Policy Letters - April 2010.doc by oW7vCj9

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									POLICY LETTER
   MANUAL




                April 2010


     1 of 211
                                                           TABLE OF CONTENTS

SECTION 1 - ADMINISTRATION
1.1 - ADMINISTRATION OF THE PTC POLICIES ............................................................................................................ 5


SECTION 2 - EMPLOYMENT
2.1 - AMERICANS WITH DISABILITIES ACT ................................................................................................................... 7

2.2 - EQUAL OPPORTUNITY .............................................................................................................................................. 11

2.3 - FAMILY AND MEDICAL LEAVE POLICY .............................................................................................................. 15

2.4 - POLICY FOR EXTENDING MEDICAL BENEFITS TO GRANDCHILDREN..................................................... 19

2.5 - PERSONAL LEAVE (WITHOUT PAY) AUTHORIZATON .................................................................................... 21

2.6 - POLICY AND PROCEDURE FOR FILLING ENTRY LEVEL POSITIONS......................................................... 24

2.7 - POLICY AND PROCEDURE FOR PROMOTING EMPLOYEES .......................................................................... 27

2.8 - CHILDREARING LEAVE WITHOUT PAY .............................................................................................................. 30

2.9 - PA RESIDENCY REQUIREMENT FOR EMPLOYMENT ...................................................................................... 34

2.10 - SECONDARY EMPLOYMENT ................................................................................................................................. 35

2.11 - HEALTH INSURANCE PORTABILITY AND ACCOUNTABILITY ACT (HIPAA) POLICY ......................... 39

2.12 - VACATION LEAVE USAGE FOR RETIREMENT OR VOLUNTARY SEPARATION .................................... 44

2.13 - COMPLIANCE WITH THE PA WHISTLEBLOWER LAW ................................................................................. 47

2.14 - PUBLIC EMPLOYEE PENSION FORFEITURE ACT NO. 1978-140 ................................................................... 53

2.15 - APPROVAL AUTHORIZATION ............................................................................................................................... 57


SECTION 3 - CONDUCT
3.1 - ASSISTANCE BY TURNPIKE EMPLOYEES............................................................................................................ 67

3.2 - EXTERNAL EMPLOYEE COMMUNICATIONS ..................................................................................................... 68

3.3 - SEXUAL HARASSMENT AND SEXUAL DISCRIMINATION ............................................................................... 69

3.4 – SMOKING POLICY ...................................................................................................................................................... 73

3.5 - SUBSTANCE ABUSE POLICY .................................................................................................................................... 76

3.6 - LOSS OF OPERATOR’S LICENSE ............................................................................................................................. 78

3.7 - WORKPLACE VIOLENCE POLICY .......................................................................................................................... 79

3.10 - CODE OF CONDUCT .................................................................................................................................................. 82



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SECTION 4 - COMPENSATION
4.1 - TUITION REIMBURSEMENT POLICY .................................................................................................................... 90

4.2 - OVERTIME COMPENSATION POLICY .................................................................................................................. 92

4.3 - RESTITUTION OF OVERPAYMENTS ...................................................................................................................... 95

SECTION 5 - SAFETY
5.1 - EMPLOYEE ACCIDENT REVIEW AND DISCIPLINARY PROGRAM ............................................................... 97

5.2 - EMERGENCY PREPAREDNESS, CIVIL DEFENSE ............................................................................................. 101

5.3 - FACILITY SECURITY POLICY................................................................................................................................ 103

5.4 - TURNPIKE SAFETY RESPONSIBILITY ................................................................................................................ 106

5.5 - EMPLOYEE SAFETY PROGRAM............................................................................................................................ 107

5.6 - U-TURN POLICY ......................................................................................................................................................... 109

5.8 - TERRORISTIC THREAT PROCEDURES ............................................................................................................... 111


SECTION 6 - ENGINEERING AND MAINTENANCE
6.1 - CONSTRUCTION CONTRACT CHANGE ORDER APPROVAL ........................................................................ 117

6.2 - CORE BORING DISPOSAL POLICY ....................................................................................................................... 119

6.3 - PROCEDURE FOR ISSUANCE OF PENNSYLVANIA TURNPIKE KEYS......................................................... 120

6.4 - PTC VEHICLE POLICY ............................................................................................................................................. 122

6.5 - UTILITY CROSSING LICENSE AGREEMENTS ................................................................................................... 126

SECTION 7 - FINANCIAL
7.1 - INVESTMENT POLICY AND GUIDELINES .......................................................................................................... 128

7.2 - NON-REVENUE CARDS FOR INDIVIDUALS WHO ARE NOT TURNPIKE EMPLOYEES .......................... 132

7.3 - DEBT MANAGEMENT POLICY ............................................................................................................................... 134

7.4 - CONTRACT MANAGEMENT ................................................................................................................................... 139

7.5 - INTERNAL AUDIT SERVICES ................................................................................................................................. 142

7.6 - LIQUIDITY STANDARD POLICY ............................................................................................................................ 150

7.7 – INTEREST RATE SWAP MANAGEMENT POLICY ............................................................................................ 151

7.8 - RETIREE MEDICAL TRUST FUNDING POLICY ................................................................................................. 161

SECTION 8 - INFORMATION TECHNOLOGY
8.1 - ELECTRONIC COMMUNICATIONS ACCEPTABLE USE POLICY ................................................................. 162

8.2 - WIRELESS POLICY .................................................................................................................................................... 168


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8.3 - FIREWALL POLICY ................................................................................................................................................... 170

8.4 - INFORMATION SYSTEMS ACCESS CONTROL POLICY .................................................................................. 172

8.5 - LICENSED SOFTWARE USE .................................................................................................................................... 175

8.6 - RECORDS MANAGEMENT POLICY ...................................................................................................................... 178

8.7 - CELLULAR TELEPHONE POLICY ......................................................................................................................... 183

8.8 - VOICEMAIL POLICY................................................................................................................................................. 186

8.9 - TRANSMISSION SECURITY POLICY .................................................................................................................... 188

8.10 - SECURITY CAMERA POLICY ............................................................................................................................... 190

SECTION 9 - PROPERTY MANAGEMENT
9.1 - LAND USE ..................................................................................................................................................................... 192

9.2 - TOWER LEASING ....................................................................................................................................................... 197

SECTION 10 - MISCELLANEOUS
10.1 - RIGHT-TO-KNOW LAW INFORMATION REQUESTS ..................................................................................... 200

10.2 - E-ZPASS CUSTOMER INFORMATION PRIVACY POLICY ............................................................................ 207




                                                                                     4 of 211
PTC 502005539 (10/05)
                                                                            Number:
                                                                            1.1
                        PENNSYLVANIA TURNPIKE
                                                                            Approval Date:
                             COMMISSION                                     2/1/2000
                        POLICY AND PROCEDURE                                Effective Date:
                                                                            2/1/2000
Policy Subject:                           This is a statement of official
                                          Pennsylvania Turnpike             Revised Date:
1.1 - Administration of the PTC                                             1/16/2009
                                          Commission Policy
Policies
                                          Responsible Department:
                                          Director of Administration



A.   Purpose:

     This policy letter governs the development, review process, approval process and maintenance of
     all policy letters within the Pennsylvania Turnpike Commission.

B.   Scope:

     This policy applies to all PTC policy letters in effect throughout the organization.

C.   General Policy:

     The Chief Operating Officer, the Chief Executive Officer and the Commission will approve all
     policy letters. The process established to facilitate the approval of policy letters can be found in
     the Procedures Manual to support this policy letter.

D.   Definitions:

     Policy:
       A policy outlines and describes “what” needs to be done. It is a high level statement of a goal
       objective to be achieved by the PTC.

     Procedure:
       A procedure outlines and identifies “how” to do what needs to be accomplished. It establishes a
       process to be followed in order to ensure our actions comply with our policies.

E.   Procedures:

     The Director of Administration is responsible for ensuring our policy letters are accurate and
     consistent.

     The Director of Administration will work with program managers to establish new policy letters
     when appropriate, revise current policy letters to ensure accuracy; and maintain a review schedule
     to provide any required updates to our existing policy letters.



                                                  5 of 211
The Director of Administration will maintain the Procedures Manual to support the policy letter
processes and ensure its accuracy.



                This Policy Letter supersedes all previous Policy Letters on this subject.




                                                6 of 211
PTC 502005539 (10/05)
                                                                           Number:
                                                                           2.1
                        PENNSYLVANIA TURNPIKE
                                                                           Approval Date:
                             COMMISSION                                    3/5/2002
                        POLICY AND PROCEDURE                               Effective Date:
                                                                           3/20/2002
Policy Subject:                          This is a statement of official
                                         Pennsylvania Turnpike             Revised Date:
2.1 - Americans with Disabilities Act                                      3/5/2002
                                         Commission Policy
                                         Responsible Department:
                                         Human Resources (Equal Opportunity/Training &
                                         Education)


A.   Purpose:

     To reaffirm the policy and procedure(s) of the Pennsylvania Turnpike Commission (the
     Commission) on the issue of The Americans with Disabilities Act (ADA) and to inform all
     personnel of their duties and responsibilities with regard to this subject.

B.   Scope:

     This policy letter applies to all job applicants and all employees of the Pennsylvania Turnpike
     Commission, at every level. It provides information and guidelines relating to the Commission’s
     policy on The Americans with Disabilities Act, requests for reasonable accommodation, and
     procedures for reporting and handling complaints of violations of the policy.

C.   General Policy:

     The Americans with Disabilities Act (ADA) prohibits discrimination in all aspects of employment
     against a qualified individual with a disability who can perform the essential functions of the job,
     with or without reasonable accommodation. The ADA also prohibits employers from retaliating
     against an applicant or employee for asserting his/her rights under the ADA.

     Discrimination based upon disability is prohibited by both state and federal law and is also
     prohibited by the Pennsylvania Turnpike Commission Equal Opportunity Policy. The Commission
     will make every effort to provide reasonable accommodation whenever necessary for all
     employees or applicants with disabilities, provided that the individual is otherwise qualified to
     safely perform the essential functions of the job and provided that any accommodation made does
     not present an undue hardship to the Commission. Generally, it is the obligation of the employee
     or applicant with a disability to request a reasonable accommodation or to indicate that s/he has a
     disability that is preventing him or her from accomplishing the essential functions of the job.
     Upon request, the ADA Coordinator/Human Resources Department (Equal Opportunity/Training
     & Education) will work with the employee or job applicant to identify: (1) whether the
     employee/job applicant is a qualified individual with a disability and (2) whether a reasonable
     accommodation may be available to assist the employee/job applicant to perform the essential
     functions of the job.


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     It is the policy of the Commission to comply with all the relevant and applicable provisions of the
     Americans with Disabilities Act. The Commission will not discriminate against any qualified
     employee or job applicant with respect to any terms, privileges, or conditions of employment
     because of a person’s physical or mental disability. The Commission’s policy of
     nondiscrimination applies to all personnel and employment practices including:

         1. Hiring, recruitment or recruitment advertising
         2. Training
         3. Promotion or transfer
         4. Compensation
         5. Layoff or termination
         6. Disciplinary action
         7. Evaluations
         8. Medical exams
         9. Leave
         10. Benefits
         11. Relationship or association with a disabled person

     It is also a violation of Commission policy for any employee to subject customers or visitors to
     Commission facilities to discrimination based upon disability.

D.   Definitions:

     1. A “qualified individual with a disability” refers to an individual with a disability who, with or
        without reasonable accommodation, can perform the essential functions of the employment
        position that such individual holds or desires.

     2. The term “essential functions” refers to the fundamental job duties of the employment position
        that the individual with a disability holds or desires. This term does not include marginal
        functions of the position.

     3. The term “disability” refers to a physical or mental impairment that substantially limits one or
        more major life activities of an individual, a record of such impairment, or being regarded as
        having such an impairment. The determination of whether a person has an ADA disability will
        take into consideration whether the person is substantially limited in a major life activity when
        using a mitigating measure, such as medication, a prosthesis, a hearing aid, etc.

     4. “Major life activities” are those basic activities that the average person in the general
        population can perform with little or no difficulty. Major life activities may include, but are not
        limited to, such functions as caring for oneself, performing manual tasks, walking, seeing,
        hearing, speaking, breathing, and learning.

     5. The term “substantially limits” refers to an impairment that prevents an individual from
        performing a major life activity.

     6. “Undue hardship” refers to an action requiring significant difficulty or expense, when
        considered in the light of factors set forth by the ADA.




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E.   Procedures:

     1. Any employee, including but not limited to a manager, supervisor, or chief/director, who acts in
        violation of this policy shall be subject to discipline up to and including suspension or
        termination.

     2. Supervisory personnel have the responsibility to insure that this policy is adhered to and shall
        take whatever action is necessary to insure that none of their subordinates engage in prohibited
        behavior.

     3. Any employee who feels that he or she has been harassed or discriminated against based on his
        or her disability is encouraged to keep a record of the employee(s) involved; the time, date and
        place of the incident(s); the nature of the alleged harassment or discrimination; and the identity
        of any witness(es).

     4. Any employee who feels that he or she has been harassed or discriminated against based on
        disability, including but not limited to the conduct detailed in this policy, should immediately
        bring the problem to the attention of his or her immediate supervisor. An employee may also
        report the problem directly to the Human Resources Department (Equal Opportunity/Training
        & Education).

     5. Supervisory personnel will take all steps necessary to immediately address any alleged
        harassing or discriminatory behavior by any of their subordinates when such behavior is
        brought to their attention, either officially or unofficially.

     6. All complaints will be investigated in a timely and confidential manner. In no event will
        information concerning a complaint be released to a third party (except as required by the
        Pennsylvania Human Relations Commission, Equal Employment Opportunity Commission or
        as otherwise required by law) with the following exceptions:

               i. Appropriate supervisors and managers may be informed regarding restrictions on the
                  work or duties of disabled employees and any accommodations that have been made.
              ii. If the condition requires emergency treatment, first aid and safety personnel may be
                  informed

        The Commission will use its best efforts to prevent discussion of the information outside the
        investigation and will instruct parties involved in the investigation not to discuss the matter
        except when necessary.

     7. Investigation of a complaint will normally include conferring with the parties involved and any
        named or apparent witness(es). Employees shall be guaranteed a fair and impartial
        investigation. All employees shall be protected from coercion, intimidation, retaliation,
        interference or discrimination for filing a complaint or assisting in an investigation.

     8. If the investigation reveals that the complaint is valid, the Commission will address the policy
        violation in a timely manner and will take appropriate disciplinary action necessary to prevent a
        recurrence, up to and including suspension or termination.

     9. If the employee who complains of harassment or discrimination is not satisfied with the
        response from his or her immediate supervisor, or if that supervisor is perceived to be involved
        in the harassing or discriminatory behavior, the employee should bring the matter to the
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   attention of the person who is next in line in the chain of command or to Human Resources
   (Equal Opportunity/Training & Education) which will promptly investigate all complaints as
   set forth above.

   Complaints may be filed with Human Resources (Equal Opportunity/Training & Education) at:
       The Pennsylvania Turnpike Commission
       Human Resources Department
       Equal Opportunity/Training & Education
       P.O. Box 67676
       Harrisburg, Pennsylvania 17106-7676
       (717) 939-9551, Extension 4281
       (within 90 days of the incident)

     The determination of Equal Opportunity/Training & Education shall represent the final
     decision of the Pennsylvania Turnpike Commission on the issue raised by the employee who
     complains of harassment or discrimination based on disability.

10. If any employee who complains of harassment or discrimination based on disability is not
    satisfied with the results or recommendations of the Pennsylvania Turnpike Commission’s
    internal findings, he or she may forward the complaint to the agencies listed below:

         PA Human Relations Commission:

         Harrisburg Regional Office                           Pittsburgh Regional Office
         5th Floor, Riverfront Ofc. Ctr.                      11th Fl., Pittsburgh State Ofc. Bldg.
         1101-1125 South Front Street                         300 Liberty Avenue
         Harrisburg, Pennsylvania 17104-2515                  Pittsburgh, Pennsylvania 15222
         (717) 787-4410 (Voice)                               (412) 565-5395 (Voice)
         (717) 787-4087 (TTY)                                 (412) 565-5711 (TTY)

         Philadelphia Regional Office
         711 Philadelphia State Office Building
         1400 Spring Garden Street
         Philadelphia, Pennsylvania 19130
         (215) 560-2496 (Voice)
         (215) 560-3599 (TTY)

         (Within 180 days of incident)

        Equal Employment Opportunity Commission:

         Bourse Building                                      1001 Liberty Avenue
         Suite 400                                            Liberty Center
         21 S. Fifth Street                                   Suite 300
         Philadelphia, PA 19106-2515                          Pittsburgh, PA 15222-4187
         (215) 451-5800                                       (412) 644-3444

         (Within 300 days of incident)


                This Policy Letter supersedes all previous Policy Letters on this subject.
                                                10 of 211
PTC 502005539 (10/05)
                                                                              Number:
                                                                              2.2
                         PENNSYLVANIA TURNPIKE
                                                                              Approval Date:
                              COMMISSION                                      03/03/1998
                         POLICY AND PROCEDURE                                 Effective Date:
                                                                              03/18/1998
Policy Subject:                             This is a statement of official
                                            Pennsylvania Turnpike             Revised Date:
2.2 - Equal Opportunity                                                       03/13/2001
                                            Commission Policy
                                            Responsible Department:
                                            Human Resources (Equal Opportunity/Training &
                                            Education)


A.   Purpose:

     To reaffirm the policy and procedure(s) of the Pennsylvania Turnpike Commission (also referred
     to as the “Commission”) on the issue of equal opportunity and to inform all personnel of their
     duties and responsibilities with regard to this subject.

B.   Scope:

     This policy letter applies to all job applicants and all employees of the Pennsylvania Turnpike
     Commission, at every level. It provides information and guidelines relating to the Commission’s
     policy on equal opportunity and procedures for reporting and handling complaints of violations of
     the policy.

C.   General Policy:


     It is the policy of the Pennsylvania Turnpike Commission to provide equal opportunity to all
     qualified persons regardless of race, color, religious creed, ancestry, union membership, age, sex,
     sexual orientation, marital status, national origin, political affiliation or support, AIDS or HIV
     status, or disability.


     Consistent with this policy, the commitment of the Pennsylvania Turnpike Commission is to:


              1. Recruit, hire, train, promote, and compensate persons in all job classifications without
                 regard to race, color, religion, marital status, disability or handicap, national origin, age,
                 sex, sexual orientation or political affiliation or support.


              2. Develop and implement sound administrative policy, which will ensure that
                 management decisions affecting program operations, services provided, and
                 employment practices are consistent with this policy.



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            3. Ensure that all matters affecting pay, benefits, transfers, Commission sponsored
               training, education, tuition assistance, social and recreational programs are administered
               consistently with the scope, purpose and objectives of the Equal Opportunity Plan.


            4. Maintain a work atmosphere that is free from unlawful forms of discrimination, reprisal,
               intimidation, or harassment of any employee based on such attributes as race, color,
               religious creed, ancestry, union membership, age, sex, sexual orientation, marital status,
               national origin, political affiliation or support, AIDS or HIV status or disability.


            5. Ensure that reasonable accommodations will be made for the physical or mental
               limitations of an applicant or employee.


D.   Definitions:

       1. The term discrimination refers to the denial of employment or employment opportunities
          because of race, color, religious creed, ancestry, union membership, age, sex, sexual
          orientation, marital status, national origin, political affiliation or support, AIDS or HIV
          status, or disability.

       2. The term harassment refers to behavior that ridicules, denigrates and/or is physically
          abusive of an employee because of race, color, religious creed, ancestry, union membership,
          age, sex, sexual orientation, marital status, national origin, political affiliation or support,
          AIDS or HIV status or disability.


E.   Procedures:

       1. Any employee, including but not limited to a manager, supervisor, department chief/director,
          who acts in violation of this policy, shall be subject to discipline up to and including
          suspension or termination.

       2. Supervisory personnel have the responsibility to insure that this policy is adhered to and shall
          take whatever action is necessary to insure that none of their subordinates engage in sexually
          harassing or discriminatory behavior.

       3. Any employee who feels that he or she has been harassed or discriminated against is
          encouraged to keep a record of the employee(s) involved; the time, date and place of the
          incident(s); the nature of the alleged harassment or discrimination; and the identity of any
          witness(es).

       4. Any employee, who feels that he or she has been harassed or discriminated against, including
          but not limited to the conduct detailed in this policy, should immediately bring the problem
          to the attention of his or her immediate supervisor. An employee may also report the
          problem directly to Human Resources (Equal Opportunity/Training & Education) within 90
          days of the incident.

       5. Supervisory personnel will take all steps necessary to promptly investigate and address any
          alleged harassing or discriminatory behavior by any of their subordinates when such behavior
          is brought to their attention, either officially or unofficially.
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6. All complaints will be investigated in a timely and confidential manner. In no event will
   information concerning a complaint be released to a third party (except as required by the
   Pennsylvania Human Relations Commission, Equal Employment Opportunity Commission
   or as otherwise required by law). The Commission will use its best efforts to prevent
   discussion of the information outside the investigation and will instruct parties involved in
   the investigation not to discuss the matter.

7. Investigation of a complaint will normally include conferring with the parties involved and
   any named or apparent witness(es). Employees shall be guaranteed a fair and impartial
   investigation. All employees shall be protected from coercion, intimidation, retaliation,
   interference or discrimination for filing a complaint or assisting in an investigation.

8. If the investigation reveals that the complaint is valid, the Commission will address the
   policy violation in a timely manner and will take the appropriate disciplinary action
   necessary to prevent a recurrence, up to and including suspension or termination.

9. If the employee who complains of harassment or discrimination is not satisfied with the
   response from his or her immediate supervisor, or if that supervisor is perceived to be
   involved in the harassing or discriminatory behavior, the employee should bring the matter to
   the attention of the person who is next in line in the chain of command or to Equal
   Opportunity/Training & Education (Human Resources) which will promptly investigate the
   complaint as set forth above.

   Complaints may be filed with Equal Opportunity/Training & Education at:

               The Pennsylvania Turnpike Commission
               Human Resources
               Equal Opportunity/Training & Education
               P.O. Box 67676
               Harrisburg, Pennsylvania 17106
               (717) 939-9551, Ext. 4241
               (Within 90 days of incident)

   The determination of Equal Opportunity/Training & Education shall represent the final
   decision of the Pennsylvania Turnpike Commission on the issue raised by the employee who
   complains of harassment or discrimination.


10. If any employee who complains of harassment or discrimination is not satisfied with the
    results or recommendations of the Pennsylvania Turnpike Commission’s internal findings, he
    or she may forward the complaint to the agencies listed below:
       PA Human Relations Commission:
       Harrisburg Regional Office-Fifth Floor        Pittsburgh Regional Office
       Pennsylvania Place, Suite 300                 11th Floor State Office Building
       301 Chestnut Street                           300 Liberty Avenue
       Harrisburg, PA 17101-2702                     Pittsburgh, PA 15222-1210
       (717) 787-9784 (Voice)                        (412) 565-5395 (Voice)
       (717) 787-7279 (TT)                           (412) 565-5711 (TT)

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Philadelphia Regional Office
711 State Office Building
1400 Spring Garden Street
Philadelphia, PA 19130
(215) 560-2496 (Voice)
(215) 560-3599 (TT)
(Within 180 days of incident)


Equal Employment Opportunity Commission:

Bourse Building                                      1001 Liberty Avenue
Suite 400                                            Liberty Center
21 S. Fifth Street                                   Suite 300
Philadelphia, PA 19106-2515                          Pittsburgh, PA 15222-4187
(215) 451-5800                                       (412) 644-3444
(Within 300 days of incident)




       This Policy Letter supersedes all previous Policy Letters on this subject.




                                       14 of 211
PTC 502005539 (10/05)
                                                                           Number:
                                                                           2.3
                        PENNSYLVANIA TURNPIKE
                                                                           Approval Date:
                             COMMISSION
                        POLICY AND PROCEDURE
                                                                           2/1/1994
Policy Subject:                          This is a statement of official
                                         Pennsylvania Turnpike             Revised Date:
2.3 - Family and Medical Leave
                                         Commission Policy
Policy
                                         Responsible Department:
                                         Human Resources



A.   Purpose:

     This policy statement summarizes, but does not displace, the pertinent provisions of the Family
     and Medical Leave Act, Public Law 103-3, February 5, 1993, 07 Stat. 6, 29 U.S.C.A. 2601 et seq.
     The Family and Medial Leave Act (FMLA) provides up to 12 weeks unpaid leave to eligible
     employees for certain family and medical reasons. Administration of this policy is assigned to the
     Human Resources Department.


B.   Scope:

     Employee Eligibility. Pennsylvania Turnpike Commisson employees who have worked at least
     1250 hours within the 12 consecutive month period prior to the start of the requested leave and
     who have not received 12 weeks of Family and Medical Leave (FML) within that 12 month period
     are eligible for FML. An employee does not have to specifically request leave under the FMLA
     for that leave to be covered and counted part of the 12 week allocation. The Pennsylvania
     Turnpike Commission will notify the employee when the requested leave is to be designated as
     covered under the FMLA. However, in no case will this designation be made after completion of
     the leave.


C.   Definitions:

     Definition of a Serious Health Condition. An illness, injury, impairment, or physical or mental
     condition that requires either inpatient care or continuing treatment by a health care provider. A
     serious health condition includes treatment for a serious, chronic health condition which, if left
     untreated, would likely result in absence from work of more than three days as well as drug and
     alcohol recovery programs.


D.   Procedures:

     Eligibility Period. The employee may not have more than 12 weeks FML in any 12 month period
     prior to the requested FML. Aggregate FML is limited to 12 weeks where both spouses are
     employed by the PTC except for an employee’s own serious health conditions.
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                                  Allowable Reasons for FML

       A.      A serious health condition resulting from the illness or injury of the employee.

       B.      To care for a spouse, son or daughter up to 18 years old, or a son or daughter 18
               years or older who is incapable of self care as a result of a mental or physical
               disability,or a parent, if such spouse, son, daughter, or parent has a serious health
               condition.

       C.      The birth of a child in order to care for such child.

       D.      The placement of a child for adoption or foster care.

NOTE: Spouse includes common-law when recognized by the state. Parent does not include in-
law relationships but does include a person standing as a parent (in loco parentis).

Exceptions. Voluntary or cosmetic treatments which are not medically necessary are not
considered a serious health condition unless inpatient hospital care is required.

Application for FML. The employee will submit a written request for Family Medical Leave to
their immediate supervisor using the present LWOP form. The employee shall include
information pertaining to the relationship of the individual requiring care. Additional forms will
be provided for the employee to obtain medical cerification of need. The employee shall return
the medical certification within 15 calendar days.

                                      Advance Notification

Foreseeable Leave. The employee must give 30 days advance notice of leave when it is
foreseeable such as childbirth, foster or adoptive child placement, or planned medical treatment.

Unforeseen Leave Requirements. Employees must give notice as soon as practicable after the
employee learns of the need for such leave. Practicable is defined as no less than 2 days except
in the case of an extreme emergency.

Failure to Give Advance Notice. PTC may deny leave until 30 days after the notice is
provided.


                                    Coordination of Benefits

The 12 week FML is included within PTC Maternity Leave policy and not in addition to.
Accrued sick leave and vacation leave shall be used for an allowable FMLA reason and included
within the 12 week period. There is no accrual of sick leave or annual leave while on FML.




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                                    FMLA Minimum Leave

The minimum FML under this policy is one day except under the conditions specified for
Intermittent Leave.

                                       Intermittent Leave

Medical Certification. To qualify for intermittent leave under the FMLA the employee must
obtain advance medical certification of the need, time required, and the duration of the medical
need. This provision does not remove the responsibility of the employee to schedule
appointments, etc. to avoid affecting the PTC’s operations. Also, this provision may not be used
for routine medical appointments. See definition of “Serious Health Condition.”

Minimum Intermittent Leave. Whole hours only, one hour minimum. Modified work week
allowed.

Schedule Adjustments. The Pennsylvania Turnpike Commission reserves the option to
temporarily assign an employee to a position that the employee is capable of accomplishing at
the same pay and benefit level while on FML. The employee will be restored to their original or
equivalent position at the end of the leave.

Benefit Period. The intermittent leave period is equal to 12 times the normal hours per week
worked.


                                        Interim Reports

The employee must contact the Human Resources Department every two weeks regarding
present status and anticipated return date. The PTC may, at its expense, require re-certification
by a health care professional at four and eight weeks or at other times at the discretion of the
PTC.


                                      Medical Certification

All requests for leave under the FMLA require a medical certification of need by a health care
provider. A form for this purpose will be provided by the Human Resources Department. The
employee is required to return the completed signed certificate within 15 calendar days.


                                 Conditions of Reimbursement

If the employee fails to return to work, the employee is responsible for the reimbursement of all
benefit premiums. In situations where the PTC has paid an advanced premium in compliance
with the 30 day continuance provision, the employee shall be liable for the cost of such premium.

Exceptions:

       1. Where the continuation, recurrence, or onset of a serious health condition prevents
          such return to work.

                                         17 of 211
     2. When the employee is prevented by circumstances beyond their control from
     returning to work.


                                       Normal Work Flow

A.      Employee makes request.

B.      Supervisor forwards request memo through the department head to the Human
        Resources Department (HRD).

C.      HRD verifies eligibility and send appropriate notification documentation and medical
        certification form to the employee.

D.      Employee returns the medical certification within 15 working days to the HRD.

E.      HRD sends employee approval, through the department head, of the FMLA request
        along with additional information on report in dates, re-certification requirements,
        and PTC reimbursement policy.

F.      HRD notifies the Payroll Department of the situation when leave is commenced.




           This Policy Letter supersedes all previous Policy Letters on this subject.




                                           18 of 211
PTC 502005539 (12/05)
                                                                            Number:
                                                                            2.4
                        PENNSYLVANIA TURNPIKE
                                                                            Approval Date:
                             COMMISSION
                        POLICY AND PROCEDURE                                Effective Date:
                                                                            2/21/1994
Policy Subject:                           This is a statement of official
                                          Pennsylvania Turnpike             Revised Date:
2.4 - Policy for Extending Medical
                                          Commission Policy
Benefits to Grandchildren
                                          Responsible Department:
                                          Human Resources


          POLICY FOR EXTENDING MEDICAL BENEFITS TO GRANDCHILDREN

I.     POLICY

       It is the policy of the Pennsylvania Turnpike Commission to provide medical benefits to our
       regular employees and their eligible dependents. Several requests have been presented to extend
       an employee’s medical benefits to their grandchildren. In order to provide consistency, this
       policy will outline the circumstances and requirements under which benefits could be extended
       to grandchildren.

II.    DEFINITION OF ELIGIBLE DEPENDENT

       Our contract with our benefits provider generally define eligible dependents as follows:

                 The employee’s spouse under a legally valid existing marriage between persons of the
                  opposite sex.
                 The unmarried children under the age of 19, including newborn children, step children,
                  children legally placed for adoption and legally adopted children of the employee or the
                  employee’s spouse.

       Grandchildren are excluded from coverage unless the employee can demonstrate that they are
       responsible for the child’s medical coverage. One of three situations exist where a grandparent
       can be responsible—adoption, order or sole support.

III.   ADOPTION

       If the employee has legally adopted the grandchild, and wants medical coverage extended to the
       child, the employee needs to present three documents to Human Resources to substantiate their
       responsibility for the child. They are the following: an adoption decree, the child’s birth
       certificate, and the employee’s 1040 showing the names deduction.




                                                 19 of 211
IV.    ORDER

       A custody order giving the grandparent legal custody of the child would also substantiate the
       request for medical coverage. The custody order must be signed by a judge. If this situation
       exists, a copy of the custody order, the child’s birth certificate and the employee’s 1040 showing
       the names deduction, should be presented to Human Resources along with a request for
       coverage.

V.     SOLE SUPPORT

       When an employee becomes responsible for the grandchild through sole support by necessity,
       coverage will be provided. This is the situation where the child’s parents are deceased. If this
       situation exists, the employee should provide a copy of the parents’ death certificates, the child’s
       birth certificate and a copy of the employee’s 1040, to Human Resources along with a request to
       extend coverage to respective grandchild.

VI.    EXCLUSION

       Unless one of the three previously stated conditions are net, grandchildren will continue to be
       excluded form an employee’s medical benefits. This will better enable the Commission to
       provide fair and reasonable employee benefit programs and provided consistency among our
       work force.

VII.   INTERNAL PROCEDURES

       If an employee is experiencing one of the three situations stated, we encourage you to contact
       Human resources. The staff will advise you on the required documentation to extend medical
       coverage.

       New employees will be advised of this policy during their orientation.

       Human Resources will coordinate coverage with the respective benefit providers.

VIII. EFFECTIVE DATE

       This policy is effective immediately.




                      This Policy Letter supersedes all previous Policy Letters on this subject.




                                                      20 of 211
PTC 502005539 (12/05)
                                                                           Number:
                                                                           2.5
                        PENNSYLVANIA TURNPIKE
                                                                           Approval Date:
                             COMMISSION                                    10/2/1979
                        POLICY AND PROCEDURE                               Effective Date:
                                                                           6/22/2005
Policy Subject:                          This is a statement of official
                                         Pennsylvania Turnpike             Revised Date:
2.5 - Personal Leave (Without Pay)                                         6/7/2005
                                         Commission Policy
Authorizaton
                                         Responsible Department:
                                         Human Resources



A.   Purpose:

       To provide consistent procedures for requesting and approving personal leave without pay for all
       Pennsylvania Turnpike Commission employees.


B.   General Policy:

       Personal leave is not to be used in conjunction with any other type of leave. This policy
       establishes the role of the requesting employee and all appropriate supervisory personnel
       required for approval. It further establishes the total number of leave without pay days that may
       be approved by supervisors for an employee within a year. It is the supervisor’s responsibility to
       ensure compliance with this policy. The Human Resources Department will periodically monitor
       personal leave usage.


C.   Definitions:

       “Personal leave” is any approved time-off taken by an employee for which they do not receive
       compensation. W.O.P. days used for Sick and Accident, Industrial Injury and Family Medical
       Leave Act (FMLA) leaves are not counted in this definition of personal leave.

       The term “days” as used in this policy refers to scheduled work days.

       The term “year” as used in this policy refers to the payroll calendar year.


D.   Procedures:

     Authorization for personal leave for all employees shall be administered in the following manner:

       One (1) to five (5) days per year:
       Up to five (5) total days of leave without pay per year may be approved by an employee’s
       immediate supervisor who is authorized to approve earned leave for a particular employee. The
       request must be made directly to the immediate supervisor who is authorized to approve leave.
                                                 21 of 211
       The request should be made in writing, but direct phone contact is acceptable in an emergency.
       The supervisor will either approve or disapprove the request in writing within 48 hours using the
       personal leave request form. The supervisor will inform the employee and retain a copy of the
       request and response on file.

       Six (6) to fifteen (15) days per year:
       Between six (6) and fifteen (15) total days of leave without pay per year may be approved by an
       employee’s Director/Chief or his/her designee for a particular employee. The request must be
       made in writing to the immediate supervisor at least 48 hours before the first day of leave
       requested. The request must include the total time off requested and the reason for the request.
       The immediate supervisor will forward, to the Director/Chief, or his/her designee, the request
       and a recommendation to either approve or deny the leave. This recommendation must include if
       and how the employee will be replaced and any effect this leave will have on the workforce. The
       Director/Chief or his/her designee will either approve or deny the leave request in writing prior
       to the first day of leave using the personal leave request form. This form will be sent to the
       requesting supervisor. The supervisor will inform the employee and retain a copy of the request
       and response on file.

       Sixteen (16) to thirty (30) days per year:
       Between sixteen (16) and thirty (30) total days of leave without pay per year may be approved by
       the Director of Human Resources for a particular employee. The request must be made in writing
       to the immediate supervisor at least seven (7) days prior to the first day of leave requested. The
       request must include the total time off requested and the reason for the request. The immediate
       supervisor will forward, to the Director/Chief, or his/her designee, the request and a
       recommendation to either approve or deny the leave. This recommendation must include if and
       how the employee will be replaced and any impact this leave will have on the workforce. The
       Director/Chief or his/her designee will forward, to the Director of Human Resources or his/her
       designee, the request and a recommendation to either approve or deny the leave. The Director of
       Human Resources will approve or disapprove the request in writing prior to the first day of leave
       and return the written decision to the immediate supervisor through the requesting Director/Chief
       or his/her designee. The immediate supervisor will inform the employee of the decision prior to
       the first day of leave and retain a copy of the request and response on file.

       Thirty-one (31) to ninety (90) days per year:
       Between thirty-one (31) and ninety (90) total days of leave without pay per year may be
       approved by the Chief Executive Officer for a particular employee. The request must be made in
       writing to the immediate supervisor at least 14 days prior to the first day of leave requested. The
       request must include the total time off requested and the reason for the request. The immediate
       supervisor will forward, to the Director/Chief or his/her designee, the request and a
       recommendation to either approve or deny the leave. This recommendation must include if and
       how the employee will be replaced and any impact this leave will have on the workforce. The
       Director/Chief or his/her designee will forward, to the Director of Human Resources or his/her
       designee, the request and a recommendation to either approve or deny the leave. The Director of
       Human Resources will forward the request and all backup documentation to the Commission
       with a recommendation to approve or disapprove the leave. The Director of Human Resources
       will have the written decision returned to the immediate supervisor through the requesting
       Director/Chief or his/her designee. The immediate supervisor will inform the employee of the
       decision prior to the first day of leave and retain a copy of the request and response on file.

Any extension for leave beyond 90 days must be requested in the manner outlined in the 31 to 90 days
per year section of this policy.
                                                 22 of 211
If an employee is not on approved leave, he/she may be considered absent without leave (AWOL) and
be subject to disciplinary action, up to and including termination. It is the employee’s responsibility to
make arrangements with the Human Resources Department for continued health benefit coverage during
this leave.

For Commission employees covered under a Collective Bargaining Agreement, this policy will be
applied consistent with Article 15 (Leaves of Absence), Section 6.




                      This Policy Letter supersedes all previous Policy Letters on this subject.




                                                      23 of 211
PTC 502005539 (12/05)
                                                                               Number:
                                                                               2.6
                           PENNSYLVANIA TURNPIKE
                                                                               Approval Date:
                                COMMISSION                                     7-10-2001
                           POLICY AND PROCEDURE                                Effective Date:
                                                                               7-25-2001
Policy Subject:                              This is a statement of official
                                             Pennsylvania Turnpike             Revised Date:
2.6 - Policy and Procedure for                                                 2-21-2001
                                             Commission Policy
Filling Entry Level Positions
                                             Responsible Department:
                                             Human Resources



A.       Purpose:

           To establish policy and procedures governing hiring individuals into entry level positions.


B.       Scope:

           This policy applies to the recruitment and selection of applicants into entry-level positions
           throughout the PTC.

           This policy does not apply to positions where collective bargaining agreement or memorandum
           of understanding provisions govern filling the position. It also does not apply to recruitment into
           non-entry level positions or senior level, policy-making or confidential positions.


C.       General Policy:

           The Commission is an equal opportunity employer. It is the policy of the Commission to comply
           with all applicable federal, state and local fair employment practices and statutes. The
           Commission will hire individuals on the basis of their qualifications for the job to be filled, and
           will provide equal opportunity in employment to all employees and applicants for employment.
           This policy applies to all terms, conditions and privileges of employment.

           The Commission will select, assign, promote and treat employees on an equal opportunity basis
           without regard for race, religious creed, ancestry, union membership, age, sex, sexual
           orientation, marital status, national origin, AIDS or HIV status, or disability.


D.       Definitions:

          Entry-Level Positions: Entry level positions are the lowest level of employment in a job class,
           family, discipline or field. Although most entry-level positions are generally unskilled or semi-
           skilled positions, some may require educational degrees higher than high school and other
           certifications.

                                                     24 of 211
        Non-Entry Level Positions: Non-entry level positions are generally considered skilled, technical,
         or professional positions that require some experience, specialized knowledge, and often
         education in addition to a high school diploma or equivalent.

        Senior-Level, Policy-Making, and Confidential Positions: Senior-level, policy-making or
         confidential positions are defined as Chief Executive Officer, Chief Operating Officer, Chief of
         Staff for Operations and Administration, as well as the personal staff and secretaries to the
         above-stated individuals and Commissioners, Chief Counsel, Chief Financial Officer, Chief
         Engineer, Chief Information Officer, attorneys, Director of Communications and Public
         Relations and staff attached to the press office, and such other positions that are determined to be
         confidential or have an influence in determining or implementing policy. The Chief Executive
         Officer, with the approval of the Commission, shall, depending upon the requirements of a
         particular position, determine the procedure to be followed in filling a vacancy in a senior-level
         or confidential position. This Policy Letter does not apply to these positions.

E. Personnel Committee:

         The Personnel Committee shall be responsible for the recruitment and selection of candidates for
         entry-level positions. Its membership shall be as follows: The Chief Executive Officer, the Chief
         Operating Officer, the Director of Operations & Projects/East, the Director of Operations &
         Projects/West and one additional member appointed by the Chief Executive Officer.

         A Human Resources representative shall serve as a non-voting member of the Personnel
         Committee. This representative shall be appointed by the Chief Executive Officer and shall
         serve as the liaison between the Human Resources Department and the Personnel Committee.

         The role and responsibilities of the Personnel Committee are:

               To review the applications of prospective employees of the PTC
               To refer candidates to the responsible department heads for consideration for entry level
                 vacancies.
               To recommend to the Commission those candidates selected for hiring into entry-level
                 positions.
               To review & recommend for approval all requests to fill vacancies in entry and non-entry
                 level positions.
               To review & recommend for approval all requests for changes to authorized complement
                 levels, including position creation or elimination resulting from organizational changes
                 or departmental restructuring.

F. Procedures:


       The Human Resources representative will notify the Personnel Committee of all positions that are
       to be filled by the selection of an outside candidate.


       The Personnel Committee shall provide an appropriate number of candidates for the position.
       Sources of candidates may include, but are not limited to:



                                                   25 of 211
           1. Consideration of available candidates whose applications have been previously referred.
           2. Consideration of candidates whose applications are active and on file in the Human
              Resources Department.
           3. External advertising to attract qualified candidates.

The Personnel Committee will refer an appropriate number of available candidates to the respective
department manager for an interview and consideration for the vacancy.

The department manager or his/her designee will conduct the interview.

Provided the candidate is suitable for employment, the Personnel Committee will recommend to the
Commission those candidate(s) to be offered employment.

All candidates must successfully complete all pre-employment requisites; i.e. successful completion of
training and any pre-employment testing, comply with any licensure requirements or specialized training
requirements, background checks, etc.

The Director of Human Resources may develop standardized procedures to implement this policy.




                     This Policy Letter supersedes all previous Policy Letters on this subject.




                                                     26 of 211
PTC 502005539 (12/05)
                                                                            Number:
                                                                            2.7
                         PENNSYLVANIA TURNPIKE
                                                                            Approval Date:
                              COMMISSION                                    8-07-2001
                         POLICY AND PROCEDURE                               Effective Date:
                                                                            8-22-2001
Policy Subject:                           This is a statement of official
                                          Pennsylvania Turnpike             Revised Date:
2.7 - Policy and Procedure for                                              7-30-2001
                                          Commission Policy
Promoting Employees
                                          Responsible Department:
                                          Human Resources



A.   Purpose:

       To establish policy and procedures to ensure that all departments use consistent and uniform
       standards of qualifications when filling positions within the Pennsylvania Turnpike Commission.

B.   Scope:

       1. This policy letter does not apply to:

                    a.     Entry-level positions.
                    b.     Positions where collective bargaining agreement provisions apply.
                    c.     Senior-level, policy-making, or confidential positions.

       The Commission has the authority to decide which positions are or are not covered by this Policy
       Letter.

C.   General Policy:

       It is the policy of the Pennsylvania Turnpike Commission (“Commission”):

       1. To fill positions by seeking out, identifying and selecting qualified candidates.

       2. To provide equal opportunity to all persons regardless of race, color, religion, marital status,
          disability or handicap, national origin, age, sex or political affiliation or support.

D.   Definitions:


       1.       Senior-level, policy-making or confidential positions are defined as Chief Executive
                Officer, Chief Operating Officer, Chief of Staff for Operations and Administration, as
                well as the personal staff and secretaries to the above-stated individuals and
                Commissioners, Chief Counsel, Chief Financial Officer, Chief Engineer, Chief
                Information Officer, attorneys, Director of Communications and Public Relations and
                staff attached to the press office, and such other positions that are determined to be
                confidential or have an influence in determining or implementing policy. The Chief
                                                  27 of 211
             Executive Officer, with the approval of the Commission, shall, depending upon the
             requirements of a particular position, determine the procedure to be followed in filling a
             vacancy in a senior-level or confidential position. This Policy Letter does not apply to
             these positions.

      2.     The Administration Committee shall consist of the Chief Executive Officer, Chief
             Operating Officer, Chief of Staff for Operations and Administration, Chief Financial
             Officer, Chief Engineer, Chief Information Officer, Chief Counsel, Director of Human
             Resources, who serves as the chairperson and members appointed by the Chief Executive
             Officer. The Chief Counsel and the Chief of Staff for Operations and Administration
             shall serve as advisory members of the Administration Committee. The role and
             responsibilities of the Administration Committee are set forth in the Salary
             Administration Policies and Procedures.


E.   Procedures:

      1.     At a minimum, vacancy notices for all positions which are subject to the provisions of
             this Policy Letter will be posted at every Commission work location for at least ten
             working days.

      2.     Candidates for any position that has been posted must submit a written expression of
             interest, which may be in the form of an updated employment application or resume and a
             copy of their most recent performance evaluation, if available, (collectively referred to as
             the “application”) to the Human Resources Department (HR) no later than the close of
             business on the last day identified in the posting.

      3.     HR will acknowledge receipt of all applications. An applicant who does not receive such
             acknowledgment is under an obligation to immediately contact HR to determine the
             circumstances under which the application was not acknowledged.

      4.     HR will review all of the applications to determine which applicants meet the minimum
             educational, experience and training requirements for the position. It is the candidate’s
             responsibility to ensure his or her work history and educational, experience, and training
             background is explained in sufficient detail for this determination to be appropriately
             completed.


      5.     HR will forward to the Chief/Director of the department in which the vacancy exists, all
             of the applications which HR determines meet the minimum educational, experience and
             training requirements for the position.

      6.     Generally, the Chief/Director or his/her designee will interview all applicants whose
             applications have been forwarded by HR. In the event an unusually large number of
             applications are received, the Chief/Director has the authority to reduce the number of
             applications to be interviewed.

      7.     The department manager and the respective Chief/Director will follow Commission
             procedures in conducting interviews. Interviews will be conducted using the same job-
             related questions for all applicants. A written summary will be made of each interview.

                                               28 of 211
8.    Each candidate will be evaluated based upon a qualitative evaluation of his or her
      education, experience and training as it compares to the job requirements; as well as the
      results of the interviews and reference checks.

9.    The department manager, subject to the review and approval of the respective
      Chief/Director, shall, consistent with and in conformance with all applicable Commission
      policies, present recommendations of not more than three applicants to the
      Administration Committee in the form of a short, written supporting statement. If no
      applicant is recommended as a result of this process, the Director of Human Resources
      shall, in consultation with the Chief/Director, use professional hiring procedures to
      identify and recommend one individual to the Administration Committee.

10.   The Administration Committee shall review the recommendation(s) and recommend one
      individual to the Commission. The Administration Committee will determine the
      appropriate salary level for the selected candidate in accordance with the Salary
      Administration Policies & Procedures.

11.   The Commission has the discretion to accept the recommendation of the Administration
      Committee, to request additional information about the recommended candidate, to defer
      or to decline to fill the position.

12.   HR will notify all candidates who applied of the outcome of the selection process no later
      than two weeks after Commission action.

13.   The Director of Human Resources will develop standardized procedures to implement
      this policy.




             This Policy Letter supersedes all previous Policy Letters on this subject.




                                             29 of 211
PTC 502005539 (12/05)
                                                                          Number:
                                                                          2.8
                      PENNSYLVANIA TURNPIKE
                                                                          Approval Date:
                            COMMISSION                                    8/20/2002
                    POLICY AND PROCEDURE                                  Effective Date:
                                                                          9/5/2002
Policy Subject:                         This is a statement of official
                                        Pennsylvania Turnpike             Revised Date:
2.8 - Childrearing Leave Without                                          8/13/2002
                                        Commission Policy
Pay
                                        Responsible Department:
                                        Human Resources



A.   Purpose:

     To provide a policy for Pennsylvania Turnpike Commission Management/Local 30 First Level
     Supervisory employees to request Childrearing leave without pay.


B.   Scope:

     This policy is for Management/Local 30 First Level Supervisory employees with at least 90 days
     of service who become parents through childbirth or formal adoption to request Childrearing leave
     without pay for the period up to the child's first birthday. Employees that adopt a child over age
     one, or who become parents through marriage (stepchildren) or foster care placement are not
     eligible for Childrearing leave.


C.   General Policy:

     Male and female employees are eligible to request Childrearing leave. Full-time leave may not
     exceed nine (9) months. Part-time or combination of full and part-time leave may not exceed
     196.5 work days or 1572 hours of leave. Regardless of the type of leave that is taken, the
     employee must return to work full-time by the child's first birthday. This leave is subject to
     approval by the employee’s immediate supervisor and Chief/Director and is conditional upon the
     employee’s supervisor being able to balance workload and staff responsibilities appropriately.

     Requests for Childrearing leave must be made within one year from the date of birth or adoption.
     Regardless of the date of the request, Childrearing leave shall expire one year from the date of
     birth or adoption or if the employee returns to work full-time from Childrearing leave even if the
     full leave entitlement has not been used. Only one Childrearing leave will be approved per event.

     Childrearing leave may not be used prior to the birth or placement of the child, except when
     required by adoption in order to proceed. Employees may request permission to take sick and
     accident (S&A), family medical leave (FMLA) or a personal leave prior to the birth, as applicable.



                                                30 of 211
If operationally necessary, the Chief/Director may request a part-time contracted employee to fill
in for the additional hours the employee is off on a part-time schedule, or a full-time contracted
employee for employees who are out on a full-time basis.

Childrearing leave runs concurrently with medical leave under the Family Medical Leave Act
(FMLA). Childrearing leave also runs concurrently with vacation and sick leave used. Employees
may request to use either vacation or sick leave anytime during Childrearing leave, as applicable.
Hours of leave without pay (WOP) used shall count hour for hour against the entitlement. All
leave time without pay (WOP) during this time period will be recorded as Childrearing leave.

Use of Childrearing leave is not permitted for the period of physical disability following the birth
of a child. Female employees who have more than 90 days of service and become parents through
childbirth may be eligible for sick and accident leave for this period of disability. Sick and
accident leave is not included as Childrearing leave. Childrearing leave begins after the period of
disability, if applicable.

Types of Childrearing Leave:

Employees may request approval from the Commission for Childrearing leave on a full-time or
part-time basis; however, the Commission reserves the right to deny a part-time schedule in order
to maintain efficient operations.

1. Full-time Childrearing leave:



                                                                                            -month
period of medical benefit entitlement.
                                                                    -pay basis for the remainder of
the time they are out on full-time Childrearing leave.
                                     -time Childrearing leave without pay will not earn vacation
and sick leave.
                      -time Childrearing leave will not receive holiday pay.

2. Part-time Childrearing leave:

                                             -time basis must work a minimum of 24 hours per
week.
                ill retain their medical benefits during the months that they are in a part-time
status.

                                   -time schedule for Childrearing leave following the guidelines
listed below:

                                                                                                      -
time work schedule.

part-time schedule.



                                             31 of 211
     vacation leave, as appropriate.
            -time schedules shall be the same set schedule every week (example: Monday, Wednesday,
     Friday eight hours a day) or (example: Monday-Thursday four (4) hours each day and Friday 8
     hours).
                  -time schedules are set they cannot be changed except as noted below under "Changes
     in Childrearing leave Schedules."
                                           -time Childrearing leave will earn vacation and sick leave if
     they work or had been in paid status for at least 37 hours during the pay period.
                                           -time Childrearing leave will be paid in full for holidays.

     other purposes necessary to maintain efficient operations.

     Changes in Childrearing Leave Schedules:

                                     ting one schedule change during the duration of their Childrearing
     leave. This change must be reviewed and approved by the employee's immediate supervisor and
     the Chief/Director and the new schedule must meet the operational needs of the Commission.
     Only one schedule change to the Childrearing leave requested by the employee may be granted per
     event, as follows:

           -time leave to part-time leave
           -time leave to full-time leave
           -time leave set schedule change

     The supervisor will forward the change request to Human Resources for tracking purposes.

D.   Procedures:

     The employee shall submit a Childrearing leave request form to his/her immediate supervisor at
     least two (2) weeks prior to beginning leave (where foreseeable) or for any change in schedule
     outlining how the employee would like to take the leave. The employee may request leave full-
     time, part-time (work at least 24 hours per week) or a mixture of full-time and part-time leaves.
     Should the employee choose the combination of full-time and part-time leaves in their original
     request this would constitute use of the one schedule change that may be granted per event.

     The immediate supervisor and Chief/Director will review the request for Childrearing leave. Part-
     time schedules must be at least 24 hours per week with at least 4 hours worked each scheduled day
     and will only be approved if the department is able to maintain efficient operations and without
     incurring overtime.

     If approved, the immediate supervisor and the Chief/Director will sign the request and forward it
     to Human Resources.

     Human Resources will review to ensure the request is in compliance with the Childrearing leave
     policy. Human Resources will notify the employee in writing that the Childrearing leave request is
     approved or denied.

     Changes in schedule should be submitted to the immediate supervisor two weeks in advance of the
     requested change. They should then be forwarded to the Chief/Director for review. If approved,
     this change should be forwarded to the Human Resources Department.
                                                32 of 211
The employee must return to work full-time one year from the date of birth. It is the employee's
responsibility to provide the supervisor a notice of return-to-work full-time at least 2 weeks in
advance in order for the supervisor to place them back on the work schedule.

The supervisor is responsible to notify the Human Resources Department upon the return of the
employee to full-time status.




                This Policy Letter supersedes all previous Policy Letters on this subject.




                                                33 of 211
PTC 502005539 (12/05)
                                                                                      Number:
                                                                                      2.9
                         PENNSYLVANIA TURNPIKE
                                                                                      Approval Date:
                              COMMISSION                                              10/22/2002
                         POLICY AND PROCEDURE                                         Effective Date:
                                                                                      11/7/2002
Policy Subject:                                This is a statement of official
                                               Pennsylvania Turnpike                  Revised Date:
2.9 - PA Residency Requirement for                                                    9/18/2002
                                               Commission Policy
Employment
                                               Responsible Department:
                                               Human Resources



A.   Purpose:

     This policy letter states the requirement for all non-union Pennsylvania Turnpike Commission
     employees hired on or after its effective date to be legal residents of the Commonwealth of
     Pennsylvania.

B.   Scope:

     The Commission's Pennsylvania Residency Requirement for Employment applies to persons
     whose initial date of hire falls on or after the effective date of this policy letter.

C.   General Policy:

     Persons whose initial date of hire at the Commission falls on or after the effective date of this
     policy letter shall; (a) be legal residents of the Commonwealth of Pennsylvania; or (b) become
     legal residents of the Commonwealth within a period of six months (or any extension thereof by
     the Commission) from their initial date of hire, unless the requirement of residency has been
     waived, as hereinafter provided. Upon certification by the Chief Executive Officer that there is an
     inadequate pool of qualified candidates within the Commonwealth available for a specific position,
     the Commission may waive the residency requirement for a particular individual hired for that
     position.

D.   Definitions:

     The definition of residence for purposes of this policy is: the place or locality at which an
     employee resides and has manifested an intent to continue to reside. The factors which provide
     evidence of intent to maintain residency in this Commonwealth include the following:
         1. The lease or purchase of a property which the applicant has made a primary residence.
         2. Payment of state and local taxes in the Commonwealth of Pennsylvania.
         3. Registration of personal property, such as bank accounts, stocks and bonds and
            automobiles within this Commonwealth.
         4. Possession of a current Pennsylvania Motor Vehicle Operator License.
         5. Current registration as a voter in this Commonwealth.

                        This Policy Letter supersedes all previous Policy Letters on this subject.

                                                        34 of 211
PTC 502005539 (12/05)
                                                                           Number:
                                                                           2.10
                        PENNSYLVANIA TURNPIKE
                                                                           Approval Date:
                             COMMISSION                                    05/05/09
                        POLICY AND PROCEDURE                               Effective Date:
                                                                           05/20/09
Policy Subject:                          This is a statement of official
                                         Pennsylvania Turnpike             Revised Date:
2.10 - Secondary Employment                                                04/17/09
                                         Commission Policy

                                         Responsible Department:
                                         Human Resources



A.   Purpose:

       To establish policy and procedures regarding secondary employment for all current and
       prospective Pennsylvania Turnpike Commission (Commission) employees. This policy
       supplements and is to be read in conjunction with the Commission's Code of Conduct Policy
       Letter (No. 3.10).

B.   Scope:

       This policy letter applies to all prospective and current Commission employees in all
       departments, including management employees and those employees covered by a collective
       bargaining agreement or a memorandum of understanding and those still in their probationary
       period.

C.   General Policy:

       The Commission does not want to unduly limit or interfere with an employee's use of his or her
       free time; however, the Commission must insure that its employees' activities away from the job
       do not adversely affect their ability to satisfy their obligations as employees of the Commission
       or in any way compromise its interests or reputation.

       Accordingly, all Commission employees who work or seek to work for compensation or
       remuneration in any capacity outside of their Commission employment, including self-
       employment, are required to file Secondary Employment Requests with their Departmental Head
       or designated official who will make a recommendation either to approve or disapprove the
       request. Such secondary employment does not include military duty. Approval for secondary
       employment must be obtained prior to accepting such employment for current employees and
       prior to employment with the Commission for prospective employees. Employees are required
       to resubmit their requests whenever the duties of their Commission or secondary employment
       positions change substantially.

       Approval to engage in most volunteer activities generally is not required. Such volunteer
       activities include but are not limited to emergency services or work performed for charitable

                                                35 of 211
       institutions or non-profit entities. Approval may, however, be required of certain volunteer
       activities where the Commission believes that the activity may present a conflict of interest with
       the employee's regular job duties, the mission of the Commission, or any other applicable federal
       and state laws, rules and regulations.
       Current Commission employees seeking outside employment must submit to their immediate
       supervisor a Secondary Employment Request. The request must contain sufficient information
       to enable the reviewers to determine whether any conflict of interest exists.
       Commencing or continuing in secondary employment after receipt of notice that such secondary
       employment has been disapproved shall constitute grounds for discipline, up to and including
       termination.

       Secondary employment is considered secondary to Commission employment and any conflicts
       of interest arising out of secondary employment will be resolved in favor of the Commission.
       Such conflicts include, but shall not be limited to, conflicts with the Commission’s conditions of
       employment, including hours of work (i.e. availability for overtime, training, traveling, etc.) and
       conflicts with other applicable federal and state laws, rules or regulations.

       Secondary employment will not be considered an excuse for poor job performance or breaking
       work rules.

       Prospective Commission employees must have approval of their secondary employment prior to
       becoming employed with the Commission. Requests must be filed sufficiently in advance of
       commencing employment with the Commission to give the Commission a reasonable period of
       time to receive and process the Secondary Employment Request.

D.   Definitions:

       Secondary employment is defined as employment (other than Military duty) in addition to
       regular full-time employment with the Commission, for which any payments, compensation or
       remuneration of any nature is received for services rendered or to be rendered. It includes self-
       employment. An employee may not engage in any secondary employment that presents a
       conflict of interest with his or her Commission employment.

E.   Procedures:

       It is the responsibility of the employee to notify the Commission of their desire to engage in
       employment outside of the Commission. Secondary Employment Request forms are available
       through the Human Resources Department or on-line.

       Any employee who desires to work in any capacity outside their Commission employment
       (except military duty) shall file a Secondary Employment Request with his or her immediate
       supervisor. The supervisor shall review the request and make a recommendation to the
       Department Head or designee either to recommend approval or disapproval within five (5)
       workdays of receipt of the request. The Department Head shall forward the request to the
       Director of Human Resources with his or her recommendation either to approve or disapprove
       the request within five (5) workdays of receipt of the request. If a possible conflict exists with
       Commission employment, the Human Resources Director will review the request with the Chief
       Counsel prior to approving or disapproving the request.



                                                 36 of 211
The Director of Human Resources shall notify the employee of approval or disapproval by mail
within five (5) workdays of the receipt of the request. In cases of disapproval, the employee
shall be provided specific reasons for the disapproval and advised of the review procedures.

Prospective employees must complete a Secondary Employment Request and submit the request
to the Director of Human Resources prior to accepting an offer of employment with the
Commission.

If the employee's request has been denied, the employee may, within ten (10) workdays of the
date of the final disapproval letter from the Director of Human Resources, appeal to the Chief
Executive Officer (CEO) or designee. The employee shall submit their written request of appeal
to the CEO. The original request for secondary employment and the letter of disapproval by the
Director of Human Resources should be included. The Director of Human Resources should be
copied on this request for review. The decision of the CEO is final.

All Secondary Employment Requests will be reviewed on a case-by-case basis. The
Commission is under no obligation to approve requests based solely on prior decisions or
considerations.

Approval of secondary employment is at the discretion of the Commission and may be revoked
at any time. Notification of withdrawal of Commission approval for secondary employment will
be made to the employee, in writing, by the Director of Human Resources.

The Director of Human Resources may develop additional procedures to ensure compliance with
this policy.




              This Policy Letter supersedes all previous Policy Letters on this subject.




                                              37 of 211
                                                                          SECONDARY EMPLOYMENT REQUEST




 Employee Information

 1. Name:

 2. Mailing Address:

 3. Job Title:                                                                  Location:
                                                                                                        Supervisor’s Work Telephone
 4. Immediate Supervisor:                                                                               Number:
 5. Describe the nature of your current Commission job duties:




 The following questions pertain to secondary employment, including self-employment

 6. Name of Company or Organization:

 7. Company or Organization Address:

 8. Company or Organization Phone:

 9. Type of Business In Which Company or Organization Is Involved:

10. Position Title:                                                                            11. Supervisor Name:

12. Start Date:

13. Work Schedule: Days per week:                                                                           Hours per week:                         AM       PM

14. Describe the duties of the secondary employment position:




15. To the best of your knowledge and belief, does the company or organization with which you are applying for a position engage in any business that may possibly be
related to your current duties with the Pennsylvania Turnpike Commission, or which can create an actual or apparent conflict of interest with your current duties?

                                                                                                                                           Yes                     No
16. If this request is for self-employment, would your self-employment involve you in any business that may possibly be related to your current duties with the Pennsylvania
Turnpike Commission, or which can create an actual or apparent conflict with your current duties?

                                                                                                                                           Yes                     No
17. Is this company or organization associated with a political subdivision or is it a political subdivision of the Commonwealth of Pennsylvania?


                                                                                                                                           Yes                     No
18. Is this company or organization associated with an agency of the Government of the United States of America?


                                                                                                                                           Yes                     No
19. I hereby certify that the information set forth in this application is true and correct to the best of my knowledge, information and belief and contains no misrepresentations,
  falsifications, or omissions.



                                         Employee Signature                                                                              Date



                                                                                                                        Approve                       Disapprove
                                         Supervisor Signature


                                                                                                                                                                                      Employee Signature
                                                                                                                        Approve                       Disapprove
                                     Department Head Signature



                                                                                                                        Approve                       Disapprove
                               Director of Human Resources Signature                                                                                                                  Employee Signature


                                                                                    38 of 211
PTC 502005539 (12/05)
                                                                            Number:
                                                                            2.11
                        PENNSYLVANIA TURNPIKE
                                                                            Approval Date:
                             COMMISSION                                     4/15/2003
                        POLICY AND PROCEDURE                                Effective Date:
                                                                            4/15/2003
Policy Subject:                           This is a statement of official
                                          Pennsylvania Turnpike             Revised Date:
2.11 - Health Insurance Portability                                         4/2/2003
                                          Commission Policy
and Accountability Act (HIPAA)
Policy
                                          Responsible Department:
                                          Human Resources



A.   Purpose:

     The Health Insurance Portability and Accountability Act (HIPAA) of 1996 required regulations to
     implement a comprehensive federal law to protect individually identifiable healthcare information.
     The Privacy Rule creates national standards to protect medical records and other protected health
     information (PHI).

     This policy governs the efforts of the Pennsylvania Turnpike Commission to comply with the
     relevant provisions of the Health Insurance Portability and Accountability Act (HIPAA).
     Procedures are included that outline privacy, use and disclosure of protected health information
     (PHI).

B.   Scope:

     This policy applies to all employees and all business associates including, but not limited to,
     contractors, consultants and vendors, of the Pennsylvania Turnpike Commission.

C.   General Policy:

     The Commission's policy is to:

             Provide security of protected health information.

             Use PHI only as necessary. Some examples of use are:
                 o To communicate with health care professionals who care for you
                 o To obtain reimbursement from private insurers
                 o To verify that services billed were actually provided
                 o To assess and improve the services provided and the outcomes achieved
                 o To pay for services you receive
                 o To inform you about other public programs and services

             Disclose PHI to our business associates when it is necessary.

             Ensure compliance with HIPAA.

                                                 39 of 211
D.   Definitions:

     Business Associate. A person or entity who, on behalf of a covered entity or an organized health
     care arrangement, performs or assists in the performance of:

         1. A function or activity involving the use or disclosure of individually identifiable health
            information, including claims processing or administration, utilization review, quality
            assurance, billing benefit management, practice management, and re-pricing; or

         2. Provides legal, actuarial accounting, consulting, data aggregation, management,
            administrative, accreditation, or financial services for such covered entity or organized
            health care arrangement

     Business Associate Agreement. A contract between a covered entity and a business associate that
     must:

         1. Establish the permitted and required uses and disclosures of personal health information
            (PHI) by the business associate.

         2. Provide that the business associate will use PHI only as permitted by the contract or
            required by law, use appropriate safeguards, report any disclosures not permitted by the
            contract, ensure that only agents to whom it provides PHI will abide by the same
            restrictions and conditions, make PHI available to individuals, make its records available to
            Health and Human Services; and

         3. Authorize termination of the contract by the PTC if the PTC determines that there has been
            a violation of the contract.

     The Business Associate Agreement is usually part of a contract made in the procurement process
     but can be part of a Memorandum of Understanding, Grant Agreement or other documents.

     Covered Entity. A health plan, a health care clearinghouse, or a health care provider who
     transmits any health information in electronic form in connection with a transaction. The PTC is a
     covered entity as a health plan since it is self-insured.

     Disclosure. Releasing, transferring, providing access to, or divulging in any other manner,
     information outside the entity holding the information.

     Health Care Provider. A provider of services and any other person or organization who
     furnishes, bills, or is paid for health care in the normal course of business.

     Health Information. Any information, whether oral or recorded in any form or medium, that:

        1. Is created or received by a health care provider, health plan, public health authority,
           employer, life insurer, school or university, or health care clearinghouse; and

        2. Relates to the physical or mental health or condition of an individual; the provision of
           health care to an individual; or payment for the provision of health care to an individual.

     Individual. The person who is the subject of protected health information.

                                                 40 of 211
 Individually Identifiable Health Information. Health information, including demographic
 information collected from an individual that identifies the individual or with respect to which
 there is a reasonable basis to believe the information can be used to identify the individual.

 Protected Health Information (PHI). Individually identifiable health information that is
 transmitted by electronic media, maintained in any medium, transmitted or maintained in any other
 form or medium. Protected health information excludes individually identifiable health
 information in education records covered by the Family Educational Right and Privacy Act.


 Privacy/Client Information Officer. To ensure compliance, the Privacy Rule requires that
 covered entities designate a Privacy Officer who is responsible for the development and
 implementation of privacy policies and procedures. The Privacy Officer oversees all ongoing
 activities related to the development, implementation, maintenance of, and adherence to the PTC’s
 policies and procedures covering the use, and access to, protected health information in compliance
 with federal and state laws. The PTC Privacy Officer is the Manager of Compensation and
 Benefits, Human Resources Department. The role of the Privacy Officer is to:

1. Provide guidance and assist in the identification, implementation, and maintenance of
   information on privacy policies and procedures.

2. Perform initial and periodic information privacy risk assessments and conduct related ongoing
   compliance monitoring activities in coordination with the Commission’s other compliance and
   operational assessment functions.

3. Work with individual departments to ensure that the Commission has and maintains appropriate
   privacy consent and authorization forms, information notices and materials reflecting current
   policies and procedures.

4. Oversee delivery of initial privacy training to all Commission employees.

5. Oversee delivery of initial guidance to contractors, business associates, and other appropriate
   third parties.

6. Participate in the development of all trading partner, chain of trust and business associate
   agreements, to ensure all privacy concerns, requirements, and responsibilities are addressed.

7. Establish and administer a process for receiving, documenting, tracking, investigating, and
   taking action when appropriate, on all complaints concerning the Commission’s privacy policies
   and procedures in coordination with other similar functions and, when necessary, the Legal
   Department.

8. Ensure compliance with privacy practices and consistent application of sanctions for failure to
   comply with privacy policies for all individuals in the Commission’s workforce.

9. Work with all Commission personnel involved with any aspect of release of protected health
   information to ensure full coordination and cooperation under the Commission’s policies and
   procedures.



                                             41 of 211
     10. Monitor changes in applicable federal and state privacy laws and advancement in information
         privacy technologies to ensure PTC compliance.

     11. Cooperate with the Department of Justice, Office for Civil Rights, PTC auditors and legal staff in
         any appropriate compliance review or investigation.

     Privacy Rule. The Privacy Rule, as published in the Code of Federal Regulations, creates national
     standards to protect medical records and other protected health information (PHI). The Privacy Rule
     sets a minimum standard of safeguards of PHI and requires the PTC to take certain actions, such as
     the actions outlined in this policy.

     Use. With respect to individually identifiable health information, the sharing, employment,
     application, utilization, examination or analysis of such information within an entity that maintains
     such information.

E.    Procedures:

     Minimum Necessary Standard. The PTC must restrict access and use of PHI to the minimum
     necessary for an employee to perform their specific job function. Electronic and manual access to
     PHI will be determined by the scope and responsibilities of an employee’s position. Specific access
     must be listed in all departments’ policies and job descriptions, as appropriate.

     Routine disclosures must always be limited to the minimum necessary to meet the purpose of the
     disclosure. For example, a minimum disclosure for oversight purposes could include large numbers
     of records with minimal identifying information in order to identify treatment or payment patterns.

     Business Associates. 45 CFR § 164.502(e)(1) requires that in order to disclose PHI to a business
     associate, a program office must receive satisfactory assurance that the business associate will
     appropriately safeguard the information. Under the Privacy Rule, satisfactory assurances must be
     obtained in a contract or other written arrangement. The Legal Department has developed Business
     Associate Language that all departments must adapt to fit their and their business partners needs.
     (See Appendix A).

     The individual departments, in conjunction with the Contracts Administration Department, will
     review relationships with business partners to determine whether it is appropriate to execute a
     business associate agreement.

     Security of Personal Health Information (PHI). The PTC will ensure all PHI is properly secured
     at all times. Written PHI will be secured at work locations in locked drawers and file cabinets.
     Electronic PHI will be password protected and secured. PHI will only be provided to individuals
     when necessary. Individuals granted access to PHI will be instructed to maintain confidentiality of
     the information and ensure proper use of the information.

      Use and Disclosure of PHI. Use of PHI will be limited to those individuals involved in the
      operation and administration of employee benefit programs. PHI will only be disclosed to outside
      business associates when necessary. Some examples of use are: to communicate with health care
      professionals who care for you; to obtain reimbursement from private insurers; to verify that
      services billed were actually provided; to assess and improve the services provided and the
      outcomes achieved; to pay for services you receive; and, to inform you about other public
      programs and services. Any other use or disclosure requires authorization by the employee.

                                                  42 of 211
Restriction on Uses and Disclosures. Individual employees have the right to request restrictions
on the use and disclosure of his/her protected health information. If the requested restrictions are
within the scope of the law, the PTC would not use or disclose PHI that is inconsistent with the
restrictions, unless mandated by law to do so.

Privacy Officer. The Commission has designated the Manager of Compensation and Benefits,
Human Resources Department as the HIPAA Privacy Officer. An overview of the duties and
responsibilities of the Privacy Officer are outlined in the definition section of this policy. Any
questions, concerns or complaints regarding compliance with HIPAA should be directed to the
Privacy Officer.

Employee Training. All employees will receive training on the HIPAA policies and procedures.
Training will be tailored to the requirements necessary to enable the employee to carry out their
job responsibilities. The level of training will depend upon the employee’s contact with or access
to PHI.

Rights of Employees. HIPAA gives an individual the right to access, inspect and obtain a copy of
PHI. Employees also have the right to:
    Request a restriction on certain uses and disclosures of their protected health information.
    Request amendments to their protected health information.
    Obtain an accounting of disclosures of their protected health information.
    Request that their protected health information be communicated by an alternative means
       or to an alternative address or to an alternative individual.
    Revoke their consent to use or disclose protected health information to the extent that it has
       not already been relied upon.
    File a complaint to the Privacy Officer and/or the Secretary of the U. S. Department of
       Health and Human Services if they believe their privacy rights have been violated.

The Human Resources Department will establish procedures to address individual requests.
Violations. All employees are required to comply with the provisions of this policy letter.
Employees found to be in violation of this policy will be subject to disciplinary action, up to and
including dismissal.
Business Associate Agreements. The PTC may enter into a contractual relationship with a
business associate that may involve disclosure of PHI. When this occurs, our contract with the
outside organization will include a business associate agreement (see Appendix A). This
agreement requires the outside organization to comply with the provisions of HIPAA. The
Contracts Administration Department will work with program managers to ensure the appropriate
business associate agreements are established.

The Privacy Officer and Human Resources Department may develop additional procedures to
ensure PTC business practices comply with HIPAA.




                 This Policy Letter supersedes all previous Policy Letters on this subject.




                                                 43 of 211
PTC 502005539 (12/05)
                                                                            Number:
                                                                            2.12
                      PENNSYLVANIA TURNPIKE
                                                                            Approval Date:
                            COMMISSION                                      7/1/2003
                    POLICY AND PROCEDURE                                    Effective Date:
                                                                            7/1/2003
Policy Subject:                           This is a statement of official
                                          Pennsylvania Turnpike             Revised Date:
2.12 - Vacation Leave Usage for                                             6/19/2003
                                          Commission Policy
Retirement or Voluntary Separation
                                          Responsible Department:
                                          Human Resources



A.   Purpose:

     To provide a policy for Pennsylvania Turnpike Commission Management/Local 30 First Level
     Supervisory employees to regulate the use of “available vacation leave” prior to an employee’s
     retirement date, or resignation if employee’s service is vested through the State Employee’s
     Retirement System (SERS).

B.   Scope:

     This policy is for Management\Local 30 First Level Supervisory employees who retire or who
     voluntarily separate their employment with vested state service. This procedure is not applicable
     to persons accepting new employment in a position that is part of the State Employee's Retirement
     System or the Public School Employees' Retirement System. An employee who is terminated
     from his/her position is ineligible for this benefit.


C.   General Policy:

     Management or Local 30 First Level Supervisory employees who are retiring as a SERS annuitant,
     may request to charge all or some of their “available vacation leave” prior to their retirement date.

     Use of “available vacation leave” may also be requested up until the last day of service for an
     employee who is voluntarily separating employment, as long as the employee’s service time is, or
     will be, vested by SERS by the time his/her “available vacation leave” is exhausted.

     This policy addresses the date pension payments begin, vested service, leave accruals, holiday pay,
     medical benefits, life insurance, full-time vs. part-time status, return to work rights to the position
     and guidelines for filling the employee’s position.

     1. Retiring Employees

     An employee may use “available vacation leave” up until his/her retirement begins as authorized
     by the Chief/Director. The employee’s pension payments will begin from SERS after the
     employee’s “available vacation leave” has been exhausted and actual retirement begins.

                                                 44 of 211
     The employee will not accrue sick and vacation leave nor be eligible for holiday pay after their last
     day worked and while using his/her “available vacation leave” up until the date retirement begins.

     The employee's salary will be frozen at the salary they were receiving on the last day worked. The
     employee will not receive future salary increases after their last day worked.

     The employee will remain in “active medical benefit status” until the first day of the month
     following the date that the actual retirement begins. On the first day of the month following the
     retirement date, the retiree will be transferred to a retiree medical group plan if he or she is eligible
     for medical benefits by meeting the service requirements as outlined by the PTC for management
     employees.

     The employee’s life insurance policy will remain in effect until the last day the employee is in
     active status.

     This leave may not be used to create a part-time schedule (i.e., 3 days a week) until the date of
     retirement or resignation. This leave must be taken consecutively without interruption.

     Upon acceptance of the employee’s resignation he or she will have no rights to return to the
     position. Accordingly, the Commission may immediately proceed to fill the vacancy.

     2. Separating Employees

     Employees may use “available vacation leave” when leaving a position in which he or she has
     vested service as authorized by the Chief/Director.

     The employee will not accrue sick and vacation leave after their last day worked nor are they
     eligible for holiday pay and while using their “available vacation leave” up until the date of his or
     her resignation with vested service.

     The employee's salary will be frozen at the salary they were receiving on the last day worked. The
     employee will not receive future salary increases after their last day worked.

     Active employee medical benefits will remain in effect until the end of the month in which the
     employee last worked.

     The employee’s life insurance policy will remain in effect until the last day the employee is in
     active status.

     This leave may not be used to create a part-time schedule (i.e., 3 days a week) until the date of
     retirement or resignation. This leave must be taken consecutively without interruption.

     Upon acceptance of the employee’s resignation he/she will have no rights to return to the position.
     The Pennsylvania Turnpike Commission may immediately proceed to fill the vacancy.


D.   Definitions:

     Available Vacation Leave: Shall mean the available balance of accrued vacation leave at the time
     the request for retirement or separation is approved.
                                                  45 of 211
     Vested Service: State service is vested through SERS when an employee has five years of service
     and is under age 60 or three years of service and is over age 60.

     Active Medical Benefit Status: Shall mean that employees will have active medical benefits
     during this time period.


E.   Procedures:

     The employee should request in his/her resignation letter to use “available vacation leave" prior to
     separating employment. The employee’s immediate supervisor must receive this letter 10 days
     prior to beginning the leave. The adjusted date of actual resignation should be the date the
     employee will no longer be in active status. This date will be after the employee exhausts his/her
     “available vacation leave” or uses the amount of leave requested.

     The request for leave prior to resignation will be reviewed by the Chief/Director. If approved, the
     Chief/Director should initial the letter and forward it along with the Recommendation for
     Personnel Action (72-52) form for the prospective retiree or person resigning with vested service
     to Human Resources.

     Human Resources will verify the actual "available vacation leave". If the employee qualifies for
     leave under this policy, the Director of Human Resources will send the employee a letter
     indicating actual "available vacation leave" and an acceptance his or her resignation. A copy of
     the letter will be sent back to the Chief/Director of the Department.

     Human Resources will ensure the employee's salary is frozen at the salary they were receiving on
     the last day worked and the employee’s vacation and sick leave accruals end on the last day they
     are in active status.

     The Payroll Department will ensure that paychecks continue bi-weekly until “available vacation
     leave” is exhausted and that holiday pay is not given to employees in this leave status. Retirement
     deductions will continue to be taken out of the bi-weekly paychecks while the employee is using
     his\her “available vacation leave”.

     Upon acceptance of the employee’s resignation, the Chief/Director of the Department may treat
     the position as a vacancy and begin the process to fill the position. As long as there is sufficient
     funding in the Department budget, the position may be posted and filled prior to the actual last day
     of the employee’s vacation leave by following the appropriate approval process.




                      This Policy Letter supersedes all previous Policy Letters on this subject.




                                                      46 of 211
PTC 502005539 (12/05)
                                                                           Number:
                                                                           2.13
                        PENNSYLVANIA TURNPIKE
                                                                           Approval Date:
                             COMMISSION                                    6/1/2004
                        POLICY AND PROCEDURE                               Effective Date:
                                                                           6/16/2004
Policy Subject:                          This is a statement of official
                                         Pennsylvania Turnpike             Revised Date:
2.13 - Compliance with the PA
                                         Commission Policy
Whistleblower Law
                                         Responsible Department:
                                         Operations Review



A.   Purpose:


     The purpose of this policy is to ensure the compliance of the Pennsylvania Turnpike Commission
     with the statutes contained in PA Act 169 of 1986, known as the Whistleblower Act, and to set
     guidelines for the protection of employees that report, in good faith, acts of wrongdoing or waste
     to the PTC or appropriate enforcement agency.


B.   Scope:

     This policy applies to all Commission employees in all locations. It provides information regarding
     the Whistleblower Law (PA Act 169 of 1986) codified at 43 P.S. §§ 1421-1428.


C.   General Policy:

     It is the policy of the Pennsylvania Turnpike Commission that all employees shall be afforded
     protection under the Act of December 12, 1986, known as the Whistleblower Law. The Law
     provides legal protections to public employees who report, in good faith, wrongdoing or waste to
     their employer or to an appropriate enforcement agency.


D.   Definitions:

     Appropriate authority. A Federal, State or local government body, agency or organization having
     jurisdiction over criminal law enforcement, regulatory violations, professional conduct or ethics, or
     waste; or a member, officer, agent, representative or supervisory employee of the body, agency or
     organization. The term includes, but is not limited to, the Office of Attorney General, the
     Department of the Auditor General, the Treasury Department, the General Assembly and
     committees of the General Assembly having the power and duty to investigate criminal law
     enforcement, regulatory violations, professional conduct or ethics, or waste.

     Employee. A person who performs a service for wages or other remuneration under a contract of
     hire, written or oral, express or implied, for a public body.
                                                47 of 211
      Employer. A person supervising one or more employees, including the employee in question; a
      superior of that supervisor; or an agent of a public body.

      Good faith report. A report of conduct defined in this act as wrongdoing or waste, which is made
      without malice or consideration of personal benefit, and which the person making the report has
      reasonable cause to believe is true.

      Public body. All of the following:
       (1) A State officer, agency, department, division, bureau, board, commission, council, authority or
      other body in the executive branch of State government.
       (2) A county, city, township, regional governing body, council, school district, special district or
      municipal corporation, or a board, department, commission, council or agency.
       (3) Any other body which is created by Commonwealth or political subdivision authority or which
      is funded in any amount by or through Commonwealth or political subdivision authority or a
      member or employee of that body.

      Waste. An employer's conduct or omissions that result in substantial abuse, misuse, destruction or
      loss of funds or resources belonging to or derived from Commonwealth or political subdivision
      sources.

      Whistleblower. A person who witnesses or has evidence of wrongdoing or waste while employed
      and who makes a good faith report of the wrongdoing or waste, verbally or in writing, to one of the
      person's superiors, to an agent of the employer or to an appropriate authority.

      Wrongdoing. A violation which is not of a merely technical or minimal nature of a Federal or
      State statute or regulation, of a political subdivision ordinance or regulation or of a code of conduct
      or ethics designed to protect the interest of the public or the employer.


E.    Procedures:


     a. The Pennsylvania Turnpike Commission is required to post notices and use other appropriate
     means to notify employees and keep them informed of protections and obligations provided under
     the Whistleblower Law. A copy of the enclosure will be posted at each Commission location. The
     notification includes the full text of the Whistleblower Law. All employees will be made aware of
     the notification and where it is posted.

     b. The Human Resources department will ensure that newly hired employees are informed of the
     provisions of the Whistleblower Law. In addition, provisions of the law will be incorporated into
     appropriate supervisory and management training programs.

     c. Employers may not discharge, threaten or otherwise discriminate or retaliate against an
     employee regarding the employee's compensation, terms, conditions, location or privileges of
     employment because the employee or a person acting on behalf of the employee:
        (1) Makes a good faith report or is about to report, verbally or in writing, an instance of
        wrongdoing or waste to the Commission’s Operations Review Department, the Office of
        Inspector General, or to an appropriate enforcement authority.
        (2) Is requested by an appropriate enforcement authority to participate in an investigation,
        hearing, inquiry, or court action.
                                                  48 of 211
d. Within 180 days after an alleged violation of the Whistleblower Law, the affected employee may
bring a civil action in court for injunctive relief and/or damages. The employee must show by a
preponderance of evidence that, prior to the alleged reprisal, he or she had reported or was about to
report an instance of wrongdoing or waste to the employer or to an appropriate law enforcement
authority.

e. In defending against charges, the employer must provide a preponderance of evidence proving that
action against the employee occurred for separate and legitimate reasons.

f. Remedies and penalties for violation of the law may include the following:
    (1) Reinstatement of an employee, payment of back wages, reinstatement of fringe benefits and
    seniority rights, actual damages, or a combination of these remedies. The court may also award
    the complainant attorney’s fees and costs of litigation.
    (2) Against a person acting under the employer's authority, a civil fine of not more than $500
    and/or suspension from the public service for not more than six months.




                                             49 of 211
                                           EMPLOYEE NOTIFICATION

                                            WHISTLEBLOWER LAW

As of February 10, 1987, public employees are covered by the provisions of the Whistleblower Law, Act 1986-169.
The law provides legal protections to public employees who report wrongdoing or waste to their employer or to an
                        appropriate enforcement agency. The text of the act is as follows:

Providing protection for employees who report a violation or suspected violation of State, local or Federal law; providing
protection for employees who participate in hearings, investigations, legislative inquiries or court actions; and prescribing
                                                 remedies and penalties.

                 The General Assembly of the Commonwealth of Pennsylvania hereby enacts as follows:

Section 1. Short title. This act shall be known and may be cited as the Whistleblower Law.

Section 2. Definitions. The following words and phrases when used in this act shall have the meanings given to them in
this section unless the context clearly indicates otherwise:

"Appropriate authority." A Federal, State or local government body, agency or organization having jurisdiction over
criminal law enforcement, regulatory violations, professional conduct or ethics, or waste; or a member, officer, agent,
representative or supervisory employee of the body, agency or organization. The term includes, but is not limited to, the
Office of Attorney General, the Department of the Auditor General, the Treasury Department, the General Assembly and
committees of the General Assembly having the power and duty to investigate criminal law enforcement, regulatory
violations, professional conduct or ethics, or waste.

"Employee." A person who performs a service for wages or other remuneration under a contract of hire, written or oral,
express or implied, for a public body.

"Employer." A person supervising one or more employees, including the employee in question; a superior of that
supervisor; or an agent of a public body.

"Good faith report." A report of conduct defined in this act as wrongdoing or waste, which is made without malice or
consideration of personal benefit, and which the person making the report has reasonable cause to believe is true.

"Public body." All of the following:
 (1) A State officer, agency, department, division, bureau, board, commission, council, authority or other body in the
executive branch of State government.
 (2) A county, city, township, regional governing body, council, school district, special district or municipal corporation,
or a board, department, commission, council or agency.
 (3) Any other body which is created by Commonwealth or political subdivision authority or which is funded IN ANY
AMOUNT by or through Commonwealth or political subdivision authority or a member or employee of that body.

"Waste." An employer's conduct or omissions that result in substantial abuse, misuse, destruction or loss of funds or
resources belonging to or derived from Commonwealth or political subdivision sources.

"Whistleblower." A person who witnesses or has evidence of wrongdoing or waste while employed and who makes a
good faith report of the wrongdoing or waste, verbally or in writing, to one of the person's superiors, to an agent of the
employer or to an appropriate authority.


                                                         50 of 211
"Wrongdoing." A violation which is not of a merely technical or minimal nature of a Federal or State statute or
regulation, of a political subdivision ordinance or regulation or of a code of conduct or ethics designed to protect the
interest of the public or the employer.

Section 3. Protection of employees.
 (a) Persons not to be discharged. – No employer may discharge, threaten or otherwise discriminate or retaliate against
an employee regarding the employee's compensation, terms, conditions, location or privileges of employment because the
employee or a person acting on behalf of the employee makes a good faith report or is about to report, verbally or in
writing, to the employer or appropriate authority an instance of wrongdoing or waste.

(b) Discrimination prohibited. – No employer may discharge, threaten or otherwise discriminate or retaliate against an
employee regarding the employee's compensation, terms, conditions, location or privileges of employment because the
employee is requested by an appropriate authority to participate in an investigation, hearing or inquiry held by an
appropriate authority or in a court action.

Section 4. Remedies.
 (a) Civil action. – A person who alleges a violation of this act may bring a civil action in a court of competent
jurisdiction for appropriate injunctive relief or damages, or both, within 180 days after the occurrence of the alleged
violation.

 (b) Necessary showing of evidence. – An employee alleging a violation of this act must show by a preponderance of the
evidence that, prior to the alleged reprisal, the employee or person acting on behalf of the employee had reported or was
about to report in good faith, verbally or in writing, an instance of wrongdoing or waste to the employer or an appropriate
authority.

(c) Defense. – It shall be a defense to an action under this section if the defendant proves by a preponderance of the
evidence that the action by the employer occurred for separate and legitimate reasons, which are not merely pretextual.

(d) Civil service employees. – An employee covered by civil service who contests a civil service action, believing it to
be motivated by his having made a good faith report, verbally or in writing, of an instance of wrongdoing or waste, may
submit as admissible evidence any or all material relating to the action as whistleblower and to the resulting alleged
reprisal.

Section 5. Enforcement. A court, in rendering a judgment in an action brought under this act, shall order, as the court
considers appropriate, reinstatement of the employee, the payment of back wages, full reinstatement of fringe benefits
and seniority rights, actual damages or any combination of these remedies. A court may also award the complainant all or
a portion of the costs of litigation, including reasonable attorney fees and witness fees, if the court determines that the
award is appropriate.

Section 6. Penalties. A person who, under color of an employer's authority, violates this act shall be liable for a civil fine
of not more than $500. Additionally, except where the person holds an elected public office, if the court specifically finds
that the person, while in the employment of the Commonwealth or a political subdivision, committed a violation of this
act with the intent to discourage the disclosure of criminal activity, the court may order the person's suspension from
public service for not more than six months. A civil fine, which is ordered under this section, shall be paid to the State
Treasurer for deposit into the General Fund.

Section 7. Construction. This act shall not be construed to require an employer to compensate an employee for
participation in an investigation, hearing or inquiry held by an appropriate authority, or impair the rights of any person
under a collective bargaining agreement.


                                                          51 of 211
Section 8. Notice. An employer shall post notices and use other appropriate means to notify employees and keep them
informed of protections and obligations under this act.

Section 9. Effective date. This act shall take effect immediately.




                                 This notice is to be posted at all locations immediately




                              This Policy Letter supersedes all previous Policy Letters on this subject.




                                                              52 of 211
PTC 502005539 (12/05)
                                                                            Number:
                                                                            2.14
                        PENNSYLVANIA TURNPIKE
                                                                            Approval Date:
                             COMMISSION                                     9-5-2006
                        POLICY AND PROCEDURE                                Effective Date:
                                                                            9-20-2006
Policy Subject:                           This is a statement of official
                                          Pennsylvania Turnpike             Revised Date:
2.14 - Public Employee Pension
                                          Commission Policy
Forfeiture Act No. 1978-140
                                          Responsible Department:
                                          Human Resources



A.   Purpose:

     To describe the duties and responsibilities of the Pennsylvania Turnpike Commission
     (Commission) for reporting to the State Employees’ Retirement System (SERS) members who are
     convicted or plead guilty or no defense to certain crimes related to public office or public
     employment and to provide eligibility guidelines for continuation of Commission-provided health
     benefits for employees who are convicted or plead guilty or no defense to certain crimes related to
     public office or public employment.

B.   Scope:

     This policy applies to all employees of the Commission to the extent that its terms do not conflict
     with those of a current collective bargaining agreement.

C.   General Policy:


     a. As a reasonable condition of employment, an employee affirms and reaffirms his or her
     commitment to perform his or her job with honesty and integrity while employed by the
     Commission and as a member of SERS, regardless of whether the public employment is on a
     fulltime or part-time basis. The agreement to perform the term of public service without violating
     Act 1978-140 (The Pennsylvania Consolidated Statutes of July 8, 1978, (43 P.S. §§1311-1315),
     P.L. 140.) is in effect as long as the individual remains a member of SERS. As such, whether or
     not a public employee's right to receive a retirement benefit has vested or he or she is in actual
     receipt of benefits, all previous accumulated rights to receive such benefit are subject to forfeiture
     by and through the "renewed" agreement which is formed each time a person chooses to become a
     "public employee or public official" as defined by §1312, or is elected, appointed, promoted, or
     otherwise changes a job classification as a public official or public employee. For a forfeiture to
     occur, SERS member must be charged and convicted or plead guilty or no defense to a crime listed
     in Act 1978-140.




                                                 53 of 211
b. The following criminal offenses as set forth in Title 18 of the Pennsylvania Consolidated
Statutes or other enumerated statute when committed by a public official or public employee
through his or her public office or position or when his or her public employment places him or her
in a position to commit one of the following criminal offenses, can trigger the application of Act
1978-140:


(1) §3922 (relating to theft by deception);


(2) §3923 (relating to theft by extortion);


(3) §3926 (relating to theft of services);


(4) §3927 (relating to theft by failure to make required disposition of funds received). The
provisions of paragraphs (1) through (4) shall only apply when the criminal culpability
(misconduct) reaches the level of a misdemeanor of the first degree or higher.


(5) §4101 (relating to forgery);


(6) §4104 (relating to tampering with records or identification);


(7) §4113 (relating to misapplication of entrusted property and property of government or financial
institutions) when the criminal culpability (misconduct) reaches the level of misdemeanor of the
second degree;


(8) §4701 (relating to bribery in official and political matters);


(9) §4702 (relating to threats and other improper influence in official and political matters);


(10) §4902 (relating to perjury);


(11) §4903(a) (relating to false swearing);


(12) §4904 (relating to unsworn falsification to authorities);


(13) §4906 (relating to false reports to law enforcement authorities);


(14) §4907 (relating to tampering with witnesses and informants);


(15) §4908 (relating to retaliation against witness or informant);

                                              54 of 211
     (16) §4909 (relating to witness or informant taking bribes);


     (17) §4910 (relating to tampering with or fabricating physical evidence);


     (18) §4911 (relating to tampering with public records or information);


     (19) §5101 (relating to obstructing administration of law or other governmental function);


     (20) §5301 (relating to official oppression);


     (21) §5302 (relating to speculating or wagering on official action or information).


     (22) Article III, Act of March 4, 1971 (P.L. 6., No. 2), known as the "Tax Reform Code of 1971".


     c. In addition to the foregoing specific crimes, also included are all criminal offenses as set forth in
     federal law substantially the same as the crimes listed above.


     d. If SERS determines that an employee’s pension should be forfeited, the Commission will
     promptly terminate the employee’s health coverage provided by the Commission or any of its
     health insurance providers. The termination of health coverage will be retroactive to the date of the
     criminal conviction, and any amount paid on behalf of the employee between the date of conviction
     and the date of pension forfeiture shall be promptly reimbursed to the Commission by the
     employee.

     e. This policy does not limit the Commission’s ability to impose appropriate discipline, up to and
     including termination, on an employee following a criminal conviction.

D.   Definitions:


     COBRA – Consolidated Omnibus Budget Reconciliation Act which was passed in 1986. The law
     amends the Employee Retirement Income Security Act, the Internal Revenue Code and the Public
     Health Service Act to provide continuation of group health coverage that otherwise might be
     terminated.


     Criminal Conviction – Conviction, a plea of guilty or a plea of no defense or no contest to a
     criminal offense.


     Health Coverage – Medical, Prescription, Dental or Vision insurance.

     SERS – State Employees’ Retirement System




                                                  55 of 211
E.   Procedures:


     HR Director


     •Notifies SERS, Bureau of Benefit Administration and the Commission’s Legal Department of any
     possible Act 1978-140 cases. Notification should be given as soon as the member is charged with
     a crime. If available, notification should include:


     1. Location of crime and date


     2. Court docket numbers


     3. Newspaper articles regarding the crime and the member


     4. Sentencing orders


     5. Name of court in which proceedings occurred or will occur


     6. Amount of any monetary loss to the Commission


     • Upon notification by SERS of a pension forfeiture, cancels all health benefits effective as of the
     date of the criminal conviction.


     • Sends the employee a benefit continuation notice in accordance with COBRA.


     Health benefits will not continue during any appeal(s) of a conviction or of a pension forfeiture.
     Any health coverage claims incurred after the date of the criminal conviction shall be the
     responsibility of the employee. However, if the Commission is later notified by SERS of a pension
     reinstatement, the employee shall be entitled to reinstatement of Commission health benefits back
     to the date of cancellation.


     SERS


     • Upon notification, SERS will determine if the member is subject to pension forfeiture and follow
     internal procedures to forfeit the pension in accordance with Act 1978-140.

     Any questions concerning the forfeiture of a member's pension should be directed to SERS, Bureau
     of Benefit Administration.


                      This Policy Letter supersedes all previous Policy Letters on this subject.

                                                      56 of 211
PTC 502005539 (12/05)
                                                                           Number:
                                                                           2.15
                        PENNSYLVANIA TURNPIKE
                                                                           Approval Date:
                             COMMISSION                                    10-02-2007
                        POLICY AND PROCEDURE                               Effective Date:
                                                                           10-17-2007
Policy Subject:                          This is a statement of official
                                         Pennsylvania Turnpike             Revised Date:
2.15 - Approval Authorization
                                         Commission Policy

                                         Responsible Department:
                                         Human Resources and Finance



A.   Purpose:

       To establish policies, responsibilities and procedures for approving financial transactions and
       personnel matters.

B.   Scope:

       This policy sets out the approval authorizations and associated maximum dollar levels required
       for processing financial transactions and personnel matters within the Commission as set forth
       herein. It does not address approval of or signatures necessary to enter into a contract or agenda
       item. Further, this policy does not address procedures or rules for Purchasing, which are covered
       by Procurement Policy or the Purchasing Manual. This policy applies to all Commission
       employees who have approval authorization.


C.   General Policy:

       1. All financial transactions and all personnel matters must be approved by the Commission or an
          authorized Commission employee.

       2. For any employee authorized to approve a financial transaction(s) and/or personnel matter, a
          document must be on file in the Secretary Treasurer’s office containing a specimen of his/her
          signature, a list of financial transactions and/or personnel matters he/she is authorized to
          approve, and the cost centers over which he/she has approval authority.

       3. An employee shall be designated to approve financial transaction and/or personnel matters as
          set forth in Appendix “A.”

       4. Appendix “A” identifies the limits or authorization approvals that are established for
          employees as it relates to each type of financial transaction and/or personnel matter.

          Appendix “A” includes:
             a. The approval signatures required for each type of financial transaction and/or
                 personnel matter

                                                57 of 211
                b. The maximum dollar limit authorized where applicable.

       5. The CEO or his designee shall review and approve a list of all individuals designated with
          approval authority, which shall be provided to him by the Secretary Treasurer’s Office at a
          minimum of once annually.

       6. Each person approving a financial transaction or personnel matter must affix his/her signature
          to the appropriate document either physically or electronically.

       7. No individual at the Commission may approve any financial transaction or personnel matter
          that accrues personal benefit to that individual.

       8. No exceptions to this policy are permitted without Commission approval.


D.   Procedures for Designating Signature Authority:

       1. Designating Signature Authority
          When an employee is hired, transferred or promoted into a position with approval authority,
          the department head shall complete a Signature Authorization Control Form and forward it to
          the Secretary Treasurer’s Office with a copy to the Human Resources and Information
          Technology Departments. Upon receipt, the IT Department shall immediately enable or
          disable the approval authority in accordance with the Signature Authorization Control Form.

       2. Removing Signature Authority
          When an employee with approval authority terminates his or her employment with the
          Commission or when the Commission transfers or promotes an employee into or out of a
          position with approval authority, the department head shall complete a Signature
          Authorization Control Form and forward it to the Secretary Treasurer’s Office, with a copy to
          the Information Technology Department. Upon receipt, the IT Department shall immediately
          enable or disable the approval authority in accordance with the Signature Authorization
          Control Form.

       3. Annual Review Process
          As part of the annual review of authorized approval authority or at any time necessary, a
          department head may add, remove, or adjust an employee’s approval authority. Copies of
          changes must be forwarded to the Information Technology Department and the Secretary
          Treasurer’s Office.

       4. Modifications
          No modifications to the approval authorities are permitted without Commission Approval.




     If any conflicts exist between this document and the policy document cited, the policy document takes precedence.



                                                        58 of 211
         SIGNATURE AUTHORIZATION CONTROL FORM
Check to indicate if this is an       Addition                 Removal
Authorized Signatory
Reason



Name
Role
Signature


Department Head
Name
Signature


CEO/COO Direct Report
Name
Signature


VALIDATION (Accounting)
Title
Name
Signature


Comments




Forms Should be forwarded to Signature Control in Accounting




                                             59 of 211
                                                                Appendix A – Approval Levels
                                             COO DIRECT REPORT OR                 CHIEF EXECUTIVE
ITEMS                                              DESIGNEE                           OFFICER              COMMISSION APPROVAL           SOURCE DOCUMENT


Engineering Construction Contracts
        Change Order-Category 1*             Up to $150,000 -                                             Any Category 1 Change Order       Policy Letter 6.1
                                             Construction Engineering                                     above the Contingency Amount
                                             Manager                                                      requires Commission Approval
                                             Up to $300,000 - Asst. Chief
                                             Engineer
                                             Over $300,000 and under
                                             contingency amount - Chief
                                             Engineer
         Change Order-Category 2**                                                                        Requires Commission Approval      Policy Letter 6.1
         Outside Scope of Agreement                                                                       Requires Commission Approval      Policy Letter 6.1
         Final Change Orders                                                                              Requires Commission Approval      Policy Letter 6.1
         Final Payments                                                                                   Requires Commission Approval    Contracting Policies
                                                                                                                                          &Procedures Manual
     *   Category 1 Change Order
         Adjustments required to meet actual field conditions encountered
         Work in amounts greater than the original scope
         Adjustments in quantities to reflect actual work performance
         Changes in design and/or specifications that maintain the original intent of the project


Engineering Utility Relocations
        Reimbursement letter                 Up to $25,000 with the          Chief Engineer or designee      Over $25,000 Requires       Resolution approved at
        agreements for utility               concurrence of the Legal        to execute the                  Commission Approval         the September 5, 2006
        relocations/ municipality review     Dept.                           reimbursement letter                                        Commission Meeting
        fees                                                                 agreements                                                            G-4
                                                                                                                                          Resolution approved at
                                                                                                                                          the November 14, 2006
                                                                                                                                            Commission meeting




  Appendix A                                                                60 of 211                                 Appendix Last Updated: October 2006
                                                             Appendix A – Approval Levels
                                             COO DIRECT REPORT                  CHIEF EXECUTIVE
    ITEMS                                       OR DESIGNEE                         OFFICER             COMMISSION APPROVAL               SOURCE DOCUMENT

Purchasing
                 Material Request          1. Up to $25,000 – Cost Center               N/A                         N/A                       PMMS Manual
                                              Mgr.                                                                                             (Section 6)
                                           2. Over $25,000- COO Direct
                                              Report
                 Purchase Order*           1. Up to $50,000- Procurement        $50,001 - $100,000        Over $100,000 Requires          Purchasing Policies and
                                              and Materials Control                                        Commission Approval              Procedures Manual
                                              Manager                                                                                              (pg 8)
                 Change Orders to P.O.     1. Up to $10,000- Procurement         $10,001- $50,000         Over $50,000 Requires           Purchasing Policies and
                                               and Materials Control                                      Commission Approval               Procedures Manual
                                               Manager                                                                                           (pg 44)




Contract Administration
                 Agreements/Contracts/                                                               Requires Commission Approval                Policy Letters
                 Supplements                                                                                                                       6.1 & 7.4
                                                                                                                                          Contracting Policies &
                                                                                                     The two ways to obtain approvals      Procedures Manual
                                                                                                     are:                                  (Section 3, page 9)
                                                                                                     1. Approval to negotiate & execute
                                                                                                     2. Approval to negotiate only and
                                                                                                        will have to go back for
                                                                                                        execution
                 ITQ guidelines            Up to $10,000 with                                        Over $10,000 goes to Commission      Contracting Policies &
                 (Invitation to Qualify)   concurrence of CEO                                                      via PTRC                Procedures Manual
                                                                                                                                              (attachment)
                                           Reported to Commission on
                                           Purchasing Report




  Appendix A                                                                61 of 211                               Appendix Last Updated: October 2006
                                                            Appendix A – Approval Levels
                                           COO DIRECT REPORT OR              CHIEF EXECUTIVE
ITEMS                                            DESIGNEE                        OFFICER             COMMISSION APPROVAL           SOURCE DOCUMENT

Legal
        Settlements/taxable Court            Up to $50,000 - Chief           $50,001 to $100, 000      Over $100,000 Requires      Resolution approved at
        Costs, Recording Fees, Real-         Counsel/Deputy Chief                                       Commission Approval        the December 4, 2001
        Estate Taxes, Municipal and                Counsel                                                                         Commission Meeting
        Municipal Authority                                                                                                                G-14
        Assessments, Professional
        Svcs. Including Attorney, Expert
        Witness, and Appraisal Fees
        and All Unappealed Verdicts &
        Viewers Awards with Interest
        Accrued                             Reported to Commission


        Property Damage Claims             Up to and including $10,000                                 Over $10,000 Requires       Resolution approved at
        Workers Compensation Liens,        Chief Counsel/Deputy Chief                                  Commission Approval         the December 4, 2001
        and other Litigation Claims        Counsel (with concurrence                                                                Commission Meeting
                                                    by CFO)                                                                                 G-14

                                            Reported to Commission

        Right-of-Way Acquisitions                                                                   Requires Commission Approval




  Appendix A                                                             62 of 211                              Appendix Last Updated: October 2006
                                                         Appendix A – Approval Levels
                                         COO DIRECT REPORT OR            CHIEF EXECUTIVE
ITEMS                                          DESIGNEE                      OFFICER           COMMISSION APPROVAL           SOURCE DOCUMENT

Risk Management
        Auto/General Liability Claims      Up to $10,000 - Chief                                 Over $10,000 Requires       Resolution approved at
                                           Counsel/Deputy Chief                                  Commission Approval         the December 4, 2001
                                         Counsel (with concurrence                                                            Commission Meeting
                                                  of CFO)                                                                             G-14
         Property Damage Claim-Write-      Up to $10,000 - Chief                                 Over $10,000 Requires       Resolution approved at
         Off                               Counsel/Deputy Chief                                  Commission Approval         the December 4, 2001
                                         Counsel (with concurrence                                                            Commission Meeting
                                                  of CFO                                                                              G-14

Property Management
        Transactions Resulting in One-    Up to $15,000 - Property       $15,001 to $20,000      Over $20,000 Requires          Policy Letter 9.1
        Time or Yearly Income to the     Manager (with concurrence                               Commission Approval
        Commission                           of Chief Counsel)




         Leases with terms that exceed                                                        Requires Commission Approval      Policy Letter 9.1
         10 years and cannot be
         terminated by the Commission
         prior to that time




  Appendix A                                                         63 of 211                            Appendix Last Updated: October 2006
                                                    Appendix A – Approval Levels
Personnel Matters                   Supervisor/Project   COO Direct       Human         CEO           Commissioners
                                        Manager           Report or      Resources
                                                          Designee
Authorization for Direct Deposit
Request for Duplicate W-2 form
Earned Income Tax Questionnaire
Sick Leave Request                          X
Administrative Leave Request                X                X
Personal Leave Request                   1-5 days        6-15 days       16-30 days   31-90 days
Bereavement Leave Request                   X
Childrearing Leave Request                  X                                X
Civil Leave Request                         X
Military Leave Request                      X
Time Sheets                                 X
Identification Card Request
Request for Accommodation                   X                                X
FMLA                                        X                                X
Sick and Accident                           X                                X
Equity Adjustment                           X                X                            X                  X
Reclassification                            X                X                            X                  X
Request to Create Position                                   X                            X                  X
Request to Post and Fill Position                            X                            X                  X
Employee Recognition                                         X                            X
Performance Evaluations                     X                X




 Appendix A                                                  64 of 211                        Appendix Last Updated: October 2006
                                                    Appendix A – Approval Levels
Financial Transactions              Supervisor/Project   COO Direct        Finance          CEO           Commissioners
                                        Manager           Report or       Department
                                                          Designee

Employee Payroll Adjustment                 X                X                X
Petty Cash Disbursement                     X                                 X
Travel Expense Voucher                      X                                 X
                                                                                              X
Conference Seminar, Speaker,
                                            X                X                         Beyond bordering
Pre-Approval
                                                                                            states
Refund Check Request                        X                X                X
Wire Transfer                               X                X                X
Check Request                               X
Invoices-Construction & Design
Contracts- (Up to Contract                  X                X
Amount)
Travel Advance                              X                X                X
Tuition Reimbursement Request               X                X                X
Special Payment Request                     X                X                X


Vehicle and Equipment               Supervisor/Project   COO Direct          CEO        Commissioners
                                        Manager           Report or
                                                          Designee

Vehicle Assignment Request                                    X                X
Vehicle & Equipment Accident,
                                             X
Theft & Vandalism
Request for Pool Car                         X
Daily Record of Vehicle Operation            X
Vehicle Inspection Report




 Appendix A                                                   65 of 211                            Appendix Last Updated: October 2006
                                                           Appendix A – Approval Levels

Procurement                            Supervisor/Project       COO Direct      CEO       Commissioners
                                           Manager               Report or
                                                                 Designee
Request for Proposals (RFP)                      X                  X            X             X*
Competitive Sealed Bidding                       X                  X            X             X*
                                                                    X
Sole Source (Contracts)                          X                               X             X
                                                                and Legal
Sole Source (Other)                              X                  X            X             X
Inventory Activity                               X
Request for Disposal of
                                                 X              Purchasing
Used/Obsolete Material/Equipment

*Projects in the first two years of the approved Capital
Plan do not require Individual approval by the
Commission

Information Technology                 Supervisor/Project       COO Direct      CEO       Commissioners
                                           Manager               Report or
                                                                 Designee


Technology Request                               X                  X


Work Space Needs Request                         X                  X




 Appendix A                                                         66 of 211                       Appendix Last Updated: October 2006
PTC 502005539 (12/05)
                                                                                   Number:
                                                                                   3.1
                        PENNSYLVANIA TURNPIKE
                                                                                   Approval Date:
                             COMMISSION
                        POLICY AND PROCEDURE                                       Effective Date:
                                                                                   9/4/1975
Policy Subject:                             This is a statement of official
                                            Pennsylvania Turnpike                  Revised Date:
3.1 - Assistance by Turnpike                                                       1/29/2001
                                            Commission Policy
Employees
                                            Responsible Department:
                                            Operations and Incident Management



A.   Purpose:

       All Pennsylvania Turnpike Commission employees have a responsibility while traveling the Turnpike
       to render whatever assistance they can safely provide when requested by customers or other Turnpike
       employees providing their actions do not place their own, or any customer’s, safety in jeopardy

B.   Scope:

       This policy applies to all employees of the Pennsylvania Turnpike Commission.

C.   General Policy:

       Pennsylvania Turnpike employees should be prepared at all times to give assistance where needed,
       particularly when that assistance is requested by customers or other Turnpike employees. Continued
       efforts in this matter by all employees help in our joint responsibility for customer satisfaction and
       maintaining a good neighbor image in the minds of our customers.

D.   Definitions:

       Radio equipped vehicles can be used to notify the Operations Center to report accidents, unsafe
       conditions, customers needing assistance, or any other unusual conditions. Employees with radio or
       cell phone capability should remain at an incident scene to maintain communications with the
       Operations Center until the arrival of responding units. Commission employees should take appropriate
       action to correct unsafe conditions, i.e. removing debris or other road hazards from traffic lanes.

E.   Procedures:

       EMPLOYEES SHOULD NEVER TAKE ANY ACTION THAT WOULD PLACE THEIR
       PERSONAL SAFETY IN JEOPARDY.


                         This Policy Letter supersedes all previous Policy Letters on this subject.




                                                         67 of 211
PTC 502005539 (12/05)
                                                                                    Number:
                                                                                    3.2
                        PENNSYLVANIA TURNPIKE
                                                                                    Approval Date:
                             COMMISSION
                        POLICY AND PROCEDURE                                        Effective Date:
                                                                                    12/2/1975
Policy Subject:                              This is a statement of official
                                             Pennsylvania Turnpike                  Revised Date:
3.2 - External Employee
                                             Commission Policy
Communications
                                             Responsible Department:
                                             Legal Department



A.   Purpose:

       Sometime ago, the employees of the Pennsylvania Turnpike Commission were advised to immediately
       contact the Chief Counsel and notify him when any person presented himself or herself, at any
       Turnpike installation, and attempted to obtain information concerning any incident, especially
       accidents, that occurred on the Pennsylvania Turnpike. This is also true, when any Turnpike employee
       is approached and requested to make a statement or is served with a subpoena to appear and testify
       concerning any Turnpike matter or is served with a complaint.

       It has been brought to my attention that in some cases, the above instructions have been ignored.


B.   Procedures:

       Reiterating our former instructions, henceforth, any employee who becomes aware of an investigation
       being conducted on the Turnpike, other than one by the Pennsylvania State Police, or is approached by
       an investigator or is served with a subpoena or complaint, will immediately, before offering any
       information, contact the office of Chief Counsel of the Turnpike, and notify him of the presence of the
       individual, and seek his advice as to the method and manner of handling the situation. It is imperative
       that this procedure be followed in all cases. Failure to do so can result in substantial financial loss to
       the Commission. Failure to heed this notice may result in suspension or dismissal.




                          This Policy Letter supersedes all previous Policy Letters on this subject.




                                                          68 of 211
PTC 502005539 (12/05)
                                                                             Number:
                                                                             3.3
                        PENNSYLVANIA TURNPIKE
                                                                             Approval Date:
                             COMMISSION                                      11-17-1998
                        POLICY AND PROCEDURE                                 Effective Date:
                                                                             12-2-1998
Policy Subject:                            This is a statement of official
                                           Pennsylvania Turnpike             Revised Date:
3.3 - Sexual Harassment and Sexual                                           3-20-2001
                                           Commission Policy
Discrimination
                                           Responsible Department:
                                           Legal / Human Resources (Equal Opportunity/Training &
                                           Education)


A.   Purpose:

     To reaffirm the policy and procedure(s) of the Pennsylvania Turnpike Commission on the issues of
     sexual harassment and sexual discrimination and to inform all personnel of their duties and
     responsibilities with regard to this subject.

B.   Scope:

       This policy letter applies to all employees of the Pennsylvania Turnpike Commission, at every level. It
       provides information and guidelines relating to the Commission’s policy against sexual harassment and
       discrimination and procedures for reporting and handling complaints of violations of the policy.


C.   General Policy:

       It is the policy of the Pennsylvania Turnpike Commission (“Commission”) to provide an environment
       which is free of sexual harassment and discrimination. Sexual harassment and discrimination are
       prohibited by state and federal law as well as by the Commission’s Equal Opportunity Policy. Sexual
       harassment or discrimination by any employee or non-employee, including any employee of a vendor
       or contractor, will not be tolerated. The Commission is committed to the proposition that its employees
       and others working at or visiting its facilities are entitled to be treated in a respectful, dignified and non-
       offensive manner.

       It is a violation of Commission policy for any employee to sexually harass or discriminate against
       another employee, including an employee of the same sex, by:

       1. engaging in sexually based verbal, non-verbal or physical conduct of an unwelcome or offensive
          nature; or
       2. making unwelcome sexual advances or requests for sexual favors or other verbal, non-verbal or
          physical conduct of a sexual nature a condition (explicit or implicit) of an individual’s employment;
       3. making submission to or rejection of such conduct the basis for employment decisions affecting the
          individual; or


                                                      69 of 211
        4. creating an intimidating, hostile or offensive working environment by such conduct; or
        5. engaging in such conduct with the purpose or effect of unreasonably interfering with an individual’s
           work performance; or
        6. treating a person or class of persons unequally based on gender; or
        7. denying employment opportunities or benefits to an individual because another individual has
           submitted to sexual advances or requests for sexual favors and has received employment
           opportunities and benefits in return (often referred to as third party sexual harassment).

     It is also a violation of Commission policy for any employee to subject customers of or visitors to
     Commission facilities to sexual harassment or discrimination of any nature.

     This policy is gender-neutral. That is, the policy refers to unwanted attention from: male employees to
     female employees, female employees to male employees, and same gender sexual harassment or
     discrimination.


D.    Definitions:


        1.      The term sexual harassment does not refer to behavior or occasional compliments of a socially
                acceptable nature. Rather, it refers to behavior that is not welcome, that is personally offensive,
                that fails to respect the rights of others and that interferes with respectful interaction in the
                workplace. The terms sexual harassment and discrimination are used interchangeably for
                purposes of this policy.

        2.      The term discrimination as used in this policy refers only to sexual discrimination, not to any
                other form of discrimination such as race, age, national origin, etc.

        3.      The term verbal harassment or conduct includes, but is not limited to, sexual innuendoes,
                suggestive comments, jokes of a sexual nature, sexual propositions or threats.

        4.      The term non-verbal harassment or conduct includes, but is not limited to, sexually suggestive
                pictures or objects; graphic commentaries, written material or electronic communication;
                suggestive or insulting sounds; leering, whistling or obscene gestures.

        5.      The term physical harassment or conduct includes, but is not limited to, unwelcome touching,
                pinching, brushing the body, coerced sexual acts or assault.


E.    Procedures:


        1.      Any employee, including but not limited to a manager, supervisor, department head or
                Chief/Director, who acts in violation of this policy shall be subject to discipline up to and
                including suspension or termination.




                                                      70 of 211
2.   Supervisory personnel have the responsibility to insure that this policy is adhered to and shall
     take whatever action is necessary to insure that none of their subordinates engage in sexually
     harassing or discriminatory behavior.

3.   Any employee who feels that he or she has been sexually harassed or discriminated against is
     encouraged to keep a record of the employee(s) involved; the time, date and place of the
     incident(s); the nature of the alleged harassment or discrimination; and the identity of any
     witness(es).

4.   Any employee who feels that he or she has been sexually harassed or discriminated against,
     including but not limited to the conduct detailed in this policy, should immediately bring the
     problem to the attention of his or her immediate supervisor. An employee may also report the
     problem directly to the Human Resources Department (Equal Opportunity/Training &
     Education).

5.   Supervisory personnel will take all steps necessary to immediately address any alleged sexually
     harassing or discriminatory behavior by any of their subordinates when such behavior is brought
     to their attention, either officially or unofficially.

6.   All complaints will be investigated in a timely and confidential manner. In no event will
     information concerning a complaint be released to a third party (except as required by the
     Pennsylvania Human Relations Commission, Equal Employment Opportunity Commission or
     as otherwise required by law). The Commission will use its best efforts to prevent discussion of
     the information outside the investigation and will instruct parties involved in the investigation
     not to discuss the matter.

7.   Investigation of a complaint will normally include conferring with the parties involved and any
     named or apparent witness(es). Employees shall be guaranteed a fair and impartial
     investigation. All employees shall be protected from coercion, intimidation, retaliation,
     interference or discrimination for filing a complaint or assisting in an investigation.

8.   If the investigation reveals that the complaint is valid, the Commission will timely address the
     policy violation and take appropriate disciplinary action necessary to prevent a recurrence, up to
     and including suspension or termination.

9.   If the employee who complains of sexual harassment or discrimination is not satisfied with the
     response from his or her immediate supervisor, or if that supervisor is perceived to be involved
     in the sexually harassing or discriminatory behavior, the employee should bring the matter to the
     attention of the person who is next in line in the chain of command or to Equal
     Opportunity/Training & Education which will promptly investigate the complaint as set forth
     above.

     Complaints may be filed with Equal Opportunity/Training & Education (Human Resources) at:

                    Pennsylvania Turnpike Commission
                    Human Resources
                    Equal Opportunity/Training & Education
                    P.O. Box 67676
                    Harrisburg, Pennsylvania 17106
                    (717) 939-9551 Ext. 4241
                                          71 of 211
                     (within 90 days of incident)

      The determination of Equal Opportunity/Training & Education shall represent the final decision
      of the Pennsylvania Turnpike Commission on the issue raised by the employee who complains
      of sexual harassment.

10.   If any employee who complains of sexual harassment or discrimination is not satisfied with the
      results or recommendations of the Pennsylvania Turnpike Commission’s internal findings, he or
      she may forward the complaint to the agencies listed below:

      PA Human Relations Commission:

      Harrisburg Regional Office                            Pittsburgh Regional Office

      Riverside Office Complex, Fifth Floor                 11th Floor State Office Bldg.
      1101 S. Front Street                                  300 Liberty Avenue
      Harrisburg, Pennsylvania 17104                        Pittsburgh, PA 15222-1210
      (717) 787-9784 (Voice)                                (412) 565-5395 (Voice)
      (717) 787-7279 (TT)                                   (412) 5655711 (TT)

      Philadelphia Regional Office
      711 State Office Building
      1400 Spring Garden Street
      Philadelphia, PA 19130-4088
      (215) 560-2496 (Voice)
      (215) 560-3599 (TT)

                                  (within 180 days of incident)


      Equal Employment Opportunity Commission:

      Bourse Building                                       1001 Liberty Avenue
      Suite 400                                             Liberty Center
      21 S. Fifth Street                                    Suite 300
      Philadelphia, PA 19106-2515                           Pittsburgh, PA 15222-4187
      (215) 451-5800                                        (412) 644-3444

                              (within 300 days of incident)




                This Policy Letter supersedes all previous Policy Letters on this subject.




                                                72 of 211
PTC 502005539 (12/05)
                                                                            Number:
                                                                            3.4
                        PENNSYLVANIA TURNPIKE
                                                                            Approval Date:
                             COMMISSION                                     12/16/2008
                        POLICY AND PROCEDURE                                Effective Date:
                                                                            12/31/2008
Policy Subject:                           This is a statement of official
                                          Pennsylvania Turnpike             Revised Date:
3.4 – Smoking Policy                                                        11/28/2008
                                          Commission Policy

                                          Responsible Department:
                                          Human Resources



A. Purpose:

The purpose of this policy is to promote a safe and healthy environment for Pennsylvania Turnpike
Commission (Commission) employees and the public. It is intended to reduce the health risks associated with
exposure to tobacco smoke while developing clear guidelines for smoking on Commission property.

The Clean Indoor Air Act of 2008 places restrictions on smoking in public places and enclosed or substantially
enclosed workplaces and has set forth guidelines regarding smoking and its effect on non smokers and the
public.


B. Scope:

This policy letter applies to employees, supplemental employees, summer employees, contractors, customers
and visitors of the Commission. It provides information and guidelines relating to smoking on Commission
property.


C. General Policy:

It shall be the policy of the Commission to regulate smoking on Commission property in accordance with the
Clean Indoor Air Act of 2008 to accommodate the preferences of both the smoker and non-smoker.


D. Definitions

Smoking:
The carrying by a person of a lighted cigar, cigarette, pipe or other lighted smoking device.


Workplace:


                                                     73 of 211
An enclosed or substantially enclosed area serving as a place of employment, occupation, business, trade, craft,
or professional volunteer activity.


E. Procedures:

 1. Commission Facilities
     a. Smoking is prohibited within the confines of all Commission facilities, including but not limited to
       Administrative buildings, Maintenance sheds and offices, Fare Collection interchange buildings and toll
       booths and Engineering trailers.

     b. Smoking is prohibited where combustible fumes can collect, such as in a garage, near fuel pumps, in
       storage facilities, areas where chemicals are used, and all other designated places where an occupational
       safety or health hazard might exist.

     c. Smoking is permitted outside Commission facilities at designated locations only. Designated smoking
       locations shall be at least 20 feet from any building entrance or external restroom.

       The individual/department responsible for directing operations at the facility will ensure signs are
       posted at designated smoking areas, and that the designated smoking location will not inconvenience
       non smokers, customers or any other individuals.
          o The Director of Maintenance will ensure all changes are implemented at Maintenance locations.
          o The Director of Fare Collection will ensure that all changes are made at Fare Collection
              Interchanges and district offices.
          o The Chief Engineer will ensure that all changes are implemented at Engineering field offices.
          o The Director Of Operations/Projects – West will ensure changes are implemented at the
              Western Regional Office.
          o The Director Of Operations/Projects – East will ensure changes are implemented at the Eastern
              Regional Office.
          o The Director of Facilities will be responsible for implementation at the Central Administration
              Building and TIP Building


 2. Company Vehicles
   Smoking is prohibited in all Commission owned vehicles, including pool vehicles, all Maintenance and
   Fare Collection vehicles, Engineering vehicles, Safety vehicles and vehicles assigned to employees.

   The Maintenance Department will ensure that no-smoking stickers are placed inside all Commission
   vehicles.

 3. Individuals shall only be permitted to engage in smoking as part of, and not in addition to scheduled breaks
   and lunch periods in designated areas.

 4. Signs defining non smoking areas shall be posted at main entrances of all Commission facilities.


 5. The provisions of this policy should be made a part of the orientation of new employees, included in
   employee handbooks, and incorporated into appropriate training programs.



                                                    74 of 211
 6. Nothing contained in this policy shall be construed to impair or diminish or otherwise affect any
   contractual agreement, collective bargaining agreement, or collective bargaining procedures.

 7. Supervisors have the responsibility to ensure that this policy is adhered to and shall take appropriate action
   to ensure compliance.

 8. Individuals found in violation of this policy shall be subject to discipline, which may include the loss of
   Commission vehicle privileges, suspension or termination.

 9. A copy of this policy will be provided to any employee upon request.

10. The Facilities Department is responsible for obtaining and supplying smoking and non smoking area
   signage.

11. Questions regarding the implementation and enforcement of this policy shall be referred to the Director of
    Human Resources.




                         This Policy Letter supersedes all previous Policy Letters on this subject.




                                                         75 of 211
PTC 502005539 (12/05)
                                                                            Number:
                                                                            3.5
                        PENNSYLVANIA TURNPIKE
                                                                            Approval Date:
                             COMMISSION
                        POLICY AND PROCEDURE                                Effective Date:
                                                                            10/3/1989
Policy Subject:                           This is a statement of official
                                          Pennsylvania Turnpike             Revised Date:
3.5 - Substance Abuse Policy
                                          Commission Policy

                                          Responsible Department:
                                          Human Resources


The Pennsylvania Turnpike Commission is concerned with the well being and safety of its employees and the
traveling public and will continue to promote a safe work environment.

Illegal or inappropriate use of alcohol and other controlled drugs affect the efficiency and effectiveness of the
operation.

The Pennsylvania Turnpike Commission will make every effort to promote and maintain a drug free work
place.

Policy
The unlawful manufacturing, dispensing, possessing or use of alcohol or any other controlled drug while on
duty or on the premises of the Pennsylvania Turnpike Commission is prohibited. Employees violating any of
these provisions subject themselves to appropriate discipline up to and including discharge.

Employee Responsibility
Employees who have a substance abuse or alcohol related problem are strongly encouraged to seek help. Such
employee should discuss the problem with their supervisor or someone in the chain of command. If any
additional conversation or information is necessary, the Director of Human Resources will be available to
discuss this matter. Employees should not delay treatment, especially when performance problems exist.

Any employee arrested and/or convicted of violating any statute governing the unlawful manufacturing,
distributing, dispensing, possessing or use of alcohol or other controlled drugs shall notify their supervisor
within five (5) days.

Supervisor’s Role
Normally a pattern of declining job performance occurs over a period of weeks or months. The supervisor is
usually the person to detect change in an employee’s behavior or job performance. It is the supervisor’s
responsibility to take normal corrective actions. If substance abuse is suspected, the supervisor should not
diagnose or counsel but should encourage the employee to seek counseling if he/she has a problem.

Rehabilitation Program
Employees who enroll in an approved rehabilitation program must satisfactorily complete the program before
any consideration for continued employment will be given.

                                                     76 of 211
Discipline
Employees who violate work rules will be disciplined accordingly. Employees will not be disciplined for
admitting to a problem and enrolling in an approved program.

Nothing in this policy prevents the employer from taking proper discipline for just cause.




                          This Policy Letter supersedes all previous Policy Letters on this subject.




                                                          77 of 211
PTC 502005539 (12/05)
                                                                                   Number:
                                                                                   3.6
                        PENNSYLVANIA TURNPIKE
                                                                                   Approval Date:
                             COMMISSION
                        POLICY AND PROCEDURE                                       Effective Date:
                                                                                   10/7/1975
Policy Subject:                             This is a statement of official
                                            Pennsylvania Turnpike                  Revised Date:
3.6 - Loss of Operator’s License
                                            Commission Policy

                                            Responsible Department:
                                            Human Resources


When a Pennsylvania Turnpike Commission employee, whose work requires operating a motor vehicle, has his
operating privilege withdrawn, he will be automatically suspended until his operating privilege is restored.

Department Heads may appeal this policy on an individual basis when it can be clearly demonstrated that, by
its implementation, Pennsylvania Turnpike Commission operations will be adversely affected. Appeal must be
made in writing to the Chief Executive Officer.




                         This Policy Letter supersedes all previous Policy Letters on this subject.




                                                         78 of 211
PTC 502005539 (12/05)
                                                                          Number:
                                                                          3.7
                        PENNSYLVANIA TURNPIKE
                                                                          Approval Date:
                             COMMISSION                                   7/23/2002
                        POLICY AND PROCEDURE                              Effective Date:
                                                                          8/7/2002
Policy Subject:                         This is a statement of official
                                        Pennsylvania Turnpike             Revised Date:
3.7 - Workplace Violence Policy                                           7/1/2002
                                        Commission Policy

                                        Responsible Department:
                                        Human Resources



A.   Purpose:

     This policy letter establishes our policy governing a safe and secure work environment free from threats,
     harassment, violence and other potentially harmful acts.


B.   Scope:

     This policy applies to Threats or Acts of Violence by any person involved in the Commission’s
     operation, including but not limited to Commission Representatives.


C.   General Policy:

     Threats or Acts of Violence against people or property which involve or affect the Pennsylvania Turnpike
     Commission [“Commission”] or its Representatives and customers, or which occur on Commission
     property will not be tolerated. The Commission expects that this policy will be strictly enforced.

     Physical confrontations, abusive language, threatening gestures or remarks, possession of weapons, or
     any other actions intended to intimidate or harm coworkers, supervisors, or the public will not be
     tolerated. Employees who are involved in any of these situations or behaviors on the job or in work-
     related incidents off the job will be subject to appropriate disciplinary action.

     It is a violation of this policy for any Commission Representative, other than members of the
     Pennsylvania State Police, to carry a firearm, or other instrument of force, on Commission property, or
     off Commission property when representing the Commission or furthering a legitimate interest of the
     Commission.

     Workplace violence by any Commission Representative or agents of an outside vendor, contractor, or
     consultant doing business with the Pennsylvania Turnpike Commission will not be tolerated.




                                                   79 of 211
D.   Definitions:

     Commission Representatives - employees or representatives: employees, contract and temporary
     employees, and anyone else working on behalf of the Commission.

     Threats or Acts of Violence: any conduct that creates a hostile, abusive, or intimidating work
     environment for any employees. Workplace Violence includes, but is not limited to, the following:

        1. All verbal or physical Threats or Acts of Violence against people or property occurring on
           Commission premises, regardless of the relationship between the Commission and the parties
           involved in the incident;

        2. All verbal or physical Threats or Acts of Violence against people or property occurring off
           Commission premises that involve someone who is acting as a Commission Representative at the
           time during Commission-approved activities;

        3. Any Threats or Acts of Violence, bodily harm, or physical, written or verbal intimidation or
           coercion by Commission Representatives, which either create a reasonable perception that there
           may be an intent to harm persons or property, or that actually bring about harm, and which create
           an intimidating, hostile or offensive working environment; and

        4. Any Threats or Acts of Violence, by any Commission Representative towards customers or
           visitors to Commission facilities.

     Specific examples of conduct which may be considered an act of violence include, but are not limited to:

          1. Hitting or shoving a person, fights and stalking;

          2. Intentionally destroying or sabotaging Commission equipment or property, or committing,
             attempting to commit, or threatening to commit acts of destruction (e.g. arson; bomb threats);

          3. Making verbal threats of bodily harm towards an individual, his/her family, friends and
             associates;

          4. Making physical gestures that may be reasonably perceived as threatening or abusive to people,
             for example, facial grimaces that are intended to threaten a person, and using hand, finger, or
             other gestures that are obscene or threatening, such as making a hand gesture across the throat
             connoting cutting someone’s throat;

          5. Harassing or threatening a person by any method, including but not limited to the telephone,
             electronic mail, interoffice mail, and telefax; and

          6. Suggesting that workplace violence is appropriate.




E.   Procedures:

                                                   80 of 211
All Pennsylvania Turnpike Commission Representatives are responsible for creating and maintaining a
safe workplace. If employees become aware of or suspect conduct which may violate this policy,
including acts by third-parties or non-Commission Representatives, they should immediately report their
concerns to their immediate supervisor.

In the case of matters involving a threat of immediate harm or violence, Commission
Representatives should immediately contact the Operations Center.

All Threats or Acts of Violence will be taken seriously. All complaints will be investigated in a prompt
and thorough manner. After a full investigation, which may include a search of the Commission
Representative’s office, work area, or locker, any Commission Representative at any level who is
determined to have engaged in conduct which has violated this policy will be subject to appropriate
discipline and corrective action up to and including termination. In addition, the employee may also be
subject to criminal prosecution or other legal action.

The Pennsylvania Turnpike Commission expects that all Commission Representatives will continue to act
responsibly to establish and maintain a safe and secure work environment free from Threats and Acts of
Violence and harm. Questions concerning this policy should be directed to the Director of Human
Resources.




[Note: See also Policy Letter #5.8, “Terroristic Threat Policy.”]




                    This Policy Letter supersedes all previous Policy Letters on this subject.




                                                    81 of 211
PTC 502005539 (12/05)
                                                                           Number:
                                                                           3.10
                        PENNSYLVANIA TURNPIKE
                                                                           Approval Date:
                             COMMISSION                                    10-16-2007
                        POLICY AND PROCEDURE                               Effective Date:
                                                                           10-31-2007
Policy Subject:                          This is a statement of official
                                         Pennsylvania Turnpike             Revised Date:
3.10 - Code of Conduct
                                         Commission Policy

                                         Responsible Department:
                                         Human Resources



I.    Statement of Purpose and Scope:

      1.1.     It is the policy of the Pennsylvania Turnpike Commission that efficiency, integrity, appearance
               and high moral and ethical standards and practices shall prevail in the accomplishment of the
               work of the Commission.

      1.2.     This Code of Conduct shall supplement all other provisions under Act 44, Chapter 82 (Turnpike
               Commission Standards of Conduct) and shall provide guidelines applicable to Members and
               Executive-Level Employees (as herein defined) and the Immediate Families of the Members
               and Executive-Level Employees to enable them to avoid any perceived or actual conflict of
               interest and to promote public confidence in the integrity and impartiality of the Commission.


II.   Applicability:

      2.1.     All Members, Executive-Level Employees and other full time, part time or probationary
               employees (Employees) must adhere to this Code of Conduct. This Code of Conduct also
               applies to the Immediate Family of Members and Executive-Level Employees.


III. Definitions:

      The following words and phrases when used in this Code of Conduct shall have the meanings given to
      them in this Part unless the context clearly indicates otherwise:

        3.1.   “BUSINESS.” Any corporation, partnership, sole proprietorship, firm, enterprise, franchise,
               association, organization, self-employed individual, holding company, joint stock company,
               receivership, trust or any legal entity organized for profit.

        3.2.   “ASSOCIATED” (WITH A BUSINESS). To hold the position of director, officer, owner, or
               employee, or to have a financial interest in a Business.

        3.3.   “CONFIDENTIAL INFORMATION.” Information not obtainable from reviewing a public
               document or from making inquiry to a publicly available source of information.
                                                    82 of 211
3.4.   “CONFLICT” or “CONFLICT OF INTEREST.” Use by a Member or Executive-Level
       Employee of the authority of his or her office or employment or any confidential information
       received through his or her holding the position of Member or Executive-Level Employee for
       the private pecuniary benefit of himself or herself, the Immediate Family of the Member or
       Executive-Level Employee or a business with which the Member or Executive-Level Employee,
       or the Immediate Family of the Member or Executive-Level Employee is associated. The term
       does not include an action having a de minimis economic impact or which affects to the same
       degree a class consisting of the general public or a subclass consisting of an industry,
       occupation or other group which includes the Member or Executive-Level Employee, the
       Immediate Family of any Member or Executive-Level Employee or a business with which the
       Member or Executive-Level Employee, or the Immediate Family of a Member or Executive-
       Level Employee is associated.

3.5.   “COMMISSION.” The Pennsylvania Turnpike Commission.

3.6.   “DE MINIMIS ECONOMIC IMPACT.” An economic consequence which has an insignificant
       effect.

3.7.   “EXECUTIVE-LEVEL EMPLOYEE.” The Chief Executive Officer, Chief Financial Officer,
       Chief Operating Officer, Chief Counsel or any other senior management employee with
       discretionary powers which may affect the outcome of a Commission action or decision or who
       functions in press or public relations, legislative liaison or development of executive policy.

3.8.   “EMPLOYEE.” Any person who receives compensation from the Commission on an hourly,
       daily or annual wage basis. This definition includes full time, part time or probationary basis.

3.9.   “HAVE AN ADVERSE INTEREST.” To be the party to a contract (as defined in 71 P.S. §
       776.2(4)) other than the Commonwealth of Pennsylvania, the Commission, or a State Agency
       (as defined in 71 P.S. § 776.2(8)) or to be a stockholder, partner, member, agent, representative
       or employee of such party.

3.10. “IMMEDIATE FAMILY.” A spouse, parent, brother, sister or child.

3.11. “FACILITY.” Rest areas, service plazas, restaurants fueling stations, traffic advisory systems,
      call boxes or other services provided by the Commission to persons using toll roads or highways
      operated by the Commission.

3.12. “FINANCIAL INTEREST.” A financial interest in a legal entity engaged in business for profit
      which comprises more than 5% of the equity of the business or more than 5% of the assets of
      the economic interest in indebtedness.

3.13. “GIFT.” Anything which is received without consideration of equal or greater value. The term
      shall not include a political contribution otherwise reported as required by law or a
      commercially reasonable loan made in the ordinary course of business.

3.14. “MEMBER.” A Commissioner appointed to the Commission, including the Secretary of
      Transportation, and any successor entity thereto.



                                            83 of 211
        3.15. “OWNERSHIP INTEREST.” Owning or holding, or being deemed to hold, debt or equity
              securities or other ownership interest or profit interest.

        3.16. “PARTY OFFICER.” A member of a National committee of a political party; a chairman, vice
              chairman, secretary, treasurer or counsel of a State committee or member of the Executive
              Committee of a political party; or a County chairman, vice chairman, counsel, secretary, or
              treasurer of a County committee or a City chairman, vice chairman, counsel, secretary, or
              treasurer of a City committee of a political party.

        3.17. “PENNSYLVANIA TURNPIKE COMMISSION.” An entity formed or maintained under
              authority of the Act of May 21, 1937 (P.L. 774, No. 211), referred to as the Pennsylvania
              Turnpike Commission Act, and the Act of September 30, 1985 (P.L. 240, No. 61), known as the
              Turnpike Organization, Extension and Toll Road Conversion Act, or any successor entity.

        3.18. “PUBLIC OFFICIAL.” Any official elected to a Federal, State or County office.


IV.    Conflicts of Interest and the Appearance of Conflicts of Interest:


        4.1.     No Member or Executive-Level Employee shall engage in conduct that constitutes an actual or
                 perceived conflict of interest.


        4.2.     Members and Executive-Level Employees shall refrain from any financial or business dealing,
                 which would affect the Member’s or Executive-Level Employee’s objectivity, impartiality or
                 independence of judgment.


        4.3.     No Executive-Level Employee or other Employee shall influence, or attempt to influence, the
                 making of or supervise or in any manner deal with any contract in which he has an adverse
                 interest.


        4.4.     No Executive-Level Employee or other Employee shall have an adverse interest in any contract
                 with the Commission.


        4.5.     No Member, Executive-Level Employee or other Employee shall knowingly accept any
                 discount, gift, gratuity, compensation, travel, lodging or other thing of value, in excess of the
                 limits set forth in 65 Pa.C.S.A. § 1105(b)(6) & (7) (Pubic Official and Employee Ethics Act)1
                 (relating to statement of financial interests), directly or indirectly, from any facility or business
                 with which the Commission has a contractual relationship.


        4.6.     Notwithstanding the preceding provision, a Member or Executive-Level Employee may accept a
                 gift from a spouse, parent, parent-by-marriage, sibling, child, grandchild or other family

1
   Section 1105(b)(6) provides for disclosure of any gift or gifts valued in the aggregate at $250 or more and Section 1105(b)(7)
provides for disclosure of any payment for, or reimbursement of actual expenses for, transportation and lodging or hospitality
received in connection with public office or employment where such actual expenses for transportation and lodging or hospitality
exceed $650 in the course of a single occurrence.
                                                              84 of 211
            member or friend when the motivation for such action is personal or family related. For
            purposes of this paragraph, the term “friend” does not include a registered lobbyist or an
            employee of a registered lobbyist.


     4.7.   No Member or Executive-Level Employee nor the Immediate Family of such person shall
            participate in any deliberations or vote of the Commission in which that person may have a
            direct or indirect pecuniary interest.


     4.8.   A Member shall abstain from any vote or decision which authorizes a contract in which the
            member has any pecuniary interest. The Member shall disclose the interest in a public meeting
            prior to the vote or decision. Failure to comply with this paragraph shall render the contract null
            and void.


     4.9.   No Member may solicit, request, suggest or recommend the employment, by either the
            Commission or a contractor with the Commission, of any individual related within the first
            degree of consanguinity to the Member as set forth in 23 Pa.C.S.A. § 1304(e) (relating to
            restrictions on issuance of license) or the spouse of the individual.


     4.10. At the time of Appointment and annually thereafter, each Member shall disclose the
           existence of all ownership interests in any Facility or Business with which the Commission has
           contracted for roadway construction or maintenance or services of any kind.


     4.11. The disclosure statement under the preceding paragraph shall be filed with the Chief Executive
           Officer of the Commission and shall be open to inspection by the public at the office of the
           Commission during normal business hours of the Commission during the tenure of the Member.


V.   Future Employment:

     5.1.   No former Member or Executive-Level Employee may receive any pecuniary benefit from
            contract between the Commission and the employer of the former Member or Executive-Level
            Employee for a period of one year from the termination of employment or service with the
            Commission.

     5.2.   No former Member or Executive-Level Employee may solicit any contracts with the
            Commission for a period of one year from the termination of employment or service with the
            Commission.




                                                 85 of 211
VI.       Non-Profit Service:

      6.1.      No Member or Executive-Level Employee may use the promise of business with the
                Commission to solicit funds for any charitable, educational, religious, health, fraternal, civic or
                other non-profit entity.

      6.2.      A Member or Executive-Level Employee may serve as an officer, employee or member
                of the governing body of a non-profit entity.

      6.3.      A Member or Executive-Level Employee may permit his name to appear on the letterhead
                used for fundraising events if the letterhead contains only the Member’s or Executive-Level
                Employee’s name and position with the non-profit entity.


VII.      Confidential Information:

      7.1.      No Member, Executive-Level Employee or other Employee shall use or disclose Confidential
                Information obtained in the performance of his or her duties for personal benefit or for the
                benefit of any person or entity other than the Commission.

      7.2.      No Member, Executive-Level Employee or other Employee shall divulge Confidential
                Information to any unauthorized person or release any information in advance of the time
                prescribed for its release, for the financial or pecuniary gain of yourself or others.


VIII. Conviction of Crime:

      8.1.      The Members shall comply with all applicable State and Federal criminal laws.

      8.2.      Any act which leads to a criminal conviction of a Member shall be deemed a violation this Code
                of Conduct.

      8.3.      A Member who, during his or her term, is convicted of a felony in any Domestic or Foreign
                jurisdiction shall, upon conviction, be automatically removed from the Commission and shall be
                ineligible to become a Member in the future.


IX.          Public Office and Party Affiliation:

      9.1.      Except for the Secretary of Transportation, no Member or Executive-Level Employee shall be a
                Public official or Party Officer in the Commonwealth of Pennsylvania.


X.        Job Performance of Employees:

          Each Employee shall:

      10.1. Perform all assigned duties in a professional manner.

                                                      86 of 211
      10.2. Become familiar with the policies and regulations of the Commission applicable to his or her
            assignment.

      10.3. Implement and adhere to the policies of the Commission including this Code of Conduct.

      10.4. Strive to improve job performance so as to render service at the highest level of competence.

      10.5. Respect the Rules and Regulations of the Commission and ensure they are administered fairly.

      10.6. Transact public business with dignity, courtesy, honesty and integrity.

      10.7. Bring to the attention of the Chief Counsel of the Commission those matters pertaining to
            Commission business which represent activities that may be contrary to the objectives of the
            Commission.

      10.8. Refrain from engaging in any activity that would reflect unfavorably on or discredit the
            Commission.


XI.      Applicability of Other Laws:

         In addition to the standards set forth in this Code of Conduct, the Commission and its Members and
         Executive-Level Employees must comply with the following Acts:

      11.1. The Act of June 21, 1957 (P.L. 390, No. 212), referred to as the Right-to-Know Law.

      11.2. The Act of July 19, 1957 (P.L. 1017, No. 451), known as the State Adverse Interest Act.

      11.3. Except in those instances where this Code of Conduct is more restrictive, 65 Pa.C.S.A. Chapters
            7 and 11, known as the Pennsylvania State Ethics Act (relating to open meetings, ethical
            standards and financial disclosures). This includes the requirement that all Members and
            Executive-Level Employees must file an annual statement of financial interest under 65
            Pa.C.S.A.§ 1104.


XII.     Violations of Code of Conduct:

      12.1. Violations of this Code of Conduct may result in appropriate disciplinary action, up to and
            including, termination.

      12.2. Known violations of Code of Conduct (by self or others) must be reported to the Chief Counsel
            of the Commission.


XIII. Effective Date:

       13.1 This Code of Conduct shall be effective as of October 31, 2007.




                                                  87 of 211
XIV.    Inquiries:

       14.1. Any questions concerning the scope or interpretation of this Code of Conduct or whether any
             certain conduct is permissible hereunder should be directed to the Chief Counsel of the
             Commission.


XIV. Acknowledgement and Receipt:

   15.1. The Commission will require each Member, Executive-Level Employee and/or Employee to
         acknowledge receipt and execute an agreement to be bound by the terms and conditions of this
         Code of Conduct. Any person within the scope of the Code of Conduct shall be deemed bound
         by its terms and conditions notwithstanding any failure to execute or deliver an
         acknowledgement and receipt.




                                                 88 of 211
                       ACKNOWLEDGEMENT AND RECEIPT OF
            CODE OF CONDUCT OF THE PENNSYLVANIA TURNPIKE COMMISSION


       I acknowledge receipt of the Code of Conduct and agree to abide by all policies and provisions of the

Code of Conduct applicable to my position. I understand that any violation may result in disciplinary action

ranging from reprimand to termination. I will not engage in any conduct which violates the Code of Conduct

and will immediately disclose any circumstances which I reasonably believe may be, or may have been a

violation of the Code of Conduct to the Chief Counsel of the Commission.



                                                         ______________________________
                                                         Signature


                                                         ______________________________
                                                         Print Name


                                                         ______________________________
                                                         Date


                                                         ______________________________
                                                         Title




                         This Policy Letter supersedes all previous Policy Letters on this subject.




                                                         89 of 211
PTC 502005539 (12/05)
                                                                             Number:
                                                                             4.1
                        PENNSYLVANIA TURNPIKE
                                                                             Approval Date:
                             COMMISSION
                        POLICY AND PROCEDURE                                 Effective Date:
                                                                             6/1/1996
Policy Subject:                            This is a statement of official
                                           Pennsylvania Turnpike             Revised Date:
4.1 - Tuition Reimbursement Policy
                                           Commission Policy

                                           Responsible Department:
                                           Human Resources



     Purpose:

     To provide tuition reimbursement for employees who successfully complete job-related courses, which
     are not available through in-service programs.

     Reimbursement Levels:

     Employees will be reimbursed for 90 percent of tuition fees. Enrollment fees, costs for books,
     transportation and any other subsequent costs or fees are not reimbursable.

     Eligibility:

     All full-time, regular employees in active status are eligible for reimbursement provided:

               They are registered at an accredited college, university, high school or trade school.

               They are registered for a course that is job-related to current or imminently future duties.

               They obtain approvals to attend the course from their immediate supervisor and the
                Director of Human Resources prior to attending the course.

               Enrollment shall be limited to one course per term and must be taken on the employee’s
                own time.

               They achieve at least a “C” grade (2.00 grade point average on a 4.00 system) or
                equivalent.

               They remain in the employ of the Commission for a period of one year following the
                completion of an approved course. If not, the employee will reimburse the Commission or
                monies received under the program.




                                                      90 of 211
Procedures:

 PRIOR TO REGISTRATION, complete a Tuition Refund Request Form for the program year
  with approvals from immediate supervisor and the Director of Human Resources.

 An advancement of 50 percent of the anticipated refund may be requested. If you are requesting
  advancement, do so in the lower right area of the Tuition Refund Request form. Any advances will be
  returned to the Commission if the requirements of the program are not satisfied.

 When the course has been completed, submit to the Director of Human Resources:

    o Proof of payment (either an official receipt or copies of the front and back of the cancelled
      check).
    o A transcript or other valid acceptable proof of grade received.

 After successful completion of any course and all the necessary documentation has been received and
 approved by the Director of Human Resources, reimbursements will be made. Reimbursement will not
 exceed two (2) courses per year per employee.




                   This Policy Letter supersedes all previous Policy Letters on this subject.




                                                   91 of 211
PTC 502005539 (12/05)
                                                                          Number:
                                                                          4.2
                        PENNSYLVANIA TURNPIKE
                                                                          Approval Date:
                             COMMISSION                                   6/5/2001
                        POLICY AND PROCEDURE                              Effective Date:
                                                                          6/22/2001
Policy Subject:                         This is a statement of official
                                        Pennsylvania Turnpike             Revised Date:
4.2 - Overtime Compensation Policy                                        5/15/2001
                                        Commission Policy

                                        Responsible Department:
                                        Finance and Administration



A.   Purpose:

     To provide guidelines for compensating non-exempt non-union employees for overtime work.

B.   Scope:

     This policy applies to all employees of the PTC who are are not covered by a Collective Bargaining
     Agreement.

C.   General Policy:

     Non-exempt employees will be compensated on a time and one half basis for hours worked in excess of
     40 in any week. Except where provided otherwise by the terms of a Collective Bargaining Agreement or
     Memorandum of Understanding, overtime work is defined as hours worked in excess of forty hours
     within a workweek. For non-exempt nonunion employees, this does not include sick, vacation, holiday
     or other forms of paid leave because this is not time worked.

     The use of overtime work shall be kept to a minimum. Department heads shall closely scrutinize,
     monitor and control the amount of overtime authorized for their employees. Every alternative should be
     considered prior to assigning staff to work overtime. Alternatives include, but are not limited to:


     regular work schedule without exceeding 40 hours in a week.



                           staff.

     Chiefs/Directors are authorized to approve overtime work for all eligible employees within their
     departments, as well as the Chief Executive Officer, Chief Operating Officer, and Directors of
     Operations/Projects (East and West). Other than an unanticipated emergency situation, overtime work
     should be approved in advance of the assignment by the Chiefs/Directors, Department Head or the
     designee, where practical.

                                                   92 of 211
Funds allocated for overtime compensation will be reviewed and proposed as part of the budgetary
review process. Chiefs/Directors, the Chief Executive Officer, Chief Operating Officer, and Directors of
Operations/Projects (East and West) will be held accountable to ensure expenditures are within the
allotted amounts.

All union covered employees will be compensated for overtime work consistent with the provisions of
the current union agreement(s).

Nonexempt, nonunion employees will be compensated for overtime work at one and a half times their
rate of pay in effect at the time of the overtime assignment.

It is assumed that exempt employees will include as part of their regular work week additional work time
necessary to meet outside of normal work schedules, to handle short term projects and to satisfy weekly
work requirements.

Compensatory Time Off:

The Commission does not have a compensatory time off program for either exempt or nonexempt union
or management employees who work more than 40 hours per week.

Travel Time:

Ordinary home to work travel by an employee does not count as hours worked under the FLSA.
However, once an employee starts the workday, all time spent traveling during normal working hours
shall be considered hours worked.

Travel Outside of Regular Working Hours – When there is no overnight stay involved, travel both before
and after regularly scheduled working hours is compensable. However, normal commuting time shall be
deducted from the travel time.

Travel Which Includes an Overnight Stay – When there is an overnight stay involved, travel time
incurred by an employee either before or after normal working hours to a location where work is to be
done or a seminar or other event is to be attended is not compensable.

Duty Officer - The regular work schedule and biweekly salary of our Duty Officers is calculated based
on 84 hours of work. When a Duty Officer works on a holiday, they will receive 8 hours of holiday pay
in addition to their biweekly salary.

Under no circumstances will a Duty Officer receive compensation for hours worked in excess of 84 in
each biweekly pay period.

Interchange Managers & Foremen – Interchange Managers and Foremen are generally scheduled to work
a forty-hour workweek. Their salary is calculated based on forty hours per week.

Interchange Managers and Foremen occasionally work forty or more hours in a workweek that includes a
paid holiday. In those situations, Interchange Managers and Foremen will be paid for hours worked to a
maximum of forty. Holiday pay will be paid in addition to hours worked.

Under no circumstances will Interchange Managers or Foremen be compensated for more than forty
hours worked in a workweek.
                                             93 of 211
D.   Definitions:


     or Memorandum of Understanding, overtime work is defined as hours worked in excess of forty hours
     within a work week. The workweek begins Fr iday morning at 12:01 a.m. and ends at midnight of the
     following Thursday.

                                                                                                        ct when the
     overtime is worked.


     by a provision of a collective bargaining agreement or memorandum of understanding.

                                                           red by the Fair Labor Standards Act (FLSA) and all the
     overtime provisions of the Act.


     the overtime provisions under the Act by virtue of executive, administrative, professional or computer-
     professional exemptions.




     memorandum of understanding.


E.   Procedures:

     All requests to authorize overtime should be presented to the respective Chief/Director sufficiently in
     advance of the assignment to provide the Chief/Director with ample time to review and respond
     appropriately.

     When emergencies arise and advance approval is not received, the Chief/Director should be informed of
     the overtime worked and the justification for the overtime.

     Each Chief/Director should review overtime worked and overtime expenditures to ensure consistency and
     the availability of funding.

     Time submitted for overtime should be recorded in quarter hour increments.




                           This Policy Letter supersedes all previous Policy Letters on this subject.




                                                           94 of 211
PTC 502005539 (12/05)
                                                                          Number:
                                                                          4.3
                        PENNSYLVANIA TURNPIKE
                                                                          Approval Date:
                             COMMISSION                                   7/1/2003
                        POLICY AND PROCEDURE                              Effective Date:
                                                                          7/16/2003
Policy Subject:                         This is a statement of official
                                        Pennsylvania Turnpike             Revised Date:
4.3 - Restitution of Overpayments                                         5/30/2003
                                        Commission Policy

                                        Responsible Department:
                                        Accounting



A.   Purpose:

     To establish a policy concerning restitution of overpayments in compensation to employees.

B.   Scope:

     This policy applies to all active employees of the PTC.

C.   General Policy:

     Active employees, who have received or are receiving overpayments in salaries or wages, whether
     through administrative error or oversight, are required to refund the amount of overpayments to the PTC.

     Payroll deduction / adjustment is a proper method to recoup such overpayment; however, minimal due
     process requires that an employee be notified in advance of payroll deductions and be provided an
     opportunity to question the overpayment and method of restitution.

     An employee shall have three (3) options for restitution of overpayment:

         1) A payroll adjustment of ten percent (10%) of the employee's bi-weekly gross base salary will be
            deducted as restitution each pay until the entire amount of overpayment has been satisfied.
            Deduction will begin with the next available pay date (as specified by the Payroll Department).


         2) A payroll adjustment of entire amount of overpayment will be deducted as a lump sum payment
            from the next available pay date (as specified by the Payroll Department).


         3) Employee will reimburse the PTC for entire amount of overpayment in the form of a personal
            check prior to the next available pay date (as specified by the Payroll Department).


D.   Definitions:


                                                   95 of 211
     Compensation - Payment of wages to a PTC employee.

     Overpayment - Payments of compensation to, or on behalf of, an employee in excess of that which the
     employee has earned or is entitled to receive.

     Payroll Adjustment - An addition or deduction to an employee's earnings as a correction for the under or
     overpayment of wages.

     Bi-Weekly Gross Base Salary - Wage calculation based on the employee's regular hourly rate of pay
     multiplied by eighty (80) hours.


E.   Procedures:

     1) Whomever learns of overpayment shall:

        a) Notify the Payroll Department immediately upon realization of overpayment to an employee.

     2) Payroll Department shall:

        a) Notify employee and employee's supervisor, in writing of compensation overpayment and resolve
           any questions employee may have regarding overpayment.

        b) Provide employee with options for restitution (i.e., lump sum or payroll deduction).

     3) Employee's Supervisor shall:

        a) Notify the Payroll Department, in writing of the employee's decision regarding the method of
           restitution prior to the next available pay date (as specified by the Payroll Department). If the
           Payroll Department does not receive notification of employee's preferred method of restitution by
           the next available pay date, a deduction of ten percent (10%) of the employee's bi-weekly gross
           base salary will be in effect from the next available pay date and continue until overpayment
           restitution is paid in full.

     4) Payroll Department shall:

       a) Calculate the amount of employee compensation overpayments.

       b) Notify employee and employee's supervisor of the amount of lump sum or payroll deduction
          payments.

       c) Ensure proper lump sum or payroll deduction will be taken in the next available pay and continue
          until the entire amount of overpayment has been satisfied.



                        This Policy Letter supersedes all previous Policy Letters on this subject.




                                                        96 of 211
PTC 502005539 (12/05)
                                                                            Number:
                                                                            5.1
                        PENNSYLVANIA TURNPIKE
                                                                            Approval Date:
                             COMMISSION                                     1/6/2009
                        POLICY AND PROCEDURE                                Effective Date:
                                                                            1/21/2009
Policy Subject:                           This is a statement of official
                                          Pennsylvania Turnpike             Revised Date:
5.1 - Employee Accident Review and                                          12/23/2008
                                          Commission Policy
Disciplinary Program
                                          Responsible Department:
                                          Operations, Safety and Incident Response



A.     Purpose:

       This policy letter governs the review and disciplinary processes for all employees involved in
       accidents while operating Commission-owned vehicles and equipment.


B.     Scope:

       All Commission employees are covered by this policy and are responsible for knowing its contents and
       following its terms.

       The Accident Review Board (for Union employees excluding Local 30 Supervisory) and the Accident
       Review Committee (for Management and Local 30 Supervisory) have the authority to review all
       accidents involving the operation of Commission equipment for purposes of assessing training and
       practices. Discipline for accidents will be determined by the Disciplinary Board (for Union employees
       including Local 30 Supervisory) and the Disciplinary Review Committee (for Management level
       employees).


C.     General Policy:

       The Pennsylvania Turnpike Commission’s Policy Letter 6.4 (PTC Vehicle Policy) and Driver’s Manual
       encompass the Commission’s rules concerning the operation, care, and maintenance of vehicles assigned
       to employees.

       Any accident involving Commission personnel, vehicles, or equipment resulting in personal injury or
       property damage shall be reported immediately as directed by the procedures of the Operations, Safety and
       Incident Response Department.


D.     Definitions:

       Applicable Laws – Pennsylvania Vehicle Code, Title 75, as amended.

                                                     97 of 211
E.     General Procedures:

       The Operations, Safety and Incident Response Department will develop, maintain, and revise, as
       necessary, the procedures for reviewing accidents to Commission-owned vehicles and equipment.

       1.       Accident Review Board (Bargaining Unit Employees) will consist of the following:

                Chairman                           Director of Operations, Safety and Incident Response or Designee
                Vice Chairman/Secretary            Director of Human Resources/Labor Relations or Designee
                Member                             Director of Maintenance or Designee
                Member                             Director who supervises the individual
                Member                             Manager of Customer and Employee Safety and appropriate staff
                Member                             Two Union Representatives/Maintenance2 (Local 77 and 250)

Meetings of the Accident Review Board will be held on a monthly basis.

Prior to each meeting, the Operations, Safety and Incident Response Department shall reproduce and
summarize all material received for consideration by the Accident Review Board. To provide review time,
copies of the material will be distributed to the Equipment Operations Manager and Director of Human
Resources in advance of the meeting.

The Accident Review Board will determine if the incident should be forwarded to the Disciplinary Review
Board for possible discipline.

       2.       Accident Review Committee (Non-Bargaining Unit Employees) will consist of the
                following:

                Chairman          Director of Operations, Safety and Incident Response or Designee
                Member            Director of Human Resources/Labor Relations or Designee
                Member            Director of Maintenance or Designee
                Member            Director who supervises the individual
                Member            Manager of Customer and Employee Safety and appropriate staff

Meetings of the Accident Review Committee will be held on a monthly basis.

Prior to each meeting, the Operations, Safety and Incident Response Department shall reproduce and
summarize all material received for consideration by the Accident Review Committee. To provide review
time, copies of the material will be distributed to the Equipment Operations Manager and Director of Human
Resources in advance of the meeting.

The Accident Review Committee will determine if the incident should be forwarded to the Disciplinary
Review Committee for possible discipline.


To review only those accidents involving bargaining unit employees




                                                           98 of 211
3.   Disciplinary Board (Bargaining Unit Employees) will consist of the following:


            Chairman       Chief Executive Officer or Designee
            Member         Director of Human Resources/Labor Relations or Designee
            Member         Director of Operations, Safety and Incident Response or Designee
            Member         Manager of Customer and Employee Safety and appropriate staff
            Member         Director who supervises individual may attend and vote on subordinate
                           disposition if he/she desires.


     The Director of Operations, Safety and Incident Response (or a designee) will present these cases, and
     the Disciplinary Board will impose disciplinary action in accordance with the provisions set forth in the
     collective bargaining agreements currently in effect.

     The Disciplinary Board may elect not to impose disciplinary action based on the following mitigating
     circumstances:
             Any employee who has not been involved in a vehicle or equipment accident within the prior
               five (5) years.
             Any employee who has had an accident that does not involve physical damage exceeding a
               predetermined amount. Appropriate action will be taken pertaining to this situation in
               accordance with the current Labor Union Agreement.

     4.     Disciplinary Review Committee (Non-Bargaining Unit Employees) will consist of the
     following:

            Chairman       Chief Executive Officer or Designee
            Member         Director of Human Resources/Labor Relations or Designee
            Member         Director of Operations, Safety and Incident Response or Designee
            Member         Chief Counsel or Designee
            Member         Director or Designee who supervises individual involved in
                           accident
            Member         Manager of Customer and Employee Safety and appropriate staff


     Meetings of the Disciplinary Review Committee will be established by the Chairman. The Director of
     Operations, Safety and Incident Response will present the cases, and the Disciplinary Review
     Committee will impose disciplinary action as considered necessary.

     The Disciplinary Review Committee may elect not to impose disciplinary action based on the following
     mitigating circumstances:

                   Any employee who has not been involved in a vehicle or equipment accident within
                    the prior five (5) years.
                   Any employee who has had an accident that does not involve physical damage exceeding a
                    predetermined amount.



                                                 99 of 211
5.   Appeal Process

     Disciplinary Board

     Appeals from the Disciplinary Board will proceed according to the grievance procedure     in
     the applicable union agreement.

     Disciplinary Review Committee

     Employees affected by decisions of the Disciplinary Review Committee may file a written
     appeal to the Committee provided they can produce additional evidence that would result in a
     reversal of the discipline issued. Such appeal must be presented to the Committee within ten
             (10) work days of the issuance of discipline.

6.   Record Keeping

     Appropriate records must be maintained by the Department of Human Resources; the
     Operations, Safety and Incident Response Department; Risk Management and other
     departments supervising employees.




               This Policy Letter supersedes all previous Policy Letters on this subject.




                                              100 of 211
PTC 502005539 (12/05)
                                                                            Number:
                                                                            5.2
                        PENNSYLVANIA TURNPIKE
                                                                            Approval Date:
                             COMMISSION
                        POLICY AND PROCEDURE                                Effective Date:
                                                                            7/18/1975
Policy Subject:                           This is a statement of official
                                          Pennsylvania Turnpike             Revised Date:
5.2 - Emergency Preparedness, Civil
                                          Commission Policy
Defense
                                          Responsible Department:
                                          Incident Management



A.   Purpose:

     The State Council of Civil Defense has prepared an Executive Order defining general protection
     measures applicable to all Commonwealth agencies; which includes various supplements applicable to
     specific agencies, specifically identifying emergency responsibilities assignments.

B.   General Policy:

     Responsibilities assigned to the Pennsylvania Turnpike Commission as identified in applicable
     supplement (quoted from the draft supplement):

     Emergency Operational Activities

     In addition to performance of its normal and legally authorized functions on an emergency basis and as
     dictated by possible existing exigencies, the department or agency shall be responsible for:

                   Emergency collection and centralized reporting, to the State Council of Civil Defense, of
                    information and data concerning damage to and disruption of agency installations, facilities
                    and services.*

                   Emergency supply, to the State Council of Civil Defense as requested, of necessary
                    assistance in emergency communications, particularly to points on and in the immediate
                    vicinity of the Turnpike.

                   Emergency assistance, as requested by the State Council of Civil Defense, in emergency
                    transport of personnel and materials to points on or in the immediate vicinity of the
                    Turnpike.*

                   Emergency arrangements, as requested and deemed appropriate, for toll-free travel of
                    emergency vehicles on the Turnpike.

                   Emergency utilization, as deemed necessary or appropriate, of Commission facilities,
                    including those under lease, for the emergency care of people using the Turnpike for travel.

                                                    101 of 211
     *See responsibilities matrix for other agencies so charged.


C.   Procedures:

     The Turnpike Operations Center (TOC) will be the central point of contact with the State Council of Civil
     Defense. All actions defined in paragraph two above will be controlled and reported by the TOC.

     All applicable departments will establish standby internal procedures to implement designated
     responsibilities; to be properly coordinated with, and reported to, the Turnpike Operations Center, during
     progress of an emergency situation.

     The Turnpike Operations Center will establish, and implement as necessary, appropriate procedures for
     complete liaison and coordination with Civil Defense as dictated by the emergency situation at hand.



                         This Policy Letter supersedes all previous Policy Letters on this subject.




                                                        102 of 211
PTC 502005539 (12/05)
                                                                            Number:
                                                                            5.3
                        PENNSYLVANIA TURNPIKE
                                                                            Approval Date:
                             COMMISSION                                     4/6/2010
                        POLICY AND PROCEDURE                                Effective Date:
                                                                            4/21/10
Policy Subject:                          This is a statement of official
                                         Pennsylvania Turnpike              Revised Date:
5.3 - Facility Security Policy                                              4/6/2010
                                         Commission Policy
                                         Responsible Department:
                                         Operations and Incident Response,
                                         Information Technology


A.   Purpose:

     The purpose of this policy is to establish security controls to limit access at Pennsylvania Turnpike
     Commission (PTC) facilities to authorized individuals. Limiting access at PTC facilities to authorized
     individuals will provide a safer work environment for PTC employees and contribute to protecting PTC
     assets.

B.   Scope:

     This policy applies to all members of the PTC workforce, including full-time, temporary, supplemental,
     summer, and independent consultants and contractors.

C.   General Policy:

     Access to PTC facilities must be controlled at all times, including access to sensitive or restricted areas
     within PTC facilities. Note: An exception to this policy applies to maintenance facilities, where it may
     at times be necessary to keep exterior access points, such as overhead doors, open in order to improve
     operational efficiency.

     Access to PTC facilities is controlled using card-operated or mechanical locking mechanisms. In order to
     limit access at PTC facilities to authorized individuals, all members of the PTC workforce must use their
     ID access card or assigned key, as applicable, to gain access to a PTC facility.

     Visitors -
     All visitors are required to sign in upon arrival and sign out upon departure from a PTC facility. Upon
     signing in, the visitor will be issued a visitor ID badge, which must be worn during the entire visit at the
     PTC facility. Visitors must remain in the reception area until they are accepted by an employee from the
     department related to their visit. The accepting employee must make a reasonable effort to escort the
     visitor during their visit and ensure that the visitor signs out at the end of their visit.

     Employees are required to display their ID access card at all times.

     Anyone without a valid ID access card must follow established PTC visitors procedure.

                                                    103 of 211
D.   Definitions:

     Card-Operated Lock – Card-operated locks rely on a unique card or credential being presented to a card
     reader at a location where the access is being controlled. The system electronically checks the
     information, including the identification of the cardholder and the time period when access is permitted,
     on the card and compares it with that already stored in the system, and either activates the lock to permit
     entry or denies access.

     Card Reader - A device that reads the electronic inscription on an access card whereby locks or other
     access control systems may be activated.

     Door Contacts - An electronic device that indicates the status of a door (open, closed, locked).

     Mechanical Lock – Mechanical locks, such as door locks, use an arrangement of physical parts to prevent
     the opening of the bolt or latch. A key is used to open the key cylinder in a key lock to allow access.

     Identification Access Card - A card displaying an employee's photograph, name, and identification
     number programmed to permit access through use of a card reader, or other card issued by the PTC and
     programmed to permit access through the use of a card reader.

     PTC Facility – One or more buildings or structures related by function and location to the PTC. PTC
     facilities include maintenance, fare collection, and administrative facilities, tunnels, and microwave tower
     sites.


E.   Procedures:

     Identification (ID) Access Cards - All employees will be issued photo ID access cards for identification
     and building access. Contractors and consultants will be assigned ID access cards as needed. Note: An
     individual’s driver’s license is not to be programmed or used as an access card.
     By default, ID access cards will be assigned the access privileges that are needed by the individual in
     their current position. Additional access privileges will require the approval of the employee’s
     department head or the managing director of that facility.
          ID access cards must be worn visibly at all times while at a PTC facility.
          An ID access card is uniquely assigned to an individual and must never be shared or duplicated.
          Contractor and consultant ID access cards must be assigned an expiration date.
          Lost or stolen ID access cards must be reported immediately upon discovery to the Building
             Facilities Program Manager and the Card Control Center.

     Keys - Individuals who are assigned keys to access PTC facilities or open access gates are responsible for
     the use of these keys. See Policy Letter 6.3 - Procedure for Issuance of Pennsylvania Turnpike Keys for
     additional information.
          Keys must never be shared with unauthorized individuals.
          Keys must never be duplicated.
          Lost or stolen keys must be reported immediately upon discovery to the Building Facilities
             Program Manager.
          Upon discovery, unattended open access gates must be immediately secured and reported to the
             Operations Center.


                                                    104 of 211
ID Access Card and Key Requests – A Request for ID Access Card or Key form must be completed and
submitted to the Building Facilities Program Manager to request an ID access card or key. Requests to
access a restricted area will require the additional approval of the responsible Department Head.

Termination or Transfer of Employment – Immediately upon termination, an individual’s manager is
responsible for retrieving all ID access cards and keys that were issued to the individual and returning
them to the Building Facilities Program Manager. If the ID access card is not immediately available, the
Building Facilities Program Manager must still be notified immediately, in order to disable the ID access
card functionality in a timely manner.
Upon transfer, an individual’s manager is responsible for retrieving all keys that are no longer needed and
returning them to the Building Facilities Program Manager. The manager is also responsible for having
any ID access card access privileges disabled that are no longer needed.

Audits –Reviews of ID access card assignments and access privileges, and key assignments are to be
performed at least every two years. Reviews will typically be performed or coordinated by Maintenance
and Operations Review. Management is also responsible for reviewing ID access card assignments and
access privileges, and key assignments, for their staff.
PTC facility security risk assessments will be performed by Information Security.

Alarms and Notifications – The PTC electronic access control system will be configured to trigger an
alarm when a controlled access point is found to be unsecured for a specified period of time. The system
will then transmit an automated notification, e.g. e-mail, page, phone call, to the manager who is
immediately responsible for the facility or sensitive area that has been breached.

Emergency Access – In the event of an emergency, e.g. power outage, card reader malfunction, etc,
access to the facility must be approved by the employee’s department head or the managing director of
that facility.

Violations - Violations of this policy are to be referred to the Operations Review or Information Security
Departments to initiate the formal review process. Violations must not be investigated,
independently, by individuals or departments. Individuals found to be in violation of this policy
may be subject to disciplinary action, up to and including immediate termination.

                    This Policy Letter supersedes all previous Policy Letters on this subject.




                                                   105 of 211
PTC 502005539 (12/05)
                                                                                   Number:
                                                                                   5.4
                        PENNSYLVANIA TURNPIKE
                                                                                   Approval Date:
                             COMMISSION
                        POLICY AND PROCEDURE                                       Effective Date:
                                                                                   9/27/1976
Policy Subject:                             This is a statement of official
                                            Pennsylvania Turnpike                  Revised Date:
5.4 - Turnpike Safety Responsibility                                               1/29/2001
                                            Commission Policy

                                            Responsible Department:
                                            Operations and Incident Management



A.   Purpose:

     This represents a reaffirmation of responsibility for each employee of the Pennsylvania Turnpike
     Commission, particularly those who travel the Turnpike either in their own vehicles or in assigned
     Turnpike vehicles the procedure for reporting any vehicle they observe operating in a hazardous or
     reckless manner.

B.   Scope:

     This policy applies to all employees of the Pennsylvania Turnpike Commission

C.   General Policy:

     Any employee of the Pennsylvania Turnpike Commission operating a radio-equipped vehicle, while on
     the Turnpike, who observes any vehicle operating in a hazardous manner, shall immediately furnish the
     following information to the Operations Center: milepost, direction of travel, make of vehicle and color,
     registration number, action of vehicle (reckless driving, high speed, etc.). This service has been
     considered Turnpike policy, and this simply reaffirms to us that it is part of Turnpike safety
     responsibilities.

D.   Definitions:

     Reporting a vehicle operating in a hazardous manner is the only action that will be required. Pursuit of
     any vehicle will not be made.


E.   Procedures:

     For those traveling the Turnpike in vehicles not equipped with a Turnpike radio, contact should be made
     with the Operations Center via cell phone (*11), at the nearest Turnpike maintenance building, or at any
     toll plaza where a toll-free telephone is available.


                         This Policy Letter supersedes all previous Policy Letters on this subject.


                                                        106 of 211
PTC 502005539 (12/05)
                                                                           Number:
                                                                           5.5
                        PENNSYLVANIA TURNPIKE
                                                                           Approval Date:
                             COMMISSION                                    10/17/2000
                        POLICY AND PROCEDURE                               Effective Date:
                                                                           11/2/2000
Policy Subject:                          This is a statement of official
                                         Pennsylvania Turnpike             Revised Date:
5.5 - Employee Safety Program
                                         Commission Policy

                                         Responsible Department:
                                         Safety and Risk Management



A.   Purpose:

     The safety of the employees of the Pennsylvania Turnpike Commission is of the utmost importance. It is
     our policy to perform work in the safest manner possible, consistent with good work practices. To fulfill
     the requirements of this policy, the elements of our formal safety program must be carried out wherever
     work is performed.


B.   Scope:

     The promotion, implementation and enforcement of the Pennsylvania Turnpike Commission’s Safety
     Program are the direct responsibility of all Commissioners, Executive Staff, Managers and Supervisors.
     The Employee Safety Program applies to all employees of the Commission.


C.   General Policy:

     The prime responsibility for the health and safety of our employees rests with all levels of management.
     Commissioners and managers shall promulgate an effective and efficient safety and health program
     structured to eliminate and/or reduce loss to employees, materials and equipment through systematic
     endorsement, enforcement and assignment of program responsibilities. Upper management shall ensure
     that safety and production are represented on an equal basis.


D.   Definitions:

     Applicable Federal, State, and Local Laws – As defined by any act of Congress, State statue, and/or any local
     ordinances that apply to the safety and welfare of an employee of the Commission.

     Safety Program – As defined and/or revised by the Safety & Risk Management Department and adopted as
     part of this policy by the Commission upon its completion or revisions thereto.




                                                   107 of 211
E.   Procedures:

     The Safety & Risk Management Department will develop, maintain and revise, as necessary, the employee
     safety program.

     The primary means of achieving a successful safety program rests with the supervisor. The supervisor will
     be responsible to ensure that personnel are in compliance with the Pennsylvania Turnpike Commission’s
     Safety Program as well as applicable Federal, State and Local regulations.

     The Safety & Risk Management Department of the Pennsylvania Turnpike Commission shall assist and
     support management and supervisors in establishing, maintaining and enforcing an effective safety
     program.

     It shall be the duty of all employees to understand The Pennsylvania Turnpike Commission’s safety rules
     and to conduct their work in compliance with those rules.

     By promoting an attitude of safety consciousness from Management through all employees, the
     Pennsylvania Turnpike Commission shall ensure the successful implementation of the employee safety
     program to protect the health and welfare of its employees.




                        This Policy Letter supersedes all previous Policy Letters on this subject.




                                                       108 of 211
PTC 502005539 (12/05)
                                                                          Number:
                                                                          5.6
                        PENNSYLVANIA TURNPIKE
                                                                          Approval Date:
                             COMMISSION                                   11/20/2001
                        POLICY AND PROCEDURE                              Effective Date:
                                                                          12/5/2001
Policy Subject:                         This is a statement of official
                                        Pennsylvania Turnpike             Revised Date:
5.6 - U-Turn Policy                                                       10/30/2001
                                        Commission Policy

                                        Responsible Department:
                                        Operations and Incident Management



A.   Purpose:

     This policy letter governs the making of a U-Turn on the Pennsylvania Turnpike.

B.   Scope:

     This policy applies to the making of U-Turns on the system and at all Interchanges/Toll Plazas.

C.   General Policy:

     The making of a U-Turn on the Pennsylvania Turnpike is prohibited except for authorized and emergency
     vehicles, which may make the U-Turn at a designated area.

D.   Definitions:

     Emergency Authorization: Should the request be emergency in nature, any Authorized Personnel may
     authorize the U-Turn and then notify the Interchange Manager with the reason for authorizing the U-
     Turn. Interchange/Toll Plaza personnel shall assist the driver in making the U-Turn in a safe manner.

     Non-Emergency Authorization: If a U-Turn situation/request occurs at an Interchange/Toll Plaza, the
     Toll Collector will notify the Interchange Manager on duty. If no Interchange Manager is on duty at the
     Interchange/Toll Plaza, the Toll Collector will notify the Interchange Manager on call.

     Designated Area: Median/Wide Area, Service Plaza, Maintenance Shed, Access Gates, Toll Plazas, and
     Interchanges.

     Authorized Personnel: Any Pennsylvania Turnpike Commission Employee.

     Authorized Vehicle: Pa Code Title 67, Section 601.17 - Authorized Vehicles.

     Emergency: An unforeseen combination of circumstances or the resulting state that calls for immediate
     action.



                                                  109 of 211
E.   Procedures:

     System U-turns: The Pennsylvania State Police (PSP) or authorized Pennsylvania Turnpike Commission
     (PTC) personnel may authorize the making of a U-Turn to the drivers of non-authorized vehicles only
     when necessary to comply with Commission rules and regulations or in an emergency. A driver of a non-
     authorized motor vehicle may reverse direction of travel only by passing through an Interchange/Toll
     Plaza and paying a fare.

     Authorized and Emergency vehicles making U-Turns at wide area median locations must display visual
     warning devices while making the maneuver. U-Turns at such locations shall only be made when
     necessary and not as a matter of convenience. The U-Turn movement shall not interfere or compromise
     the safety of traffic traveling in either direction.

     All vehicles towing damaged or disabled vehicles shall use an access gate(s) for the U-Turn unless
     authorized otherwise by PSP or PTC Maintenance personnel. The U-Turn shall then only be made under
     the direction of PSP or PTC Maintenance personnel.

     Interchange/Toll Plaza U-Turn Policies: The Pennsylvania State Police (PSP) or authorized Pennsylvania
     Turnpike Commission (PTC) personnel may authorize a U-Turn for emergency and non-emergency
     situations e.g. Over-height, Restricted Cargo, etc.

     The Interchange Manager shall coordinate authorized U-Turns at Interchanges/Toll Plazas, with the
     assistance of Turnpike Maintenance personnel. The driver of a non-authorized motor vehicle may
     reverse direction of travel only by passing through an Interchange and paying a toll.

     If the Interchange Manager is not available, the Duty Officer will be contacted for authorization and
     coordination.

     Each department shall refer to their specific procedures for further information.



                         This Policy Letter supersedes all previous Policy Letters on this subject.




                                                        110 of 211
PTC 502005539 (12/05)
                                                                            Number:
                                                                            5.8
                        PENNSYLVANIA TURNPIKE
                                                                            Approval Date:
                             COMMISSION                                     6/18/2002
                        POLICY AND PROCEDURE                                Effective Date:
                                                                            7/2/2002
Policy Subject:                           This is a statement of official
                                          Pennsylvania Turnpike             Revised Date:
5.8 - Terroristic Threat Procedures                                         4/25/2002
                                          Commission Policy

                                          Responsible Department:
                                          Operations and Incident Management



A.   Purpose:

     This policy letter establishes guidelines on preparing for, responding to, and reporting of bomb threats,
     threats of violence, and suspicious activities or devices.


B.   Scope:

     Applies to departments and employees under the Pennsylvania Turnpike Commission’s jurisdiction on
     Commission owned and leased buildings and worksites.


C.   General Policy:

     It is our policy to take any threats to Commission owned or leased buildings, structures, worksites, and
     staff very seriously. This policy establishes the role and responsibilities of the appropriate personnel and
     provides procedures for ensuring rapid response through review of any threatening situation.


D.   Definitions:

     Terroristic Threat: For purposes of this policy letter, the term “terroristic threat” is defined as “a violent
                         act or an act dangerous to human life, in violation of the criminal laws of the United
                         States, or of any state, to intimidate or coerce a government, the civilian population,
                         or any segment thereof, in furtherance of political or social objectives.

     Homeland Security Threats (outside the Pennsylvania Turnpike Commission) are addressed in the
     response guidelines for Homeland Security Alert System.




E.   Procedures:

                                                    111 of 211
Applies to all Pennsylvania Turnpike Commission facilities.

Reporting Terroristic Threats, Bomb Threats, Suspicious Activity, or Unusual Situations:
   All employees of the Pennsylvania Turnpike Commission should contact the Operations Center by
   dialing 4-4-4-4 from the Central Office, or 8-4-3-5-7 (8-HELP) from the Regional Offices. Any
   Pennsylvania Turnpike Commission Maintenance Shed or Interchange may contact the Operations
   Center by calling the Emergency 800 number, 1-800-932-0586, if they receive a terroristic threat, find
   a suspicious object or observe suspicious activity or unusual situations. The nature and scope of a
   terroristic threat will be evaluated by the Pennsylvania State Police, Troop T.

Telephone Threats:
    Any Pennsylvania Turnpike Commission office or facility is a potential target for a terroristic threat.
    A terroristic threat can be delivered in a variety of ways. However, most threats are received by
    telephone. A Pennsylvania Turnpike Commission Terroristic Threat Data Card, should be
    maintained by all telephones and completed in case of a telephoned terroristic threat. The cards can
    be obtained from the Central Office Stock Room through normal ordering procedures. If a terroristic
    threat is received, the steps outlined below are to be followed:

        1. Record the exact time you received the call.

        2. Concentrate on what the caller is saying, anything may be important. Try to keep the caller
           talking to obtain as much information as possible and especially the following:

                a.   Type of threat
                b.   Placation of threat
                c.   Time of threat occurrence
                d.   Description of threat
                e.   Type and quantity of explosive, agent, device, etc.
                f.   Who placed the threat?

        3. Pay particular attention to:

                a.   Background noises
                b.   Voice of caller, accent, speech pattern, sex, age
                c.   Is the voice familiar?
                d.   If a bomb threat is received by e-mail or regular mail, do not delete the e-mail.

        4. Notify your supervisor or, if your supervisor is not immediately available, notify another
           person in charge.

        5. The manager/supervisor in charge will immediately contact the Operations Center with the
           location of the terroristic threat or related incident. The person who received the actual
           terroristic threat should be available for questioning by the Pennsylvania State Police. In the
           absence of Pennsylvania State Police, the Incident Commander should exercise his/her
           discretion in determining if evacuation is warranted. The Incident Commander should
           provide the Pennsylvania State Police with knowledge of significant building issues, such as
           the location of employees with disabilities that have an impact on evacuation.

        6. Evacuation:

                                               112 of 211
     The decision to evacuate a building in response to a terroristic threat will be based on a
     number of variables and will be the responsibility of the Manager/Supervisor in charge,
     Executive Staff. Immediate evacuation will not always occur. In situations where the
     building is not evacuated, an emergency search team will search the exterior and interior
     of the building with assistance from the Manager/Supervisor in charge.

    a. If it is determined that a building is to be evacuated:

       1. All employees and visitors should be instructed to clear the building according to a
          prearranged plan, usually the fire evacuation plan. Since in most buildings,
          employees will be evacuated by the use of ther fire alarms, employees may not know
          that the evacuation is due to a terroristic threat.

       2. Elevators are not to be used.

       3. Employees are to be instructed to take notice of the areas as they are evacuating,
          identifying the location of anything suspicious to the manager/supervisor in charge.

       4. Desks, cabinets, and storage rooms should be unlocked except for confidential
          information that must be secured.

       5. Lights should be left on but all PC’s and other electrical equipment and appliances in
          your work area should be shut down provided sufficient time exits for safe
          evacuation.

       6. Each person should remove his or her own personal belongings, such as vehicle
          keys, personal identification, handbags, lunch boxes, briefcases, and other personal
          containers or property from an evacuated area but should not touch any other
          property.

       7. All employees and visitors are to be kept out of the area. Access to evacuated areas
          should be restricted to Pennsylvania State Police, fire, and other personnel
          designated by the person(s) in charge. Additionally, no one is to be permitted within
          at least 500 feet of an evacuated area except authorized personnel.

       8. When a building has been evacuated, employees are not to return to the building
          until all employees are permitted to return.

7. Searches:

      a. Before an evacuation decision is made, employees may be requested to scan their
         immediate work area for suspicious objects or items that do not fit their location.
         This procedure should be followed in all building evacuations because the reason for
         the evacuation may not be known until employees have left the building. The
         manager/supervisor, coordinator, or other designated staff may be requested to scan
         public access areas, such as the restrooms, snack bars, and reception areas.

      b. If a decision is made to evacuate the building, employees are to take note of the areas
         they pass through and report to the manager/supervisor in charge any unusual
         packages, equipment, or individuals. The manager/supervisor in charge of designated
                                     113 of 211
          areas are to quickly check public access areas or other areas where employees are not
          located before they evacuate unless they are told to immediately leave the building.

       c. In all cases, employees are not to touch, open, or attempt to move any suspicious
          object.

       d. Employees are not to use portable radios, cellular telephones, cordless telephones, or
          any device that transmits a radio frequency (RF) pulse, except to communicate critical
          emergency information to key officials.

       e. If a suspicious object is identified, the manager/supervisor in charge is to be informed
          and he or she will notify the Pennsylvania State Police of the exact location of the
          item so that appropriate action can be taken by bomb squad or explosive ordinance
          disposal (EOD) personnel.

8. Explosions or Other Incidents:

       a. In the event of a suspected, threatened, or actual explosion or other incident in or near
          a Pennsylvania Turnpike Commission facility, a supervisor/manager or persn in
          charge will ensure that Operations Center, police, fire, and emergency personnel are
          immediately notified.

       b. The facility should be evacuated in a manner that keeps employees away from the
          area affected by the blast/act.

       c. Explosions can be caused by overloaded electrical transformers, gas line leaks, etc.
          However, it can take time to determine the actual cause of an explosion.

       d. Employees should be given basic information regarding precautions to take to keep
          them alert for the possibility of other explosive devices or hazards in the area as they
          are evacuating.

9. Written Threats, Mail Threats, Suspicious Objects:

        a. If a written threat is received, it must be handled with care. No one, other than the
           person receiving it, should touch the document. If a written threat is received by e-
           mail, do not delete the e-mail. The employee should immediately notify his or her
           supervisor if available or other mangement personnel who should call the Operations
           Center. The computer should remain as is, do not delete, forward, etc. The
           Operations Center will then notify the Pennsylvania State Police. The Pennsylvania
           State Police will interview the person receiving the threat and the
           supervisor/manager in charge and determine the appropriate response. UNDER NO
           CIRCUMSTANCES SHOULD ANY THREAT BE IGNORED.

         b. If an employee finds a suspicious object that he or she believes may be harmful, the
            employee should immediately notify his or her supervisor if available, or other
            management personnel who should contact the Operations Center, who will then
            notify the Pennsylvania State Police. No one should touch the object. The
            Pennsylvania State Police will assess the situation and determine the proper
            response.
                                     114 of 211
                  c. If an employee observes a suspicious activity or an unusual situation, or hears, sees,
                     or receives communications that may be evidence of a threat or pending threat, the
                     employee should immediately notify his or her supervisor if available, or other
                     management personnel who whoud call the Operations Center, who will then notify
                     the Pennyslvania State Police. The Pennsylvania State Police will interview the
                     person who originally notified his or her supervisor. UNDER NO
                     CIRCUMSTANCES SHOULD ANY SERIOUS REPORT BE IGNORED.

        10. Office Closings:

                 a. If a decision is made by Commission management after consulation with the
                    Pennsylvania State Police and emergency authorities not to permit employees to
                    return to the building for reason of life/safety, the department in charge of the facility
                    should be notified.

                 b. If offices remain open, supervisors should be flexible in permitting employees to use
                    annual or personal leave if they do not want to return to the building.

         11. Training/Education:

                 a. Training and/or education on responding to threats, and other related incidents is
                    mandatory for all Pennsylvania Turnpike Commission employees.
                    Training/education should be available on an ongoing basis and recorded in
                    accordance with the policy/procedure.

                 b. Employees who regularly open mail or receive packages should be provided specific
                    training on how to recognize suspicious letters or packages. The Pennsylvania State
                    Police can provide this training as well as the United States Postal Inspection
                    Service.

Due to recent circumstances, we feel it is in the best interest for all employees to be informed of how to
deal with suspicious packages and letters to protect not only yourself, but your coworkers.

Specific procedures which address the handling of suspicious packages and letters for employees and
supervisors are available in the Operations Center. Also available is an advisory flyer with reminder
information and an informational flyer from the Centers for Disease Control which may be posted and
distributed in your work area.

If you have any concerns or questions, please contact the Occupational Safety and Insurance Supervisor.

REMINDER: IF YOU SUSPECT ANYTHING, PLEASE CONTACT YOUR IMMEDIATE
SUPERVISOR AND CONTACT THE OPERATIONS CENTER AT 4-4-4-4.

Also see the Workplace Violence Policy #3.7.




                                               115 of 211
This Policy Letter supersedes all previous Policy Letters on this subject.




                               116 of 211
PTC 502005539 (12/05)
                                                                           Number:
                                                                           6.1
                        PENNSYLVANIA TURNPIKE
                                                                           Approval Date:
                             COMMISSION                                    4/18/2000
                        POLICY AND PROCEDURE                               Effective Date:
                                                                           5/4/2000
Policy Subject:                          This is a statement of official
                                         Pennsylvania Turnpike             Revised Date:
6.1 - Construction Contract Change
                                         Commission Policy
Order Approval
                                         Responsible Department:
                                         Engineering - Construction



A.   Purpose:

     The purpose is to establish a general policy governing the review and approval levels for changes
     required on construction contracts awarded by the Commission in accordance with Policy 7.4.


B.   Scope:

     This policy applies to all construction contracts awarded by the Commission.


C.   General Policy:

     The contingency value established at contract award will provide a maximum adjustment of the contract
     amount equal to the sum of the award amount plus the contingency amount for Category 1 change orders.

     The following establishes the review and approval levels required for construction contract change orders
     within Category 1 and having a net cumulative value under the established contingency. The limits
     represent the absolute value for individual change orders.

                   Construction Engineer Manager                   $150,000
                   Assistant Chief Engineer – Construction         $300,000
                   Chief Engineer                                  Over $300,000 Absolute and
                                                                    Under Contingency Amount Net

     The following must be submitted for Commission approval:

                   Category 1 change orders above the contingency.
                   All Category 2 change orders.
                   All final change orders.




                                                   117 of 211
     The Project Manager will be responsible for coordinating the preparation of change order documents and
     initiating the securing of required signatures prior to authorizing any payment to the Contractor against
     the change order.

     An annual, independent quality assurance review of the Change Order Policy and Procedures will be
     conducted.


D.   Definitions:

     Absolute Value: The sum total of all additions and deductions without consideration to the negative
                     value of deductions.

     Net Value:        The difference between total additions and total deductions.

     Change Order: A written order authorizing the Contractor to perform additional or extra work, deletion
                   of work and/or adjustments in contract time on a specified contract.

     A Change Order may be initiated for the following circumstances:

     CATEGORY 1: CHANGES - Revisions within original scope

                   Adjustments required to meet actual field conditions encountered.
                   Work in amounts greater than the original scope.
                   Adjustments in quantities to reflect actual work performed.
                   Changes in design and/or specifications that maintain the original intent of the project.

     CATEGORY 2: SUPPLEMENTS - Revisions outside the original scope

                   Changes in design for addition of work beyond the original intent of the project.
                   Specification changes for addition of work beyond the original intent of the project.
                   Work required beyond the original scope or outside the project limits.
                   Contract time adjustments.
                   Implementation of a decision of the Commission in resolving a claim by settlement,
                    litigation or a court decision.
                   Assessment of liquidated damages or incentive/disincentive payments.


E.   Procedures:

     Procedures for review, approval, processing and distribution of construction contract change orders are
     defined in the Construction Operations Procedures entitled "Preparation of Change Orders on
     Construction Contracts".




                           This Policy Letter supersedes all previous Policy Letters on this subject.



                                                          118 of 211
PTC 502005539 (12/05)
                                                                                    Number:
                                                                                    6.2
                        PENNSYLVANIA TURNPIKE
                                                                                    Approval Date:
                             COMMISSION
                        POLICY AND PROCEDURE                                        Effective Date:
                                                                                    10/6/1987
Policy Subject:                              This is a statement of official
                                             Pennsylvania Turnpike                  Revised Date:
6.2 - Core Boring Disposal Policy
                                             Commission Policy

                                             Responsible Department:
                                             Engineering


There are numerous locations where stockpiled core samples are creating problems and unnecessary costs for
our Maintenance Forces. These core samples are not only occupying valuable space but they must be
occasionally relocated to allow performance of maintenance and rehabilitation activities. A new retention
schedule is necessary to relieve these conditions.

Effective immediately, core boring samples are written documentation will be disposed of as outlined in the
paragraphs to follow.

Core boring samples from the Soils Investigation may be discarded after six (6) months have elapsed following
the acceptance of the Final Settlement Certificate Computations by the contractor and the project has been
accepted by the Commission at a regularly scheduled Commission meeting, provided the contractor has not
notified the Commission of any rejection, exception, or intention to file a claim relating to any matter.

In the event of any of the above provision, the samples must be kept until authorization is requested and
received from the Legal Department to discard.

The paper records, however, such as the core boring logs, the foundation reports and the geological engineering
profiles and reports must be retained for the periods of time specified below:

           1. Core boring location for structures, daily core reports, test boring records and other similar
              records: three (3) years after final acceptance of the project. Microfilm before destroying.

           2. Weekly core boring tests: Destroy after final acceptance of project.

           3. In the event a claim has been filed by the Contractor, these records should be retained pursuant
              to direction by the Legal Department.




                          This Policy Letter supersedes all previous Policy Letters on this subject.




                                                         119 of 211
PTC 502005539 (12/05)
                                                                           Number:
                                                                           6.3
                        PENNSYLVANIA TURNPIKE
                                                                           Approval Date:
                             COMMISSION
                        POLICY AND PROCEDURE                               Effective Date:
                                                                           8/25/1978
Policy Subject:                          This is a statement of official
                                         Pennsylvania Turnpike             Revised Date:
6.3 - Procedure for Issuance of                                            8/5/2002
                                         Commission Policy
Pennsylvania Turnpike Keys
                                         Responsible Department:
                                         Maintenance



A.   Scope:

     This policy applies to all employees, contractors, concessionaires, and emergency response companies.


B.   General Policy:

     All requests for keys and locks must be approved by the employee’s department head and forwarded to
     the Maintenance Security Coordinator for processing. If the key requested accesses another department’s
     area, that department head would also have to approve the request. The request must include the Name,
     Job Title and Cost Center of the individual requesting the key, the type of access required and the
     purposes for which the key is to be issued. Only requests for keys to be used by an individual in the
     performance of their duties will be considered.


C.   Procedures:

     The individual receiving the key will be required to sign an agreement for it and return the agreement to
     the Security Coordinator. In the event an employee leaves the Commission, it is the responsibility of the
     Department Head to secure the key(s) issued to the employee and return it to the Security Coordinator
     before the final check is issued.

     Keys are not to be transferred or loaned at anytime for any reason to another individual. The key is for
     the exclusive use of the person to whom it was issued. Any employee loaning, misusing or duplicating
     the key or the lock may be charged for the replacement or rekeying of affected locks and be subject to
     disciplinary action. Duplicated keys will be confiscated upon discovery.

     Persons using the key are subject to be challenged by the State Police. The person challenged will be
     required to prove authority by showing their driver’s license, key number, and in the case of a
     Commission employee, their PTC Identification Card. The Sate Police can verify the names and key
     numbers of any individual challenged through the Security Coordinator.

     Any person apprehended for leaving a gate open will be subject to disciplinary action.

                                                   120 of 211
LOST KEYS
        In the event an employee loses his key, they will be required to reimburse the Commission twenty
        ($20.00) dollars for a section key, thirty ($30.00) dollars for a district key and fifty ($50.00)
        dollars for a master key. Reimbursement is to be made by check or money order payable to the
        Pennsylvania Turnpike Commission and forwarded to the office of the Security Coordinator for
        final disposition before a replacement key will be issued. Lost keys must be reported to the
        employee’s supervisor within forty-eight (48) hours after the loss is discovered.


CONTRACTORS
       All requests for keys must be approved by the project manager and forwarded through their
       department head prior to sending to the Security Coordinator for processing. In case of lost or
       duplicated keys, a one thousand ($1,000.00) dollar fee per key will be charged to the undersigned.
       Lost keys must be reported to the project manager within 48 hours after knowing the key has been
       lost. Reimbursement is to be made by check or money order payable to the Pennsylvania
       Turnpike Commission and forwarded to the office of the Security Coordinator for final
       disposition before a replacement key will be issued. The project manager is responsible for the
       return of keys issued to the contractor prior to final payment being released.


CONCESSIONAIRES
        Requests for access gate keys shall be routed through the PTC Concessions Management
        Department. The Service Station and Restaurant will each be issued two (2) access gate keys per
        service plaza. In the event a Concessionaire loses their key, they will be required to reimburse the
        Commission one hundred ($100.00) dollars. Reimbursement is to be made by check or money
        order payable to the Pennsylvania Turnpike Commission and forwarded to the office of the
        Security Coordinator for final disposition before a replacement key will be issued. Lost keys must
        be reported to the Concession Management Department of the PENNSYLVANIA TURNPIKE
        COMMISSION within forty-eight (48) hours after the loss is discovered. If duplicated keys are
        discovered, the access gate lock will be changed and new keys will be issued upon receipt of
        payment. Abuse of the access gate use will result in loss of access gate privileges.


EMERGENCY RESPONSE COMPANIES
       All Emergency Response Company requests for access gate keys are to be approved by the
       Emergency Services Coordinator of the Operations and Incident Response prior to forwarding to
       the Security Coordinator for processing. Emergency Response Companies will be issued a key
       for the gate they normally use. It will be the responsibility of the Emergency Services
       Coordinator to secure the signature of the individual in charge of the Emergency Response
       Company before keys can be issued. If this key is lost, it will be the responsibility of the
       Emergency Services Coordinator to investigate this matter. He/she must authorize the issuance of
       a replacement key when reimbursement is received.



                        This Policy Letter supersedes all previous Policy Letters on this subject.

PTC 502005539 (12/05)



                                                       121 of 211
                                                                           Number:
                                                                           6.4
                        PENNSYLVANIA TURNPIKE
                                                                           Approval Date:
                             COMMISSION                                    8/3/1999
                        POLICY AND PROCEDURE                               Effective Date:
                                                                           10/26/2004
Policy Subject:                          This is a statement of official
                                         Pennsylvania Turnpike             Revised Date:
6.4 - PTC Vehicle Policy                                                   10/5/2004
                                         Commission Policy

                                         Responsible Department:
                                         Maintenance



A.   Purpose:

     To establish policies, procedures, and responsibilities for the assignment, use, and control of
     Commission-owned personnel vehicles.


B.   Scope:

     This policy applies to all Commission-owned personnel vehicles, including automobiles, station wagons,
     vans or four-wheel drive sport utility vehicles. The policy applies to all pickup trucks used as staff
     vehicles (for example, those used by construction inspectors). The policy does not apply to special
     purpose equipment assigned to field Maintenance Districts and Sections. The PTC Driver’s Manual,
     prepared by the Maintenance Department, is a supplement to the policy, and provides guidance and
     procedures pertaining to use of all vehicles by employees.


C.   Assignment Policy:

     Assignments of vehicles will be on either a permanent or pool basis. Pool assignment will be either long-
     term or short-term.

     A. Permanent Assignment:

       1)       The Chief Executive Officer has discretion to make permanent assignment of vehicles according
                to the following criteria:

                a)     Position – Chief Executive Officer, Chief Operating Officer, Chiefs, Director of
                       Operations East (ERO), Director of Operations West (WRO), and others (at the
                       discretion of the Chief Executive Officer) are to be assigned vehicles on the basis of
                       position. Persons assigned vehicles by position are authorized to commute to and from
                       work utilizing the assigned vehicle.

                b)     Response – Employees on twenty-four (24) hour on-call duty status may be considered
                       for assignment of a vehicle on the basis of response needs. Upon recommendation of an
                       employee’s Department Head, the Chief Executive Officer may approve assignment of a
                                                    122 of 211
                vehicle to employees in this category. The Chief Executive Officer may authorize such
                persons to utilize the assigned vehicle to commute to and from work.

                In general, employees will not be assigned PTC vehicles for commuting purposes unless
                management determines a critical, operational need. As vacant positions are posted, the
                posting will include the assignment of a PTC vehicle if it is applicable.

        c)      Discretionary – The Chief Executive Officer may assign vehicles to individuals for
                reasons other than position or response needs. The Chief Executive Officer may
                authorize these persons to utilize the assigned vehicle to commute to and from work.

2)      All permanent vehicle assignments will terminate February 1 of each year. The Director of
        Maintenance shall be responsible for maintaining a current listing of permanent assignments, the
        basis for the assignment (i.e., position, response, discretionary). The Director of Maintenance
        shall forward this listing of vehicle assignments to the Chief Executive Officer by no later than
        January 25 of each year for review, approval and changes to become effective as of February 1
        of that year.

3)      Types of vehicles are to be assigned according to the following criteria:

        a) Executive class vehicles are to be assigned to the Chief Executive Officer, Chief Operating
           Officer, Chiefs, Director of Operations, East, and Director of Operations West. These
           vehicles are full size sedans or 4x4 sport utility vehicles, assigned at the direction of the
           Chief Executive Officer.

        b) Fleet class vehicles are to be assigned to personnel not included in the above categories.
           The standard fleet vehicles are mid-size vehicles, approved by the Chief Executive Officer.

        c) Four Wheel Drive Vehicles include sport utility, 4x4 pickup, or minivans. The Chief
           Executive Officer has discretion to assign such vehicles based on an employee’s job
           responsibility.

        d) Miscellaneous Light Duty Vehicles include pickup trucks, station wagons, corp buses,
           vans, etc. The Chief Executive Officer has discretion to assign such vehicles based on an
           employee’s job responsibility.

B. Pool Assignments:

     The Chief Executive Officer has discretion to make pool assignment of vehicles as follows.

     1) Long Term:

        a) Individuals: Long-term, pool vehicle assignments may be to individuals on the basis of
           business mileage. If it is expected that an employee will drive 1,000 business miles per
           month (based on semi-annual average), the Chief Executive Officer may assign that
           employee a vehicle from the pool on a long-term basis. Such assignments are subject to the
           annual review process described in provision 3A. (2) above. The Chief Executive Officer,
           upon recommendation of an employee’s Department Head, has discretion to authorize use of
           the vehicle for commuting purposes.

                                             123 of 211
                   Exception: Because the work assignments of our Construction Inspectors vary based upon
                   their current/future project assignments, management will not assign them vehicles, rather
                   we will reimburse them for mileage for each assignment.

               b) Departmental Pool Vehicles: Long-term, pool vehicle assignments may be made to
                  particular departments for departmental pool usage. Department Directors shall be
                  responsible for establishing assignment procedures for use of pool vehicles and preparation
                  of Monthly Mileage Reports for department pool vehicles, which are to be prepared and
                  signed by the Department Head and forwarded to the Director of Maintenance at the end of
                  each month. The Chief Executive Officer shall review long-term, pool vehicle assignments
                  annually to determine whether a minimum monthly utilization of 1,000 miles each (based on
                  an annual average) has been achieved. Department pool vehicles may not be used by an
                  employee for commuting to and from work.

            2) Temporary: Vehicles for temporary assignment may be assigned to a central office pool for
               Commission-wide use.

               a) Pool vehicles are to be used for official Commission business only and not for personal
                  transportation. Employees may not use pool cars to commute to or from home, unless
                  expressly authorized prior to each use by the employee’s department head, based on the
                  requirements of a particular trip.

               b) All pool vehicles are to be assigned on a first-come, first-served basis, in the order in which
                  written requests are received by the Maintenance Department. Assignments may not exceed
                  a period of two weeks. The employee must utilize the vehicle each day of the requested
                  period.

               c) Employees may not use pool vehicles to transport passengers, other than Commission
                  employees, official guests or non-employees involved in Commission functions or activities.

               d) Employees utilizing pool vehicles are responsible for reporting any accidents, mechanical
                  defects, maintenance or other problems with assigned vehicles immediately upon
                  occurrence, in accordance with procedures outlined in the Driver’s Manual.

               e) The Director of Maintenance shall promptly make the employee’s Director aware of any
                  accidents involving the employee’s use of a pool vehicle.




D.   Operational Issues:

       A.      All Commission-owned personnel vehicles shall be driven by Commission employees only,
               except when other operators are authorized to do so in writing by a Commissioner or Chief
               Executive Officer.

       B.      Commission-owned personnel vehicles may be used to transport customers who are in need of
               assistance or non-employee third parties (such as consultants, lawyers, or others contracted to

                                                    124 of 211
         provide services to the Commission), when they are performing Commission business or are
         involved in Commission functions or activities.


 C.      An employee may not use a Commission vehicle for private purposes. Incidental stops for
         personal errands while commuting enroute to or from work are permitted. An employee may
         not use a Commission personnel vehicle to transport members of the employee’s family, except
         in emergency situations or with written approval from the Chief Executive Officer.

This policy letter is intended to provide guidance and appropriate controls with respect to use and
assignment of PTC-owned vehicles. However, the Commission recognizes that specific, unforeseen or
unique circumstances may exist or occur that require exceptions be made with respect to strict application
of, or adherence to, this policy. Such exceptions may be made at the discretion of the PTC’s Chief
Executive or Chief Operating Officers and are to be reviewed and accepted by the Commission.




                    This Policy Letter supersedes all previous Policy Letters on this subject.




                                                   125 of 211
PTC 502005539 (12/05)
                                                                            Number:
                                                                            6.5
                        PENNSYLVANIA TURNPIKE
                                                                            Approval Date:
                             COMMISSION                                     6/19/2001
                        POLICY AND PROCEDURE                                Effective Date:
                                                                            7/5/2001
Policy Subject:                           This is a statement of official
                                          Pennsylvania Turnpike             Revised Date:
6.5 - Utility Crossing License                                              6/11/2001
                                          Commission Policy
Agreements
                                          Responsible Department:
                                          Engineering



A.   Purpose:

     This policy letter establishes the process by which the PTC will grant permission for the crossing of utility
     facilities over, under, or through the Commission’s operating right-of-way.


B.   Scope:

     This policy and the procedures outlined within apply to all utility facilities using, crossing and occupying
     Turnpike operating right-of-way and infrastructure. The fee structure for this policy does not apply to
     those utility crossings that are within public right-of-way or service lines to Commission facilities,
     however the Commission must review a request and upon approval, the Utility would be required to enter
     into a license agreement with the Commission.


C.   General Policy:

     The PTC will review and process all requests for placement of utility facilities crossing over, under or
     through the Commission’s operating right-of-way upon receipt of a $500 (five hundred dollars) non-
     refundable administrative processing fee. Utilities occupying public right of way are exempt from the
     processing fee, however the Commission must review a request and upon approval, the Utility would be
     required to enter into a license agreement with the Commission. No fees will be charged for requests for an
     alteration, upgrade, or removal of Utilities existing facilities.


D.   Definitions:

     Commission’s operating right-of-way: The area owned and utilized by the Commission for the specific
     purpose of providing for and operating a limited access highway, along with all supporting infrastructure,
     including areas encumbered by a specific Turnpike use to which no other entity has been given a transferable
     right to use. Occupation by utilities can only be by license specifically given by the Commission.

     Public right-of-way: Areas owned by PennDOT or other Governmental entities that provide a defined right-
     of-way corridor for public transportation under their exclusive control where utilities may install their

                                                     126 of 211
     facilities in accordance with 15 Pa. C. S. A. section 1511(e). Any utility, private or public, which desires to
     utilize PTC operating right-of-way, must file an application with our Engineering Department. All requests
     must be reviewed and approved by the Chief Engineer or designee.


E.   Procedures:

     All requests for placement of utility facilities within the Commissions’ operating right of way, exclusive of
     those utilities occupying public right of way require a non-refundable $500 (five hundred dollars)
     administrative processing fee. The request will not be processed until the fee is received. This fee is routed
     to the Accounting Department for deposit and record keeping.

     Engineering will review each request and prepare a standard crossing license agreement, with input from the
     Legal Department, the Safety & Risk Management Department and the Consulting Engineer, as needed. All
     such agreements may be prepared and executed under the blanket authority granted by the Commission and
     may be executed by the Commission upon recommendation by the Chief Engineer.

     Requests for the utilization of Commission property that is not considered operating right-of-way will
     continue to be reviewed and processed in accordance with Policy Letter 9.1-- Land Use Policy.




                          This Policy Letter supersedes all previous Policy Letters on this subject.




                                                         127 of 211
PTC 502005539 (12/05)
                                                                           Number:
                                                                           7.1
                        PENNSYLVANIA TURNPIKE                              Approval Date:
                             COMMISSION                                                                           Formatted: Normal
                                                                           1/19/2010
                        POLICY AND PROCEDURE
                                                                           Effective Date:
                                                                           2/3/2010
Policy Subject:                          This is a statement of official
                                         Pennsylvania Turnpike             Revised Date:
7.1 - Investment Policy and                                                1/13/2010
                                         Commission Policy
Guidelines
                                         Responsible Department:
                                         Finance Department



A.   Purpose:

     To define guidelines and operational factors governing the investment of financial assets of the
     Pennsylvania Turnpike Commission.


B.   Investment Objectives:

       A. The safety and preservation of invested funds.

       B. To maintain adequate liquidity to meet Commission cash flow requirements.

       C. Maximize the Total Rate of Return.

       D. Provide preference to Pennsylvania investments when the ROI is no less than equal to the non-
          Pennsylvania investment.



C.   Investment Guidelines:

       A.Eligible Securities (to the extent permitted by any applicable indenture of trust)                       Formatted: Bullets and Numbering


           1. U. S. Treasury Bills, Notes, Bonds, Strips

           2. Time Deposits issued by a banking association organized and doing business under the laws of
              the United States of America or of any state that have a combined capital and surplus of at least
              $50,000,000.

           3. Certificates of Deposit that are fully collateralized and issued by a bank, savings and loan or
              trust company organized under the laws of the United States or any state thereof.


                                                    128 of 211
4. Investment Agreements with a bank, a bank holding company or a financial institution that has
   outstanding long-term indebtedness rated “AA” or better by Moody’s and S&P.

5. Obligations of any of federal agencies which obligations are backed by the full faith and credit
   of the United States of America, including (but not limited to):

          Export-Import Bank
          Farm Credit System Financial Assistance Corporation
          Farmers Home Administration
          General Services Administration
          U.S. Maritime Administration
          Small Business Administration
          Government National Mortgage Association (GNMA)
          U.S. Dept. of Housing and Urban Development (PHAs)
          Federal Housing Administration

6. Senior debt obligations rated “AAA” by Standard & Poor’s Ratings Group (“Standard & Poor’s)
   and “Aaa” by Moody’s Investors Service (“Moody’s) issued by the following Government-
   Sponsored Enterprises (referred to as “Federal Agencies” throughout this policy):

   -   Federal Home Loan Bank
   -   Federal Farm Credit Bank
   -   Federal Home Loan Mortgage Corporation
   -   Federal National Mortgage Association

7. Mortgage-backed securities issued by an approved Federal Agency and Collateralized Mortgage
   Obligations, so long as such securities are rated Aaa by Moody’s and AAA by Standard &
   Poor’s.

8. Debt obligations of any state or local government entity, whether for itself, or as a conduit
   issuer, provided that the securities are rated in the Aa/AA category by at least two of Standard &
   Poor’s, Moody’s and Fitch Investors Service (“Fitch”) and do not have a rating from any of
   Standard & Poor’s, Moody’s and Fitch below the Aa/AA category (without regard to
   subcategories of ratings), and provided that if a short-term rating is provided for the securities
   that they are rated in the top tier by at least two of the three of Standard & Poor’s (A1 or better),
   Moody’s (VMIG1 or P1), and Fitch (F1) and do not have a rating from any of the three rating
   agencies below such levels.

9. Commercial Paper rated by at least two of Standard and Poor’s, Moody’s and Fitch and not less
   than “A-1/P-1/F-1” by Standard & Poor’s, Moody’s and Fitch, respectively.

10. Corporate Bonds rated “Aa3/AA-” or better by Moody’s and S&P.

11. Asset-Backed Securities rated “AAA” by Moody’s and S&P.

12. Repurchase agreements with banks or primary government dealers reporting to the Federal
    Reserve Bank of New York (“Repurchasers”), collateralized by investments with a minimum
    102% valuation in securities described above in paragraphs 1, 5 and 6.


                                         129 of 211
   13. Share or Certificates in any short-term investment fund that invests not less than 90% of its
       assets in obligations described in (1) or (2) above.


B.B. Diversification                                                                                        Formatted: Bullets and Numbering


   1. No limitations are placed on Investments carrying the full faith and credit of the U.S.
      Government, including repurchase agreements collateralized by such investments.

   2. Investments in any single Federal Agency not carrying the Full Faith and Credit of the U.S.
      Government are limited to 35% of the Portfolio.

   3. Investments in Certificates of Deposit or Investment Agreements in total are limited to 30% of
      the Portfolio.

   4. The combined exposure to Commercial Paper, Corporate Bonds and Asset-Backed Securities is
      limited to 35% of the total Portfolio.

   5. Investments in any one single issuer (excluding U. S. Treasury and Federal Agency securities)
      are limited to 5% of the Portfolio.

C.C. Quality                                                                                                Formatted: Bullets and Numbering


   All Investments shall be made with judgment and care, which persons of prudence, discretion and
   intelligence exercise in the management of their own affairs, not for speculation, but for investment,
   considering the probable safety of capital as well as the probable income to be derived.

   All investment ratings shall be based on security ratings at the time of purchase. In the event of a
   downgrade in rating, the Portfolio Manager is to discuss such downgrade as soon as possible with
   the Chief Financial Officer or his designee with a recommendation on whether to sell or hold. The
   portfolio’s average credit quality should be rated Aa3/AA- or better by Moody’s / S&P.

D.D. Maturity                                                                                               Formatted: Bullets and Numbering


   At the time of purchase, the maturity of each security in the Portfolio may not exceed five (5) years,
   taking into account any call, put, prepayment, or other features that may impact maturity. Similarly,
   the weighted average life of mortgages and asset-backed securities may not be more than 5 years.

E.E. Turnover                                                                                               Formatted: Bullets and Numbering


   The Portfolio Managers shall follow a semi-active approach to investment management whereby
   investments are generally purchased with the intent of holding to maturity, but the Portfolio
   Managers have the flexibility to restructure and rebalance portfolio holdings to manage risk and
   take advantage of market opportunities.




                                           130 of 211
D.   Performance Benchmark:

      A. The Portfolio Manager shall work with the Chief Financial Officer or his designee to develop
         appropriate benchmarks for the various funds invested by the Commission, and shall compare the
         returns of the individual Portfolio segments to such benchmarks.



E.   Periodic Review:

     The Investment Policy Committee of the Commission shall prepare an investment report to the
     Commissioners on a quarterly basis, including a management summary that provides a clear picture of
     the status of the current investment portfolio and transactions made over the latest reporting period. Both
     Investment performance and conformity with this Investment Policy shall be reported.


F.   Amendments:

     This Investment Policy shall be reviewed annually by the Investment Policy Committee. Any
     amendments to the Investment Policy must be approved by the Commission.




                         This Policy Letter supersedes all previous Policy Letters on this subject.




                                                        131 of 211
PTC 502005539 (12/05)
                                                                           Number:
                                                                           7.2
                        PENNSYLVANIA TURNPIKE
                                                                           Approval Date:
                             COMMISSION                                    11/21/2000
                        POLICY AND PROCEDURE                               Effective Date:
                                                                           12/6/2000
Policy Subject:                          This is a statement of official
                                         Pennsylvania Turnpike             Revised Date:
7.2 - Non-Revenue Cards for                                                11/7/2000
                                         Commission Policy
Individuals Who Are Not Turnpike
Employees
                                         Responsible Department:
                                         Credit and Collections



A.   Purpose:

     To establish a policy to govern the issuance and usage of non-revenue cards for individuals who are not
     Pennsylvania Turnpike employees, but are conducting official PTC business.


B.   Scope:

     This policy applies to individuals who conduct official PTC business on the Pennsylvania Turnpike, but
     are not employees of the PTC. Examples of such individuals include, but are not limited to,
     concessionaires, consultants, authorized service vehicle companies, utilities, armored car service
     companies, contractors, PennDot Maintenance personnel, Refuse Haulers and State Police.


C.   General Policy:

     Non-revenue cards will be issued for official turnpike business use only. Only the individual or
     company to whom they are issued may use the cards. Non-revenue cards are not transferable.

     Interchange restrictions and a two-year expiration date will apply to all cards issued unless otherwise
     specified. Cards may be renewed upon expiration when proper PTC approval has been given.


D.   Definitions:

     Non-Revenue Card: A card distributed to personnel who are not employees of the PTC, but are traveling
     the Pennsylvania Turnpike to conduct official PTC business.




E.   Procedures:


                                                   132 of 211
The appropriate PTC official must approve all requests for non-revenue cards. Upon approval, the
request should be forwarded to the Card Control Center for processing.

A $50 deposit is required for certain non-revenue cards. This deposit will be reimbursed for cards
returned within the allotted time period.

The Card Control Center will provide a listing to the appropriate departments for review prior to renewal.
This list must be returned to the Card Control Center with updated information so new cards can be
produced.

More specific procedures regarding the processing, approval, renewal, expiration, etc. of non-revenue
cards are maintained by the Card Control Center.




                    This Policy Letter supersedes all previous Policy Letters on this subject.


                                                   133 of 211
PTC 502005539 (12/05)
                                                                           Number:
                                                                           7.3
                        PENNSYLVANIA TURNPIKE
                                                                           Approval Date:
                             COMMISSION                                    4/20/2004
                        POLICY AND PROCEDURE                               Effective Date:
                                                                           5/5/2004
Policy Subject:                          This is a statement of official
                                         Pennsylvania Turnpike             Revised Date:
7.3 - Debt Management Policy
                                         Commission Policy

                                         Responsible Department:
                                         Treasury Management Department



A.   Purpose:


     The purpose of this policy is to establish sound, prudent and appropriate parameters and to provide
     guidance governing the issuance, management, continuing evaluation of and reporting on all debt
     obligations issued by the Pennsylvania Turnpike Commission (“Commission”), and to provide for the
     preparation and implementation necessary to assure compliance and conformity with this policy.
     Recognizing the importance and value to the Commission’s creditworthiness and marketability of the
     Commission’s bonds, this policy is intended to ensure that any and all potential debt structures comply
     with all applicable laws and regulations, as well as sound financial principles.


B.   Policy Statement:


     Under the governance and guidance of its various Indentures, the Commission may periodically enter into
     debt obligations to finance the construction of infrastructure and other assets or to refinance existing debt
     for the purpose of meeting its responsibilities to users of the Turnpike. It is the Commission’s desire and
     direction to assure that such debt obligations are issued and administered in such fashion as to obtain the
     best long-term financial advantage to the Commission.

     The Commission will limit long-term borrowing to fund capital improvements, projects, or equipment
     that cannot be financed from current financial resources. In an effort to maximize capital funding
     availability, the Commission shall utilize a reasonable mix of borrowing and pay-as-you-go funding. The
     Commission will not fund current operations or normal maintenance from the proceeds of long-term
     financing.

     The Commission shall seek to attain bond ratings so borrowing costs are minimized and access to credit
     is preserved. It is imperative that the Commission demonstrates to rating agencies, investment bankers,
     creditors and users of the Turnpike that Commission officials are following a prescribed financial plan
     and adhering to sound financial policy. The Commission will follow a practice of full disclosure by
     regularly communicating with bond rating agencies and Nationally Recognized Municipal Securities


                                                    134 of 211
     Information Repositions (NRMSR) to inform them of the Commission’s current financial condition and
     future financial outlook.
     The Commission will strive to review this Debt Management Policy on an annual basis and update it on a
     timely basis as necessary.

C.   Uses:

     Bond proceeds are limited to financing the costs of planning, design, land acquisition, buildings,
     permanent structures, attached fixtures or equipment and “rolling stock” equipment. Acceptable uses of
     bond proceeds can be viewed as items that can be capitalized. Non-capital furnishings and supplies are
     not to be financed from bond proceeds. Refunding bond issues that are intended to restructure currently
     outstanding debt in order to reduce debt service costs are an acceptable use of bond proceeds.


     The Commission may use short-term borrowing to finance operating needs but only in the case of an
     extreme financial liquidity condition that is beyond its control or reasonable ability to forecast.


D.   Decision Analysis:

     The Ten Year Capital Plan (“Capital Plan”) is the process for identifying both short and long-term needs,
     establishing priorities, examining long-range financial implications and the overall effectiveness of
     funding such long term needs with debt. The Capital Plan will be prepared on an annual basis and will
     list each project and its priority, its estimated cost and proposed funding source. The Commission will
     measure the impact of total debt service requirements including both outstanding and proposed debt
     obligations on one, five, ten and thirty-year periods. This analysis will include debt service maturities
     and payment patterns.


     The Commission will use the services of qualified internal staff and external advisors to assist in the
     analysis, evaluation, and decision process. In addition to debt analysis, the decision process may include
     financial, government and economic reviews. For example, potential funding streams may be identified
     and their respective financial and legal impacts assessed versus various alternatives.


E.   Specific Debt Policies, Ratios and Measurement

     This section of the Debt Management Policy establishes guidance for target debt policies, ratios and
     measurements for the Commission in the following categories:


       A. Constraints, Ratios and Measurements

       B. Measurements of Future Flexibility
     A. Constraints, Ratios and Measures



                                                  135 of 211
The following constraints, ratios and measures shall govern the issuance and administration of debt
obligations:


     1.     Purposes of Issuance - The Commission will issue debt obligations for acquiring,
            constructing, reconstructing or renovating Capital Improvements or for refinancing
            existing debt obligations for any other permitted purpose. The Commission may also
            issue debt to meet its obligations under Act 44 of 2007.
     2.     Maximum Maturity - All debt obligations shall have a maximum maturity of the earlier
            of: (i) the estimated useful life of the Capital Improvements being financed; or, (ii) thirty
            years (unless a longer term is recommended by external advisors): or, (iii), in the event
            they are being issued to refinance outstanding debt obligations, the final maturity of the
            existing debt obligations being refinanced, or the latest estimate of the useful life of the
            capital improvements originally financed with the refunded bonds.
     3.     Annual Debt Service - The Commission will strive to structure debt issues to maintain a
            level or declining overall annual debt service structure.
     4.     Variable Rate Debt – The Commission will strive to maintain unhedged variable rate
            debt levels no greater than 25% of its total outstanding debt. On a periodic basis the
            Commission will reassess its acceptable level of variable rate debt assets in order to
            maintain a relative balance that mitigates potential long-term interest rate risk exposure
            under conditions of either rising or declining market interest rates.
     5.     Present Value Savings – The Commission shall continually monitor its outstanding
            debt for the purpose of determining if existing financial marketplace conditions afford
            the Commission the opportunity to refund existing issues and lessen debt service costs.
            In order to consider and favorably recommend the possible refunding of an issue, the
            Commission will generally look to attain at least a minimum acceptable threshold level
            of net Present Value (PV) savings over the life of the respective issue.
     6.     Bond Covenants and Laws - The Commission shall comply with all covenants and
            requirements of the bond resolutions, and state and federal laws authorizing and
            governing the issuance and administration of debt obligations. Further, the Commission
            shall consult with bond counsel regarding any such legal issues.
     7.     Rate Covenant as to Tolls for Traffic - The Commission covenants that at all times it
            will establish and maintain schedules of tolls for traffic over the system so that net
            revenues will be sufficient to provide funds for the greater of:


            a. 130% of annual debt service for such fiscal year on all applicable long-term
               indebtedness; or

            b. 100% of maximum annual debt service on all applicable long-term indebtedness,
               plus amounts of required transfers to Reserve Maintenance Fund and amounts to
               restore deficiencies in the Debt Service Reserve Fund;
               plus, in either such case, the amount of short-term indebtedness outstanding for more
               than a year. In addition, net revenue in excess of the sum of the amounts of (1) and
               (2) above, together with other revenues pledged to the payment of subordinated
               indebtedness, shall be sufficient to pay the annual debt service for any subordinated
               indebtedness.

                                          136 of 211
                            Capitalized terms used on this page are defined in the Commission’s restated
                            indenture for its toll revenue bonds.

     B. Measurements of Future Flexibility

        The Commission’s future flexibility is governed through the following Indenture covenants and
        policies:


               1.       Limitations on Issuance of Additional Bonds – The Commission agrees that it will not
                        issue any additional bonds constituting long-term indebtedness unless the following
                        conditions are met:
                            a. Historical pro forma debt service coverage ratio for the most recent fiscal year
                               was not less than 1.75.

                            b. Net revenues of the Commission during the preceding fiscal year were at least
                               130% of the maximum annual debt service and the projected debt service
                               coverage ratio is not less than 1.30.


               2.      Structure of Additional Bonds - The Commission will attempt to structure bond issues
                       with call provisions consistent with current market conditions and with a goal to maximize
                       flexibility with future refunding opportunities. The Commission may use premium or
                       discount bonds to enhance the marketing of the bonds and will analyze the cost in relation
                       to future refunding opportunities and impact on debt service. Finally, the Commission
                       may consider using capitalized interest only if there are budgetary constraints that need to
                       be addressed by phasing in debt service impact.
               3.      Uncommitted General Fund Balance – The Commission will adhere to its Liquidity
                       Policy that requires minimum balances to be maintained at all times in the Reserve
                       Maintenance Fund and General Reserve Fund. The Policy is specifically stated as follows:
                        “The Pennsylvania Turnpike Commission will budget and maintain a cumulative Fund
                        Balance, including cash balances in both the Reserve Maintenance Fund and the General
                        Fund, equal to the greater of either the annual debt service of bonds not secured by a
                        Debt Service Reserve Fund or 10% of annual budgeted revenues.”

F.    Sale of Bonds:

      The Commission shall choose the method of sale of its bonds (competitive versus negotiated) in light of
      financial and market conditions as well as considering an assessment of the different benefits associated
      with each method.

      The Commission shall require its financial advisor in conjunction with the senior underwriter(s) to
      prepare a marketing plan that includes recommended distribution rules (that will enhance the marketing


                                                      137 of 211
     effort), descriptions of similar transactions in the market place and their rates of interest, prevailing
     market information and any other financial information deemed relevant.

G.   Derivative Products:

     The Commission will consider the use of derivative products in connection with the overall debt plan as a
     means of reducing debt service costs, increasing flexibility, hedging interest rate risk and accessing
     different investor markets. Additionally, the Commission will strive to only use derivative products after
     an analysis of the economic benefit of the interest rate swap market in relation to traditional financing
     methods has been undertaken and indicates a significant financial economic benefit without excessive or
     unacceptable levels of risk.


     The Commission will comply with prevailing state law, if any, regarding the use of derivative products as
     well as certain disclosure requirements as specified by the Governmental Accounting Standard Board
     (“GASB”). The GASB recently issued GASB Technical Bulletin No. 2003-1 in June 2003 that requires a
     governmental entity to provide additional disclosure of derivatives not reported at fair value on the
     statement of net assets. The Commission has decided to incorporate the technical bulletin requirements
     into its audited financial statements ending fiscal year May 31, 2003.


     The Commission has developed a separate Interest Rate Swap Policy. The policy addresses such issues
     as Scope and Authority, Conditions for the Use of Interest Rate Swaps, Interest Rate Swap Features,
     Evaluation, Management and Monitoring of Interest Rate Swap Risks and Selecting and Procuring
     Interest Rate Swaps. The Commission’s policy and guidelines regarding Interest Rate Swaps are
     documented in the Commission’s Interest Rate Swap Policy.

H.   Disclosure and Financial Reporting:

     The Commission will ensure that there is full and complete disclosure to rating agencies and other
     applicable regulatory bodies of all debt obligations. Offering documents for debt of the Commission
     shall also fully describe all outstanding debt as well all relevant information regarding the Commission
     and the particular financing transaction as required under federal securities law, subject to advice of bond
     counsel. The Commission will adhere to the guidelines for the financial reporting of debt obligations as
     recommended by the Government Accounting Standards Board (“GASB”) or any other applicable
     regulatory agency.


                          This Policy Letter supersedes all previous Policy Letters on this subject.




                                                         138 of 211
PTC 502005539 (12/05)
                                                                            Number:
                                                                            7.4
                        PENNSYLVANIA TURNPIKE
                                                                            Approval Date:
                             COMMISSION
                        POLICY AND PROCEDURE                                Effective Date:
                                                                            5/1/1999
Policy Subject:                           This is a statement of official
                                          Pennsylvania Turnpike             Revised Date:
7.4 - Contract Management
                                          Commission Policy

                                          Responsible Department:
                                          Finance and Administration



A.   Purpose:

     The purpose is to establish a general policy governing the procurement of contractual services with other
     parties. It seeks to ensure that:

               The need to enter into a contract has been validated.
               Vendors are selected according to a defined process.
               The terms and conditions under which the services will be provided by the other party are
                defined in a written contract
               Contracts are created and executed in a consistent manner and in compliance with all
                Commission policies and procedures and with all other applicable laws.
               Proper financial, legal and Commission reviews and approvals are conducted and obtained.
               Established contract administration procedures are followed to ensure the ability to monitor and
                view summary information.


B.   Scope:

     This Policy Letter applies to all contracts entered into by the Commission except:

               Contracts created under the Purchasing Policies and Procedures Manual
               Labor Agreements and Memoranda of Understanding

     Contracts covered by this Policy Letter shall be classified according to the following contract topics:

        1.    Consultant/Outsourcing Services
        2.    Architect/Engineering and Development Services
        3.    Construction Services
        4.    Legal Services
        5.    Maintenance Services
        6.    Interagency/Intergovernmental Agreements
        7.    Miscellaneous Agreements and Contracts


                                                    139 of 211
     Each of these topics is further defined in the Contracting Policies and Procedures Manual.

C.   General Policy:

     It is the general policy of the Commission that business conducted with other parties is performed under a
     written contract. The majority of contracts involve vendors who provide services to augment manpower,
     outsource a specific function, or provide advice or assistance to PTC staff in performing tasks or projects.
     Contracts to establish respective rights and duties with other governmental agencies and to execute
     various real estate transactions such as selling, renting, or acquiring land are also required. Finally,
     various miscellaneous contracts and agreements are required to be executed to conduct certain activities.

D.   Definitions:

     Contract: A contract is an agreement between the Commission and one or more parties, which creates,
                      modifies or terminates a legal relationship. The legal relationship typically involves the
                      creation of an obligation to do or not to do a particular thing.

     Contract Topic: A contract topic is a category identifying a particular contract use. Each of the seven
                     PTC contract topics has specific procedures which must be followed to properly create a
                     contract.


E.   Procedures:

     The Contracting Policies and Procedures Manual consists of two primary components. The first
     component defines the general policy to create a contract and ensure that the proper legal, financial and
     Commisson reviews have been performed and approvals obtained. This component is the general policy
     section of the manual. The general policy is written in non-specific terms and applies to all contracts.

     The second component consists of seven additional sections. Each section defines the specific procedure
     to enter into a contract for each of the seven contract topics. For each topic, the General Policy section is
     expanded to further define the specific requirements unique to the section topic.

     The procedure to create a contract is summarized as follows:

          1. Determine if a contract is needed.
             Are the services of an outside party required?

          2. Determine if the contract is covered under this policy.
             Per the scope paragraph of this policy letter, all contracts except the labor agreements and
             contracts created by the purchasing department are covered.

          3. Select the topic that applies to the contract.
             The Contracting Policies and Procedures Manual describes the contract topics in further detail
             to assist in determining which topic applies to a particular contract situation.

          4. Follow the procedures for that topic in the Contracting Policies and Procedures Manual.
             The Contracting Policies and Procedures Manual describes the procedure for each contract
             topic.

                                                    140 of 211
Except in emergencies, no contract shall be implemented nor shall any services be accepted or work
begun on any contract not processed and approved in accordance with the policies and procedures set
forth in the Contracting Policies and Procedures Manual. Emergencies are deemed to be such things as
life threatening situations or extreme situations that require immediate action. Failure to plan, upcoming
deadlines or procrastination do not constitute emergencies.

This Policy Letter supercedes all previous Policy Letters governing contracting for services, including
Policy Letter Nos. 53, 57, 58, and 77.




                    This Policy Letter supersedes all previous Policy Letters on this subject.




                                                   141 of 211
PTC 502005539 (12/05)
                                                                           Number:
                                                                           7.5
                        PENNSYLVANIA TURNPIKE
                                                                           Approval Date:
                             COMMISSION                                    3/7/2000
                        POLICY AND PROCEDURE                               Effective Date:
                                                                           10/26/2004
Policy Subject:                          This is a statement of official
                                         Pennsylvania Turnpike             Revised Date:
7.5 - Internal Audit Services                                              10/5/2004
                                         Commission Policy

                                         Responsible Department:
                                         Operations Review and Toll Revenue Audit Department



A.   Purpose:

     To establish a uniform policy and define responsibilities for the performance of internal audit services
     within the Pennsylvania Turnpike Commission.


B.   Scope:

     This policy applies to all Internal Audit Services and all employees of the Pennsylvania Turnpike
     Commission.


C.   General Policy:

     Internal Audit Services will be performed in accordance with the Internal Audit Charter (Attachment I).
     A committee of executive management, known as the Audit Committee, will operate in accordance with
     their Charter (Attachment II), as approved by the Pennsylvania Turnpike Commission (Commission).
     Audits of Commission departments, programs, activities and functions are to be performed by qualified
     auditors in accordance with the Standards for the Professional Practice of Internal Auditing established by
     the Institute of Internal Auditors.


D.   Definitions:


     1. Internal Audit Services – A range of independent, objective, assurance, and consulting services
        designed to add value and improve the Commission’s operations. This includes investigative and/or
        examinatorial activities conducted to determine compliance with approved policies, business
        processes and procedures that are in place to effectively and efficiently control the organization’s
        activities, enable successful achievement of established goals and objectives, and protect the
        Commission’s assets. These activities include financial audits, performance audits, and consulting
        services as well as advising management on correcting process/procedural weaknesses, improving
        controls, identifying significant exposures, and assessing risk.


                                                   142 of 211
     2. Internal Audit Function – The performance of Internal Audit Services by either the Operations
        Review or Toll Revenue Audit Departments. Projects or activities other than Internal Auditing
        Services may be performed by these departments at the direction of the Chief Executive and/or Chief
        Operating Officer(s).

     3. Internal Audit Charter – This charter describes the purpose, authority, and principal responsibilities of
        the Pennsylvania Turnpike Commission’s Internal Audit Departments (Attachment I).

     4. Audit Committee Charter – This charter describes the membership, responsibilities, powers and duties
        of the Audit Committee (Attachment II).

     5. Audit Executive - The Director of Operations Review or Toll Revenue Audit.


E.   Procedures:

     1. Requests for Internal Audit Services – Requests for internal audit services can be made at any time
        through the requesting organization’s Director in written form to either the Director of Operations
        Review or Toll Revenue Audit. Audit service requests regarding the process of toll collection or any
        components associated with the collection or processing of toll revenue, customer service or the
        Commissions fare collection maintenance contractor or ETC contractor should be submitted to the
        Director of Toll Revenue Audit. Other requests for audit services should be submitted to the Director
        of Operations Review. Requests for audit services should include a description of the problem or area
        of concern, type of audit service requested, proper justification of why the audit service is necessary,
        the risk of not performing the audit service, and the requested audit services completion date.
        Requests will be evaluated, prioritized and approved based on severity of the control exposures, levels
        of risk, degree of non-compliance, and overall benefit to the organization. The appropriate Audit
        Executive has the authority to recommend that an audit service commence immediately. If it is
        determined that addressing an audit service request can be deferred without significant business risk,
        the Audit Executive has the authority to defer the request for review by the Audit Committee at it’s
        next scheduled meeting.

     2. Performance of Audit Services – All audit services will be performed in accordance with the
        Standards for the Professional Practice of Internal Auditing which encompass:
            a. The independence of the internal audit function from the activities audited and the objectivity
               of internal auditors.
            b. The proficiency of internal auditors and the professional care they should exercise.
            c. The scopes of internal auditing activities.
            d. The performance of internal auditing assignments.

     3. Availability of Records – All records of the Commission relevant to the audit service must be made
        available to the auditor. These records include, but are not limited to, contracts, invoices,
        correspondence, contract deliverables, payroll, project records, electronic systems and data.

     4. Code of Ethics - The Internal Audit Departments will follow the Institute of Internal Auditors’ Code
        of Ethics. The standards of conduct set forth in the Code of Ethics provide the principles in the
        practice of Internal Audit.

     5. Communications – Prior to the start of each audit service, a written scope of services will be prepared.
        The appropriate Audit Executive and management requesting the service will agree upon the written

                                                   143 of 211
   scope of service. The results of all audit services will be communicated to the appropriate level of
   management both during and at the end of the audit. If the respective Internal Audit Department
   becomes aware of an issue, outside the course of a planned audit service that is an audit concern; the
   issue will be brought to the attention of management and the Audit Committee.

6. Reporting – The results of the audit will be documented in a written report or memorandum and
   submitted to the Audit Committee.

7. Audit Resolution – An opportunity will be given to the auditee to resolve any outstanding issues
   before they become a finding and issued as part of the final audit report.

8. Audit Follow-Up – The appropriate Audit Executive will follow up on the status of implementation of
   corrective action at least annually from the report issue-date, until all recommendations are
   implemented.




                   This Policy Letter supersedes all previous Policy Letters on this subject.




                                                  144 of 211
                                    PENNSYLVANIA TURNPIKE COMMISSION


                                     INTERNAL AUDIT CHARTER




This Charter describes the purpose, authority, and principal responsibilities of the Pennsylvania Turnpike
Commission Internal Audit Departments (Operations Review and Toll Revenue Audit).




PURPOSE

Internal auditing is an independent appraisal activity established by the Board of Commissioners which
functions by measuring and evaluating the effectiveness of financial and managerial controls. A primary
objective of internal auditing is to assist Commission management in the effective discharge of their
responsibilities. To this end, internal auditing furnishes them with analyses, appraisals, recommendations,
counsel, and information concerning various activities audited or reviewed.



AUTHORITY

The Internal Audit Departments are authorized by the Board of Commissioners to conduct a comprehensive
program of internal auditing. To accomplish its objectives, internal auditors, with stringent regard for
safekeeping and confidentiality, shall have access to all Commission activities, records, property, and
employees as may be necessary to carry out their assigned responsibilities in accordance with the annual work
plan. Internal auditing is a staff function and internal auditors have no authority over, or responsibility for, the
activities they audit.



REPORTING

The Internal Audit Departments report to the Chief Operating Officer and the Audit Committee for all auditing
activities.




                                                     145 of 211
RESPONSIBILITIES

Internal auditing responsibilities include, but are not limited to:

          Examining and evaluating the adequacy and effectiveness of the organization’s systems of internal
           control, including those pertaining to the deterrence, detection, and investigation of fraudulent or
           illegal acts.
          Reviewing the systems established to ensure compliance with those policies, plans, procedures,
           laws, and regulations, which could have a significant impact on operations and reports, and
           determining whether the organization is in compliance.
          Reviewing the means of safeguarding assets and, as appropriate, verifying the existence of such
           assets.
          Reviewing operations or programs to ascertain whether results are consistent with established
           objectives and goals and whether the operations or programs are being carried out as planned.
          Coordinating internal auditing activities with the work of the independent external auditors and
           assisting the external auditors as required.

In meeting its responsibilities, internal auditors shall comply with the Code of Ethics and the Standards for the
Professional Practice of Internal Auditing promulgated by The Institute of Internal Auditors, Inc., as well as
other professional auditing standards, which may be applicable to the performance of their work assignments.



Concurrence:




___________________________
Joseph Brimmeier
Chief Executive Officer



____________________________
George Hatalowich
Chief Operating Officer



_______________________________
Honorable Mitchell Rubin
Audit Committee Chairman




                                                      146 of 211
                                 Pennsylvania Turnpike Commission
                                 AUDIT COMMITTEE CHARTER

I.     Purpose

              The primary purpose of the Audit Committee (the “Committee”) of the Pennsylvania
              Turnpike Commission (the “Commission”) is to assist the Commissioners in fulfilling
              their oversight responsibilities regarding (1) the audit and integrity of the Commission’s
              financial statements, (2) the qualifications, independence and performance of the
              Commission’s external auditor, (3) the adequacy and effectiveness of the Commission’s
              accounting, auditing and financial reporting processes, (4) the Commission’s compliance
              with pertinent laws, rules and regulations, and (5) the Commission’s assessment of risks
              that might materially affect its financial condition.

              Although the Committee has the authority and responsibilities set forth in this Charter,
              the primary role of the Committee is oversight. It is not the duty of the Committee to
              conduct audits, to determine that the Authority’s financial statements are complete and
              accurate and in accordance with general accepted accounting standards, or to otherwise
              assure compliance with pertinent laws, rules and regulations. These are the
              responsibilities of (1) management, which for purposes of this Charter includes the Chief
              Executive Officer and the Chief Operating Officer, Commission counsel, the directors of
              the Toll Revenue Audit and Operations Review Departments; and (2) the Commission’s
              external auditor.

II.    Authority

       In discharging its oversight role, the Committee is empowered to:

             Recommend to the Commissioners the selection of the Commission’s external auditor,
              considering qualifications, independence and schedule of fees and compensation.
             Conduct or authorize investigations into any matters within its scope of responsibility.
             Retain independent counsel, accountants, or others to advise the Committee or assist it in
              the performance of its duties.
             Request the attendance of any officer or employee of the Commission at any meeting of
              the Committee or with any members of, or advisors to, the Committee.
             Form and delegate authority to subcommittees consisting of one or more members to
              perform such duties and responsibilities under this Charter as the Committee may deem
              appropriate.

III.   Composition

       The Audit Committee shall be comprised of three or more Commissioners, each of whom shall
       be independent. A member of the Committee shall not be deemed independent if the member,
       directly or indirectly, has a material relationship with the Commission that, in the opinion of the
       Commissioners, would interfere with the exercise of independent judgment as a member of the
       Committee. All members of the Committee shall have a working familiarity with basic finance
       and accounting practices, and at least one member of the Committee shall have accounting or
       related financial management expertise.
IV.   Structure and Processes

      Appointment of Members, Chairperson. The Committee members shall be appointed by the
      Commission and the chairperson of the Committee shall be elected by the Committee members.

      Meetings. The Committee shall meet at least twice annually, or more frequently as
      circumstances dictate. The Committee shall periodically hold executive sessions with
      management; the internal auditor or the external auditor to discuss any matters that the
      Committee, management or the auditors believe should be discussed privately. Meeting agenda
      items will be proposed by staff, and submitted by the Chief Operating Officer to members of the
      Committee in advance of each meeting, along with appropriate briefing materials. Minutes will
      be kept by a member of the Committee or a person designated by the Committee to do so.

      Rules and Guidelines. The Committee may adopt rules and guidelines for its meetings and other
      activities.

V.    Responsibilities

      The committee will carry out the following responsibilities:

         Review and discuss with management and the external auditor the annual financial
          statements. Discuss significant accounting and reporting issues including complex or
          unusual transactions.

         Recommend the selection of the external auditor and approval of the fees and other
          compensation to be paid to the external auditor. Pre-approve all audit and non-audit services
          to be performed by the external auditor.

         Review the performance of the external auditor and recommend the replacement or discharge
          of the external auditor, if necessary.

         Meet with the external auditor to discuss the proposed audit planning, scope, staffing and
          approach, including coordination of its effort with the internal auditor.

         Obtain and review a report from the external auditor regarding its quality control procedures,
          and material issues raised by the most recent internal quality control review, or peer review,
          of the firm or by any inquiry or investigation by governmental or professional authorities
          within the preceding five years and any steps taken to deal with any such issues.

         Obtain and review a formal written statement from the external auditor delineating all
          relationships between the external auditor and the Commission that may impact the
          objectivity and independence of the external auditor. Discuss with the external auditor any
          disclosed relationships and take appropriate action to satisfy itself as to the independence of
          the external auditor.

         Review with management and the external auditor the results of the audit, including any
          difficulties encountered in the course of the audit work, any restrictions on the scope of the
    activities or access to requested information and any significant disagreements with
    management.

   Discuss with the internal auditor and external auditor the scope of their reviews of internal
    control over financial reporting, including controls over information technology and security
    control, and obtain reports on significant findings and recommendations, together with
    management’s responses.

   Review with management, the internal auditor and the external auditor the Commission’s
    accounting, auditing and financial reporting processes, including the plans, activities, staffing
    and organizational structure of the Toll Revenue Audit and Operations Review Departments.

   Obtain regular updates from management and Commission counsel regarding compliance
    matters and legal matters that may have a significant impact on the financial statements.

   Establish and review procedures for the receipt, retention and treatment of complaints
    received by the Commission regarding accounting or auditing matters, and the confidential,
    anonymous submission by employees of concerns regarding questionable accounting or
    auditing matters.

   Review with management the Commission’s major risk exposures and the steps management
    has taken to monitor and control such exposures.

   Establish, review and update periodically a Code of Ethical Conduct and ensure that
    management has established a system to distribute and to enforce this Code.

   Report regularly to the Commissioners regarding issues arising before, and actions taken by,
    the Committee.

   Review and update this Charter periodically as conditions dictate.

   Perform any other activities consistent with this Charter as the Committee or the
    Commissioners deem necessary or appropriate.
PTC 502005539 (12/05)
                                                                                      Number:
                                                                                      7.6
                         PENNSYLVANIA TURNPIKE
                                                                                      Approval Date:
                              COMMISSION                                              4/20/2004
                         POLICY AND PROCEDURE                                         Effective Date:
                                                                                      5/5/2004
Policy Subject:                                This is a statement of official
                                               Pennsylvania Turnpike                  Revised Date:
7.6 - Liquidity Standard Policy
                                               Commission Policy

                                               Responsible Department:
                                               Treasury Management Department



A.   Purpose:

     The purpose of this policy is to ensure that the Pennsylvania Turnpike Commission will maintain
     minimum annual year-end fund balances for the ongoing level of uncommitted reserves necessary
     for the Commission to secure and protect its long-term debt.

B.   General Policy:

     The Pennsylvania Turnpike Commission will budget and maintain a cumulative fund balance,
     including cash balances in the Reserve Maintenance Fund and the General Reserve Fund, equal to
     the greater of either the maximum annual debt service on all bonds not secured by a Debt Service
     Reserve Fund or 10% of annual budgeted revenues.




                        This Policy Letter supersedes all previous Policy Letters on this subject.
PTC 502005539 (12/05)
                                                                            Number:
                                                                            7.7
                        PENNSYLVANIA TURNPIKE
                                                                            Approval Date:
                             COMMISSION                                     4/20/2004
                        POLICY AND PROCEDURE                                Effective Date:
                                                                            5/05/2004
Policy Subject:                           This is a statement of official
                                          Pennsylvania Turnpike             Revised Date:
7.7 – Interest Rate Swap
                                          Commission Policy
Management Policy
                                          Responsible Department:
                                          Treasury Management Department



I.    Introduction:

        The purpose of the Interest Rate Swap Policy (“Policy”) of the Pennsylvania Turnpike
        Commission (“Commission”) is to establish guidelines for the use and management of all
        interest rate management agreements, including, but not limited to, interest rate swaps,
        swaptions, caps, collars and floors (collectively “Swaps” or “Agreements”) incurred in
        connection with the incurrence of debt obligations as authorized by the Commission’s Debt
        Policy (attached as Exhibit A). The Policy sets forth the manner of execution of Swaps and
        Agreements, provides for security and payment provisions, risk considerations and certain other
        relevant provisions as well as being responsive to the proposed 2003 recommended practices of
        the Government Finance Officers Association regarding the contents of an interest rate swap
        policy. The failure by the Commission to comply with any provision of this Policy shall not
        invalidate or impair any Swap or Agreement.


II.   Scope and Authority:

        This Policy shall govern the Commission’s use and management of all Swaps. While adherence
        to this Policy is required in applicable circumstances, the Commission recognizes that changes in
        the capital markets, agency programs, and other unforeseen circumstances may from time to time
        produce situations that are not covered by the Policy and will require modifications or exceptions
        to achieve policy goals.

        The Chief Financial Officer and Director of Treasury Management are the designated
        administrators of the Commission’s Policy. The Chief Financial Officer shall have the day-to-
        day responsibility and authority for structuring, implementing, and managing Swaps.

        The Commission shall be authorized to enter into Swap transactions only with qualified Swap
        counterparties. The Commission, in consultation with the Chief Financial Officer, shall select
        the counterparties, in adherence with the criteria set forth in the Policy.
III. Conditions for the Use of Swaps


A.    General Usage

          The Commission will use Swaps to hedge interest rate movement, basis risk and other risks,
          to lock-in a fixed rate or, alternatively, to create synthetic variable rate debt. Swaps may also
          be used to produce interest rate savings, limit or hedge variable rate payments, alter the
          pattern of debt service payments, manage exposure to changing market conditions in advance
          of anticipated bond issues (through the use of anticipatory hedging instruments) or for
          asset/liability matching purposes.

B.    Maximum Notional Amount

          The Commission will limit the total notional amount of outstanding Swaps based on criteria
          set forth in this Policy regarding the proper management of risks, calculation of termination
          exposure, and development of a contingency plan. In no event, however, shall the
          Commission’s exposure to any counterparty rated A/A- or lower exceed 50% of the
          Commission total debt.

C.    Impact of use of Liquidity

          The Commission shall consider the impact of any variable rate bonds issued in combination
          with a Swap on the availability and cost of liquidity support for other Commission variable
          rate programs.


D.    Call Option Value Considerations

          When considering the relative advantage of a Swap versus fixed rate bonds, the Commission
          will take into consideration the value of any call option on fixed rate bonds.


E.    Qualified Hedges

          The Commission understands that, (1) if payments on and receipts from the Agreement are to
          be taken into account in computing the yield on the related bonds, the Agreement must meet
          the requirements for a “qualified hedge” under federal tax law (sometimes referred to as an
          “integrated” Swap); and (2) if one of the goals of entering into the Agreement is to convert
          variable yield bonds into fixed yield bonds (sometimes referred to as a “super integrated
          swap”), then certain additional requirements must be met. In both of these situations, the
          terms of the Agreement and the process for entering into the Agreement must be reviewed
          and approved in advance by tax counsel.
F.   Evaluation of Swap Risks

            Prior to the execution of any Swap transaction, Commission Chairman, the Chief
            Financial Officer, the Director of Treasury Management, and Commission’s Financial
            Advisor, Swap Advisor and Bond Counsel shall evaluate the proposed transaction and
            report the findings. Such a review shall include the identification and evaluation of the
            proposed benefit and potential risks.



     Evaluation Methodology:

     The Commission will review the following areas of potential risk for new and existing Swaps:
Type of Risk        Description                   Evaluation Methodology
Basis risk          The mismatch between          The Commission will
                    actual variable rate debt     review historical trading
                    service and variable rate     differentials between the
                    indices used to determine     variable rate bonds and the
                    Swap payments.                index.
Tax risk            The risk created by           The Commission will
                    potential tax events that     review the tax events in
                    could affect Swap             proposed Swap
                    payments.                     agreements. The
                                                  Commission will evaluate
                                                  the impact of potential
                                                  changes in tax law on
                                                  LIBOR indexed Swaps.
Counterparty risk   The failure of the            The Commission will
                    counterparty to make          monitor exposure levels,
                    required payments.            ratings thresholds, and
                                                  collateralization
                                                  requirements.
Termination risk    The need to terminate the     The Commission will
                    transaction in a market       compute its termination
                    that dictates a termination   exposure for all existing
                    payment by the issuer.        and proposed Swaps at
                                                  market value and under a
                                                  worst-case scenario.
Rollover risk       The mismatch of the           The Commission will
                    maturity of the Swap and      determine, in accordance
                    the maturity of the           with its Debt Policy, its
                    underlying bonds.             capacity to issue variable
                                                  rate bonds that may be
                                                  outstanding after the
                                                  maturity of the Swap.
Liquidity risk      The inability to continue     The Commission will
                    or renew a liquidity          evaluate the expected
                    facility.                     availability of liquidity
                                                  support for swapped and
                                                  unhedged variable rate
                                                  debt.
Credit risk         The occurrence of an          The Commission will
                    event modifying the credit    monitor the ratings of its
                    rating of the issuer or its   counterparties and
                    counterparty.                 insurers.
IV. Award

         The Swap must contain financial terms and conditions that are fair and reasonable to be
         evidenced in a letter from a qualified independent Swap Advisor.

V. Swap Features


A.    Swap Agreement

         The Commission will use terms and conditions as set forth in the International Swap and
         Derivatives Association, Inc. (“ISDA”) Master Agreement. The Swap agreement between
         the Commission and each counterparty shall include payment, term, security, collateral,
         default, remedy, termination, and other terms, conditions, provisions and
         safeguards as the Commission, in consultation with its legal counsel and Swap Advisor,
         deems necessary or desirable.

         Subject to the provisions contained herein, the terms of any Commission Swap agreement
         shall use the following guidelines:

            i.      Downgrade provisions triggering termination shall in no event be worse than
                    those affecting the counterparty.
            ii.     Governing law for Swaps will be the State of New York. Issues relating to
                    jurisdiction, venue, waiver of jury trial and sovereign immunity will be subject to
                    prevailing law and approval of the Commonwealth Attorney General. Preference
                    will be given to language providing that the counterparty will consent to
                    jurisdiction in the Pennsylvania courts with respect to enforcement of the
                    Agreement.
            iii.    The specified indebtedness related to credit events in any Swap agreement should
                    be narrowly defined and refer only to indebtedness of the Commission that could
                    have a materially adverse effect on Commission’s ability to perform its
                    obligations under the Swap. Debt should typically only include obligations within
                    the same lien as the Swap obligation.
            iv.     Collateral thresholds for the Swap provider should be set on a sliding scale
                    reflective of credit ratings. Collateral requirements should be established and
                    based upon the credit ratings of the Swap provider or guarantor. The Trustee or
                    an independent third party or the counterparty if so directed should hold
                    collateral.
            v.      Eligible collateral should generally be limited to Treasuries and obligations of
                    Federal Agencies where the principal and interest are guaranteed by the United
                    States. The market value of the collateral shall be marked to market no less than
                    Bi-Monthly.
            vi.     Commission shall have the right to optionally terminate a swap agreement at
                    “market,” at any time over the term of the agreement.
            vii.    Termination value should be set by ”second method” and “market quotation”
                    methodology, unless the Commission deems an alternate appropriate.
B.   Swap Counterparties

        1. Credit Criteria

           The Commission will make its best efforts to work with qualified Swap counterparties
           that have a general credit rating of: (i) at least “A3” or “A-” by two of the nationally
           recognized rating agencies and not rated lower than “A3” or “A-” by any nationally
           recognized rating agency, or (ii) have a “non-terminating” “AAA” subsidiary as rated by
           at least one nationally recognized credit rating agency. The nationally recognized rating
           agencies are Moody’s Investors Services, Inc., Standard and Poor’s Rating Services, and
           Fitch Ratings.

           In addition to the rating criteria specified herein, the Commission will seek additional
           credit enhancement and safeguards in the form of:
               Contingent credit support or enhancement;
                   i.      Collateral consistent with the policies contained herein;
                   ii.     Ratings downgrade triggers;
                   iii.    Guaranty of parent, if any.

           In addition, qualified Swap counterparties must have a demonstrated record of
           successfully executing Swap transactions as well as creating and implementing
           innovative ideas in the Swap market.

        2. Counterparty Termination Exposure

           In order to manage the Commission’s counterparty credit risk, and credit exposure to any
           one counterparty, the Commission will determine and evaluate its exposure to the
           proposed counterparty or counterparties. The exposure should be measured in terms of
           notional amount, mark to market valuation and volatility.


C.   Term and Notional Amount

        For Swaps tied to an issued series of bonds, the term of the Swap agreement shall not extend
        beyond the final maturity date of the related bonds. The total net notional amount of all
        Swaps related to a bond issue should not exceed the amount of outstanding bonds. In
        calculating the net notional amount, netting credit shall be given to any Swaps that offset
        each other for a specific bond transaction.


D.   Security and Source of Repayment

        The Commission may use the same security and source of repayment (pledged revenues) for
        Swaps as is used for the bonds that are hedged or carried by the Swap, if any, but shall
        consider the economic costs and benefits of subordinating the Commission’s payments
        and/or termination payment under the Swap. The Commission shall consult with Bond
        Counsel regarding the legal requirements associated with making the payments under the
        Swap on a parity or non-parity basis with outstanding Commission debt.
E. Prohibited Agreements

         The Commission will not use Agreements that:

         i.        Are speculative or create extraordinary leverage as risk;
         ii.       Lack adequate liquidity to terminate without incurring a significant bid/ask spread;
         iii.      Provide insufficient price transparency to allow reasonable valuation.



VI. Managing Ongoing Swap Risks

         1. Annual Swap Report

                The Director of Treasury Management, in consultation with the Commission’s Financial
                Advisor, Swap Advisor and Bond Counsel, will evaluate the risks associated with
                outstanding Swaps at least annually and provide to the Senior Executives and the
                Commissioners a written report of the findings. This evaluation will include the
                following information:

                   i. A description of all outstanding Swaps, including related bond series, types of
                        Swaps, rates paid and received by Commission, existing notional amount, the
                        average life and remaining term of each Swap agreement, and the current mark to
                        market value of all outstanding Swaps.
                   ii. Separately for each Swap, the actual debt service requirements versus the
                        projected debt service on the Swap transaction; and for any Swaps used as part of
                        a refunding, the actual cumulative savings versus the projected savings at the time
                        the Swap was executed.
                   iii. The credit rating of each Swap counterparty, parent, guarantor, and credit
                        enhancer insuring Swap payments, if any.
                   iv. Actual collateral posting by Swap counterparty, if any, per Swap agreement and
                        in total by Swap counterparty.
                   v. Information concerning any material event involving outstanding Swap
                        agreements, including a default by a Swap counterparty, counterparty downgrade,
                        or termination.
                   vi. An updated contingency plan to replace, or fund a termination payment in the
                        event an outstanding Swap is terminated.
                   vii. The status of any liquidity support used in connection with Swaps, including the
                        remaining term and current fee.

                The Director of Treasury Management shall review the Policy at least annually, and
                suggest revisions or updates as deemed appropriate.
          2. Contingency Plan

             The Director of Treasury Management, in consultation with the Commission’s Financial
             Advisor, Swap Advisor and Bond Counsel, shall compute the mark to market exposure of
             each of its Swaps and its total Swap mark to market exposure at least annually and
             prepare a contingency plan to either replace the Swaps or fund the termination payments,
             if any, in the event one or more outstanding Swaps are terminated. The Director of
             Treasury Management shall assess the ability to obtain replacement Swaps and identify
             revenue sources to fund potential termination payments. The Director of Treasury
             Management shall also evaluate the economic costs and benefits of incorporating a
             provision into the Swap agreement that will allow the Commission to make termination
             payments over time.

          3. Termination Matrix

             The Director of Treasury Management, in consultation with the Commission’s Financial
             Advisor, Swap Advisor and Bond Counsel, shall prepare a matrix for each individual
             Swap and for all Swaps in the aggregate setting forth the termination costs under various
             interest rate scenarios.


A.    Terminating Interest Rate Swaps

          1. Optional Termination

             The Commission, in consultation with its Financial Advisor, Swap Advisor and Bond
             Counsel, may terminate a Swap if it is determined that it is financially advantageous.

          2. Mandatory Termination

             In the event a Swap is terminated as a result of a termination event, such as a default or a
             decrease in credit rating of either the Commission or the counterparty, the Director of
             Treasury Management, in consultation with its Financial Advisor, Swap Advisor and
             Bond Counsel, will evaluate whether it is financially advantageous to obtain a
             replacement swap, or, depending on market value, make or receive a termination
             payment.

             In the event the Commission makes a Swap termination payment, the Commission shall
             attempt to follow the process identified in its Swap contingency plan.


VII. Selecting and Procuring Interest Rate Swaps


A.    Financing Team

          The Commission will retain the services of a nationally recognized municipal bond counsel
          firm, and a qualified financial advisor and Swap advisor for all Swaps.
B.    Underwriter Selection

          In the event bonds are issued in connection with Swaps, the Commission will price the bonds
          according to the guidelines set forth in its Debt Policy.


C.    Counterparty Selection

          The Commission may use a competitive or a negotiated process to select a Swap
          counterparty and price a Swap as it believes business, market or competitive conditions
          justify such a process. The conditions under which a negotiated selection is best used are
          provided below.

          i.      Marketing of the Swap will require complex explanations about the security for
                  repayment or credit quality.
          ii.     Demand is weak among swap counterparties.
          iii.    Market timing is important, such as for refundings.
          iv.     Coordination of multiple components of the financing is required.
          v.      The Swap has non-standard features, such as one way collateral.
          vi.     Bond insurance is not available or not offered.
          vii.    The par amount for the transaction is significantly larger than normal.
          viii.   Counterparties are likely to demand individual changes in bid documents.
          ix.     Pricing transparency.


VIII. Disclosure and Financial Reporting

      The Commission will ensure that there is full and complete disclosure of all Swaps to rating
      agencies, and in disclosure documents. Disclosure in marketing documents, including Bond
      offering documents, shall provide a clear summary of the special risks involved with Swaps and
      any potential exposure to interest rate volatility or unusually large and rapid changes in market
      value. With respect to its financial statements, the Commission will adhere to the guidelines for
      the financial reporting of Swaps, as set forth by the Government Accounting Standards Board or
      other applicable regulatory agencies.
Glossary of Terms

Asset/Liability Matching: Matching the term and amount of assets and liabilities in order to mitigate
the impact of changes in interest rates.

Basis Swap: An interest rate swap which involves the exchange of two floating rate financial
instruments.

Bid/Ask Spread: The difference between the bid price (at which a market maker is willing to buy) and
the ask price (at which a market maker is willing to sell).

Call Option: The right to buy an underlying asset (e.g. a municipal bond) after a certain date and at a
certain price. A call option is frequently embedded in a municipal bond, giving the issuer the right to
buy, or redeem, the bonds at a certain price.

Collateral: Assets pledged to secure an obligation. The assets are potentially subject to seizure in the
event of default.

Downgrade: A negative change in credit ratings.

Forward Starting Swap: Swaps that start at some time in the future. Used to lock-in current interest
rates.

Hedge: A transaction that reduces the interest rate risk of an underlying security.

Interest Rate Swap: The exchange of a fixed interest rate and a floating interest rate between
counterparties.

Liquidity Support: An agreement by a bank to make payment on a variable rate security to assure
investors that the security can be sold.

LIBOR: The London Interbank Offer Rate. Used as an index to compute the variable rate on an
interest rate swap.

Notional Amount: The amount used to determine the interest payments on a swap.

Offsetting Swap: Secondary interest rate Swap that is placed in an opposite direction from the primary
interest rate Swap. The offsetting Swap is used to minimize Swap risks associated with the use of
Swaps and potentially gain monetary value from the transaction.

SIFMA Index: The municipal bond index of the Securities Industry and Financial Markets
Association. The index serves as a benchmark floating rate in a swap transaction.

Termination Payment: A payment made by a counterparty that is required to terminate the Swap. The
payment is commonly based on the market value of the Swap, which is computed using the rate on the
initial Swap and the rate on a replacement Swap.


                      This Policy Letter supersedes all previous Policy Letters on this subject.

                                                       - 160 -
PTC 502005539 (12/05)
                                                                                      Number:
                                                                                      7.8
                         PENNSYLVANIA TURNPIKE
                                                                                      Approval Date:
                              COMMISSION                                              9/2/2008
                         POLICY AND PROCEDURE                                         Effective Date:
                                                                                      9/17/2008
Policy Subject:                                This is a statement of official
                                               Pennsylvania Turnpike                  Revised Date:
7.8 - Retiree Medical Trust Funding
                                               Commission Policy
Policy
                                               Responsible Department:
                                               Finance



A.   Purpose:

     The purpose is to establish a general policy for funding the Pennsylvania Turnpike Commission
     Retiree Medical Trust ("Trust") and to comply with GASB (Government Accounting Standards
     Board) Statement No. 45.




B.   General Policy:

     The Commission established the Pennsylvania Turnpike Commission Retiree Medical Trust to
     provide retiree medical benefits through the use of an irrevocable trust that is tax-exempt under
     Section 115 of the Internal Revenue Code. It is anticipated that the Commission will approve an
     annual contribution to the Trust in the amount of the Annual Required Contribution as determined
     by the Commission's Actuary during the approval of each budget.




                        This Policy Letter supersedes all previous Policy Letters on this subject.




                                                         - 161 -
PTC 502005539 (12/05)
                                                                             Number:
                                                                             8.1
                        PENNSYLVANIA TURNPIKE
                                                                             Approval Date:
                             COMMISSION                                      04-03-2007
                        POLICY AND PROCEDURE                                 Effective Date:
                                                                             04-19-2007
Policy Subject:                            This is a statement of official
                                           Pennsylvania Turnpike             Revised Date:
8.1 - Electronic Communications                                              04-03-2007
                                           Commission Policy
Acceptable Use Policy
                                           Responsible Department:
                                           Information Technology



A.   Purpose:

     The purpose of this policy is to inform the PTC workforce on acceptable standards of use of
     Pennsylvania Turnpike Commission (PTC) information systems and information. Every effort
     must be made to ensure the confidentiality, integrity, and availability of PTC information assets to
     a level that is equal to its value, whether information assets are in the PTC's custody or in transit to
     others, and to assist the PTC in complying with applicable state and federal laws. All members of
     the PTC workforce are required to read this policy and sign the Electronic Communications
     Acceptable Use Acknowledgment Form (Attachment A) verifying an understanding of the policy.
     Any exceptions to this policy will require the submission of a formal exception request as set forth
     in the exception section of this policy.

B.   Scope:

     This policy applies to all members of the PTC workforce, including full-time, temporary,
     supplemental, summer, and contract employees, and independent consultants.

C.   Policy Statement:

     Various methods of electronic storage, processing, and communications are used to assist the PTC
     in the conduct of business operations, and PTC information systems and applications are to be
     used for PTC business purposes only and by authorized individuals. All electronic
     communications are the sole property of the PTC, and the PTC workforce should be aware that
     users have no expectation of privacy when using PTC information systems. All use of electronic
     communications is subject to monitoring, logging and auditing upon approval of senior
     management.

     The use of PTC information systems to operate a personal business, for personal gain in any form,
     for personal use except as explicitly stated in this policy, or for other inappropriate use is
     prohibited. The downloading of non-business related information, including, but not limited to,
     music, videos, or games is also prohibited. The use of information systems to threaten,
     discriminate against or harass others, degrade system performance, deprive access to a corporate
     resource, or gain access to a system or information for which proper authorization has not been

                                                   - 162 -
given is expressly prohibited. Users are also prohibited from using devices to decode passwords or
access control information, or seeking unauthorized access to information or resources.

Users of PTC information systems are responsible for complying with local, state, federal and
international laws. Utilization of electronic communications for illegal or inappropriate purposes
or in support of such activities is prohibited. Any attempt to break these laws utilizing PTC
information systems may result in an investigation against the offender by the proper authorities
and may also result in an internal PTC investigation and the imposition of appropriate disciplinary
action.

The PTC does not control all of the various facilities and communication lines through which it
may provide access to the Internet and Intranet. While the PTC may notify individuals that certain
electronic communications may violate acceptable use policies of other directly or indirectly
connected networks (Internet or Intranet), the PTC accepts no responsibility for such
communications beyond notifying PTC workforce members of the violations. Also, the PTC
accepts no responsibility for electronic communications that users originate which violates this
policy. Electronic communications that violate this policy are beyond the scope of employment
and may result in personal liability to members of the workforce.

Information residing on PTC information systems is the property of the PTC. For the purposes of
preserving the integrity or operational state of the Internet/Intranet, professional integrity, or
investigation of any violation of law or of PTC policy, procedure, rule or regulation, the PTC
reserves the right to copy and examine any files or information residing on PTC systems.
Individuals shall be prudent in the use of information acquired in the course of their duties. They
shall not use confidential information for any personal gain nor in any manner which would be
contrary or detrimental to the welfare of the PTC.

E-mail, Internet access, and other PTC information systems are tools that the PTC has made
available for PTC business purposes. However, personal use of these resources, which is
consistent with that term as defined in this policy, may be permitted in limited circumstances.

All members of the PTC workforce are responsible for information security at the PTC and must
partake in the PTC Security Awareness Program by completing required training and adhering to
the practices conveyed in regular security communications.

INFORMATION ACCESS
Access to information and information systems must be limited to the level of access that is needed
by an individual to perform his or her job functions, and individuals will not be given access
privileges beyond the minimum access needed to perform a job function. This access must be
provided through a formal request process located on the PTC Intranet.

All members of the PTC workforce are responsible for the use and protection of their individual
user IDs, and must never share their user IDs or use another individual’s user ID. They are further
responsible for all activities that take place using their user IDs when they have knowledge that
another individual has access to the same.

The use of hardware or software to automatically provide access passwords, e.g. scripted
passwords, is prohibited. The logon process may not be automated. Individual passwords must be
in compliance with the current IT Department standard.

                                            - 163 -
WORKSTATION USE
PTC workforce members are responsible for using information systems in a professional, ethical,
and lawful manner, and for protecting information systems from unauthorized access. Individuals
must not leave computer system accounts open and accessible when they are not physically located
at the workstation. During the normal workday, the lock computer feature must be used to protect
the workstation in order to prevent unauthorized access.

An individual who has been assigned a portable computing device, such as a laptop, personal
digital assistant (PDA) or smartphone, must not leave the computing device unattended in public
areas. The permanent storage of sensitive information on any portable computing device is not
permitted. In instances where sensitive information must be temporarily stored on a device, an
approved corporate solution, typically encryption, must be installed and enabled on the device.
If a portable computing device will be left unattended for an extended period of time it must be
secured. For example, at the end of a workday if an individual is going to leave their laptop at
work, it must be secured in a locked desk, cabinet, or office.

The physical location of an individual’s computing device within their work area must also be
considered in order to minimize the possibility of unauthorized viewing of sensitive information.
For example, monitors should be placed so that information displayed on them cannot be easily
viewed through windows or by passersby.

REMOTE ACCESS
The only approved method of remotely accessing shared drives within the PTC network requires
the use of a PTC computing device using the standard corporate remote access solution. Services
published to the World Wide Web, such as Outlook Web Access, may be accessed from non-PTC
computing devices such as home PCs. Remote access requires management approval using the
request process located on the PTC Intranet and the use of remote access solutions will be limited
based on current job responsibilities. The use of unauthorized remote access methods or
technologies, including unauthorized wireless access points or modems, is expressly prohibited.

SOFTWARE DOWNLOADS AND VIRUS PROTECTION
Using or copying software in violation of license agreement or copyright laws is prohibited.
Any usage of software obtained via the Internet or other means must comply with PTC Policy
Letter No. 8.5, Licensed Software Use.

All executable files downloaded from any Internet site or included as attachments to e-mail must
be scanned by each user for viruses prior to execution on any PC or network. Employees who have
questions about how to properly do so should contact the IT Service Desk. PTC computing
devices utilize anti-virus software where appropriate. Individuals must never attempt to disable
this or any other security solutions.

E-MAIL AND THE INTERNET
When using e-mail or the Internet you are acting as a representative of the PTC. As is the case
with all information systems, e-mail and Internet communications are not confidential or private,
and PTC workforce members have no expectation of privacy related to usage. The following
restrictions also apply to e-mail and Internet usage:
     E-mail and Internet connections are not to be used for personal gain or in support of any
         purpose not related to PTC business.
     Individuals are not permitted to use a modem to dial out to a personal Internet Service
         Provider.
                                            - 164 -
      The intentional interception, recording, reading, deletion, or reception of another
       individual’s e-mail without proper authorization is not permitted.
      Sensitive information must not be sent outside the PTC network unless the individual
       sending the information has first secured it using an Information Security approved solution
       and it is being sent to an authorized individual.
      Access to the Internet must pass through a controlled corporately recognized network.
      The sending, viewing, accessing, downloading, storing, displaying, printing, or otherwise
       disseminating material that is sexually explicit, suggestive or pornographic, profane,
       obscene, threatening, discriminatory, harassing, fraudulent, otherwise offensive,
       defamatory, or unlawful is not permitted.
      The sending, or attempting to send, unsolicited junk mail, “for profit” messages, or chain
       letters is prohibited.
      The automatic forwarding of e-mail to an external account is not permitted.

DEVICE AND MEDIA CONTROL
Sensitive information must be removed from electronic devices and/or media when it is no longer
needed or under PTC control. If this is not possible, the storage media must be destroyed.
Information Technology is responsible for controlling the disposition of computing devices and all
members of the PTC workforce are responsible for ensuring the physical destruction of electronic
removable media, such as CDs and DVDs, in accordance with the law and PTC Records Retention
Policy, which is in their possession when it is no longer needed for PTC business.

The unauthorized duplication of sensitive information is not permitted, and any duplication of
sensitive information must be controlled and tracked by the department.

CONFIDENTIALITY OF DATA
Information that is transmitted over public networks, i.e. the Internet, may be intercepted, or
modified by persons other than the intended recipients of that information. Therefore individuals
must never transmit sensitive information in clear text over a public network and appropriate
precautions (i.e. encryption) must be taken when sending PTC confidential or other sensitive
information to an external recipient. All members of the PTC workforce are to use these solutions
and follow applicable procedures. These solutions will typically utilize dedicated network
connections, if ongoing communications are required, or encryption.

PTC workforce members shall not use information in files maintained, stored or processed by the
PTC for unauthorized purposes or permit anyone else to make unauthorized use of such
information.

PTC workforce members shall not disclose or disseminate the contents of any confidential
information to any person except as authorized or permitted in the conduct of their work
assignment.

The unauthorized access to, disclosure or dissemination of PTC or other sensitive or confidential
information, including, but not limited to, personally identifiable, protected health, or financial
information, is not permitted.

REPORTING INCIDENTS
As a member of the PTC workforce, if you become aware of an information security incident you
must report the incident through the Fraud and Abuse Tip Box located on the PTC Intranet.

                                             - 165 -
VIOLATIONS
Violations of this policy are to be referred to the Operations Review or Information Security
Departments to initiate a formal review process. Violations must not be investigated independently
by individuals or departments. Individuals found to be in violation of this policy may be subject to
disciplinary action, up to and including immediate termination.

EXCEPTIONS
Exceptions to certain provisions of this policy may be granted where legitimate business
requirements exist as long as compensating controls are implemented to address associated risk.
The formal technology request process located on the PTC Intranet will be used to administer
requests for exceptions to any information security policies. The information owner or manager of
the requesting department must ensure that a request is completed and includes the following
information:
     The business need for the exception.
     Compensating controls used to mitigate risk.

Information Security and Operations Review will evaluate requests and must approve all exception
requests before an exception is granted.

D.        Definitions:

Applicable laws - Local, state, and federal laws including but not limited to the Computer Fraud
and Abuse Act, Unlawful Use of Computer Act, Health Insurance Portability and Accountability
Act of 1996, (HIPAA), Privacy and Security Rules, The Breach of Personal Information
Notification Act, copyright and trademark laws, and any unlawful harassment or discrimination
laws.

Electronic mail - Messages, usually text, sent from one person to another via electronic device.

Internet - The Internet is a global public network enabling electronic mail, newsgroups, and access
to information on the World Wide Web.

Intranet - A private network inside a company or organization that uses the same kinds of software
that are found on the Internet, but that is only for internal use.

Personal Use - Use of e-mail, Internet access, and other PTC information systems which is
occasional, incidental, and limited in duration and scope, and which:
     Does not interfere with the efficiency of PTC operations;
     Is not in conflict with the best interests of the PTC; or
     Is not prohibited by any law or provision of this policy.
Additional examples of unacceptable personal use may be communicated to members of the PTC
workforce from time to time and will have the same force and effect as if specifically listed in this
policy.

User ID – An individual user identifier that distinguishes one user from another on an information
system.



                                             - 166 -
Attachment A




               Electronic Communications Acceptable
                            Use Policy

                                      Acknowledgement



I hereby acknowledge that I have received, read, and understand the attached
Electronic Communications Acceptable Use Policy, and agree to abide by the
requirements set forth in it.

I understand that disciplinary action, up to and including termination, may be
taken if I fail to abide by the requirements of this agreement.

I understand that if I need further clarification or additional information, I may
contact Information Security.




Print Name ___________________________________________________



Signature _________________________________ Date _______________




                 This Policy Letter supersedes all previous Policy Letters on this subject.




                                                  - 167 -
PTC 502005539 (12/05)
                                                                           Number:
                                                                           8.2
                        PENNSYLVANIA TURNPIKE
                                                                           Approval Date:
                             COMMISSION                                    04-03-2007
                        POLICY AND PROCEDURE                               Effective Date:
                                                                           04-19-2007
Policy Subject:                          This is a statement of official
                                         Pennsylvania Turnpike             Revised Date:
8.2 - Wireless Policy
                                         Commission Policy

                                         Responsible Department:
                                         Information Technology



A.   Purpose:

     The purpose of this policy is to ensure that the Pennsylvania Turnpike Commission (PTC) has
     appropriate management, operational, and technical safeguards in place to protect the
     confidentiality and integrity of sensitive information when wireless communications mechanisms,
     specifically wireless local area networks (WLANS) are in use.

B.   Scope:

     This policy applies to all members of the PTC workforce, including full-time, temporary,
     supplemental, summer, and contract employees, and independent consultants who are responsible
     for implementing and administering wireless communications solutions.

C.   Policy Statement:

     Maintaining secure wireless networks is an ongoing process that requires greater effort than that
     required to secure other types of networks.

     The PTC must have processes in place to address the following issues that are associated with
     maintaining a secure wireless network:
     - Maintaining a full understanding of the topology of the wireless network.
     - Managing inventories of fielded wireless devices.
     - Performing periodic risk assessments of the wireless network.
     - Performing ongoing, random security audits to monitor and track wireless and look for rogue
     access points.
     - Applying patches and security enhancements in a timely manner.
     - Monitoring the wireless industry for changes to standards that enhance security features and new
     product releases.
     - Monitoring wireless technology for new threats and vulnerabilities.

     The use of unauthorized wireless access points to connect to the PTC network is expressly
     prohibited.



                                                 - 168 -
Only wireless systems that meet the specifications set forth in this document and approved by
Information Security and IT may be used to connect to the PTC wired network. All wireless
Network Interface Cards, (NIC), must also be configured and approved by Information Security
and IT.

The WLAN must be on a distinctly separate segment of the PTC network.

Wireless Access Points must be logically and physically secure. They must be located in secure
areas and configured only to allow administrators to make modifications to the system. And, all
wireless access points and NICs must be registered and controlled by IT.

The wireless access point signal strength must be adjusted to a predefined range, usually
determined by PTC location in which it resides or property boundaries. In specific instances,
directional antenna could also be used to restrict the broadcast range.

All computers with WLAN devices must use the PTC VPN remote access solution, be configured
to drop all unauthenticated and unencrypted traffic, and implement point to point encryption to a
predetermined strength. Any associated encryption keys must also be protected from unauthorized
access.

Access to the PTC network must be controlled by the MAC address of the computing device NIC.
Strong consideration should also be given to implementing controls that will prevent the
universally administered address of the NIC from being overwritten, if such controls are available.

Strong user authentication controls must also be implemented as an additional level of security.
These internal network controls will help to prevent access to the internal network and information
if unauthorized personnel gain access to the WLAN.

The wireless identifier, i.e. SSID, must not contain any identifying information about the PTC.

In instances where a wireless access point must be located in a public area, SSID broadcasts in the
beacon message should be disabled.


VIOLATIONS

Violations of this policy are to be referred to the Operations Review or Information Security
Departments to initiate the formal review process. Violations must not be investigated,
independently, by individuals or departments. Individuals found to be in violation of this policy
may be subject to disciplinary action, up to and including immediate termination.



                 This Policy Letter supersedes all previous Policy Letters on this subject.




                                                  - 169 -
PTC 502005539 (12/05)
                                                                          Number:
                                                                          8.3
                        PENNSYLVANIA TURNPIKE
                                                                          Approval Date:
                             COMMISSION                                   04-03-2007
                        POLICY AND PROCEDURE                              Effective Date:
                                                                          04-19-2007
Policy Subject:                         This is a statement of official
                                        Pennsylvania Turnpike             Revised Date:
8.3 - Firewall Policy
                                        Commission Policy

                                        Responsible Department:
                                        Information Technology



A.   Purpose:

     The purpose of this policy is to ensure that the Pennsylvania Turnpike Commission (PTC) has
     appropriate management, operational, and technical safeguards in place to administer and maintain
     PTC network firewalls to prevent the unauthorized use of, or access to, PTC information systems
     and information.

B.   Scope:

     This policy applies to all members of the PTC workforce, including full-time, temporary,
     supplemental, summer, and contract employees, and independent consultants, who are responsible
     for administering firewalls and other devices that control access within the PTC network and
     between the PTC network and external entities.

C.   Policy Statement:

     PTC network firewalls must control access between the PTC network and the Internet and business
     partners. Firewall rules are used to implement security controls that direct how applications,
     services, traffic, and accesses will be managed, therefore highly restrictive controls must be in
     place regarding the creation or modification of firewall rules and the processes followed by those
     who manage firewalls.

     Information Security must approve all additions, deletions, and modifications of rules. The PTC
     technology request or change control process will be used to document all requests and associated
     approvals.

     The existing firewall policy/rulebase, and subsequent modifications to the policy/rulebase, must be
     documented and stored externally from firewalls. These policies must also be reviewed on a
     regular basis to determine the integrity of the policy and the continued need for existing rules.

     Regularly scheduled testing must also be performed to ensure that existing alerts and logging are
     functioning as intended.



                                                 - 170 -
Firewall equipment must be housed in a secured PTC data center to ensure restricted physical
access to the equipment.

Firewall administrative duties must be performed by Information Security staff or authorized
delegates, and will not typically be given to contractors unless extenuating circumstances exist.
These privileges must be approved by the Chief Information Officer or Information Systems
Security Officer.

Network firewalls must be administered locally, and remote access to the firewalls is not permitted
unless an emergency event has been declared. This access must be approved by the Chief
Information Officer or Information Systems Security Officer.


VIOLATIONS

Violations of this policy are to be referred to the Operations Review or Information Security
Departments to initiate the formal review process. Violations must not be investigated,
independently, by individuals or departments. Individuals found to be in violation of this policy
may be subject to disciplinary action, up to and including immediate termination.



                 This Policy Letter supersedes all previous Policy Letters on this subject.




                                                  - 171 -
PTC 502005539 (12/05)
                                                                           Number:
                                                                           8.4
                        PENNSYLVANIA TURNPIKE
                                                                           Approval Date:
                             COMMISSION                                    04-03-2007
                        POLICY AND PROCEDURE                               Effective Date:
                                                                           04-19-2007
Policy Subject:                          This is a statement of official
                                         Pennsylvania Turnpike             Revised Date:
8.4 - Information Systems Access
                                         Commission Policy
Control Policy
                                         Responsible Department:
                                         Information Technology



A.   Purpose:

     The purpose of this policy is to ensure that the Pennsylvania Turnpike Commission (PTC) has
     appropriate management, operational, and technical safeguards in place to restrict access to PTC
     information and information systems to the level that is needed by an individual to perform their
     job functions.

B.   Scope:

     This policy applies to all members of the PTC workforce, including full-time, temporary,
     supplemental, summer, and contract employees, and independent consultants, who are responsible
     for implementing and administering information system access control solutions.

C.   Policy Statement:

     ACCESS CONTROL
     Access to PTC information systems must be limited to the level of access that is needed by an
     individual to perform his or her job functions. Access privileges must also be modified or
     removed in a timely manner when a member of the PTC workforce employment status changes.

     Access to any information system must be initiated through use of the formal request process
     located on the PTC Intranet. Some user ID privileges are restricted and the assignment of elevated
     privileges will require additional approvals.

     The use of generic user IDs is not permitted.

     Access Authorization – All information maintained on PTC computer systems must have an
     owner/custodian from the appropriate department. The information owner must approve access to
     information. This approval is in addition to the normal management approval requirement.

     Authority to Grant Access – While the information owner approves access, Information Security,
     or their authorized designee, must perform the process of implementing access.



                                                 - 172 -
A process must be in place to verify that a person seeking access to an information system is the
one claimed. Each user of multi-user systems will be assigned a User ID that uniquely identifies
the individual to the system. The User ID will be protected by a confidential, user-defined
password or other approved authentication method. This password will serve to authenticate the
individual to the system and must never be shared with anyone.

When a member of the PTC workforce employment status changes, their immediate supervisor
must submit a request to have their access privileges modified. For terminations, the supervisor
must submit the request by the individual's last day of employment. For transfers, the current
supervisor must submit a request to have all accesses that the individual no longer needs removed
before the date of the transfer, or on a specified date. The individual’s new supervisor must submit
a request to have the appropriate accesses given to the individual which are needed in their new
job. Management should also review their staff’s access privileges on a regular basis and submit
access requests for any modifications that are required.

PASSWORD MANAGEMENT
All new User IDs will be established with an initial unique password that must be changed upon
the first login by the owner of the User ID.

The following rules must be applied when creating or changing a password, and associated
technical controls must be implemented to enforce these rules wherever possible:
• The password length must be a minimum of 8 characters in length.
• The password must meet at least three of the following four categories; uppercase letters,
lowercase letters, numbers, and special characters.
• The password must not contain the User ID, or any part of the users name, family member
names, or any other information that could easily be associated with them.
• The password cannot be a password that was recently used.
• The password must not be a word from the dictionary with additional random numbers.

Since passwords are the primary method of authenticating individuals, procedures must be in
place, and systems configured where technically possible, to ensure that strong passwords are
used. Systems must be configured to ensure that:
• Minimum password lengths of 8 characters are established.
• Passwords are set to expire after a maximum of 90 days.
• Accounts are set to lock after a specified number of unsuccessful logon attempts are made.
• If it is necessary to document passwords, they must be stored in a secure location.
• Passwords must not be shared.
• Logging into a computer system using another individual's account or password is not permitted.

AUTOMATIC COMPUTER LOCK
Where technically feasible, all PTC computing devices must have a timeout facility enabled that
will automatically force a lock, which will require re-authentication, after a predetermined period
of inactivity.

ENCRYPTION
The use of an approved encryption solution is an acceptable method of controlling access to
information and must be considered in cases where standard corporate access controls are not
readily available. Examples include, but are not limited to, sensitive information that is stored on a
portable computing device or removable media, or sensitive information that may need to be
transmitted over a public network.
                                             - 173 -
WARNING BANNER
Before or during the logon process, PTC information systems must provide an advisory warning
message regarding unauthorized use and possible consequences.


VIOLATIONS

Violations of this policy are to be referred to the Operations Review or Information Security
Departments to initiate the formal review process. Violations must not be investigated,
independently, by individuals or departments. Individuals found to be in violation of this policy
may be subject to disciplinary action, up to and including immediate termination.



                 This Policy Letter supersedes all previous Policy Letters on this subject.




                                                  - 174 -
PTC 502005539 (12/05)
                                                                           Number:
                                                                           8.5
                        PENNSYLVANIA TURNPIKE
                                                                           Approval Date:
                             COMMISSION                                    10/07/2008
                        POLICY AND PROCEDURE                               Effective Date:
                                                                           10/22/2008
Policy Subject:                          This is a statement of official
                                         Pennsylvania Turnpike             Revised Date:
8.5 - Licensed Software Use                                                8/14/2008
                                         Commission Policy

                                         Responsible Department:
                                         Information Technology


                  POLICY REGARDING LICENSED SOFTWARE USE


A.   Purpose:

     The Pennsylvania Turnpike Commission (PTC) licenses the use of computer software from a
     variety of software vendors. Such software is normally copyrighted by the software developer and,
     unless expressly authorized to do so, the PTC has no right to make copies of the software except
     for backup or archival purposes. The purpose of this policy is to prevent copyright infringement
     and to protect the integrity and productivity of the PTC’s computer environment.


B.   Scope:

     This policy applies to all members of the PTC workforce, including full-time, temporary,
     supplemental, summer, and contract employees, independent consultants, visitors or other agents
     who operate any PTC owned end user computing or communication device including, but not
     limited to, desktops, workstations, laptops and smart-phones.


C.   General Policy:

     It is the policy of the PTC to respect all computer software copyrights and to adhere to the terms of
     all software licenses to which the Commission is a party. The Chief Information Officer or his
     designee is charged with the responsibility for monitoring compliance with the policy.

     PTC employees may not duplicate any licensed software or related documentation unless the PTC
     is expressly authorized to do so by agreement with the licensor. Unauthorized duplication of
     software may subject employees or the PTC to civil and criminal penalties under the United States
     Copyright Act. Anyone found copying software other than for backup purposes is subject to
     disciplinary action up to and including termination.



                                                 - 175 -
     Employees may not give software to any outsiders including: clients, contractors, customers, and
     others.

     PTC employees may use software on information systems only in accordance with applicable
     license agreements and they are obligated to comply with the terms described under 8.1 Electronic
     Communication Acceptable Use Policy.

     The PTC’s computers are company assets and must be kept both software legal and virus free.
     Only software purchased through the procedures outlined below and installed the IT technicians
     may be used on PTC computer assets. Employees are not permitted to bring software from home
     and load it on PTC computers or run it from auxiliary drives.

     PTC owned software cannot be taken home and loaded on an employee’s home computer. In
     special circumstances, PTC management may authorize the loading of PTC owned software on
     non-PTC computers as long as the licenses are properly paid and recorded.

     Under no circumstances are those persons in the scope of this policy to download, install, copy,
     access, execute or otherwise employ any of the following: Illegal software or programs,
     Unlicensed software, Unapproved or unlicensed operating systems, Pirated software, Software
     purchased for personal or home use.


D.   Definitions:

     Standard Software. The Information Technology (IT) Department has established software
     standards for the desktop environment to control integration with custom applications, to maintain
     acceptable levels of support, and to minimized training requirements. The standard software, tools
     and utilities are published on the PTC Intranet in the Information Technology Department
     Technology Infrastructure Desktop Operations Section. Updates and patches are applied to these
     standards as appropriate. Unless an extraordinary need exists, no competing software shall replace
     the established software standard.

     Exception Software. Exception software is used primarily by a person or work unit to perform
     tasks that cannot be accomplished by use of the standard suite of software. The majority of this
     software will be loaded directly to the employee’s hard drive by an IT technician without
     alteration to the hardware or existing software.

     Shareware/Freeware. Shareware software is copyrighted software that is distributed freely
     through the Internet. It is the policy of the PTC to pay shareware authors the fee they request for
     use of their products. The acquisition and installation of shareware/freeware products should be
     handled the same way as commercial software products.

     Employee. In the context of this document, employee means everyone listed in the Scope section
     of the policy.


E.   Procedures:

     Employee Orientation/Awareness. New PTC employees shall be made aware of this policy by
     the Human Resources Department.

                                                  - 176 -
Acquisition of Software. To purchase or evaluate software, employees must follow the IT
Request procedure. The request is reviewed by the Information Technology Department to ensure
that the software is compatible with existing PTC standards and systems and that it can be
maintained and supported. All software acquired by the PTC must be purchased through the
Purchasing Department or another approved method. Software acquisition channels are restricted
to ensure that the PTC has a complete record of all software purchased for PTC computers and to
evaluate, support and upgrade such software accordingly.

Installation of Software. Software may be installed or reinstalled electronically by IT technical
staff using approved distribution tools. Manual installation or reinstallation of software must be
performed by IT technical staff after approved by the IT Request or Service Call procedure. IT
technical staff may install specialized software tools to resolve Service Desk tickets or for software
research and testing. Original software media shall be kept in a safe storage area maintained by
Information Technology. Manuals, tutorials and other user materials are generally available
online. Additional training may be requested through the IT Request procedure.

Periodic Audits. Electronic client machine audits are conducted regularly or periodically to
ensure that the PTC is complying with all software licenses. During an audit, the PTC will search
for unauthorized software and eliminate any that is found. The software will be uninstalled
electronically if possible without notification or by a qualified IT technician. Either process may
result in the employee’s computer being re-imaged. The violation will be reported to the
employee’s supervisor and the Chief Information Officer. If requested, users must surrender in a
timely manner software licenses, software disks, CD-ROMs and DVDs and other software and
application materials deemed out of compliance with this policy and discontinue its use.

Reports of Suspected Violations. Any employee who determines that there may be a misuse of
software within the PTC shall notify their department manager or legal department.




                 This Policy Letter supersedes all previous Policy Letters on this subject.

                                                  - 177 -
PTC 502005539 (12/05)
                                                                            Number:
                                                                            8.6
                        PENNSYLVANIA TURNPIKE
                                                                            Approval Date:
                             COMMISSION                                     10/07/2008
                        POLICY AND PROCEDURE                                Effective Date:
                                                                            10/22/2008
Policy Subject:                           This is a statement of official
                                          Pennsylvania Turnpike             Revised Date:
8.6 - Records Management Policy                                             9/2/2008
                                          Commission Policy

                                          Responsible Department:
                                          Information Technology



A.   Purpose:


The purpose of this policy is to ensure that the Pennsylvania Turnpike Commission (PTC) has
appropriate guidelines in place for the retention and management of PTC records.


The Records Management Policy is intended to:


• Ensure that the PTC complies with prevailing state and federal guidelines, as well as legal
requirements related to litigation, government investigations and audits.


• Ensure that employees maintain only those records that are needed for legal compliance and to support
current operations of the PTC.


• Ensure that employees maintain only Official Records and minimize retention of non-critical
documents (i.e., Convenience Copies) immediately upon expiration of their active, useful value.

• Establish a consistent and cost-effective Records Management Program throughout the PTC.


B.   Scope:


The Records Management program covers all records, in all formats, throughout their useful life cycle.
All PTC locations and departments must comply with the Records Management Policy and the Records
Retention Schedule.


These records management principles apply to records stored on electronic media, as well as paper
media.


                                                  - 178 -
E-mail messages are PTC records and must be managed as such according to this policy, however, the
management of e-mail is also discussed in PTC Policy Letter 8.1 – Electronic Communications
Acceptable Use Policy.


C.   General Policy:


1. Record Ownership


All business-related documents and records are the sole property of the PTC, and employees have no
expectation of personal or property right to these documents and records, including those created by the
employee.


Records shall remain on PTC premises or PTC-approved locations. Records must never be permanently
stored at employees' homes. However, the temporary use of PTC records at home is acceptable when a
management approved legitimate business need exists.


2. Creating Records


All records should be created with a specific purpose to communicate or document business matters.
Employees should use discretion and professionalism when creating records to ensure that the records
appropriately reflect the position of the PTC.


Employees should act as if every PTC related business record they create is discoverable in litigation
regardless of the record’s storage medium (including electronic records) and regardless of the record’s
physical location.


3. Conformance to the Records Retention Schedule


The PTC has approved a Records Retention Schedule that describes retention periods for various
records.


PTC records must be kept for the full retention period as specified by the Records Retention Schedule.
Premature destruction of records is prohibited.


Conformance to the Records Retention Schedule is required regardless of the medium on which the
record is maintained, i.e. paper, electronic, or other media.




                                                  - 179 -
4. Approved Locations for Inactive Records


The PTC uses the Pennsylvania State Archives and the PTC warehouse to store the PTC’s inactive
hardcopy records. Employees should send to the State Archives only those inactive records as defined
by the Retention Schedule. The Archives will not accept any records that do not meet the on-site
retention requirements as specified in the Retention Schedule.


5. Records Destruction Guidelines


Upon expiration of a record’s required retention period, all records should be destroyed unless there is a
legitimate business reason to continue to retain it (e.g. legal hold, tax hold, regulatory audit, or other
consideration).


On an as needed basis, the Legal Department will identify records that should be placed on “retention
hold” in response to litigation, tax hold, regulatory audit, or other consideration.


Semi-annually, the Information Technology Department (Information Technology) will receive a
Destruction Candidate Report listing cartons stored at the State Archives that are eligible for destruction.
Department managers will have two (2) weeks to review the Destruction Candidate Report and note
records that are still required to be maintained due to ongoing business operations.


Information Technology will forward the Destruction Candidate Report to the Legal Department for
final review and verification that no records controlled by retention holds have inadvertently been
authorized for destruction.


Upon receipt of the final approved Destruction Candidate Report, Information Technology will initiate
the destruction of records. Information Technology will maintain all documentation verifying the
destruction of records and forward a copy of the report to the Pennsylvania State Archives.


6. Regular Purging of On-Site Records


The PTC will schedule an annual purge of on-site records to facilitate departmental purging of
appropriate records. This procedure will also apply to records stored at the PTC warehouse.


Each department manager is responsible for the on-site purge and administering transfers of inactive
Official Records to the State Archives on an ongoing basis. All Official Records must be retained for
the full duration of time indicated in the Records Retention Schedule.




                                                   - 180 -
7. Security Access


All employees are responsible for protecting the confidentiality of PTC records and preventing
unauthorized disclosure (i.e. to persons both inside and outside the Commission without a need to
know). Only designated employees may request records from storage. Employee access to records is
limited to records owned by the employee’s department.


Those departments that require access to records owned by another department must contact the
appropriate department directly to request such access.


8. Retention Schedule Maintenance


The Records Retention Schedule will be reviewed annually by the Records Management Steering
Committee. After any significant organizational change (acquisitions, divestitures, new business lines,
etc.), the schedule will be updated accordingly by the authorized PTC representative.


Legal and regulatory research regarding record retention will be conducted after significant legal or
regulatory changes occur and must be conducted at least once every 2 years.


9. Records Management Program Audit

The Records Management Steering Committee shall periodically review departmental practices to
determine program compliance.


D.   Definitions:


Convenience Copies: Copies created for the convenience of business users; Convenience Copies must
not be kept longer than the Official Record.


Official Record: The official copy of the record used to provide evidence of PTC’s official position on a
matter. Official records may be stored in any format (paper, electronic, etc.) and the media of official
records may vary by document type.


On-Site Storage: Retention of records within departmental space at the PTC or at the PTC warehouse.


Off-Site Storage: Approved location to house certain inactive records still needed by PTC.


Record: Recorded information in any format that is useful in conducting PTC business.




                                                  - 181 -
Records Retention Schedule: A document that has been developed specifically for the PTC, which
specifies the retention periods for all PTC records. This document reflects legal requirements, legal
considerations (e.g. limitation periods), PTC business needs and best business practices.


Steering Committee: Members include the Chief Executive Officer, Chief Operating Officer, Chief
Counsel, Chief Financial Officer, Chief Information Officer and Chief Engineer.


E.   Procedures:


Prefer to the Records Management Procedures Manual for records management procedures.




                      This Policy Letter supersedes all previous Policy Letters on this subject.




                                                       - 182 -
PTC 502005539 (12/05)
                                                                          Number:
                                                                          8.7
                        PENNSYLVANIA TURNPIKE
                                                                          Approval Date:
                             COMMISSION                                   09/18/2007
                        POLICY AND PROCEDURE                              Effective Date:
                                                                          10/03/2007
Policy Subject:                         This is a statement of official
                                        Pennsylvania Turnpike             Revised Date:
8.7 - Cellular Telephone Policy                                           06/22/2007
                                        Commission Policy

                                        Responsible Department:
                                        Information Technology



A.   Purpose:

     This policy letter governs the assignment of cellular telephones or wireless communication devices
     to staff and provides guidelines for the use of the cellular telephones, Blackberries, Palm and
     Windows Mobile devices.


B.   Scope:

     The Commissioners, Chief Executive Officer and Chief Operating Officer are exempt from the
     requirements of this policy letter.

     This policy applies to all other employees who are assigned Wireless Communication Devices.


C.   General Policy:

     Wireless Communication Devices will be assigned to employees whose work location and/or job
     responsibilities require that they are available and reachable at all times or determined to be
     operationally necessary by the COO/CEO.

     These devices are Commission property and intended for Commission business but may be used
     for limited personal use. Employees will reimburse the Commission for all personal calls made
     during peak times and for all additional charges including but not limited to text messages, and
     downloads not related to Commission business. This is including both incoming and outgoing
     calls. Peak time usage is usage that counts against the plan’s anytime minutes. Employees are not
     required to reimburse the Commission for infrequent and limited calls made during off peak times
     that do not count towards the calling plan allowance.

     Managers are responsible for ensuring all employee use of Wireless Communication Devices is
     appropriate and consistent with this policy. This includes reviewing the monthly detailed phone
     bills for policy compliance and accuracy as well as determining if individual rate plans meet
     business needs. Employees who do not comply with this policy and the procedures contained

                                                - 183 -
      within may be subject to revocation of the Wireless Communication Device assignment and/or
      disciplinary action.

      All authorized users must be aware of state and municipal laws regarding the use of cellular
      telephones while driving. Employees are to be aware of the dangers associated with driving while
      using Wireless Communication Devices which can distract a driver’s attention. Employees are
      strongly discouraged from using Wireless Communication Devices while driving, especially while
      driving a commission vehicle.

      All costs associated with cellular telephone service will be charged to the user’s department. Such
      costs include, but are not limited to, equipment, initiation fee, monthly fees, per-minute costs of
      calls in excess of the calls allocated, maintenance and repair of equipment, and programming and
      replacement of lost, stolen or damaged equipment.

      A Wireless Communication Devices shall only be used by the individual to whom it is assigned.



D.    Definitions:

     Wireless Communication Devices: A communications device that transmits and receives data, text,
     and/or voice without being physically connected to a network. This definition includes but is not
     limited to such devices as the Motorola Q, Blackberry, and voice only cell phones.



E.      Procedures:

        Wireless Communication Devices will be assigned consistent with the following guidelines:

                    The Technology Request process is used to obtain a Wireless Communication
                     Devices; obtain additional or replacement equipment or change rate plans. All
                     Wireless Communication Device technology requests will be routed to the Chief
                     Operating Officer for approval. The request must include the work related
                     justification for the device and the reason why other means of communication
                     (turnpike telephone, turnpike radio, etc.) are insufficient and the availability of funds
                     for the expenses incurred. Wireless Communication Devices will be activated with
                     the lowest rate plan unless a different plan is requested on the Technology Request to
                     meet business needs. Any increase in minutes, equipment upgrades or revisions to
                     plans after a device is issued must be requested using the above procedure and
                     approved by the Chief Operating Officer.

                    For Approval Process: See Instructions Document included in the Technology
                     Requests Form Folder, forward to ‘Technology_Requests’ mailbox when all
                     approvals are completed.

                    Monthly statements detailing the activity for the cellular telephone will be directed to
                     each employee to whom the device is assigned.


                                                     - 184 -
           Employees will mark or highlight on the detailed bill, all personal calls that were
            made.

           Employees will be required to submit a completed Cellular Phone Reconciliation
            Form (PTC5002000236) along with a check for non-business calls as required by this
            policy to their manager for review and approval.

           The employee’s manager must closely scrutinize the statement for personal and
            business usage.

           The employee’s manager will review and ensure the most cost effective rate plan is
            being used.

           The detailed monthly statement along with a Cellular Telephone Reconciliation Form
            and a personal check for any personal usage will be routed for the appropriate
            approvals and forwarded to the Accounting Department for processing in a timely
            manner. Employees who do not prepare the reconciliation form in a timely manner
            may be subject to disciplinary action and/or revocation of the Wireless
            Communication Device.

           All additional charges related to personal usage not included in the rate plan such as
            text messaging or downloads are also reimbursable to the Commission.

Temporary or Vehicle Assignments of Wireless Communication Devices

        Wireless Communication Devices will be assigned to employees on a temporary basis
        when the employee is involved in special assignments or situations that require constant
        communications among other PTC offices and staff. Temporary assignments must be
        requested using the same procedure as set forth above. The request must state the
        reason(s) for the assignment and the expected duration of the assignment. The provisions
        of the policy also apply to temporary assignments of Wireless Communication Devices.




               This Policy Letter supersedes all previous Policy Letters on this subject.


                                                - 185 -
PTC 502005539 (12/05)
                                                                          Number:
                                                                          8.8
                         PENNSYLVANIA TURNPIKE
                                                                          Approval Date:
                              COMMISSION                                  12/4/2001
                         POLICY AND PROCEDURE                             Effective Date:
                                                                          12/20/2001
Policy Subject:                         This is a statement of official
                                        Pennsylvania Turnpike             Revised Date:
8.8 - VoiceMail Policy                                                    2/1/2002
                                        Commission Policy

                                        Responsible Department:
                                        Information Technology



A.   Purpose:

     To establish guidelines governing the appropriate administration and approval of the PTC’s
     VoiceMail system for all employees.


B.   Scope:

     This policy applies to all PTC employees who are granted VoiceMail privileges.


C.   General Policy:

     VoiceMail is a privilege to be used for improving communications and customer service.


D.   Definitions:

     VoiceMail is a vital communication link and a useful business tool designed to help, not replace
     people.


E.   Procedures:

       1. A written request detailing the compelling and authentic need for VoiceMail must be
          submitted to the employee’s department head and then to the respective Chief/Director of
          that department.
       2. Upon approval of the Chief/Director, VoiceMail privileges may be granted with the approval
          of the Chief Operating Officer and/or Chief Executive Officer.
       3. The Chief Information Officer will then be notified of such approval.
       4. Once approved, the employee will be scheduled for VoiceMail training.
       5. After appropriate training, VoiceMail capabilities will be installed by the Information
          Technology Department.


                                                 - 186 -
F. Guidelines:

         VoiceMail greetings must be updated daily to include the current date, to identify yourself
          and give your current status and availability.
         When your phone is being answered by VoiceMail, callers must be given the opportunity to
          speak with a person in that department and not be transferred to another person’s
          VoiceMail or to the receptionist.
         VoiceMail will not be used when the employee is in his/her office.
         All messages must be acknowledged and processed in a timely and professional manner.
         Strict attention to and compliance with all instructions presented in the training manual is
          required.
         The discretion to defer and revoke VoiceMail privileges rests with the Chief Operating
          Officer or the Chief Executive Officer.


    FAILURE TO ADHERE TO THE PTC VOICEMAIL POLICY WILL RESULT IN THE
     INTERRUPTION OR REVOCATION OF INDIVIDUAL VOICEMAIL PRIVILEGES.


                     This Policy Letter supersedes all previous Policy Letters on this subject.




                                                      - 187 -
PTC 502005539 (12/05)
                                                                            Number:
                                                                            8.9
                        PENNSYLVANIA TURNPIKE
                                                                            Approval Date:
                             COMMISSION                                     04-03-2007
                        POLICY AND PROCEDURE                                Effective Date:
                                                                            04-19-2007
Policy Subject:                           This is a statement of official
                                          Pennsylvania Turnpike             Revised Date:
8.9 - Transmission Security Policy
                                          Commission Policy

                                          Responsible Department:
                                          Information Technology



A.   Purpose:

     The purpose of this policy is to ensure that the Pennsylvania Turnpike Commission (PTC) has
     appropriate management, operational, and technical safeguards in place to protect the
     confidentiality and integrity of sensitive information that is transmitted over a public network.

B.   Scope:

     This policy applies to all members of the PTC workforce, including full-time, temporary,
     supplemental, summer, and contract employees, and independent consultants who are responsible
     for implementing and administering secure transmission solutions.

C.   Policy Statement:

     The transmission of sensitive information in clear text over a public network is not permitted and
     requires the use of a dedicated network connection or encryption solution. The PTC must ensure
     that appropriate solutions are in place to protect the confidentiality and integrity of any sensitive
     information that is transmitted over any public or internal networks, and all individuals must use
     these solutions when sending sensitive information over a public network.

     The PTC considers communications between itself and business partners to be reasonably
     protected where dedicated communication links are used between networks. However, special
     consideration must be given to sensitive information that is being transmitted between PTC
     facilities and networks or to an external recipient using e-mail, file transfer protocol (ftp), or other
     untrusted services.

     The PTC must ensure that appropriate solutions are in place to protect the confidentiality and
     integrity of any sensitive information that is transmitted using wired or wireless technology.

     Encryption is generally considered to be the standard solution used to ensure the confidentiality
     and integrity of information. The PTC will use approved encryption solutions to address this issue.




                                                   - 188 -
VIOLATIONS

Violations of this policy are to be referred to the Operations Review or Information Security
Departments to initiate the formal review process. Violations must not be investigated,
independently, by individuals or departments. Individuals found to be in violation of this policy
may be subject to disciplinary action, up to and including immediate termination.



                 This Policy Letter supersedes all previous Policy Letters on this subject.




                                                  - 189 -
PTC 502005539 (12/05)
                                                                            Number:
                                                                            8.10
                        PENNSYLVANIA TURNPIKE
                                                                            Approval Date:
                             COMMISSION                                     4/6/2010
                        POLICY AND PROCEDURE                                Effective Date:
                                                                            4/21/2010
Policy Subject:                           This is a statement of official
                                          Pennsylvania Turnpike             Revised Date:
8.10 - Security Camera Policy                                               4/6/2010
                                          Commission Policy
                                          Responsible Department:
                                          Operations and Incident Response,
                                          Information Technology


A.    Purpose:

      The purpose of this policy is to regulate the use of security cameras in accordance with all
      applicable federal and state laws.

      The function of security cameras is to assist in protecting property, enhancing public and
      workforce safety, and contributing to efficient roadway operations.


B.    Scope:

     This policy applies to all members of the Pennsylvania Turnpike Commission (PTC) workforce,
     including full-time, temporary, supplemental, summer, and independent consultants and contractors.

     The following are excluded from this policy:
           Cameras installed or utilized for criminal and non-criminal investigations.
           Temporary construction project cameras.
           Cameras related to tolling operations; such as Violations Enforcement System (VES) or
            video tolling cameras.


C.    Policy Statement:

      Security cameras may be installed in situations and places where the security of people, property,
      or PTC operations would be enhanced.

      When appropriate, cameras may be placed system-wide, inside and outside of PTC facilities.

      Cameras will be used in a manner consistent with all existing PTC policies.

      Unless specifically authorized by a court in accordance with federal or state laws, audio recording
      is prohibited.

                                                    - 190 -
     Camera use will be limited to situations that do not violate the reasonable expectation of privacy as
     defined by law.

     The Information Security Officer (ISO) will function as the Security Camera Coordinator.


D.   Procedure:

     The PTC security request process will be used to review and approve the installation of new
     security cameras. Requests shall be submitted in writing to the ISO.

     Only personnel authorized through the PTC security request process will be given access to
     security camera data. This is especially applicable in cases where remote access is requested,
     since uncontrolled remote access will have a negative impact on the PTC Network.

     Authorized personnel may review the images from security camera data only as it relates to their
     job responsibilities.

     The PTC Video Management System will be jointly maintained by IT and the Operations Center.

     Camera requirements will be determined on a case by case basis, by business need, through the
     security request process.


E.   VIOLATIONS


     Violations of this policy are to be referred to the Operations Review or Information Security
     Departments to initiate the formal review process. Violations must not be investigated,
     independently, by individuals or departments. Individuals found to be in violation of this policy
     may be subject to disciplinary action, up to and including immediate termination.



                      This Policy Letter supersedes all previous Policy Letters on this subject.




                                                       - 191 -
PTC 502005539 (12/05)
                                                                           Number:
                                                                           9.1
                        PENNSYLVANIA TURNPIKE
                                                                           Approval Date:
                             COMMISSION                                    4/1/2008
                        POLICY AND PROCEDURE                               Effective Date:
                                                                           4/16/2008
Policy Subject:                          This is a statement of official
                                         Pennsylvania Turnpike             Revised Date:
9.1 - Land Use                                                             3/20/2008
                                         Commission Policy

                                         Responsible Department:
                                         Property Management



A.   Purpose:

     The purpose of this policy is to outline a procedure for the disposition and utilization of
     Commission-owned assets, including real estate. The Property Management Department has been
     designated to handle all requests for the sale, lease, license or other use of Commission-owned real
     estate. This policy supersedes all prior Commission land use policies, including the one adopted
     by the Commission on July 21, 1992 and thereafter.

B.   Scope:

     1. Approval

       a. Commission Approval. Formal Commission approval shall be obtained for all transactions
       resulting in one-time or yearly income to the Commission in excess of $20,000. Formal
       approval is also required for leases with terms that exceed ten years and cannot be terminated by
       the Commission prior to that time.

       b. Staff approval. Transactions of $15,000 or less may be approved by the Chief Counsel or
       Deputy Chief Counsel. Transactions between $15,001 and $20,000 may be approved by the
       Chief Operating Officer or the Chief Executive Officer. Agreements governing all such
       transactions may be prepared and executed by the Manager of Property Disposition, with
       approval as to form and legality by the Legal Department, under blanket authority granted by the
       Commission.

     2. Sale of Residential Property

       a. When the Commission authorizes the sale of residential property in compliance with local
       subdivision requirements, the property shall be sold by sealed public bid after advertisement in
       local newspapers.

       b. The property shall be sold to the highest bidder, provided that the bid meets or exceeds the
       appraised value of the property. In the event that the highest bidder is unable or unwilling to
       proceed with the sale, the property shall be sold to the second high bidder and so on, provided
       that the accepted bid meets or exceeds the appraised value.
                                                 - 192 -
 c. In the event that no acceptable bids are received, the Commission shall then have the option
 of one or more of the following:

         (1) Re-advertising the property for sale by sealed bid;

         (2) Placing a for-sale sign on the property and allowing the Property Management
         Department to field offers for a period of time. The Department would then present the
         highest offer to the Commission for approval, if required under Section 1 above; or

         (3) Listing the property with a local licensed real estate broker. The broker will place a
         sign on the property, show the property, include it in the multi-list, and present offers to
         the Commission. The Property Management Department will then present the highest
         offer to the Commission for approval, if required under Section 1 above. Compensation
         will be a flat fee or a percentage of the sales price, as such compensation is negotiated
         with the broker by the Commission. The full amount paid by the buyer shall meet or
         exceed the appraised value.

 d. Notwithstanding the above, when it is determined to be in the best interests of the
 Commission, the Commission may list the property with a local licensed real estate broker,
 pursuant to Paragraph 2c(3) above, without first attempting to sell by sealed public bid.

3. Commercial Ground Leases

 a. When the Commission plans to lease property for commercial or industrial purposes, and
 termination may not occur in less than three years, it shall advertise the Request for Proposals
 (RFP) in local newspapers, major newspapers across the state, and in such other publications as
 it deems advisable. The RFP shall specify that the lease is to be unsubordinated.

 b. Commission staff shall evaluate all proposals received and rank them in order of preference
 for submission to the Commission at a formal meeting. After approval by the Commission, the
 Property Management Department shall negotiate a lease with the top-ranked proposer. If an
 agreement cannot be reached with the top-ranked proposer, the Property Management
 Department may then initiate negotiations with the second-ranked proposer and so on, or may
 recommend to the Commission that the project be re-advertised or suspended.

4. Communications Leases

The Property Management Department shall work with the Information Technology Department,
to lease existing tower space to telecommunications companies, as well as land for new towers or
monopoles when advisable, and space for microcells on bridges. If space for microcells on bridges
is requested, coordination shall occur with the Bridge Unit of the Engineering Department. The
role of the Property Management Department in this regard shall primarily be to negotiate and
prepare such leases, assist with zoning matters, and to identify surplus property for new tower or
monopole construction.




                                             - 193 -
5. Timbering

 a. The Property Management Department shall work with and through the Commission's
 consulting forester to ensure that proper forest management techniques are being implemented
 on Commission property.

 b. When the Commission authorizes the consulting forester to sell timber on a parcel, the
 consulting forester shall solicit bids from logging companies and recommend the highest bidder.
 The Property Management Department shall then seek formal Commission approval, if required
 under Section 1 above.

 c. All requests for timbering shall be reviewed by the environmental and landscaping sections of
 the Engineering Department, prior to approval.

6. Agricultural Leases

  The Property Management Department shall recommend that the Commission enter into
  agricultural leases when appropriate, ensuring that conservation plans are followed by lessees,
  when appropriate.

7. Sale of Remnant Parcels

 a. The Commission owns many surplus parcels that are of insignificant size and are only of use
 to an adjoining property owner. The Property Management Department will work to sell these
 parcels to adjacent landowners. This action will save the Commission the time and expense
 associated with administration, and will benefit local municipalities by returning the parcels to
 the tax rolls.

 b. To sell such parcels, the Property Management Department shall set a minimum value and
 shall notify adjacent property owners and offer the parcel for sale either by sealed bid, or by
 auction. If the highest bid meets or exceeds the minimum price, the parcel shall be sold to the
 highest bidder.

 c. Notwithstanding sub-paragraphs 7a and 7b above, if the party or parties from whom the
 Commission originally acquired a parcel, subsequently identified as a remnant parcel, wish to
 purchase all or a portion of that remnant from the Commission, the property may be made
 available to those parties first, prior to the Commission offering the remnant to any other
 adjoining property owner. The Property Management Department, at its discretion, shall
 determine whether or not the surplus should be sold for a minimum value or whether a formal
 appraisal is required to determine fair market value.

8. Non-Commercial Leases

 a. The Commission may negotiate short or long-term leases for ground or dwellings, when it
 determines that such leases are in the best interests of the Commission, subject to Paragraph 1b
 above.

 b. All such leases shall include an indemnification of the Commission, and such other
 protections as are deemed desirable by the Property Management and Legal Departments.

                                           - 194 -
9. Negotiated Sales and Conveyances

 In addition to the authority granted elsewhere in this policy, the Commission shall have the
 authority to negotiate sales or conveyances (with or without advertising, at the discretion of the
 Property Management Department) in the following instances:

 a. When a request is made by the party or parties from whom the Commission originally
 acquired a piece of property to purchase a remnant of the original taking which the Commission
 has since identified as surplus; the Property Management Department, at its discretion, shall
 determine whether or not the parcel should be sold for a minimum value or whether a formal
 appraisal is required to determine fair market value;

 b. Land without access except over adjoining land owned by others, following the procedure
 established in Section 7b above;

 c. Public utility companies desiring rights-of-way; and

 d. To honor commitments made by the Commission to any Department of the Commonwealth
    of Pennsylvania.

10. Local Economic Development Agencies

The Commission may also negotiate agreements with transportation companies and agencies, local
economic development agencies, industrial development agencies, municipalities and related
agencies when deemed advisable. The Commission may also work with local governments to
develop incentive programs and may negotiate joint-venture development programs with local
governments and private developers in connection therewith. Provided however, that all such
agreements and programs shall result in the receipt of fair market value by the Commission for any
property interests conveyed to outside parties. For the purposes of this section, the avoidance of
liability and the creation of public good will may be taken into consideration.

11. Authority to Buy or Lease

The Property Management Department may also assist appropriate Commission departments in
locating land or facilities that the Commission may desire to lease or buy from outside parties.

12. Deeds

All deeds for the sale of land near the Turnpike shall include a provision that prevents property
owners, current and future, from bringing noise abatement complaints against the Commission.
The Property Management Department shall also consider other deed restrictions as may be
necessary or desirable, including, but not limited to, roadway runoff provisions, billboards and
other provisions that may be recommended by the Commission's Engineering or Legal
Departments. All deeds, as well as sales agreements, must be executed in accordance with
Commission procedure and subject to Legal Department review and approval.




                                            - 195 -
     13. New Construction

     All requests to purchase or to enter into a long-term lease of property acquired by the Commission
     as the result of new roadway construction shall be deferred pending completion of the construction
     in question. Provided however, that property may be sold or leased prior to that time when all
     affected departments agree that such a conveyance will have no bearing on said construction or
     maintenance or other roadway-related matters.

     14. Mineral Rights

     When conveying property interests, the Property Management Department shall take the issue of
     mineral rights into consideration. When feasible, the Property Management Department should
     recommend that the Commission retain and capitalize on mineral rights associated with specific
     parcels.

     15. Fair Market Value

     The Property Management Department shall not recommend the lease or conveyance of property
     for less than fair market value compensation to the Commission. For the purposes of this section,
     the avoidance of liability and the creation of public good will may be taken into consideration.

C.   General Policy:

     The Commission may transfer property interests, when feasible and advisable to do so, in order to
     promote local economic development and better utilize Commission-owned assets.

D.   Definitions:

     Fair Market Value - The price (cash or equivalent) that a buyer could reasonably be expected to
     pay and a seller could reasonably be expected to accept, if the property were for sale on the open
     market for a reasonable period of time, both buyer and seller being in possession of all pertinent
     facts, and neither being under any compulsion to act.

E.   Procedures:

       1. Land use requests shall be processed by the Property Management Department. Once the
       request has been received, it will be evaluated and then circulated internally for review and
       comment to the following departments: Engineering, Maintenance, Legal, the consulting
       engineer and other departments that may be affected by the request.

      2. When a staff consensus has been reached, Property Management will request appropriate
      approvals (pursuant to Section 1 above), notify the requester, and prepare appropriate
      documentation in accordance with internal Property Management and Commission procedures.



                       This Policy Letter supersedes all previous Policy Letters on this subject.




                                                        - 196 -
PTC 502005539 (12/05)
                                                                          Number:
                                                                          9.2
                        PENNSYLVANIA TURNPIKE
                                                                          Approval Date:
                             COMMISSION                                   10/16/2001
                        POLICY AND PROCEDURE                              Effective Date:
                                                                          11/01/2001
Policy Subject:                         This is a statement of official
                                        Pennsylvania Turnpike             Revised Date:
9.2 - Tower Leasing                                                       9/27/2001
                                        Commission Policy

                                        Responsible Department:
                                        Property Management



A.   Purpose:

     The purpose of this policy is to outline a procedure for the leasing of existing communications
     tower space and for the leasing of Commission-owned property to outside parties for the purpose
     of building new communications towers. The Property Management section, with technical
     oversight from the Field Technology section has been designated to handle all requests for the
     lease, license or other use of Commission-owned communications towers and surplus property
     intended for tower construction.

B.   Scope:

     1. Lease of Existing Commission-owned Tower Space

          a. Public agencies. The Commission’s first priority in tower space shall be public safety.
             When feasible, and when technical concurrence has been obtained from the Field
             Technology section of the Information Technology Department, the Commission may
             lease excess tower space to state, county and municipal agencies, for 911 use and other
             public service related services.

          b. Commercial entities. The Commission may also lease excess tower space to commercial
             entities, but only in those situations where the local zoning entity has requested that the
             Commission lease to that particular entity, where the provisions of the
             Telecommunications Act of 1996 require it, or where to do so would be in the best
             interests of the Commission. Any commercial entity collocating on a Commission owned
             tower is responsible for obtaining all appropriate and applicable zoning approvals from
             the local agencies.

     2. Lease or Sale of Commission Property for New Tower Construction

           a. Public agencies. The Commission may sell or lease Commission property to state,
              county and municipal agencies, as described above, for the construction of
              communications towers.


                                                 - 197 -
          b. Commercial entities. The Commission may also sell or lease Commission property to
             commercial entities for the construction of communications towers, but only in those
             situations where the local zoning entity has requested that the Commission lease to that
             particular entity, where the provisions of the Telecommunications Act of 1996, require it,
             or where to do so would be in the best interests of the Commission. Any commercial
             entity purchasing or leasing Commission property is responsible for obtaining all
             appropriate and applicable zoning approvals from the local agencies.

     3. Approval.

           a. Commission approval. Formal Commission approval shall be obtained for all
              transactions resulting in one-time or initial yearly income to the Commission in excess
              of $25,000. Formal approval is also required for leases with terms that exceed ten years
              and cannot be terminated without cause by the Commission prior to that time.

           b. Staff approval. Transactions of $15,000 or less may be approved by the Deputy of Chief
              Counsel or Chief Counsel. Transactions between $15,001 and $25,000 may be
              approved by the Chief Operating Officer or the Chief Executive Officer. Agreements
              governing all such transactions may be prepared and executed by the Manager of
              Property Disposition, with approval as to form and legality by the Legal Department,
              under blanket authority granted by the Commission.

     4. Compensation.

        All transactions shall result in the Commission receiving fair market value for the property
        interest in question. For the purposes of this section, the avoidance of liability, the creation of
        public good will, the rendering of public service, and the performance of services for the
        Commission by the lessee or purchaser may be taken into consideration.

C.   General Policy:

     The Commission will lease space on existing communications towers and may lease or sell surplus
     property for the construction of communications towers, when feasible and advisable to do so, in
     order to extend and improve cellular coverage across the Turnpike in the interests of public safety.

D.   Definitions:

     The Telecommunications Act of 1996 is further defined as Telecommunications Act of 1996, Pub.
     LA. No. 104-104, 110 Stat. 56 (1996) 47 USCA section 151, as amended.

E.   Procedures:

     All tower requests, whether they are for collocation or new construction requests, shall be
     processed by the Property Management Department. Once the request has been received, it will be
     evaluated and then circulated internally for review and comment (prior to being approved pursuant
     to Section C.3 above) based on the following criteria:

       a. If the request is to collocate on existing Commission tower space, the internal review will
          consist of representatives of the Property Management, Information Technology, and Legal
          Departments.

                                                  - 198 -
b. If the request is to construct a new tower anywhere on Commission property, the internal
   review will consist of representatives of the Property Management, Information Technology,
   Legal, Engineering, and Maintenance Departments, along with concurrent reviews by
   Michael Baker Jr., Consulting Engineer.



              This Policy Letter supersedes all previous Policy Letters on this subject.




                                               - 199 -
PTC 502005539 (12/05)
                                                                          Number:
                                                                          10.1
                      PENNSYLVANIA TURNPIKE
                                                                          Approval Date:
                            COMMISSION                                    11/15/2005
                    POLICY AND PROCEDURE                                  Effective Date:
                                                                          11/30/2005
Policy Subject:                         This is a statement of official
                                        Pennsylvania Turnpike             Revised Date:
10.1 - Right-to-Know Law
                                        Commission Policy
Information Requests
                                        Responsible Department:
                                        Legal Department



A.   Purpose:

     To establish policies and procedures for the submission of requests for public records and the
     Commission's response to these requests, in accordance with the Right-to-Know Law, 65 P.S.
     §§66.1, et seq., as amended.

B.   Scope:

     This policy applies to all requests for public records made pursuant to the RTKL.

C.   General Policy:

     The intent of the Right-to-Know Law (RTKL) is to ensure access to public records by residents of
     the Commonwealth of Pennsylvania. It is the Commission's policy to provide access to public
     records in accordance with the provisions of the RTKL. This document outlines the procedures for
     the receipt of and response to requests for public records and sets forth the Commission's
     obligations and procedures with respect to providing access to the same.

D.   Definitions:

     The terms "Agency," "Public Record," "Requester," and "Response" shall have the meanings given
     to them in the RTKL. Other terms used in this policy shall have the following meanings:

     1. Business Day - Any weekday, between the hours of 8:30 A.M. and 4:30 P.M., excluding
     Commission holidays and days when the Commission offices are closed due to severe weather or
     other emergency.

     2. Commission - The Pennsylvania Turnpike Commission.

     3. Exception - A written document filed with the RTKL Exceptions Official by a requester,
     challenging the denial or deemed denial of the requester's RTKL request by the RTKL Official.

     4. Mailing Date - The date of the Commission's response to a RTKL request, which is to be the
     date the response is deposited in the United States mail. For a requester submitting a RTKL

                                                 - 200 -
     request or exceptions to the Commission, the date of the postmark on the envelope transmitting the
     RTKL request or the exceptions. For other forms of delivery, the transmission date affixed to a
     facsimile, or the date stamp affixed by the Commission to a RTKL request or exceptions delivered
     in person.

     5. Redaction - The eradication of a portion of a record, while retaining the remainder.

     6. RTKL Request - A written request for access to public records made pursuant to the RTKL.

     7. RTKL - The Right-to-Know Law, 65 P.S. §§66.1, et seq., as amended

     8. RTKL Exceptions Official - Any official or employee designated by the Commission to
     consider exceptions, conduct hearings, as appropriate, and issue final Commission determinations
     resolving those exceptions.

     9. RTKL Office - The Legal Department of the Pennsylvania Turnpike Commission

     10. RTKL Official - Any official or employee designated by the Commission to receive and
     respond to RTKL requests.

E.   Procedures for Responding to RTKL Requests:

     1. Submittal of Requests

        a. Requesters must submit RTKL requests to the RTKL Office, to the attention of the RTKL
       Official in person, by mail or facsimile. Submittal of an RTKL request by any other means or to
       any other office does not give rise to any obligation on the part of the Commission to respond to
       it, nor can it serve as a basis for the deemed denial of the request.

        b. All RTKL requests must be submitted in writing and be signed by the requester. The
        request must include the name and address to which the Commission should address its
        response. Oral or anonymous requests will be automatically denied by the Commission.

        c. All RTKL requests must identify or describe the records being sought with sufficient
        specificity to enable the Commission to ascertain which records are being requested. RTKL
        requests that are not sufficiently specific will be denied by the Commission.

        d. All RTKL requests must include proof of Pennsylvania residency, such as a photocopy of
        the requester’s Pennsylvania driver’s license, and make reference to the Right-to-Know Law.

        e. RTKL requests submitted by mail must be addressed to the Right-to-Know Law Official at
        the following address:

           Mailing Address:             RTKL Official
                                        Pennsylvania Turnpike Commission
                                        Legal Department
                                        P.O. Box 67676
                                        Harrisburg, PA 17106-7676

        f. RTKL requests submitted in person shall be delivered to the RTKL Office during regular

                                                 - 201 -
   business hours of 8:30 A.M. to 4:30 P.M., Monday through Friday (excluding Commission
   holidays and emergency closings) at the following address:


                                   RTKL Official
                                   Pennsylvania Turnpike Commission
                                   Legal Department
                                   700 South Eisenhower Blvd.
                                   Middletown, PA 17057

   g. RTKL requests submitted by facsimile shall be sent to the RTKL Official at (717) 986-9654.

   h. The Commission will not accept oral, anonymous or electronic requests.

2. Processing a RTKL request.

   a. Upon receipt of a RTKL request in the RTKL Office, the RTKL Official shall (1) date stamp
   the request, (2) assign a tracking number to it, (3) record the request in the RTKL Tracking
   System, (4) compute the day on which a response is due and (5) note the date on the first page
   of the request.

   b. Staple the envelope in which it came to the request.

   c. Create a file for the retention of the original request, including all documents submitted with
   it, a copy of the response provided, and a copy of all communications, oral or written, with
   the requester.

3. Calculating the 10 (ten) business day period.

   To determine the 10 (ten) business day period, do not count the day that a RTKL request is
   received. The first day of the 10 (ten) business day period is the Commission's next business
   day after receipt of the request.

4. Initial Review of Requests

   a. Upon receipt of a RTKL request, the RTKL Official should promptly review the request.

   b. The RTKL Official must verify that the requester is a resident of Pennsylvania, that the
   records sought have been identified with sufficient specificity, and that all other requirements
   set forth herein and in the RTKL have been met.

   c. The RTKL Official must then evaluate the request and determine whether or not the records
   requested meet the definition of a public record as defined by the RTKL.

   d. The RTKL Official must respond to the RTKL request within 10 business days of receipt of
   the request. Failure to send a response within 10 business days will be deemed a denial of
   the request by the Commission. The RTKL Official may, however, notify the requester in
   writing that a thirty (30) calendar day extension from the end of the ten day period is
   required to respond and the reason therefore. Only the following circumstances will justify
   the extension period:
                                             - 202 -
        i. The RTKL request requires redaction pursuant to Section E.35.d below.                         Comment [slm1]: There is no Section E.3.d
                                                                                                         anywhere in policy letter (below or above).

        ii. The RTKL request requires retrieval of a record stored at a remote location.

        iii. A legal review is necessary to determine whether the record requested is subject to
        access under the RTKL.

        iv. The requester has not complied with the policies and procedures set forth herein.

        v. The requester has not complied with a demand for prepayment of fees in accordance
        with Section 7 9 below. In this case, the time for response shall be tolled from the time the    Comment [slm2]: Section 7 deals with
                                                                                                         exceptions, not fees.
        demand for payment is made until such time as payment is actually received by the RTKL
        Official.

        vi. A response within the 10 business day period cannot be accomplished due to bona fide
        staffing limitations.

     e. If the RTKL Official determines that the records sought are not public records in whole or in
     part, or that the requester has not met the requirements of this policy and the RTKL, the RTKL
     Official will issue a written denial. The denial must include the date of response, a description
     of the records requested, specific reasons why the request is being denied, and citation to the
     supporting legal authority. The denial must also include the typed name, title, business address,
     business telephone number and signature of the RTKL Official, plus an explanation of the
     procedure to appeal the denial of access under the RTKL.

     f. The RTKL Official may not deny an RTKL request based on intended use of the public
     records.

5. Producing Public Records

     a. If the RTKL Official determines that the records are public records, it will contact the
     appropriate Commission department and arrange for the timely delivery of the requested public
     records to the RTKL Official.

     b. The RTKL Official will then issue a written response to the requester, within the time
     limitations set forth in Section E.24.d above, either mailing the records (pursuant to subsection   Comment [slm3]: There is no Section E.2.d.
c.
     below), or specifying when and where the records will be made available for the requester's
     examination. The response will also include a schedule of fees for copying and other services.

     c. At the sole discretion of the RTKL Official, records that constitute an insignificant number
     of pages may be copied by the Commission and mailed directly to the requester.

     Redaction

     d. If the RTKL Official determines that a public record contains information, which is subject
     to access as well as information which is not subject to access, the RTKL Official shall grant
     access to the information which is subject to access and deny access to information which is not
                                              - 203 -
  subject to access. If the information, which is subject to access cannot be separated, the
  RTKL Official must redact from the public record the information, which is not subject to
  access and the response shall grant access to the information which is subject to access. The
  RTKL Official may not deny access to the public record if the information, which is not
   subject to access is able to be redacted. Information redacted shall be deemed a denial. The
   cost of duplication shall be borne by the requester in accordance with the policy.

  e. If the RTKL Official grants an RTKL request and the requester has asked for certified
  copies, the RTKL Official shall provide certified copies upon payment of the applicable fees
  specified in Section E.7.b.9 below.                                                             Comment [slm4]: This section refers to
                                                                                                  exceptions, not fees.

6. Public Access Room

  a. The RTKL Official, may in his or her sole discretion establish a public access room where
  public records may be made available to a requester for inspection and duplication during
  regular business hours of the Commission.

  b. The public access room will be available at times established by the RTKL Official

  c. When the public access room is in use by a requester, the RTKL Official will ensure that a
  Commission representative is present at all times. Under no circumstances shall the requester
  remove the records from the public access room.

7. Exceptions Process

  a. If the RTKL Official denies the RTKL request, the requester may file exceptions with the
  RTKL Exceptions Official within 15 business days of the mailing date of the Commission's
  response or within 15 days of a deemed denial. Any exceptions that are untimely filed may be
  denied for that reason.

  b. A requester who makes a verbal, e-mail or anonymous RTKL request lacks standing to
  file exceptions. Any exceptions filed by such a requester shall be dismissed for that reason.

  c. A requester may not file exceptions to the Commission’s decision to extend the response
  period by up to 30 days.

  d. All exceptions must be submitted in writing to the RTKL Exceptions Official. Submittal of
  exceptions to any other office does not give rise to any obligation on the part of the
  Commission to respond to them.

  e. All exceptions must be submitted in writing and be signed by the requester. The exceptions
  must include the address to which the Commission should address its response.

  f. The exceptions must state grounds upon which the requester asserts that the record is a
  public record, and shall address the grounds stated by the Commission for denying or delaying
  the RTKL request. Exceptions that fail to comply with this section may be dismissed for that
  reason.

  g. Exceptions submitted by mail must be addressed to the Right-to-Know Law Exceptions
  Official and sent to the following address:
                                           - 204 -
          Mailing Address:     RTKL Exception Official
                               Pennsylvania Turnpike Commission
                               Legal Department
                               P.O. Box 67676
                               Harrisburg, PA 17106-7676

  h. Exceptions submitted in person shall be delivered to the RTKL Exceptions Official during
  regular business hours of 8:30 A.M. to 4:30 P.M., Monday through Friday (excluding
  Commission holidays and emergency closings).

  i. Exceptions submitted by facsimile shall be sent to the RTKL Exceptions Official at (717)
  986-9654.

  j. No exceptions may be submitted by e-mail.

8. Exceptions Rulings

   a. Upon receipt, the RTKL Exceptions Official shall evaluate the exceptions and issue a final
  determination regarding the exceptions within thirty (30) calendar days of the mailing date of
  the exceptions. The final determination shall be in writing, and, in the event of a denial, will
  explain the reasons for the denial.

  b. The RTKL Exceptions Official, in evaluating the exceptions, may as he or she deems
  appropriate, review the records requested in order to determine whether or not they constitute
  public records under the Act.

   c. Prior to issuing the final determination regarding the exception, the RTKL Exceptions
  Official may conduct a hearing, but is not required to do so. The decision to hold a hearing
  rests solely in the discretion of the RTKL Exceptions Official and may not be appealed.

  d. The determination shall be the final order of the Commission.

  e. If the RTKL Exceptions Official determines that the Commission correctly denied the request
  for access, he or she shall provide a written explanation to the requester of the reason for the
  denial.

  f. Within 30 days of the mailing date of the RTKL Exceptions Official's final determination
  affirming the denial of access, a requester may file a petition for review or other document as
  might be required by rule of court with the Commonwealth Court.

9. Fees

  a. The RTKL Official will ensure that the appropriate fees are charged to the requester. The
  RTKL Official is responsible for collecting the same.

  b. If the Commission grants the RTKL request, the following fees shall be charged:

                                            - 205 -
   i. Copies: 1- 10 - no charge. 11 or more - $0.15 per copy, plus sales tax.

   ii. Postage: No charge for postage in standard letter envelope. Actual cost for postage in
   nonstandard envelope.
   iii. Floppy disks: $1.00 per disk, plus sales tax.
   iv. Compact disks: $2.00 per disk, plus sales tax.
   v. Facsimile transmission: $1.50 for the first sheet, including cover, and $1.00 per each
   subsequent sheet.
   vi. Oversized plans or maps: $3.00 per copy, plus sales tax.
   vii. Certified copies: $1.00 per copy, plus sales tax.

c. For the purposes of this section, a copy is either a single-sided copy, or one side of a double-
sided copy, of a standard 8.5" x ll" page.

d. The RTKL Official may, at his or her sole discretion, require a requester to prepay an
estimate of the fees listed above, if the required fees are expected to exceed $100. Payment
may be made by check or money order made payable to the Pennsylvania Turnpike
Commission.



              This Policy Letter supersedes all previous Policy Letters on this subject.




                                               - 206 -
PTC 502005539 (12/05)
                                                                          Number:
                                                                          10.2
                        PENNSYLVANIA TURNPIKE
                                                                          Approval Date:
                             COMMISSION                                   12/2/2003
                        POLICY AND PROCEDURE                              Effective Date:
                                                                          12/17/2003
Policy Subject:                         This is a statement of official
                                        Pennsylvania Turnpike             Revised Date:
10.2 - E-ZPass Customer                                                   11/17/2003
                                        Commission Policy
Information Privacy Policy
                                        Responsible Department:
                                        Communications & Public Relations



A.   Purpose:

     The purpose of this policy is to define who may have access to E-ZPass customer account
     information, and under what circumstances the information may be released.


B.   Scope:

     1. Confidentiality Agreements

     All Commission employees, both permanent and temporary, and all permanent and temporary
     employees of the Commission's contracted service provider, who are granted access to Customer
     Account Information, must sign a confidentiality agreement. It will be the responsibility of the
     Director of Communications & Public Relations to enforce this policy and to maintain on file the
     confidentiality agreements signed by Commission employees. It will also be the responsibility of
     the Director of Communications & Public Relations to ensure that the Commission's contracted
     service provider enforces this policy with its employees and maintains those agreements on file.

     2. Requests from Customers to the E-ZPass Customer Service Center for Customer Account
     Information

     Except as provided within this policy, customer account information may only be disclosed to the
     account holder. Customer service representatives must verify the identity of every caller or walk-
     in visitor as the account holder before they confirm or disclose any account details. Refer to
     Section E.1 below for procedures governing the verification of identity.

     3. External Requests from Third Parties

     a. Access to E-ZPass customer account information by external third parties will only be provided
     pursuant to a subpoena or other written judicial order, except as provided in Section C.3.b. below.
     Refer to Section E.2 below for procedures governing the release of customer information pursuant
     to a subpoena or other written judicial order.


                                                 - 207 -
     b. Customers may request that family members or other representatives be granted access to their
     customer account information. Commission employees receiving these requests must refer the
     matter to the Director of Communications & Public Relations. Refer to Section E.3 below for
     procedures to grant access to representatives.

     4. Internal Requests from Commission Personnel - Occasional Access

     a. Certain employees may need occasional access to E-ZPass customer account information
     through the normal course of their duties and responsibilities. All requests for access to customer
     account information must be made to the Director of Communications & Public Relations or his
     designee. The request must include a written description of the specific need and the concurrence
     of the requestor's department head.

     b. Commission employees may not contact the Commission's contracted service provider directly,
     unless specifically authorized to do so by the Director of Communications & Public Relations or
     his designee. Refer to Section E.4 below for procedures governing the release of E-ZPass
     customer account information to Commission employees on an occasional basis.

     5. Internal Requests from Pre-Approved Commission Employees - Regular Access

     Certain Commission employees, including Audit employees, approved by the Director of
     Communications & Public Relations, may need regular access to E-ZPass customer account
     information through the normal course of their duties and responsibilities, including the
     prosecution of audit activities. Refer to Section E.5 below for procedures governing the release of
     E-ZPass customer account information to pre-approved Commission employees on a regular basis.

C.   General Policy:

     All information kept by the Commission, its authorized agents and or its employees, which is
     related to the account of an electronic toll collection system account holder shall be for the
     exclusive use of the Commission, its authorized agents, its employees and law enforcement
     officials for the purpose of discharging their duties. Said information may only be released to
     external parties in accordance with Pennsylvania law and the provisions of this policy.


D.   Definitions:

     E-ZPass Customer Account Information - all information kept by the Commission, its authorized
     agents and or its employees, which is related to the account of an electronic toll collection system
     account holder. Said information shall include, but not be limited to, name, address, telephone
     numbers, other contact information, credit card and checking account information, social security
     numbers and employer identification numbers, surety information, etc.


E.   Procedures:

     1. Procedure Governing the Verification of Identity

     To verify identity, the caller or visitor must provide the personal identification number (PIN) and
     the customer account number for the account. If the caller or visitor does not know the account

                                                  - 208 -
number, the caller or visitor should provide the PIN, the web password and the name on the
account. If the caller or visitor does not know the PIN, or no PIN has been assigned to the account,
the caller or visitor must be able to answer at least three of the following questions correctly.

a. What is the name on the account? If it is a business, what is the business contact name, as well
as the company name?

b. What is the account holder's driver's license number? If it is a business, what is the employer
identification number (EIN)?

c. What are the last four digits of the credit card number or bank account number (only for
automatic replenishment customers)?

d. What is the license plate number of one of the vehicles on the account?

e. What is the account number?


2. Procedure Governing the Release of Customer Account Information Pursuant to a Subpoena or
Other Written Judicial Order

a. Anyone who receives a subpoena or other written judicial order, requesting the release of
customer account information, should immediately notify the Commission's Legal Department.

b. The Legal Department will make a determination as to the response to the subpoena or judicial
order, consistent with 36 P.S.§ 652p.1(d), and will direct the Commission's contracted service
provider accordingly.

c. The Commission's contracted service provider, upon receipt of a written directive from the
Legal Department, will release the information to the Legal Department and establish a permanent
record of the action taken, to include a copy of the original subpoena or judicial order, the
Commission authorization to release the information, the person or entity to whom it was released,
and the date of the release. All costs of complying with the request shall be borne by the issuer of
the subpoena or judicial order.

3. Procedure to Grant Access to Representatives of Customers

a. If a customer desires that an external third party be given access to his or her customer account
information, that customer must execute a written authorization which should then be faxed or
mailed to the E-ZPass Customer Service Center.

b. When a written authorization is on file for the customer, the customer's designated
representative must be positively identified in accordance with Section E.1. above, prior to the
release of customer account information.

4. Procedure Governing the Release of E-ZPass Customer Account Information to Commission
Employees - Occasional Access

a. When a Commission employee needs access to E-ZPass customer account information on an
occasional basis through the course of his or her duties and responsibilities, the employee must
                                            - 209 -
submit a written request, approved by his or her department head, to the Director of
Communications & Public Relations or his designee.

b. The request should be made at least five working days prior to the need for information.

c. If the request is approved by the Director of Communications & Public Relations or his
designee, the Commission's contracted service provider will release the information and log the
inquiry in a permanent record that will include a copy of the original request, the approval by the
Director of Communications & Public Relations or his designee, the person to whom it was
released, and the date of the release.

5. Procedure Governing the Release of Customer Account Information to Pre-Approved
Employees - Regular Access

a. Commission employees who require regular access to E-ZPass customer account information
must be pre-approved by the Director of Communications & Public Relations and the Director of
Toll Revenue Audit, and must sign confidentiality agreements.

b. A list bearing the names of the pre-approved employees will be provided to the Commission's
contracted service provider.

c. Pre-approved employees should identify their presence to the Senior E-ZPass Customer Service
Center management employee upon their arrival at the E-ZPass Customer Service Center or
Violations Processing Center.

d. Pre-approved employees should also hold a brief departure interview with the Senior E-ZPass
Customer Service Center management employee.




                                             - 210 -
      AUTHORIZATION FOR RELEASE OF CUSTOMER ACCOUNT INFORMATION


I, ____________________________, hereby authorize the Pennsylvania Turnpike Commission, its
agents and employees to release my E-ZPass customer account information to _______________,
my agent in this matter. I understand that this information is personal to me, and may include
financial information, including credit card and checking account information.

I agree to release and discharge the Pennsylvania Turnpike Commission from any and all claims,
demands, and causes of action for any damage or injury of any kind or nature caused by, resulting
from, arising out of, or occurring in connection with the abovementioned release of E-ZPass
customer account information to my agent.

I understand that this authorization will remain active and on file with the Pennsylvania Turnpike
Commission, until I have provided written instructions to revoke it.

_________________________                                           __________________________
Witness                                                             Signature



                                 DATE__________________




                This Policy Letter supersedes all previous Policy Letters on this subject.




                                                 - 211 -

								
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