POLICIES AND STANDARDS PERTAINING TO IMPROVEMENT PLANS FOR CONSTRUCTION, INSPECTION, AND FINAL APPROVAL

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1 Backgrund and Purpses Cunty plicy and regulatins require imprvement plans and/r grading plans fr all land develpment pursuant t Cunty Ordinances. The primary Cunty purpses f engineered plans are t: Crdinate the planning and implementatin requirements f many different agencies that may be invlved in any given prject. Assess the prpsed develpment and implement the minimum design and envirnmental standards f all affected agencies. Cntrl the n-site and ff-site imprvement wrk fr cnfrmance with the cncepts apprved fr the develpment by the Cunty. Prtect the public interest by prviding a basis fr cnstructin and inspectin t help ensure that the wrk will be cmpleted in accrdance with apprved design. The plicies and standards fr preparatin and apprval f plans and ther cnstructin-related matters are described belw. Imprvement Plans General Plicies Plans must be prepared by licensed civil engineers, retained by the applicants, and based n adpted minimum standards f the affected agencies. The standards and frmat fr the plans are described belw under the heading, Plan Cntent, Frmat and Standards. The plans must prperly reflect the cnditins f apprval fr the particular prject issued by the Cunty. Imaginative and creative design which is equal t r better than the adpted minimum standards is encuraged. The Grading Official is respnsible fr the crdinatin f the review f the plans by varius agencies, the final apprval f the plans and the enfrcement f land develpment and grading agreements. A checklist is furnished t engineers that is intended t cver all f the standard items n a typical set f plans. Plans must be based n sufficient field data and reflect true field cnditins. Plan and prfile sheets drawn at apprpriate scale are required fr rads, driveways and pipelines. Standard ntes and certificates als are required as described at the end f this sectin: Plans must cnfrm t the adpted minimum standards f the varius agencies (Rads & Airprts, Santa Clara Valley Water District, sanitatin districts and the Grading Official). Any prpsed deviatins frm these standards must be handled by direct cmmunicatin between the private engineer and the agency invlved. It is standard practice fr mst agencies t require that alternatives t adpted standards be presented by the engineer n an equal r better basis with apprpriate written justificatin, as well as dcumentatin, when needed, such as labratry tests f sils, gelgic reprts, etc. In all situatins invlving a lesser design than the adpted Cunty standard, the matter may be referred t the Bard f Supervisrs. Such deviatins (as well as thse f ther affected regulatry agencies) shuld be made knwn by the engineer during the tentative map stage r preliminary grading plan fr reslutin f issues at that time. All types f public imprvements and n-site develpment wrk shuld be included in ne set f plans t better crdinate the cnstructin, bnding, final plan apprval and inspectin requirements. This may include such items as sanitary sewers, water systems and imprvements t fld cntrl facilities. C1.1

2 Earthwrk must cnfrm t the standards f the grading rdinance r any higher standards adpted by the affected public agencies. Final Apprval Imprvement plans are submitted t the Grading Official thrugh the Central Permit Office fr review and apprval. Infrmatin n the number f cpies and the prcess is available frm the Central Permit Office and departmental web site. Cpies are referred t all affected agencies. At the time check prints are submitted fr Cunty review, they must be accmpanied by the engineer s cst estimate. A detailed estimate by bid items with current unit prices is required, including such items as equipment mve-n, clearing and grubbing. Unit prices shuld prperly reflect the lcatin f the wrk and site cnditins. All cnditins f apprval applicable at the time f final plan apprval must be cmpleted befre they are signed by the Grading Official Cpies f signed plans and permit must be retained n the jb site at all times and the wrk perfrmed in accrdance with these plans. Any significant field changes must be shwn n the plans and apprved by the Cunty befre cnstructin. After cmpletin f the cnstructin wrk, as-built plans are prepared the engineer f recrd, r any private engineer wh is authrized by the Grading Official t perfrm the inspectin wrk. These plans are retained by the Cunty as a public recrd. Agreements At the time f signing the plans, the develper and the Grading Official, r his authrized representative, bth sign an agreement which specifies the time perid and ther requirements fr satisfactry cmpletin f the wrk where a bnd is required. Fr majr subdivisins, the agreement, bnd, tract map and pertinent papers are sent t the Bard f Supervisrs fr signing and final apprval. It nrmally requires a minimum f three weeks fr the preparatin and agenizing f this reprt. It is the plicy f the Grading Official nt t sign the plans fr a majr subdivisin until the Bard f Supervisrs apprves the final map and agreement. The principal prvisins f the typical agreement are: All wrk is t be cmpleted in accrdance with apprved plans prir t ccupancy f any new buildings r building additins, but nt later than ne year. The Grading Official may, upn written request and submissin f satisfactry evidence that the specified time limits are nt apprpriate r practical, give written authrizatin f an extensin f time and mdify the requirements fr ccupancy. The wrk includes (whether stated n the plans r nt) the setting f cnstructin stakes, mnument bxes and survey mnuments. The wrk may be cmpleted by the Cunty if the develper fails t perfrm. (NOTE: It is Cunty plicy t first sue the develper, if necessary, fr specific perfrmance.) The develper guarantees all wrk fr a perid f ne year (except single sites and grading) frm the date f cmpletin and cnstructin acceptance by Cunty. In the event the wrk is nt t be maintained by a public agency, the develper agrees t ntify any purchaser regarding the prperty wner s respnsibility fr cntinued maintenance f the imprvements in a manner cnsistent with the purpses f the Cunty apprval. C1.2

3 The develper agrees t indemnify and hld the Cunty harmless frm any liabilities, claims, damages r suits fr reasn f death r injury arising ut f the wrk perfrmed, except fr liabilities r claims arising ut f the sle negligence f the Cunty. The develper must maintain public liability and prperty damage insurance in the minimum amunts f $300,000 fr bdily injury, $50,000 fr prperty damage, single ccurrence, and an aggregate limit f $200,000. Evidence f such insurance may be required at any time. Upn annexatin int any city, the develper agrees t fulfill all the terms f this agreement upn demand by such city as thugh he had cntracted with such city riginally. Any annexing city has the rights f a third-party beneficiary. Special prvisin pertaining t bnds and insurance as described belw. Bnds General Bnds are fr the purpse f assuring cmpletin f the wrk in the event f failure f the develper t perfrm. Perfrmance bnds are required fr subdivisin and may be required fr hazardus grading imprvements n a parcel. A Labr and Materialmens bnd is required t ensure the payment f cntractrs fr the cnstructin f the subdivisin imprvements. Bnd values are established by the Grading Official prir t the issuance f subdivisin r grading imprvement permits. Typically, grading permits d nt require perfrmance bnds. Grading permits may require perfrmance bnds shuld the Grading Official find the wrk t cause a ptentially hazardus cnditin, pursuant t the definitin in the Grading Ordinance. All parties prviding bnds shall be parties in the develpment agreement. At the Grading Official s discretin, in rder t mre effectively get wrk assciated with an Emergency Grading Permit (as described in Sectin C f the Grading Ordinance) cnstructed, n perfrmance bnd is required fr permit issuance. Bnds Subdivisin Perfrmance and Labr and Materials bnds in the full amunt f the estimated cst f the wrk are required fr subdivisin prjects. Bnd amunts are determined by the Grading Official using the RS Means cst estimatin guides. Ten percent cntingency factrs are added t the cst estimate prepared by the Grading Official. Bnds must include the cst f any structural items shwn n the plans that require a building permit, such as water tanks and retaining walls. The bnds als must include all items f wrk that are required by ther affected agencies t cmply with cnditins f apprval r the agency s standards, such as drainage utfall imprvements in the Santa Clara Valley Water District s channels. Cunty bnds are nt required fr items f wrk that are installed r guaranteed t the Cunty by public utilities and special districts, electric distributin lines and sanitary sewers. The agencies respnsible fr thse imprvements require either a bnd r full payment by develper prir t issuance f a clearance letter t the Grading Official. The Permittee has a chice f bnd types that includes cash, certificates f depsit, letters f credit and surety cmpany bnds. The Cunty furnishes standard frms which must be used in all cases. Perfrmance bnds can be released by the Grading Official in increments f 25 percent f the ttal scpe as the wrk prgresses. The final 25 percent increment cannt be released until final cmpletin and acceptance f the wrk. If a frm f cash is psted and the prject requires a C1.3

4 labr and materialmen s bnd, the maximum incremental release is 50 percent because the remaining 50 percent is the minimum labr and materialmens bnd required by State law. Labr and materialmens bnds must be retained fr a perid f ninety days after cmpletin f the wrk and claims, if any, have been settled. The develper must request release f the bnd upn cmpletin f the wrk. The Cunty Inspectr initiates the administrative prcedures fr bnd release upn request and final apprval. It nrmally takes abut ten days fr the return f bnds. Bnds cannt be released until thse prtins f the wrk t be dne under a building permit, such as tanks and retaining walls, r he wrk required by utside agencies which was included in the bnd furnished t the Cunty has been fully cmpleted and apprved. In the event a maintenance perid is required fr plantings and ersin cntrl facilities, a separate maintenance bnd must be psted, r the riginal bnd retained fr the prescribed perid f time. The bnd amunt must be sufficient t cver bth the ptential remedial wrk and the nrmal maintenance. Bnd Pre-emptin Plicy (Reprt apprved by Bard f Supervisrs, 6/2/80) State and Cunty regulatins d nt preclude a develper frm cnstructing subdivisin imprvements (except grading) befre the recrding f the map and psting f bnds. He des run the risk, hwever, f nt receiving final Cunty apprval even with Cunty inspectin during cnstructin. T help avid sme f the ptential prblems, a reprt was sent t the Bard f Supervisrs n June 2, 1980 (and apprved) recmmending certain plicy guidelines t be fllwed in situatins where develpers request Cunty apprval t cmmence cnstructin prir t the signing f the subdivisin map r the psting f a full perfrmance bnd. The apprved guidelines are: If the prject is a majr subdivisin, the develper shuld make his request directly t the Bard f Supervisrs. If the prject is a minr land divisin, the request is t be handled by the Grading Official. (See nte belw.) If the request is apprved, the plans must be fully cmpleted and signed by the Grading Official. Cncurrently, a mdified land develpment agreement apprved by the Cunty Cunsel cvering the wrk and ancillary items is t be signed by the develper and the Grading Official. All subdivisin cnditins f apprval must be met prir t apprval f the plans, except nes that are bviusly inapprpriate at that time. The requirements t be met in these cases typically wuld include (but nt be limited t) payment f fees, psting f apprpriate bnd (nt less than ten percent f the estimated cst f the advance wrk), signing an agreement and clearance letters frm all affected Cunty departments and utside agencies. Any wrk in the Cunty right-f-way requires a separate full value perfrmance bnd. Any exceptins t this requirement are t be apprved by the Rads & Airprts r the Bard f Supervisrs. Written acknwledgment by the develper that any advance cnstructin wrk will nt be a cnsideratin with respect t future prceedings r final apprval f the subdivisin map. NOTE: At the time f this reprt, Cunty Cunsel recmmended that the cnditins f apprval fr future subdivisins include basic requirements t be met prir t Cunty apprval f any cnstructin wrk t be dne in advance f final apprval f the subdivisin map. In the absence f such cnditins being included when the Bard f Supervisrs apprves the tentative map f a C1.4

5 Permits minr subdivisin, the request fr advance cnstructin will be referred t the Bard f Supervisrs. Permits fr the wrk are issued immediately after the plans and agreement are signed. The permits specify the respnsibilities f the permittee fr the cnduct f the wrk, the time perid (r restricted times, if any) and ther significant matters nt cvered in the plan specificatins r the agreement Permits are transferable if: a. New Agreements are entered int, as required b. Repsting f the bnds, as required c. Outstanding Fees have been recnciled Fr subdivisin plans, the respnsibility fr the cnstructin f the imprvements can nly be transferred as an entire prject. Further phasing f the cnstructin imprvements is nt allwed withut apprpriate map and administrative crrectins. The Permittee s respnsibility fr cmpletin f the wrk cannt be assigned t third parties (lt buyers, etc.). Building permits are required fr structures, such as retaining walls and bridges, when they are lcated utside the right f way f a Cunty maintained rad, r rad t be Cunty maintained immediately after cnstructin. The permit must be retained at the wrk site whenever wrk is in prgress. In the event the wrk is nt being perfrmed in accrdance with the permit (r plans), the permit may be suspended r revked by the Grading Official r his authrized representative. When the time limits expire withut the wrk being cmpleted, the Permittee must request an extensin f time. Time limit expiratins in n way lessen the Permittee s bligatins t cmplete the required wrk. The Grading Official may specify new requirements t be met when issuing an extensin f time. In the event the Permittee fails t cmplete the wrk in a satisfactry manner after due ntice, (r time extensin), the matter is reprted t the Bard f Supervisrs fr legal actin. Plan Check and Inspectin Fees (Mve befre inspectin) Plan check and inspectin fees are set by Bard reslutin. A depsit against the plan check fees (nn-refundable) must be paid at the time f initial submittal fr plan check. The depsit is determined n the basis f the private engineer s estimated cst f the wrk shwn n the plans. After the plan check is cmpleted, the plan check fee and the minimum inspectin fee are cmputed by the Cunty. The unpaid balance fr the plan check fee, and the calculated inspectin fee, must be paid prir t apprval f the plans. If the depsit fr the plan check fee exceeds the final plan check fee, the balance is applied t the inspectin fee. These fees als include a prvisin t cllect additinal billable time beynd that which the standard fee was intended t cver. If a private engineer is authrized t inspect the wrk, nly the plan check fee is paid t the Cunty. It is the Develper s/permittee s respnsibility t make all necessary financial arrangements with the private engineer that he retains t d the wrk and t pay the csts f C1.5

6 tests and reprts. (NOTE: Cunty inspectin fees include rutine tests f material and cmpactin f fills. Any special tests and investigatins, r retesting necessitated by failure f the riginal tests t cmply with requirements, are paid by the develper/permittee.) In situatins where the plans shw imprvements that require a building permit (retaining walls, tanks, etc.), the amunt f the Building Inspectr s fee is deducted frm the imprvement plan and inspectin fees. Inspectin All cnstructin wrk must be inspected by the Cunty. Private engineers may d the inspectin fr the Cunty when authrized in writing by the Grading Official. A standard three-part frm (permittee/private engineer/grading Official) is used fr this purpse. When private inspectin is authrized by the Grading Official, the applicant must btain and pay fr the services f a licensed private engineer r engineering firm (satisfactry t the Grading Official) ther than the ne wh prepared the plans. Inspectrs require a ntice f 2 business days prir t cmmencement f wrk. A Precnstructin meeting may be required. Any significant changes in the wrk during cnstructin must be shwn as mdificatins n the riginal plans and reviewed and apprved by the Cunty prir t cnstructin. If the inspectr finds the wrk is nt being dne in accrdance with the apprved plans r the permit, he may rder the wrk t be discntinued. Pursuant t Sectin C and 499 and Article 7 f the Grading Ordinance, any unapprved mdificatin f the scpe f wrk assciated with apprved permit may be subject t civil and criminal prsecutin. Labratry tests f certain materials may be required. Cmpactin tests f fills must be dne in the manner and number descried in the rdinance, r in the plans and specificatins. Sils and/r gelgic investigatins and reprts als may be required while the wrk is in prgress r prir t acceptance. If a sils reprt is required fr the develpment f the imprvement plans, a cnstructin bservatin letter, prepared by the getechnical engineer r gelgist, verifying that the wrk was cmpleted in accrdance with the recmmendatins f the reprt shall be required prir t final acceptance f the imprvements. As-built plans are required fr public recrd upn cmpletin f the prject. A field walk-thrugh f the prject is held with the inspectrs, the develper and/r cntractr, and a representative f any affected agencies near the end f the wrk schedule. Fr tract subdivisins, upn satisfactry cmpletin f the wrk, and request frm the develper has been received by the Cunty inspectr, the Cunty inspectr initiates the final acceptance and bnd release by the Bard f Supervisrs. Fr all ther wrk, the Cunty inspectr accepts the final imprvements. Any unpaid Cunty charges must be paid prir t final acceptance and / r release f the bnd. When the plans include a private water system, r separate fire prtectin facilities, they must be tested and apprved in accrdance with the methds and standards f the affected agencies generally Envirnmental Health Services and Fire Prtectin districts. An electrnic cpy f the as-built plans shall be submitted t the Grading Official after cnstructin and prir t final acceptance f the imprvements. The cunty inspectr r the private engineer authrized by the Grading Official t perfrm the inspectin wrk shall sign the C1.6

7 as-built statement n the imprvement plans cnfirming that the plans reflect all minr field changes and revisins, if any. Plan Cntent, Frmat and Standards Fr clarity, strage and reprductin purpses, the Cunty has adpted the fllwing plicies regarding the cntent, materials and frmat fr imprvement plans and grading plans: 1. Use f high quality materials in sheets size 24 X 36 capable f prducing gd quality prints and electrnic cpies. 2. Imprvement Plans shall be legible fr printing and scanning. Small lettering will nt prvide readable electrnic scans and cannt be accepted. 3. The imprvement plans shall include the Cunty s current published standard cver sheet and ersin cntrl and Best Management Practices sheets. An AutCAD versin f the Cunty s standard cver sheet and PDF versins f the Best Management Practices sheets are available at the Planning and Develpment Services Office s web site. 4. Imprvement Plans shall include: (1) Plan and prfile sheet (s) shwing the rad center line, curb lines, ditch lines, etc., and any undergrund pipes, wires, manhles, etc. (2) Details as needed fr cnstructin and design evaluatin. (3) Crss sectins f rads and channels sufficient fr the cmputatin f earthwrk vlumes with reasnable accuracy and fr determining the suitability f the design with respect t prperty lines, structures and ther imprvements. Grund prfile lines must extend an adequate distance beynd cut-and-fill lines t indicate the crrelatin with existing terrain features r cnstraints, such as prperty lines. (4) Crss sectins f all significant graded areas shwing maximum cuts and fills and the silhuettes f majr structures, such as tanks. C1.7