C3PO Procedures Manual

City of DurhamPublic Works Procedures ManualCertified Third-Party Permit Operations (“C3PO Procedures Manual”) Draft June 2017

Table of ContentsIntroduction and Overview........................................................................................................................... 3Qualifications Required of Permitting and Inspections Providers................................................................ 3Participation and Certification Process......................................................................................................... 4Duties and Responsibilities of the Permit Applicant..................................................................................... 4Plan Review and Permitting Duties............................................................................................................... 5Inspections Duties......................................................................................................................................... 5Duties of Right of Way Manager................................................................................................................... 6Removal from Program................................................................................................................................. 7Appendix A - Minimum Scope of Permit and Plan Review ........................................................................... 8Appendix B - Minimum Scope of Inspections ............................................................................................... 9 Page 2 of 10

Introduction and OverviewThe City of Durham Public Works Department’s (also referred to as “the Department” or “TheDepartment”) “Certified Third-Party Permit Operations” program (also referred to as “the Program” or“C3PO”), in this Procedures Manual consists collectively of: 1) those persons certified as Permitting andinspections Providers (also referred to as “PIPs”); and 2) the qualification requirements, andadministrative guidelines and procedures established and implemented by The Department for theProgram.The Department hereby adopts this C3PO program and may update these requirements as necessary.Individuals seeking certification as Permitting and Inspections Providers must comply with thequalification requirements and procedures set forth in the most current edition of the C3PO ProceduresManual.This Procedures Manual 1) sets forth the minimum qualifications for Permitting and InspectionsProviders; 2) establishes an application process by which Permitting and Inspections Providers arecertified; 3) establishes required minimum expectations, duties, service levels and scope Permitting andInspections Providers are to provide for each a) permit application, b) ensuing permit application review,c) related inspections activities for work authorized by said permit, and d) administrative tasksassociated with a) thru c) (herein after items a) thru d) are referred to as “the Project”), and 4)communicates the process for removal or suspension of a Permitting and Inspections Provider that doesnot comply with requirements contained in the C3PO Procedures Manual.Unless otherwise directed, communications regarding the Program shall be directed to the Right of WayManager at the following address:Right of Way ManagerCity of Durham Public Works Department3rd Floor City Hall101 City Hall PlazaDurham, NC [email protected] Required of Permitting and Inspections ProvidersPermitting and inspections providers are required to: 1. Be knowledgeable in, and have experience with, permit application review and right of way inspections, 2. Hold current registration in the State of North Carolina as a Professional Engineer, 3. Not be an employee of any company for which they are providing certified third-party permit operations, and 4. Attend the initial training offered by the Department for the Program. Page 3 of 10

Participation and Certification ProcessIn order to be certified by, and participate in, the Program, each prospective Permitting and InspectionsProvider must attend the Department’s initial training for the Program, during which he or she will havethe opportunity to provide documentation of the required qualifications.Workshops and trainings are offered by the Department periodically, or by appointment, and consist of: 1. Collection of the prospective Permitting and Inspections Providers’ applications and documentation of the required qualifications, 2. Training prospective Permitting and Inspections Providers on certified third-party permit operations, 3. Providing certification to qualified Permitting and Inspections Providers, and 4. Furnishing qualified Permitting and Inspections Providers with departmental forms and an individual database for that Permitting and Inspections Provider.Duties and Responsibilities of the Permit Applicant I. Election by Permit Applicant. Permit Applicants electing to use C3PO for the Project must select a currently certified Permitting and Inspections Provider for the Project. II. Cost of Plan Review. The compensation agreed upon between the Permit Applicant and the Permitting and Inspections Provider is entirely an agreement between two private parties. The City of Durham is not a party to the agreement between the Permit Applicant and the Permitting and Inspections Provider. Further, Permit Applicants and Permitting and Inspections Providers acknowledge through their participation in the C3PO Program that: a. The City is not responsible for any payments to the Permitting and Inspections Provider or for any related costs. b. All fees and costs related to the performance of Certified Third-Party Permit Operations shall be borne by the Permit Applicant and paid directly by the Permit Applicant to the Permitting and Inspections Provider. III. Indemnity. To the extent not prohibited by law, the Permit Applicant and the Permitting and Inspections Provider shall defend, indemnify, and save harmless the City (including but not limited to the municipality, and its Council, employees, agents, and independent contractors) from and against all Charges to the extent that they arise from, in connection with, or out of certified third-party permit operations, or as a result of the Permit Applicant’s or the Permitting and Inspections Provider’s action or inaction in constructing, operating, or maintaining its facilities in the City of Durham, or from, in connection with, or out of any claim brought by any reseller, lessee or other user of the Permit Applicant’s facilities, as a result of any damage to the Permit Applicant’s facilities by the City that occurs as a result of or in connection with any public improvements. In performing its duties under this Section, the Permit Applicant and/or the Permitting and Inspections Provider shall at its/their sole expense defend the City with legal counsel reasonably acceptable to the City. a. Definitions. As used in this Section, \"Charges\" means claims, judgments, costs, damages, losses, demands, liabilities, obligations, fines, penalties, royalties, settlements, and expenses. Included without limitation within \"Charges\" are (a) interest and reasonable attorneys' fees assessed as part of any such item, and (b) amounts for alleged violations Page 4 of 10

of sedimentation pollution, erosion control, pollution, or other environmental laws, regulations, ordinances, rules or orders. b. Limitation of the Permit Applicant’s and the Permitting and Inspections Provider’s Obligation. This Section shall not require the Permit Applicant or the Permitting and Inspections Provider to indemnify or hold harmless the City against liability for damages arising out of bodily injury to persons or damage to property proximately caused by or resulting from the gross negligence or willful misconduct of the City. c. This indemnification is not intended, and shall not be interpreted, to reduce the obligations otherwise agreed to by the Permit Applicant or the Permitting and Inspections Provider elsewhere in this manual.Plan Review and Permitting DutiesThe Permitting and Inspections Provider shall provide the services listed in this section for the Project. I. Review Work. The Permitting and Inspections Provider shall examine and review for compliance with applicable City Code and applicable City standards and specifications, and shall conduct at least the examination and review listed in “Minimum Scope of Review,” as set in the appendices. II. Provide Reports to Permit Applicant. The Permitting and Inspections Provider shall submit reports to the Permit Applicant for the Project with regard to the plan review portion of the project. a. Reporting Deficiencies. The Permitting and Inspections Provider shall communicate to the Permit Applicant a list of non-complying items for the Project b. For each noted non-compliance, the Permitting and Inspections Provider shall cite the nature of the deficiency and the location of the deficiency. III. Permit Issuance. Upon verifying that a permit application is sufficient and requires no corrections, the Permitting and Inspections Provider shall issue the permit and inform the Permit Applicant and the City of the permit issuance. IV. Providing Mapping Data to the City. The Permitting and Inspections Provider shall, upon issuing any permit, submit to the Public Works Department in the currently acceptable format and via the current workflow channel, mapping information (such as GIS shapefiles) delineating the extents of the permits. The mapping data shall also include as metadata, in the currently acceptable format: a. The type of installation b. The Owner of the facilities c. The Permitting and Inspections Provider contact information d. The permit issuance dateInspections DutiesThe Permitting and Inspections Provider shall provide the services listed in this Section for the Project. I. Review of Project. The Permitting and Inspections Provider shall review the approved permit, plans and specifications to become familiar with the Project and to identify the scope of work to be inspected. Page 5 of 10

II. Observe Work. The Permitting and Inspections Provider shall inspect, for compliance with the City Code, standards and specifications. The Permitting and Inspections Provider shall inspect, at a minimum, the items listed in “Minimum Scope of Inspections,” as set in the appendices III. Report Non-Complying Items. The Permitting and Inspections Provider shall produce a list of non-complying items (the Punch List) for each Inspection, and communicate said list to the Permit Applicant. a. The Inspection Punch List will list the required corrections that are a pre-requisite to the approval of the installation. b. For each item designated non-compliant, the Punch List shall cite the nature of the deficiency and the location of the deficiency. IV. Reporting Inspection Compliance. Upon verifying that all permit activity has been sufficiently performed and the area in which work was performed requires no corrections, the Permitting and Inspections Provider shall inform the Permit Applicant and the City of the inspection compliance. V. Providing Mapping Data. The Permitting and Inspections Provider shall, upon determining inspection compliance, submit to the Public Works Department in the currently acceptable format and via the current workflow channel, mapping information (such as GIS shapefiles) delineating the extents of the permits. The mapping data shall also include as metadata, in the currently acceptable format: a. The type of installation b. The Owner of the facilities c. The Permitting and Inspections Provider contact information d. The date of inspections compliance VI. 90-Day Inspection. After 90 calendar days have elapsed from the determination of inspections compliance, or since the last known work activity (in the event that the Project has been abandoned, or inspections have not been requested) the Permitting and Inspections Provider shall observe the conditions of the project site. a. If the site is in good condition, the Permitting and Inspections Provider shall inform the City of the site condition and may the project to be complete. The City will mark the Project as complete, or “closed-out.” b. If the site is not in good condition, the Permitting and Inspections Provider shall require the Permit Applicant to make repairs. A new 90-Day Inspection shall be scheduled upon the satisfactory completion of this additional required work.Duties of Right of Way Manager I. Certify Permitting and Inspections Providers. The Department is responsible for certifying qualified Permitting and Inspections Providers. II. Recall of Projects. The Department reserves the right to recall the Project assigned to a Permitting and Inspections Provider if it deems that there is lack of performance or significant material violation of the provisions of this Procedures Manual, or City Code, by the Permitting and Inspections Provider. Page 6 of 10

III. Auditing. The Department will monitor Permitting and Inspections Provider activities to evaluate performance of Permitting and Inspections Providers in order to determine whether certification should be revoked or suspended. IV. Maintain library. The Department shall keep a library of necessary forms, maps, and any other documents the Department deems necessary for C3PO, updating them as necessary, and making them available to Permitting and Inspections Providers.Removal from ProgramIf The Department determines that a Permitting and Inspections Provider has failed to perform itsassigned duties or fails to meet requirements of City Code or this Procedures Manual, The Department isauthorized to remove the Permitting and Inspections Provider from the Program.In the event that a Permitting and Inspections Provider is removed from the program while thePermitting and Inspections Providers services remain incomplete, the Department shall add the Projectto the Department’s internal workflow. The Permit Applicant may engage the services of anothercertified Permitting and Inspections Provider and notify the Department. The Department shall removethe Project from the Department’s internal workflow, and the remaining services shall be performed bythe newly-selected Permitting and Inspections Provider.The decisions of The Department in the implementation and administration of the Program are final. Page 7 of 10

Appendix A - Minimum Scope of Permit and Plan ReviewAt least the following features of permit and plan review shall be performed by the Permitting andInspections Provider: I. Process the construction plan review and permit application, II. Direct Permit Applicants with proposed work within 50-feet of any major City utilities, water distribution mains, large sanitary sewer mains or force mains, major storm drain pipes and facilities with special precautions, potentially including hand digging. a. For any project that exceeds one mile in linear feet the consultant shall require the requestor to provide a GIS compatible file (usually a (.dxf) file) that will be transferred to the Public Works GIS department to be entered into a GIS layer for record keeping purposes. b. Perform any necessary field verification of the information on the construction drawings during plan review, c. Anticipate issues and conflicts with existing infrastructure that may arise during construction, d. Work closely with the utility installing the facilities, and their consulting staff, to expedite plan review and any necessary adjustments to the construction drawings for approval, and e. Following approval of the construction plans, issue permits for the project and notify The Department of the permit issuance. f. Permit request, permits, maps, drawings, and all related correspondence shall be stored electronically in a folder for future reference, and, upon permit issuance, the folder and all the information related to the permit shall be transferred to the City’s Right of Way Management Group. III. Verify License(s). The Permitting and Inspections Provider shall verify the Permit Applicant holds an active franchise agreement, telecommunication license, or license agreement (whichever is applicable to the work necessitating the permit) with the City, and is currently meeting all terms of the license(s). a. It is recommended the Permitting and Inspections Provider request from the Permit Applicant a copy of the executed license agreement at the time of the Permit Applicant engaging the services of the Permitting and Inspections Provider. b. The Department staff will still be responsible for interrupting the permit review process should a change occur with any license during the review period. Page 8 of 10

Appendix B - Minimum Scope of InspectionsTo the extent that the items that follow are part of the scope of construction, as depicted or specified onthe permit application documents, at least the following features and provisions shall be subject toinspection performed by the Permitting and Inspections Provider: I. In General. The Permitting and Inspections Provider shall: a. Have approved permit and plans on site, b. Take good quality and composition photographs at each visit to the site representative of the work being performed. c. Be aware of the utility jobs occurring in nearby areas, and verify any work occurring within the City right of way in nearby areas is authorized by an active permit. This requirement expressly includes work not within the scope of inspections services provided to the Permit Applicant. II. Initial visit. The initial visit should take place at the start of the job. a. Request the permit by which the work is authorized. b. Document the following information regarding the parties involved: i. Name of the crew foreman ii. Name of the contractor or sub-contractor iii. Name of the owning utility company iv. Contact information for the owner. c. Document the approach and sequence of activity, and provide guidance for any foreseeable issues. For example: i. What type of equipment will be used (hoe, bore, plow, trencher, etc.)? ii. Will the project differ significantly from that permitted? Many times the contractors in the field will modify the job based on actual field conditions and ease of construction, often without consulting the utility companies. This needs to be known and the permit revised if the changes are significant. iii. What type of compaction will be used on trenches and in what lift thickness? iv. Where is the compaction equipment? Are they actually using it? v. When will they be backfilling and compacting? Return to site to verify compaction. Is the compaction equipment being used or still sitting in the truck? vi. How far off the backs of curb will the trenches or bore pits be located? vii. What type of site restoration will you be doing when complete? viii. What type of traffic control is used and is it employed properly? ix. What method of pavement repair will be done and when? x. If DOT road, do they have an encroachment agreement and will DOT inspect the pavement repair? III. Site Inspections. The Permitting and Inspections Provider shall inspect and observe, citing any non-compliance with the approved permit and plans, requiring the remedy of any non- compliance or defect in workmanship, the following: a. Concrete Work i. Installation of any required sidewalk protection for the duration of sidewalk construction, ii. Execution of any pedestrian access plans, Page 9 of 10

iii. Concrete Protection (temperature and vandalism) iv. Concrete expansion, tool joints, finishing, etc.… v. Upon completion of concrete work, the removal of form(s) and restoration of areas around sidewalk b. Work within City Streets. i. Street cut repairs (City specifications) c. Trenches. i. Trench compaction d. All Areas. i. Restoration of disturbed areas ii. Traffic control and work zone safety iii. OSHA Standards and requirements iv. City construction Standards v. Erosion control practices and requirements vi. Conflicts with City utilities and horizontal and vertical separation requirements vii. Appropriate controls for negating contamination of storm water as well as ground water with petroleum products and chemicals associated with construction equipment and directional drilling.IV. Required Equipment. The Permitting and Inspections Provider shall self-furnish all equipment required for the entire scope of inspections services. All equipment will be well-maintained, recently calibrated where appropriate, and in good working order. The equipment shall include but not be limited to: a. A vehicle suitable and suitable for the requirements of the project, b. Reliable portable computer with wireless connection capability to the internet. The computer shall have the most current version of the Microsoft operating system and office software and will be configured by the Permitting and Inspections Provider so as to be compatible with City project management software c. Six-foot level d. Construction grade string line (>50ft) and line level e. Various tape measures which report in inches and hundredths of a foot, including tapes that carried in a pocket capable of measuring distances 35' or less, and tapes that are carried on a reel that measure distances from 35-200', f. Earth compaction resistance probe g. High resolution digital camera Page 10 of 10