authority Review Groups 16

2.3 – External Agencies 17

Section 3: Project Initiation 19

3.1 – Project Initiation Overview 19

3.2 – New Tenants or Existing Tenant Expanding Leasehold 20

3.2.1 Due Diligence During Lease Negotiations 20

3.2.2 Agreements 21

3.3 – Existing Tenant with Work in Current Leasehold 21

3.4 – Project Initiation Form Submittal 21

3.5 – Project Determination 23

Section 4: Tenant Alteration Application Process 24

4.1 – Phase 1: Design 24

4.1.1 Design Phase Overview 24

4.1.2 Design Phase Activities 25

4.2 – Phase 2: Construction 36

4.2.1 Construction Overview 36

4.2.2 Construction Phase Activities 37

4.3 – Phase 3: Close-out & Occupancy 42

4.3.1 Close-Out & Occupancy Overview 42

4.3.2 Close-Out & Occupancy Activities 42

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Section 5: Minor Works Process 45

5.1 – Minor Works Overview 45

5.2 – Phase 1: Design 46

5.2.1 Minor Works Application Submittal 46

5.2.2 Approval to Install 46

5.3 – Phase 2: Installation 47

5.3.1 Pre-Installation Meeting 47

5.3.2 Installation 47

5.4 – Phase 3: Close-Out 47

5.4.1 Minor Works Completion Form 47

5.4.2 PA Close-out of Minor Works 47

Section 6: Other Port Authority Procedures 48

6.1 – Asbestos Abatement Procedure 48

6.2 – Phased Construction and Occupancy Procedure 49

6.2.1 Phasing Plan Submittal 50

6.2.2 Temporary Certificate of Authorization to Occupy or Use 50

6.2.3 Final Certificate of Authorization to Occupy or Use 51

6.3 – Emergency Works Procedure 52

6.3.1 Emergency Works Notice 52

6.3.2 Emergency Works Pre-Construction Meeting 53

6.3.3 Special Inspections 54

6.3.4 Inspections for Temporary Certificate of Authorization to Occupy or Use or Close-Out 54

6.3.5 Final Certificate of Authorization to Occupy or Use 54

6.4 – Code Determination Procedure 54

6.4.1 Code Determination Request Procedure 55

6.4.2 Anticipated Timing 55

Section 7: Reference Material 56

7.1 – Contacts 56

7.2 – Forms 60

7.3 – Checklists 61

7.4 – Permits & Certificates 61

7.5 – References 62

7.5.1 Port Authority (All Facilities) 62

7.5.2 Aviation Facilities 63

7.5.3 Port Commerce Facilities 64

7.5.4 PATH Facilities 65

7.5.5 Real Estate Facilities 65

7.5.6 Tunnels, Bridges and Terminals 66

7.6 – FAQ 66

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Acronyms AAO – Affirmative Action Office ADA – Americans With Disabilities Act A/EOR – Architect or Engineer of Record BIM – Building Information Management C of A – Certificate of Authorization to Occupy or Use CBP – Customs and Border Protection DEP – Department of Environmental Protection EMP – Environmental Management Plan EPA – Environmental Protection Agency FAA – Federal Aviation Administration FRA – Federal Rail Administration FTA – Federal Transit Administration MOA - Memorandum of Agreement MWA – Minor Works Application M/WBE – Minority / Women-Owned Business Enterprise NCR - Non-Conformance Report NFC – No Further Comments NJDEP – New Jersey Department of Environmental Protection NJDOCA – New Jersey Department of Community Affairs NYCDEP – New York City Department of Environmental Protection NYSDEC – New York State Department of Environmental Conservation NYSDOL – New York State Department of Labor OBDCR – Office of Business Diversity and Civil Rights OEEP – Office of Energy and Environmental Programs PA / PANYNJ / Authority – Port Authority of New York and New Jersey PAPD – Port Authority Police Department QAD – Quality Assurance Division REO – Resident Engineer’s Office ROE – Right of Entry SDG – Sustainable Design Guidelines TAA – Tenant Alteration Application TB&T – Tunnels, Bridges & Terminals TC – Tenant Coordinator TC of A –Temporary Certificate of Authorization to Occupy or Use TCAP – Tenant Construction and Alteration Process TCRM – Tenant Construction Review Manual TSA – Transportation Security Administration TSD – Technology Services Department WTC – World Trade Center

List of Tables Table 1: Tenant Construction and Alteration Process Submission Quantities Table 2: Tenant Alteration Application Review Time Estimates Table 3: PA Response Time Performance Targets Table 4: Tenant Alteration Application Roles and Responsibilities Table 5: Minor Works Application Roles and Responsibilities Table 6: Project Determination Guidance

List of Figures Figure 1: Overview of the Tenant Construction and Alteration Process Figure 2: Project Initiation Overview Figure 3: Design Phase 1 Overview Figure 4: Construction Phase 2 Overview Figure 5: Close-Out & Occupancy Phase 3 Overview Figure 6: Minor Works Application Process Overview

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Change Log

Date Edit January 2012 Change of “Permit to Occupy or Use” to “Certificate of Authorization to Occupy or Use”

(no change in process)

January 2012 Sustainable Design references modified

January 2012 Special Inspection Report revision

January 2012 M/WBE form revision, PA3749D

January 2012 Tenant Construction Statement of M/W/DBE Payments Report (PA 3968A)

January 2012 TEB Fire Watch guidelines updated to 2007

January 2012 Revised Minimum Insurance requirements

January 2013 TAA Form PA 531 revision

July 2013 Revised Real Estate Facilities Contacts Section 7.1.4

Note to Users: Application and Browser Requirements The functionality of the TCAP Manual, forms, checklists, and permits was successfully tested using the following technology:

PC: Internet Explorer

Macintosh: Safari

In order to utilize the available functionality, to fill in and save data, in any of the forms, checklists and permits that are provided in Adobe Acrobat, Adobe Acrobat Reader Version 8 or later is required at a minimum.

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Defined Terms Approval to Construct PA approval for a project to commence the Phase 2 Construction of the TAA process

Approval to Install PA approval for a project to commence the Phase 2 Installation of the MWA process

Asbestos or HAZMAT Survey A survey conducted by the Tenant in accordance with current local, state and national code and regulations to identify asbestos or HAZMAT materials within the project area.

As-Built Drawing Drawings produced at the end of construction showing changes to the original construction documents.

Basis of Design Typically a description and set of preliminary drawings, equipment lists, etc. forming the basis of inspection and test acceptance criteria. The basis of design documentation identifies how the design provides the performance and operational requirements of the project and its systems

Close-Out Letter Notification provided by the Tenant Coordinator to the Tenant that an MWA is closed out

Code Determination Process for resolution of code issues not resolved during normal discussions and review of Contract Documents by the PA.

Concept of Operations Document describing how a space will operate, compiled by a Tenant for review by the PA. Includes a description of flow or circulation of materials or people.

Conceptual Review An optional preliminary review of a Tenant’ s design for guidance on code conformance issues.

Conditional or Full Design Letter issued by the PA providing a form of approval of the Contract Documents submitted.

Approval Letter

Construction Phase Phase 2 of the TAA process during which construction takes place and is certified as completed by the Tenant’s A/EOR

Contract Documents The Phase 1 Design submission made consisting of the completed design documents and all other necessary documents for review by the PA.

Contractor The firm or company providing and coordinating the use of materials, labor and equipment for the construction of the project. See Section 2.1.3.

Coordinator The key Tenant or PA staff who verify that TCAP submissions are complete. Refer to Tables 4 and 5.

Design Phase Phase 1 of the TAA process during which the design is developed by the Tenant and submitted as Contract Documents to the PA for review.

Emergency Works Notice Notice provided by the PA that work can follow the Emergency Works Procedure.

Enabler The key Tenant or PA staff who enable or help facilitate TCAP activities, e.g. the Contractor enables the Partial or Final inspections to proceed through provision of access, information and attendance, etc. Refer to Tables 4 and 5.

Environmental Consultant Professional Architect or Engineer, licensed in the state of New York or New Jersey, hired by the Tenant to provide environmental consulting services.

Environmental Management Plan Document defining the management of all environmental aspects of a project. See Reference Section 7.5.1

Hot Work Permit Permit to be approved by the PA prior to any hot work activities at PA facilities.

Kick-off Meeting A meeting between attendees representing the Tenant and PA prior to commencement of TAA. Format and agenda to be determined by the Tenant Coordinator based upon scope and complexity of the project. See Section 4.1.2.1.

M/WBE Participation Plan PA form completed by the Tenant to detail the percentage participation of PA-certified M/WBE firms on a project. Example form in Section 7.5.1.

Means and Methods The operations of a contractor that arise normally in the course of construction but might be viewed as constituting “professional” services, e.g. incidental design procedures, or incidental modifications of plans to solve on-the-spot construction difficulties.

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Defined Terms (continued) Minor Works Application See Table 6

Non-Conformance Report (NCR) Report issued by the PA to the Tenant describing the Non-Conformances with the approved Contract Documents noted during a Partial or Final Inspection.

Orientation A briefing given by the PA’s Tenant Coordinator to the Tenant on the Tenant Construction and Alteration Process once a signed Agreement is in place and prior to the Tenant beginning any work on their space. Given to all new Tenants.

Partial and Final Inspections During Phase 3 of the TAA process, inspections for occupancy or use for Occupancy

Partial Inspections Inspections prior to closure of an area, e.g. ceiling or wall, prior to Partial or Final Inspection for Occupancy or Use.

Partners PA’s business partners, Tenants, Consultants and Contractors

Phased Occupancy Area For projects agreed to be following the Phased Occupancy procedure. An area that is a part of the overall project space to be identified within the Phasing Plan.

Phasing Plan Plan providing a detailed narrative and design documents as necessary to describe the Phased Occupancy Areas for a project. Reference Section 6.2.1.

Point of Contact The key Tenant and PA staff who exchange all communication during the TCAP process.

Refer to Tables 4 and 5.

Pre-Construction Meeting Meeting between the PA and the Tenant prior to construction work for a Tenant Alteration Application, at which, if satisfied that all requirements are in place, the PA will provide authorization to proceed with construction.

Pre-Installation Meeting Meeting between the PA and the Tenant prior to installation work for a Minor Works Application at which, if satisfied that all requirements are in place, the PA provides authorization to proceed with installation.

Project Determination Determination by the PA of whether a project is to use either the TAA or MWA process issued by the Tenant Coordinator in response to form TAA-MWA 01.

Project Initiation Form Form TAA-MWA 01 used by the Tenant to notify the PA of an intent to perform construction or alteration work.

Record Document Record Drawings and Record Specifications that reflect on-site changes noted by the Contractor on As-Built drawings. Compiled as a set of on-site changes.

Rider Comments Documented comments given by the PA to be addressed by the Tenant prior to issue of a TC of A or C of A.

Right of Entry Agreement A legal agreement between the Tenant and the PA to allow the Tenant access to the project site for specific agreed activity for a limited duration.

Routine Maintenance See Table 6

Safety Plan Plan to be developed by the Tenant and approved by the PA for ensuring safety during construction work at the project site. In accordance with PA, local, state and national regulations.

Security Plan Plan to be developed by the Tenant and approved by the PA for maintaining security, as applicable, during construction at the project site. In accordance with PA, local, state and national regulations.

Site Visits Visits made by the Tenant, arranged through the PA to assess the project space.

Special Inspection Inspections to be performed by an approved organization that is independent, objective and competent, with calibrated equipment as required to perform tests, with experienced, educated personnel. Inspections are to be performed in accordance with local and state code.

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Defined Terms (continued) Temporary Certificate of Certificates of Authorization issued to the Tenant by the PA at the end of the TAA Authorization to Occupy or Use process, necessary to allow occupancy and operations at the facility location.

(TC of A) or the Final Certificate of Authorization to Occupy or Use (C of A)

Tenant Signatory to a lease with the PA. See Sections 1.2 and 2.1.1.

Tenant Alteration Application See Table 6

Tenant Construction and Review PA Manual for Tenant Construction and Minor Works.

Manual

Tenant Coordinator PA staff providing oversight of conformance to the Tenant Construction and Alteration Process. See Section 2.2.1.

Verifier The key Tenant or PA staff who verify that TCAP submissions are complete. Refer to Tables 4 and 5.

Waste Management Plan Plan for the management, use and disposal of waste resulting from construction activities at PA facilities.

Welding Permit Permit to be approved by the PA prior to welding activities at PA facilities.

| Page 1July 2013 Section 1: Introduction seCTion 1: inTroduCTion

1.1 – Purpose The Port Authority of New York & New Jersey (“PA”) is a bi-state agency charged with promoting and protecting the commerce of the bi-state ports, and undertaking trade and transportation projects to promote regional economic development. The PA’s Business Partners, Tenants, Consultants, and Contractors (“Partners”) play a valued role in delivering the PA’s Strategic Plan. The PA’s Tenant Construction and Alteration Process (also known as TCAP), encompasses all alterations and minor works at existing PA facilities in addition to all new construction, and is a necessary way of managing work performed in PA leaseholds and public facilities. The process efficiency serves the interests of both the Tenant and the

PA.

The Tenant Construction and Alteration Process requires close coordination between the PA and its Partners. Formerly called the Tenant Alteration Application Process, the term ‘Tenant Construction and Alteration Process’ shall be substituted in any Agreements that reference the ‘Tenant Alteration Application Process’ or simply ‘Alteration Application Process.’

The process is a resource for all parties to make improvements and to:

• Ensure and enforce building code conformance

• Align and coordinate technical criteria between the PA facilities and its Partners, especially with regard to utilities, structural and other technical criteria, and operations of PA facilities

• Ascertain that Partners’ projects are aligned with the PA’s business interests, plans and objectives

• Collect and assess asset information and condition

• Document authorization and permit approvals

Ultimately, the Tenant Construction and Alteration Process is a vehicle to protect and enhance the experience of the end user so that everyone benefits.

1.2 – How to use This Manual This manual has been developed by the PA to provide direction to its Partners in making improvements or alterations to existing PA facilities or in the construction of new structures at PA facilities. It outlines the requirements and procedures for all work undertaken at PA facilities. For purposes of clarity, “Tenant,” as used in this manual, refers to any non- PA party that is responsible for sponsoring, funding, and overseeing the work being undertaken at PA facilities.

Section 1 presents an overview of the Tenant Construction and Alteration Process. The section also reviews PA policies and general requirements Tenants are expected to adhere to, including:

• Governing Codes and Standards (Security, Health and Safety, Environmental, etc.)

• Sustainable Design

• Minority and Women-Owned Business Enterprise (M/WBE) participation

• Submittal Requirements

• Fees

• Performance Management

The Tenant Coordinator is available at any time to provide guidance and answer questions about the Tenant Construction and Alteration Process.

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Section 2 outlines roles and responsibilities for key players from the Tenant’s team and the PA in the Tenant Construction and Alteration Process.

Section 3 describes the start of the Tenant Construction and Alteration Process - Project Initiation. Activities are outlined for different types of process users.

Section 4 describes procedures for work performed by all Tenants under the Tenant Alteration Application sub-process. Instructions are provided for each of the major phases:

1) Design, 2) Construction, and 3) Close-Out & Occupancy.

Section 5 describes procedures for work performed by all Tenants under the Minor Works Application sub-process. Instructions are provided for each of the major phases: 1) Design,

2) Installation, and 3) Close-Out.

Section 6 describes a number of additional PA procedures related to Tenant construction and alterations. These are activities that are not part of typical Tenant construction and alteration projects and planned work, but from time to time may be followed as the need arises. These include the Asbestos Abatement Procedure, the Phased Construction and Occupancy Procedure, the Emergency Works Procedure, and the Code Determination Procedure.

Section 7 provides a variety of facility and project-specific reference materials. This section includes contact information, forms, checklists, PA standards and facility-specific information to assist Tenants in using the process and performing work. Compliance with facility and project-specific requirements described by these reference materials is necessary for completing the TCAP.

In general, where there is a conflict between lease terms, as amended from time to time, and the contents of this manual, the lease terms control.

This manual supports Tenant work at all PA facilities.

Tenants should be sure to review Section 7 for important facility-specific information, additional reference material and resources.

Section 1: Introduction

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1.3 – overview of the Tenant Construction and alteration Process

Figure 1: Overview of the Tenant Construction and Alteration Processes Section 1: Introduction

Overview

D es ig n

Project Initiation Form

Project Determination

Tenant Alteration Application

Minor Works Application

Kick-off Meeting Site Survey Preliminary Reviews (as required) Contract Document Submittal Rider Comments Approved Design Approval to Construct

Application Submittal Tenant Coordinator Review Approval to Install

Inspections for Occupancy

- Partial

- Final Non-Conformance Report Temporary Certifi cate of Authorization to Occupy or Use (Phased) Final Certifi cate of Authorization to Occupy or Use

Completion Letter Inspections (as required) Close-Out

Pre-Construction Meeting Construction Activities Inspections

- Preliminary

- Special

- Partial (No Occupancy) Non-Conformance Report Final Certifi cation Record Documents

Pre-Installation Meeting Installation

Co ns tr uc ti on

In st al la ti on

Cl os e- O ut

O cc up an cy

Cl os e- O ut

Lease Negotiations Start: New Tenant, or

Existing Tenant with Change to Leasehold

Start: Existing Tenant No Change to Leasehold

New Tenant

Existing Tenant

Orientation Meeting

Lease Agreement

D es ig n

Ph as e

Ph as e

Ph as e

Tenant Construction and Alteration Processes http://www.panynj.gov/business-opportunities/tcap/pdf/_Diagrams/TAA Overview.pdf http://www.panynj.gov/business-opportunities/tcap/pdf/_Diagrams/TAA Overview.pdf

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1.3 – overview of the Tenant Construction and alteration Process The Tenant Construction and Alteration Process begins with Project Initiation. The Tenant informs the facility of planned work via submission of a Project Initiation Form. The Tenant obtains a Project Determination from the Tenant Coordinator granting approval for the work and notice to proceed under either a Tenant Alteration Application (TAA) or a Minor Works Application (MWA). The Tenant work will then progress through three Phases for either application type.

Routine Maintenance is excluded from the TCAP process. The basis for Project Determination is provided in Section 3.4 and Table 6.

The appropriate process is followed based upon the scope and complexity of the work. At this time, the Tenant advances to the first phase of project development.

An overall project checklist for TAAs and MWAs can be found in TAA CK 01 and MWA CK 01.

1.3.1 Tenant Alteration Application (TAA)

Phase 1 - Design: During the Design Phase, the Tenant develops the project design in order to obtain approval to construct. The Tenant and the Architect/Engineer of Record (A/EOR) attend a Kick-off Meeting with facility staff and perform Site Visits. The Tenant may make preliminary submittals to the Tenant Coordinator (TC) for PA staff review and comment. The Tenant then submits a formal Contract Document submittal package detailing the planned work as well as any applicable fees to the TC. The TC coordinates the Contract Document review by PA staff. The Tenant may be asked to provide clarification and respond to Rider Comments. Once the Tenant receives either a Conditional or Full Design Approval Letter, the Tenant submits a Pre-Construction Meeting package to the TC. Upon approval of the Pre-Construction Meeting package, the Tenant will receive notification of Approval to Construct and may advance to Phase 2.

Phase 2 - Construction: The Tenant, the A/EOR, and the Contractor attend a Pre- Construction meeting with the REO and other PA staff to review the construction process and facility rules. Afterwards, the Tenant constructs the approved work in accordance with all applicable Code requirements and PA-approved documents. As construction progresses, the A/EOR performs all inspections and makes site visits to assure that he/she can provide the signed and sealed certifications. Also as work is constructed, Special Inspections are performed by approved agencies. All open Rider Comments must be resolved during construction, at the latest, and a letter of “No Further Comments” obtained. All open Non- Conformance Report items must also be resolved during construction. The A/EOR provides signed and sealed certification that the work is complete before progressing to Phase 3.

Phase 3 - Close-Out & Occupancy: This is the final phase of Tenant work. All construction is completed, Inspections are performed and reports submitted as may be required for occupancy or use. Upon acceptance by the PA, Tenants performing work under a TAA will receive a Certficate of Authorization to Occupy or Use (Temporary or Final) from the TC that allows the Tenant to occupy the leasehold and commence operations. For phased construction, a Temporary Certificate of Authorization to Occupy or Use will be issued for each completed area. A Final Certificate of Authorization to Occupy or Use must be obtained by the Tenant for Close-Out of the TAA.

Section 1: Introduction

The A/EOR plays a critical role for the Tenant from start to Close-out of a TAA http://www.panynj.gov/business-opportunities/tcap/pdf/_Checklists/TAA CK 01.pdf http://www.panynj.gov/business-opportunities/tcap/pdf/_Checklists/MWA CK 01.pdf http://www.panynj.gov/business-opportunities/tcap/pdf/_Checklists/MWA CK 01.pdf

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1.3.2 Minor Works Application (MWA)

Phase 1 - Design: During this phase, the Tenant submits the Minor Works Application and all supporting documentation to the TC for review and approval prior to installation.

Phase 2 - Installation: The Tenant’s Team attends a Pre-Installation Meeting with the TC to review the installation activities and facility’s rules. The Tenant’s Contractor and any licensed design professionals then install the approved work.

Phase 3 - Close-out: Once the installation work is complete, the Tenant submits a Completion Form to the TC. Inspections will be arranged as necessary by the TC and are required for all food establishments. Tenants performing work under a Minor Works Application will receive a PA Close-out notification from the TC verifying authorized work is complete.

1.4 – Governing Codes and standards

All construction and alteration work performed at PA facilities is required to conform to applicable state and local building codes, statutes, and regulations. All construction and alteration work is also required to comply with Federal codes, statutes, and regulations.

The PA has established organizational units, processes, and standards to ensure compliance and/or conformance (as applicable) with all such requirements.

All construction and alteration work performed at PA facilities is required to conform with applicable Federal, State and Local Health and Safety requirements from project initiation to project close-out.

Security is of paramount importance to the PA and for the continued safe operation of its facilities. Security is to be addressed as required by Federal, State and Local agencies and / or PA requirements at every stage of the TCAP. Tenants are to check current security requirements with their TC.

In addition, the airports are required to meet standards and regulations as mandated by the Federal Aviation Administration (FAA) and Transportation Security Administration (TSA).

Food and beverage projects are to meet all relevant City and State Health Codes.

For certain types of work, environmental permits through external agencies may be required.

Individual PA departments and facilities may also have additional requirements, such as PA facility-specific Rules and Regulations and Environmental Management Plans.

The PA does not allow code self-certification.

Design and construction document reviews by the PA will be made based on compliance with provisions and specific PA requirements including, but not limited to, the following:

• Tenant Construction Review Manual

• PANYNJ Sustainable Design Guidelines

• Facility Design Standards and Construction Requirements

Links to these reference documents can be found in “Section 7: Reference Material”.

The ultimate responsibility for engineering design and code compliance always remains with the Tenant’s Architect/ Engineer of Record (A/EOR) who prepares the design and construction documents.

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1.5 – sustainable design Sustainable design seeks to reduce the adverse environmental impact and to improve the maintenance and operation of new and renovated buildings and facilities. The PA’s policy is to reduce adverse environmental impacts of the design, construction, operation and maintenance and occupancy or leasing of new or substantially renovated buildings and facilities, and reconstruction projects. The PA’s Sustainable Design Guidelines also seek to benefit the region’s economy by encouraging the use of locally manufactured materials and by supporting emerging regional markets in renewable energy and clean technology.

Tenants play an important role in supporting the PA’s sustainability policy and efforts to achieve its goals. As part of the TCAP requirements, Tenants are required to comply with requirements outlined in the Sustainable Design Guidelines and therefore incorporate sustainable design into their construction and alteration work.

1.6 – business diversity and Civil rights

1.6.1 M/WBE Participation

Pursuant to its policy, the PA has goals for Minority / Women-Owned Business Enterprise (M/WBE) firm participation in A/EOR design services and construction on Tenant construction projects. The PA also requires Tenants to comply with current labor force goals during construction. Compliance with current M/WBE and labor force goals will be sought for all major TCAP projects over $500,000 and TCAP projects under $500,000, where the Office of Business Diversity and Civil Rights (OBDCR) deems it appropriate (e.g. at airports).

The PA M/WBE participation goals are 12% MBE and 5% WBE of the total A/E and construction project dollars. The submitted participation plan should meet or exceed these goals, or good faith efforts need to be demonstrated if these goals are not met. All M/ WBE subcontractors are to be credited at 100% except where materials or supplies are provided without any alteration or modification by the supplier; such materials suppliers are to be credited at 60%.

Only M/WBE firms who are PA-certified and who appear in the PA’s online directory will receive credit toward M/WBE goals. Tenants should use the PA M/WBE directories from www.panynj.gov/business-opportunities/supplierdiversity to identify and confirm a Contractor’s certification status.

All M/WBE forms and sample documents for TCAP projects are provided in “Section 7:

Reference Material”.

1.6.2 Labor Force Goals

In addition to the M/WBE Program, it is important that the construction labor force reflect community demographics. The PA’s current minority participation goals for the workforce are 30% for skilled trades and 40% for laborers. The current female participation goal for skilled trades and laborers is 6.9%.

1.7 – submittal requirements

1.7.1 Tenant Construction and Alteration Process

Submissions The guidance provided in this section may change according to the PA staff and technology available. Electronic and hard copies of all documents are required to be submitted to the PA for TAA and MWA projects. Table 1 following provides a summary of typical document quantities required. Additional copies of documents may be requested by the PA:

Opportunities to achieve the PA’s target M/WBE will be discussed at the project

Kick-Off Meeting.

http://www.panynj.gov/business-opportunities/supplier-diversity.html

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• When there is a constrained review time (e.g. due to the size of the project, available PA resources or an agreement to expedite).

• Where additional reviews are required by outside agencies

In all instances, the TC will advise the Tenant of the requirement for any additional copies of submittals or changes to requirements to meet PA information security needs.

Table 1 Tenant Construction and Alteration Process Submission Quantities Both hardcopy & electronic documents are required in the quantities indicated below.

* Not required if uploaded via a PA-managed document management system, e.g. LiveLink

Documents Tenant Alteration Application

Phase 1 Preliminary

Review

Phase 1 First Contract

Document Submittal

Phase 1 Subsequent

Contract Document & Field Changes

Phase 2 Construction

Submittals

Phase 3 Close-Out

Record Documents

H ar d Co py

Application Form 1 3 - - -

Asbestos Form 1 3 - - -

Drawings, Specifications, Calculations & other printed material

Aviation 3 12 10 3 -

PATH 3 12 10 3 -

Port Commerce 3 12 10 3 -

Real Estate & Development

3 10 10 3 -

TB&T 3 12 10 3 -

WTC Construction 3 9 9 3 -

Signed & Sealed - All Documents (in addition to the above)

- 2 2 2 2

El ec tr on ic C op y

* All Documents - Project Cost up to $5,000,000

2 CD

All Documents - Project Cost over $5,000,000 4 CD

Minor Works Application

H ar d Co py

All Documents 2

El ec tr on ic C op y

All Documents 1 (CD or e-mail attachment)

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1.7.2 Document Submittal Format

The guidance provided in this section relates to the format and standards for document submissions.

All documents: Legibility and clarity are core requirements for all submissions. Submittals that are not legible, clear or are otherwise of poor quality will not be accepted by the PA and may result in delay. Document binding must be easily and safely dismantled for ease of distribution by the PA.

Drawings: Tenants are encouraged to submit 1/2-size or reduced-size drawings.

Submittals that are not legible, clear or are otherwise poor quality will not be accepted by the PA.

Electronic Documents: All electronic submittals are to be submitted in pdf format.

Project-specific format requirements will be provided by the Tenant Coordinator (e.g. for BIM modeling or other needs).

1.7.3 Record Documents

Specific guidance is provided in this section regarding the Record Document submission.

In order to maintain sufficiently accurate records of PA infrastructure, Record Documents are maintained for use by PA staff and Tenants. For TAA Projects, Record Documents are compiled by the appointed A/EOR based upon As-Built Drawings and information provided by the Contractor, and submitted to the PA on behalf of the Tenant.

This is an important step in the completion of a Tenant Alteration project and is one of the mandatory requirements before scheduling a Final Inspection.

Record Documents are Record Drawings and Record Specifications which are prepared by the A/EOR and reflect on-site changes the Contractor noted in the As-Built Drawings.

They are compiled as a set of on-site changes made for the PA.

As-Built Drawings are prepared by the Contractor and certified licensed professionals as required by regulations. They show, typically in red ink, on-site changes to the original construction documents.

Record Drawings are prepared by the A/EOR to reflect on-site changes the contractor noted in the As-Built Drawings. They are to be compiled as a set of on-site changes to be submitted, signed and sealed, to the PA as required for occupancy and close-out.

Record Specifications are prepared by the A/EOR and reflect on-site changes the Contractor noted in the As-Built drawings. They are to be compiled as a set of on-site changes to be submitted, signed and sealed, to the PA as required for occupancy and close-out.

1.8 – Tenant alteration application fees A fee is collected by the PA for the review of Tenant Alteration Applications on all applicable projects. The Tenant will submit the applicable fees to the TC along with the TAA Application Form (PA 531), as part of the Contract Document submittal for PA review and approval to construct during Design Phase 1.

The Tenant Alteration Application fee shall be submitted as a check made payable to “The Port Authority of New York and New Jersey”.

Design Review of a Tenant’s TAA project is contingent upon the receipt of a complete Tenant Alteration Application and the applicable fee.

Record Documents are required prior to a Final Inspection being scheduled and Certificate of Authorization to Occupy or Use being granted.

Tenants should ensure their contracts with their A/EOR and Contractor(s) require production of Record Documents.

http://www.panynj.gov/business-opportunities/tcap/pdf/_Forms/PA 531.pdf

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1.9 – Performance Management The PA is committed to continued improvement of the Tenant Construction and Alteration Process. The success of the process relies upon a commitment to the process by the Tenant, their appointed team and the PA.

In order to maintain and improve the process, performance information will be collected and analyzed periodically. The key performance indicators that will be used to monitor the process’s success fall into the following categories:

• Compliance with the process described within this document

• Tenant satisfaction

• Timing of key activities

• Cost to the PA and Tenant

• Compliance with key policy initiatives, e.g. Sustainable Design

The PA’s performance indicators will be reviewed periodically. Process performance analysis and feedback will be used to inform target adjustments and consider process changes.

It is understood that confidence in PA response times are of high importance to Tenants.

This key performance indicator will be captured and measured by the PA against the internal targets listed below.

As internal targets, the PA review and response time guidelines provided in Tables 2 and 3 are for planning purposes only. There will be variation in review and response times due to factors such as the size and complexity of each project, Tenant response times, PA resource availability and the extent of the review required. External Agency review times are excluded. Tenants should consult with their TC for review time estimate advice for any specific project.

Table 2 Tenant Alteration Application Review Time Estimates

Minor Works

Application

Tenant Alteration Application

Construction Value All <$500k >$500k<$5m >$5m<$15m >$15m

Initial Review Time (business days) from date of complete submittal receipt by TC to issue of Rider Comments or Approval to Construct

5 20 25 30 40

Subsequent Review Time (business days) from date of complete submittal receipt by TC to issue of Rider Comments or Approval to Construct

2 20 22 25 30

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Table 3 PA Response Time Performance Targets

Phase From To Response Target

(business days)

Phase 1 - Design Tenant Submittal date Notification of missing information 5

TC receipt of approval notification for insurance and M/WBE plan

Contact to schedule a Pre- Construction Meeting

Phase 2 - Construction

Tenant inspection request Inspection performance 5

REO receipt of Construction Phase submittals

Issue of comments 10

Tenant request for shut down Shut down 10

Phase 3 - Close-Out & Occupancy

Tenant request for Inspection Inspection performance 5

Partial or Final Inspection Issue of Non-Conformance Report 3

Non-Conformance Report closure Issue of TC of A or C of A as applicable

Minor Works

Issue of Approval to Install Contact to schedule a pre- Installation Meeting

Inspection Issue of Non-Conformance Report 1

Emergency Works Pre-Construction Meeting and receipt of requested information

Emergency Works Approval Letter issue

| Page 11July 2013 Section 2: Roles and Responsibilities seCTion 2: roles and resPonsibiliTies This section gives an overview of the Tenant’s responsibilities and the role of PA staff in the Tenant Construction and Alteration Process. It identifies the primary points of contact and major players for the various phases of work.

The following Tables show the role played by the Tenant’s team and key PA staff in various Phases of the Tenant Construction and Alteration Process.

Table 4 Tenant Alteration Application Roles and Responsibilities

Key: POC Point of Contact V Verifier C Coordinator E Enabler

Phase Process Step Tenant Alteration Application Tenant Team Port Authority Staff

Tenant A/EOR Contractor Tenant Coordinator

(TC)

Resident Engineer

(REO)

Quality Assurance Division

(QAD)

Project Initiation

Lease Negotiation Facility Access

POC POC

Orientation Meeting

Project Initiation Form

Project Determination

1. Design Kick-off Meeting V POC POC V

Site Visit

Preliminary Reviews

Contract Document Submittal

Rider Comments

Approved Design

Approval to Construct

2. Construction Pre-Construction Meeting

V V/C POC V/C POC V

Construction Activities

Inspections

Non-Conformance Report

Final Certification

Record Documents

3. Close-Out & Occupancy

Inspections for Occupancy

V POC E V/C POC V

Non-Conformance Report

Temporary C of A

Final C of A

Note: PA Review Groups will verify submissions during each Phase. Coordination will be made by the PA POC.

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Table 5 Minor Works Application Roles and Responsibilities

Key: POC Point of Contact V Verifier C Coordinator E Enabler

2.1 – Tenant Team responsibilities

2.1.1 Tenant

Tenants are responsible for complying with all provisions outlined in their lease with the PA and the provisions set forth in this procedures manual. Tenants must notify the TC of any work or improvements planned within the leasehold.

The Tenant is to provide sufficient oversight and has the ultimate responsibility for ensuring its design consultants and contractors perform all work in accordance with PA requirements. An authorized representative of the Tenant’s organization must sign all permit application forms, and must be in attendance at all project meetings requested with the PA. Failure to do so can result in costly delays.

Specific activities the Tenant is responsible for include, but are not limited to:

• Retaining the required and qualified professional representation to comply with Tenant

Construction and Alteration Process requirements

• If the Tenant does not have in-house licensed design professionals, establishing agreements with qualified design consultants (A/EOR) and contractors to provide services to meet the requirements of the Tenant Construction and Alteration Process

• Obtaining the required type and amount of insurance

• Complying with environmental and asbestos regulations and requirements

• Complying with heath and safety requirements

• Complying with PA security requirements

• Complying with external agency requirements as necessary (e.g. FAA , TSA)

• Complying with the PA M/WBE program requirements

• Submitting applicable filing fees

Phase Process Step Minor Works Application Tenant Team Port Authority Staff

Tenant Contractor Tenant Coordinator

PA Review Groups

Project Initiation Project Initiation Form POC POC

Project Determination

1. Design Application Submittal POC POC V

Review

Approval to Install

2. Construction Pre-Installation Meeting V/C POC POC V

Installation

Inspection

3. Close-Out Completion Letter POC E POC V

Close-Out

Section 2: Roles and Responsibilities

The Tenant is ultimately responsible for compliance with all PA requirements for their TCAP projects.

| Page 13July 2013

• Ensuring an appropriate Construction Quality Control plan, that includes the provision of required on-site inspection capabilities, is implemented and adhered to by the Contractor and A/EOR

• Monitoring all construction activities to ensure the safety of construction workers, Tenant employees, PA staff and the general public

• Monitoring all construction activities to ensure compliance with management plans

• Notifying the TC of any changes to scope of work and ensuring updated Contract Documents are resubmitted as applicable

• Ensuring proper close-out of all Tenant Alteration and Minor Works Applications

• Acting in roles described by Tables 4 and 5

2.1.2 Architect of Record/ Engineer of Record (A/EOR)

The PA requires the Tenant to identify an Architect or Engineer of Record (A/EOR). The PA requires that the Tenant establish agreements with their consultants to provide services to meet with requirements of the Tenant Construction and Alteration Process. The PA further requires the Tenant to identify a qualified lead consultant to be the A/EOR. The ultimate responsibility for engineering design and Building Code compliance always remains with the A/EOR who prepares the design and construction documents. The A/ EOR is required to follow all procedures for the Tenant Construction and Alteration Process and to ensure that all design and construction is compliant with governing code and PA-approved Contract Documents. Unless otherwise agreed with the PA in writing, in order to avoid conflicts of interest and to enable good quality assurance, the A/EOR must be independent from the Contractor.

Specific responsibilities of the A/EOR include, but are not limited to:

• During the Design Phase 1:

» Preparing and submitting all design and construction documents, such as drawings, reports, computations and specifications, required in connection with the proposed construction in accordance with governing Code and PA standards and guidelines

» Identifying all environmental concerns such as, but not limited to, asbestos, lead paint, PCB in caulking, contaminated soil, contaminated groundwater, hazardous materials, hazardous waste, universal waste, stormwater, etc.

» Identifying and acquiring all Environmental Permits and Approvals from State, Federal and Local Regulatory Agencies; “Section 7: Reference Material” provides examples of such permits (the list is not all inclusive and is for reference only)

» Identifying plans for “Phased Occupancy” at the start of the project

» Coordinating document preparation among all other consultants when multiple design professionals are involved in a project

» Responding to all PA Rider Comments in a timely manner (within 15 to 30 days) to the satisfaction of the PA until receipt of a “No Further Comments” (NFC) letter

• During the Construction Phase 2:

» Adequately inspecting and monitoring the work

» Ensuring the Contractor constructs work in accordance with Building Code and PA-approved plans and specifications

» Submitting information to the REO for review of any field changes

» Submitting revised documentation for any field changes that require a change to the approved design in accordance with the Design Phase 1 process

» Scheduling and ensuring that all Special Inspections and tests are performed as required by Building Code

The A/EOR should budget for frequent travel to the project site.

The PA’s Tenant Construction and Alteration

Process procedures and requirements may differ from municipal building departments.

Section 2: Roles and Responsibilities

Changing A/EORs during a TAA may result in delay -notify your TC

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» Inspecting all work prior to scheduling any Partial or Final inspections

» Providing certifications for all work and requesting Partial or Final inspections

» Submitting Record Documents

• During the Close-Out and Occupancy Phase 3:

» Attending all Partial or Final inspections

» Responding to all PA Non-Conformance Reports to the satisfaction of the PA in order for the Tenant to receive a Certificate of Authorization to Occupy or Use (C of A)

» Closing out the TAA

» Acting in roles as described by Tables 4 and 5

2.1.3 Contractor

The PA requires that the Tenant establish agreements with their Contractor (if they do not have the required personnel on staff) to provide services to meet with requirements of the

TCAP.

The role of Contractor applies to the prime Contractor appointed by the Tenant or to Tenant personnel. Specific responsibilities of the Contractor include, but are not limited to:

• Submitting insurance documents before start of construction

• Carrying out the construction work in accordance with the PA-approved drawings provided by the A/ EOR

• Providing Contractor’s Means and Methods, if and when required

• Submitting an Environmental Management Plan and Waste Management Plan, if and when required for PA approval

• Submitting a Health and Safety plan signed by an Officer of the General Contractor, Site Safety Manager and Competent Person

• Submitting a Security Plan, as necessary for PA approval

• Ensuring compliance with the Health and Safety Plan and maintaining a safe construction site in compliance with all applicable laws and regulations

• Developing and maintaining the project schedule, in coordination with the A/EOR

• Coordinating all construction activities and contractors

• Maintaining a set of current PA-approved documents on-site at all times

• Implementing an appropriate Quality Control Program

• Obtaining all PA construction permits (cutting and burning permits, hot work permits, etc.)

• Maintaining a record of all field changes and informing the REO and A/EOR of all field changes as soon as they arise

• Ensuring all work completed complies with PA-approved documents prior to inspections

• Complying with all PA construction guidance and rules as may be applicable to the project (facility rules, federal regulations, the Tenant Construction Review Manual, or other) and ensuring all sub-contractors are in compliance as well

• Working in harmony with all labor

• Providing Inspection support and ensuring appropriate personnel are available and present to conduct the required inspection testing

• Acting in roles as described in Tables 4 and 5

Contractors are encouraged to establish a good working relationship with the A/EOR that will benefit the project.

PA-approved valid and applicable insurance is essential for any construction or installation work at the PA.

Section 2: Roles and Responsibilities

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2.2 – Port authority roles

2.2.1 Tenant Coordinator (TC)

The Tenant Coordinator (TC) provides oversight of conformance with the Tenant Construction and Alteration Process. The Tenant Coordinator works on behalf of the Facility Manager, who has ultimate approval authority for all work performed at a facility.

Specific activities of the TC include, but are not limited to:

• Serving as the initial contact for a Tenant contemplating any construction, alteration or maintenance work on or within their leased premises or space at a PA facility

• Ensuring a Tenant receives all available leasehold and facility information

• Providing an Orientation to all new tenants

• Presenting all procedures and requirements of the Tenant Construction and Alteration Process at the Project Kick-off Meeting with the Tenant and the A/EOR

• Maintaining a schedule of activity and tracking current status of all Tenant Alteration or Minor Works Applications

• Serving as the point of contact between the PA and a Tenant related to the approval of Contract Documents and planned work, including emergency works, phased plans, and all other information

• Serving as the point of contact between the PA and the Tenant’s team related to the approval of the Pre-Construction submittal, including insurance, M/WBE plan, Tenant ID form and A/EOR ID form; liaising with OBDCR/AAO and Risk Finance for PA approval of M/WBE plans and insurance

•…