CITY OF MODESTO COST SHARE PROGRAM EVALUATION SUMMARY REPORT VOLUME TWO

CITY OF MODESTO COST SHARE PROGRAM EVALUATION SUMMARY REPORT VOLUME TWO February 6, 2012

CITY OF MODESTO COST SHARE PROGRAM EVALUATION SUMMARY REPORT - VOLUME TWO February 6, 2012 Submitted to: City of Modesto Public Works Department Wastewater Division, Wastewater Collections Section 1221 Sutter Avenue Modesto, CA 95351 Prepared by: Nolte Associates, Inc. (a Nolte Vertical Five company) 1215 West Center Street, Suite 201 Manteca, CA 95337 (209) 239-9080 (209) 239-4166 (Fax)

TABLE OF CONTENTS Chapter: Executive Summary... ES-1 1 Background... 1-1 2 Review of Agency Sewer Lateral Programs... 2-1 3 Summary of City Cost Share Program... 3-1 4 Comparison with Other Similar Agency Cost Share Programs... 4-1 5 Insurance Policies for Sewer Laterals... 5-1 6 Suggested Modifications to City Cost Share Program... 6-1 7 Alternative Method for Offsetting Sewer Lateral Costs... 7-1 8 Legal Review Regarding Cost Share Program... 8-1 9 Future Strategy... 9-1 10 References... 10-1 Appendices (Volume Two): A B C City of Modesto Sewer Lateral Standards Scope of Services City of Fresno Septic System Loan Program D Maps Illustrating Locations of CSP Applicant Sites, 2006-2011 E F G H I J K L Sewer Lateral Certificate Programs for the cities of Berkeley, Richmond, and Sausalito California Association of Sanitation Agencies Proposed Legislation Brochures for Insurance Policies Potential Budget Impact for Implementing Recommended Modifications and Alternatives City of Modesto Low Income and Disabled Access Grant/Loan Programs for Home Repairs CRF Contract Loan Servicing Proposal Alternative Methods for Offsetting Sewer Lateral Costs City of Merced Staff Input Regarding Requirements for Contractor Licensure when Working in the Right of Way Modesto Cost Share Program TC-1 MTB020301 Summary Report February 2012 n:\mtb020301\documents\final summary report\volume 1.doc

LIST OF TABLES Table 2-1 City of Modesto Cost Share Program Evaluation Comparison of Central Valley Cities Sewer Lateral Policies... 2-2 Table 3-1 City of Modesto Cost Share Program Evaluation City Time and Cost Estimates for Program Implementation... 3-5 Table 3-2 City of Modesto Cost Share Program Evaluation CSP Summary, 2006-2011... 3-6 Table 3-3 City of Modesto Cost Share Program Evaluation Typical City Costs in Responding to Sewer Lateral Overflows... 3-7 Table 3-4 City of Modesto Cost Share Program Evaluation Summary of Perceived Program Issues... 3-9 Table 4-1 City of Modesto Cost Share Program Evaluation Review of Bay Area Agency Sewer Lateral Programs... 4-2 Table 5-1 City of Modesto Cost Share Program Evaluation Comparison of Insurance Programs... 5-3 Table 6-1 City of Modesto Cost Share Program Evaluation Summary of Potential Streamlining Recommendations... 6-1 Table 6-2 City of Modesto Cost Share Program Evaluation CSP Cost Summary, 2006-2010... 6-4 Table 6-3 City of Modesto Cost Share Program Evaluation Potential CSP Costs for Increased Participation... 6-5 Table 6-4 City of Modesto Cost Share Program Evaluation Average Lateral Repair Costs, By Type of Repair... 6-6 Table 6-5 City of Modesto Cost Share Program Evaluation Potential CSP Costs for Increased Participation and Complete Lateral Repair... 6-7 Table 6-6 City of Modesto Cost Share Program Evaluation Potential Budget Impact for Implementing Suggested Modifications and Alternatives... 6-8 Table 7-1 City of Modesto Cost Share Program Evaluation Loan Program Assumptions... 7-2 Table 7-2 City of Modesto Cost Share Program Evaluation Summary of Loan Program Budget Analysis... 7-3 LIST OF FIGURES Figure 1-1 Flow Diagram Illustrating Approach... 1-4 Figure 3-1 Current Organizational Chart... 3-2 Figure 3-2 Diagram Illustrating Current City Cost Share Program Process... 3-4 Figure 4-1 Diagram Illustrating Effective Sewer Lateral Program... 4-7 Modesto Cost Share Program TC-2 MTB020301 Summary Report February 2012 n:\mtb020301\documents\final summary report\volume 1.doc

APPENDIX A CITY OF MODESTO SEWER LATERAL STANDARDS

APPENDIX B SCOPE OF SERVICES

CITY OF MODESTO COST SHARE PROGRAM EVALUATION AND RECOMMENDATIONS SCOPE OF SERVICES JULY 2011 The City of Modesto (City) Public Works Department, Wastewater Division (PWD-WD) would like to evaluate the Cost Share Program established in September 1990 under Council Resolution 90-746 and Council Policy 1.027. Residential sewer laterals in need of repair can be a significant source of I/I to the municipal wastewater collection system. Excess wet weather flows can contribute to surcharged sewers and potential sewer overflows resulting in regulatory violations. The incremental cost of treating combined flows also represents an additional disadvantage to the City. Unfortunately, the cost of lateral repairs can be a substantial burden to property owners and an impediment to action. In an effort to assist residents in financing repairs of house sewer lines (laterals), the City is seeking an evaluation and recommendations to the existing guidelines to the Cost Share Program from Nolte Associates, Inc. (Consultant). The scope of services for the program evaluation is presented as follows: SCOPE OF SERVICES Program evaluation, recommendations and program will include the following tasks: 1. Prepare Cost-Benefit analysis of current Cost Share Program and evaluate alternatives 2. Evaluate and describe each step in the Cost Share Program 3. Evaluate sewer lateral inspection policies 4. Provide funding recommendations for the recommended wastewater division Cost Share Program 5. Provide recommendations for the distribution of funds to citizens for repairs offered through program 6. Evaluate options for administration of program 7. Assess options for contractor procurement/determination of reimbursable costs 8. Prepare legal opinion of any recommended program changes 9. Prepare agenda report and assist in presentation to City Economic Development Committee 10. Project Management Each task is described below. TASK 1 PREPARE COST-BENEFIT ANALYSIS OF CURRENT COST SHARE PROGRAM AND EVALUATE ALTERNATIVES Task 1 includes the following subtasks: City of Modesto Cost Share Program 1 MTB020301 July 2011 n:\mtb020301\contract docs\workplan scope and fee.docx

1.1 Create database Create data base that summarizes historical information on cost share program including location, age of residential sewer, type of repair, scope of improvement, and construction cost. 1.2 Designate improvements on collection system map Designate improvements on collection system maps to derive potential correlation between lateral repair and reduced infiltration/inflow within sewer shed. 1.3 Review collection system master plan Review collection system master plan assumptions regarding infiltration/inflow allowances and the impacts of various sewer rehabilitation techniques. 1.4 Research maintenance records/summarize histories Research maintenance records and summarize call-out/overflow histories in areas with significant lateral repairs. Identify maintenance trends as a function of sewer shed boundaries. Estimate City unit costs associated with mitigating excessive infiltration/inflow. 1.5 Compare costs of rehabilitation Compare costs of lateral rehabilitation with reduced or avoided maintenance costs. Summarize results in cost-benefit ratio. 1.6 Summarize scope of insurance policies Summarize scope of insurance policies offered by service providers such as Utility Services Partners and HomeServe USA. Contact agencies participating in these types of programs and research history to determine level of success and satisfaction. Analyze benefits to agency and local homeowners and quantify potential costs and royalties. Develop cost-benefit ratio for comparison to City cost share program and provide recommendations. Task 1 Deliverables: Technical memorandum detailing cost benefit analyses for current program and future options including potential insurance program TASK 2 EVALUATE AND DESCRIBE EACH STEP IN THE COST SHARE PROGRAM Task 2 includes the following subtasks: 2.1 Prepare flow chart of process Prepare flow chart of process based on interviews with staff from CED, PWD-WD, and UPP. Review flow chart with City staff and confirm correctness. Solicit feedback on possible improvements designed to streamline program. City of Modesto Cost Share Program 2 MTB020301 July 2011 n:\mtb020301\contract docs\workplan scope and fee.docx

2.2 Summarize responsibilities and staff accountabilities Summarize specific responsibilities and staff accountabilities associated with each step in cost share program from determination of eligibility to final sign-off on construction work. 2.3 Compare cost share process from similar agencies Compare the cost share process from similar agencies and identify best practices and how these practices could be folded into the City program. Summarize recommendations for streamlining each step in the program considering specific goals for timeliness and user documentation. Task 2 Deliverables: Flow chart depicting each step in program, summary of specific responsibilities for use in Task 6, technical memorandum presenting recommendations for streamlining program TASK 3 EVALUATE SEWER LATERAL INSPECTION POLICIES Task 3 includes the following subtasks: 3.1 Research inspection policies from similar agencies Research sewer lateral inspection policies from similar agencies and identify triggers for subsequent repairs to defective sewer laterals at the time of sale or when home improvements are constructed. Summarize typical staffing requirements and administrative costs associated with implementation of a sewer lateral inspection policy. 3.2 Describe benefits of sewer lateral inspections Describe potential benefits a sewer lateral inspection might have to the City as well as residents responsible for the condition of the house sewer line. 3.3 Description of how a sewer lateral inspection policy could be incorporated Describe how a sewer lateral inspection policy could be incorporated into the cost share program or insurance program including a summary of fiscal impacts, appropriate personnel, recommended administrative procedures, and staffing requirements. Task 3 Deliverables: Technical memorandum summarizing recommendations for a sewer lateral inspection policy TASK 4 PROVIDE FUNDING RECOMMENDATIONS FOR THE RECOMMENDED WASTEWATER DIVISION COST SHARE PROGRAM Task 4 includes the following subtasks: City of Modesto Cost Share Program 3 MTB020301 July 2011 n:\mtb020301\contract docs\workplan scope and fee.docx

4.1 Estimate potential participation in cost sharing program Estimate potential participation in cost sharing program considering suggested revisions to City practices consistent with successful programs in other communities. 4.2 Quantify City costs Quantify City costs associated with cost sharing program. In consideration of the cost-benefit ratio developed under Task 1, analyze potential benefits associated with a more robust program to justify City investment. 4.3 Develop budget funding recommendations Develop budget funding recommendations for the future cost sharing program. Funding recommendations will be presented in one year increments for a five year horizon reflecting implementation of program revisions and increased participation by local residents. Task 4 Deliverables: Budget funding recommendations to be incorporated into technical report completed under Task 9. TASK 5 PROVIDE RECOMMENDATIONS FOR THE DISTRIBUTION OF FUNDS TO CITIZENS FOR REPAIRS OFFERED THROUGH PROGRAM Task 5 includes the following subtasks: 5.1 Review fund disbursement options employed by other communities Review fund disbursement options employed by other communities including revolving loan funds and grants. Summarize advantages and disadvantages of various alternatives both for citizens and the agency particularly in terms of timeliness, cash flow, administrative requirements, and incentives for participation. 5.2 Assess implementation requirements Assess implementation requirements including staffing needs for reimbursement program administration. 5.3 Develop program recommendations for reimbursement Develop program recommendations for reimbursement to citizens including potential funding expenditure cap, tiered level of participation as a function of the lateral repair, and phasing. Task 5 Deliverables: Technical memorandum presenting framework for recommended reimbursement plan. City of Modesto Cost Share Program 4 MTB020301 July 2011 n:\mtb020301\contract docs\workplan scope and fee.docx

TASK 6 EVALUATE OPTIONS FOR ADMINISTRATION OF PROGRAM Task 6 includes the following subtasks: 6.1 Analyze alignment of departmental skills vs. program requirements Analyze best alignment of departmental skill sets versus program requirements and develop preliminary recommendations for future staffing. 6.2 Summarize administrative procedures Summarize administrative procedures for cost sharing programs in other agencies and identify best practices. 6.3 Assess administrative practices Assess applicability of best administrative practices to Modesto cost sharing program and recommend specific departmental roles in administration and oversight of the City program. Task 6 Deliverables: Technical memorandum summarizing recommendations for future program administration. TASK 7 ASSESS OPTIONS FOR CONTRACTOR PROCUREMENT/ DETERMINATION OF REIMBURSABLE COSTS Task 7 includes the following subtasks: 7.1 Determine goals and objectives for contractor screening/selection Meet with City staff and determine goals and objectives for contractor screening and selection. Identify desired contractor qualifications and pricing guidelines. Outreach to contractor community. 7.2 Develop rationale for classification of emergencies Develop rationale for classification and justification of repairs as emergency. 7.3 Assist in development of RFP to contractors Assist in development of RFP that incorporates desired contractor qualifications, pricing guidelines, and eligible repairs. Task 7 Deliverables: Technical memorandum with recommended components for City RFP. City of Modesto Cost Share Program 5 MTB020301 July 2011 n:\mtb020301\contract docs\workplan scope and fee.docx

TASK 8 PREPARE LEGAL OPINION Task 8 includes the following subtasks: 8.1 Summarize legal justifications Summarize legal justification for current City Cost Share Program. 8.2 Review ordinances Review current ordinances, resolutions, and policies as evidenced in other cost sharing program documents. 8.3 Review State/Federal laws Review any current and proposed State or Federal law which may be applicable to the program. 8.4 Review suggested changes, flag potential issues, suggest potential revisions to avoid conflicts Review suggested changes to program in view of current City policies and flag potential issues. Suggest program revisions to avoid conflicts with ordinances. Review legal issues related to preparing a draft agreement for successful bidders for City RFP. Task 8 Deliverables: Legal basis for recommended program modifications. TASK 9 PREPARE AGENDA REPORT AND ASSIST IN PRESENTATION TO CITY ECONOMIC DEVELOPMENT COMMITTEE Task 9 includes the following subtasks: 9.1 Summarize conclusions/recommendations in technical memorandum Summarize conclusions and recommendations for cost sharing program in a draft technical report and submit to City staff. The technical report will include a discussion of problems in the current cost share program; a summary of the cost benefit analysis completed under Task 1; a review of alternatives to improve program delivery, citizen participation, and overall satisfaction; and future budget recommendations. Meet with staff to receive comments and revise the draft technical report. 9.2 Prepare agenda report and assist City staff in presentation to Economic Development Committee Based on the final technical report, prepare an agenda report and assist City staff in a presentation to the City of Modesto Economic Development Committee on October 10, 2011. An administrative draft agenda report is anticipated under this task with the final agenda report reflecting comments from City management staff. City of Modesto Cost Share Program 6 MTB020301 July 2011 n:\mtb020301\contract docs\workplan scope and fee.docx

9.3 Meeting with City Staff to confirm input/next steps Following the presentation to the Economic Development Committee, meet with City staff to confirm input and direction along with next steps. Prepare an addendum to the earlier technical report that captures the recommended program implementation activities. Task 9 Deliverables: Draft and final technical report, draft and final agenda report, addendum to technical report TASK 10 PROJECT MANAGEMENT Task 10 includes the following subtasks: 10.1 Supervision of staff and consultants, correspondence, monthly status reports Supervise and schedule project staff. Review work prepared by staff and City consultants. Correspond with City staff and other stakeholders. Monitor budget and prepare monthly status reports. 10.2 Monthly status review meetings Conduct monthly status review meetings with City staff. Typical agenda items will include status of all tasks and deliverables, key milestone events, upcoming schedule, and budget status. Meeting minutes will be prepared and submitted to City staff within three days following the meeting. Task 10 Deliverables: Monthly progress reports, status review meeting minutes, updated project schedules City of Modesto Cost Share Program 7 MTB020301 July 2011 n:\mtb020301\contract docs\workplan scope and fee.docx

APPENDIX C CITY OF FRESNO SEPTIC SYSTEM LOAN PROGRAM

1 F

APPENDIX D MAPS ILLUSTRATING LOCATIONS OF CSP APPLICANT SITES, 2006-2011

A-1 A-2 B-1 B-2 B-3 C-1 C-2 C-3 D-1 D-2 D-3 E-1 E-2 Legend Parcel Cost Share Participant Canal River Rail Road Figure D-1 City of Modesto Cost Share Program Evaluation Index Map - Cost Share Participants Ü 0 0.150.3 0.6 0.9 1.2 Miles

CARVER RD DALE RD BANGS AVE PRESCOTT RD STODDARD RD W RUMBLE RD BANGS AVE PELANDALE AVE W RUMBLE RD STANDIFORD AVE Legend Parcel Cost Share Participant Canal River Rail Road SS Line Figure D-2 City of Modesto Cost Share Program Evaluation Map A-1 Ü 0 0.035 0.07 0.14 0.21 0.28 Miles HIGHWAY 99

CLARATINA AVE MABLE AVE COFFEE RD SYLVAN AVE BANGS AVE STANDIFORD AVE Legend Parcel Cost Share Participant Canal River Rail Road SS Line Figure D-3 City of Modesto Cost Share Program Evaluation Map A-2 Ü 0 0.03 0.06 0.12 0.18 0.24 Miles PELANDALE AVE

PRESCOTT RD DALE RD CARVER RD G ST N CARPENTER RD KEARNEY AVE D ST W BRIGGSMORE AVE W ORANGEBURG AVE HIGHWAY 99 W RUMBLE RD STANDIFORD AVE Legend Parcel Cost Share Participant Canal River Rail Road SS Line Figure D-4 City of Modesto Cost Share Program Evaluation Map B-1 Ü 0 0.03 0.06 0.12 0.18 0.24 Miles

ROSE AVE COLLEGE AVE SUNRISE AVE COFFEE RD COFFEE RD FLOYD AVE E BRIGGSMORE AVE E BRIGGSMORE AVE E ORANGEBURG AVE E RUMBLE RD W BRIGGSMORE AVE W BRIGGSMORE AVE W ORANGEBURG AVE Legend Parcel Cost Share Participant Canal River Rail Road SS Line Figure D-5 City of Modesto Cost Share Program Evaluation Map B-2 Ü 0 0.03 0.06 0.12 0.18 0.24 Miles W RUMBLE RD

OAKDALE RD SONOMA AVE CLAUS RD ROSELLE AVE FLOYD AVE MERLE AVE E BRIGGSMORE AVE E ORANGEBURG AVE Legend Parcel Cost Share Participant Canal River Rail Road SS Line Figure D-6 City of Modesto Cost Share Program Evaluation Map B-3 Ü 0 0.030.06 0.12 0.18 0.24 Miles

D ST N CARPENTER RD CARVER RD KEARNEY AVE W ORANGEBURG AVE COLDWELL AVE HIGHWAY 99 Legend Parcel Cost Share Participant Canal River Rail Road SS Line Figure D-7 City of Modesto Cost Share Program Evaluation Map C-1 Ü 0 0.03 0.06 0.12 0.18 0.24 Miles BLUE GUM AVE

COFFEE RD COLLEGE AVE SUNRISE AVE ROSE AVE HIGH ST BODEM ST E ORANGEBURG AVE SCENIC DR BURNEY ST LA LOMA AVE G ST H ST W ORANGEBURG AVE COLDWELL AVE TERMINAL AVE L ST K ST 9TH ST 14TH ST Legend Parcel Cost Share Participant Canal River Rail Road SS Line Figure D-8 City of Modesto Cost Share Program Evaluation Map C-2 Ü 0 0.03 0.06 0.12 0.18 0.24 Miles BEECH ST

EL VISTA AVE CLAUS RD OAKDALE RD SONOMA AVE E ORANGEBURG AVE SCENIC DR Legend Parcel Cost Share Participant Canal River Rail Road SS Line Figure D-9 City of Modesto Cost Share Program Evaluation Map C-3 Ü 0 0.030.06 0.12 0.18 0.24 Miles

N CARPENTER RD S CARPENTER RD PARADISE RD PARADISE RD Legend Parcel Cost Share Participant Canal River Rail Road SS Line Figure D-10 City of Modesto Cost Share Program Evaluation Map D-1 Ü 00.035 0.07 0.14 0.21 0.28 Miles

L ST LA LOMA AVE BURNEY ST 14TH ST D ST D ST 9TH ST H ST G ST HIGHWAY 99 Legend Parcel Cost Share Participant Canal River Rail Road SS Line Figure D-11 City of Modesto Cost Share Program Evaluation Map D-2 Ü 0 0.03 0.06 0.12 0.18 0.24 Miles K ST PARADISE RD

EL VISTA AVE CLAUS RD D ST MITCHELL RD Legend Parcel Cost Share Participant Canal River Rail Road SS Line Figure D-12 City of Modesto Cost Share Program Evaluation Map D-3 Ü 0 0.030.06 0.12 0.18 0.24 Miles

PARADISE RD S CARPENTER RD Legend Parcel Cost Share Participant Canal River Rail Road SS Line Figure D-13 City of Modesto Cost Share Program Evaluation Map E-1 Ü 00.035 0.07 0.14 0.21 0.28 Miles

HIGHWAY 99 Legend Parcel Cost Share Participant Canal River Rail Road SS Line Figure D-14 City of Modesto Cost Share Program Evaluation Map E-2 Ü 0 0.030.06 0.12 0.18 0.24 Miles

APPENDIX E SEWER LATERAL CERTIFICATE PROGRAMS FOR THE CITIES OF BERKELEY, RICHMOND, AND SAUSALITO

CITY OF BERKELEY PRIVATE SEWER LATERAL PROGRAM EFFECTIVE OCTOBER 1, 2006 A COMPLIANCE GUIDE FOR PROPERTY OWNERS, SELLERS, BUYERS, AND CONTRACTORS Revision 3

TABLE OF CONTENTS What Is the Private Sewer Lateral Program?...1 Who Has to Comply With This Ordinance?...1 Property Owner s Responsibility...2 How to Use This Guide...4 What Triggers Compliance?...4 Sale of Property...4 Major Remodeling Projects...5 The City Finds Nonconforming Connections...6 Who Can Perform Repair or Replacement Work?...6 Who Can Produce Closed Circuit Television (CCTV) Videos?...7 Application Procedures...7 Engineering Review...8 Issuance of Sewer Lateral Certificate...9 Appendix S1: Standards and Requirements for Closed Circuit Television Surveys Appendix S2: Standards for Obtaining a Sewer Lateral Certificate for Replacement or Repair Appendix S3: Guidelines for Permits and Inspections for Replacement of Sewer Laterals Appendix F1: Plumbing Sewer Lateral Checklist Appendix F2: Engineering Permit Application Appendix F3: Sample Application for Sewer Lateral Certificate Appendix F4: Sample Sanitary Sewer Lateral Certificate of Compliance Appendix F5: Declaration of Sewer Lateral Escrow Deposit Appendix F6: Sample Sewer Lateral Deficiency Report July 2011 City of Berkeley Private Sewer Lateral Program Compliance Guide Page ii

WHAT IS THE PRIVATE SEWER LATERAL PROGRAM? To protect the water quality of creeks, watersheds, and the San Francisco Bay, the City of Berkeley recently passed a law related to private property sewer laterals. Half of the water that enters the City s sewers during wet weather comes from deficient private sewer laterals (lines) and from downspouts and yard area drains. Effective October 1, 2006, property owners are required to obtain a Sewer Lateral Certificate prior to selling a property or obtaining a permit for major remodeling projects. WHO HAS TO COMPLY WITH THIS ORDINANCE? All property owners must comply with this ordinance. This includes property owners of all commercial, industrial, and residential properties including as condominiums and townhouses. While single family or multifamily homes can be straightforward in identifying the location and owner of the upper sewer lateral or backyard lateral, it becomes a bit more challenging when dealing with condominiums and townhouses. It should be noted, however, that the principles apply to all these scenarios. For example, consider a single building that houses six condominiums and all units share the same sewer lateral. If a condominium should come up for sale, then the owner would comply with the steps described in this guideline and would either apply for a certificate by providing documentation as to the recent repair or replacement of the upper lateral or provide a CCTV video inspection. The Certificate of Compliance would be issued to the property. This may be advantageous for other unit owners who want to sell later as they will be able to verify the compliance of the lateral. July 2011 City of Berkeley Private Sewer Lateral Program Compliance Guide Page 1

PROPERTY OWNER S RESPONSIBILITY A typical sanitary sewer lateral consists of two sections: 1. The lower lateral is the section of pipe that runs from the sewer main in the street to a cleanout at or near your property line at the curb, as shown in Figure 1. The City maintains and repairs the lower lateral connected to your property. 2. The upper lateral is called the private sewer lateral. The property owner is responsible for maintaining, repairing, and replacing the upper lateral. Figure 1. Typical Sanitary Sewer Lateral July 2011 City of Berkeley Private Sewer Lateral Program Compliance Guide Page 2

When a building sewer connects to a rear yard sewer main, the entire building s sewer lateral, including the connection to the main sewer, shall be considered a private sewer lateral. Figure 2 below illustrates this condition. Figure 2. Typical Sanitary Backline Sewer Lateral July 2011 City of Berkeley Private Sewer Lateral Program Compliance Guide Page 3

HOW TO USE THIS GUIDE Refer to the Table of Contents for specific information on various aspects of the Private Sewer Lateral Program. The appendices include standards, guidelines, applications, and samples of applications related to this program. You can download an application for the Private Sewer Lateral Certificate from the City s web page or you can get copies from the Finance Customer Service Center at 1947 Center Street, 1 st Floor, or from Public Works Engineering at 1947 Center Street, 4 th Floor. WHAT TRIGGERS COMPLIANCE? There are two events that trigger compliance: 1. The sale of property; or 2. A remodeling project that costs more than $50,000 The requirements for each of these events are listed below. SALE OF PROPERTY If you re planning on selling your property, the City will issue a Private Sewer Lateral Certificate if you can provide one of the following documents as verification of compliance: Evidence that your sewer lateral is less than 20 years old; or A copy of a plumbing permit for replacement or significant repair, including details of the work completed, for your lateral performed within the last 10 years. (Please review the City s Standard in Appendix S2 for additional information.) If your sewer lateral does not comply with the above, you must have it inspected by closed circuit television (CCTV). A California state licensed plumbing contractor or licensed sanitation sewer contractor can perform the CCTV work. It is important that the contractor is aware of the correct way to handle the inspection of the property. This information is available at Public Works Engineering. The cost of the CCTV inspection, including the video, may range between $75 and $350. Please see Appendix S1 for the required standards for completing a CCTV inspection and a sample of a properly completed log to accompany the CCTV inspection. In most cases, all repair or replacement work must be completed prior to the transfer of title. Alternately, if requested, the City may determine that the work is not sufficiently urgent and allow you to retain funds in escrow or post a bond to complete the work within 6 months of the close of escrow. (See Deadlines for Owners Selling Property below for details.) July 2011 City of Berkeley Private Sewer Lateral Program Compliance Guide Page 4

Deadlines for Owners Selling Property You must complete all repair or replacement work and obtain a Sewer Lateral Certificate (SLC) before the transfer of title. You may request the City to determine if the work is urgent. If the work is not urgent, you may do one of the following: Allow funds to be held in escrow; or Post a bond to finish the work within 6 months of the close of escrow Complete the form entitled Declaration of Sewer Lateral Escrow Deposit, submit form at Finance Customer Service, 1947 Center St, First floor. It is recommended that you start this process as soon as possible after you list the property for sale. If the work is not completed within 6 months of the close of escrow the funds shall be forfeited and transferred to the City To obtain a refund after the SLC is obtained submit a copy of the SLC with an Escrow Refund Claim form to Finance Customer Service MAJOR REMODELING PROJECTS Are you planning a major remodeling project? The new law affects you if your remodeling project costs more than $ 50,000. July 2011 City of Berkeley Private Sewer Lateral Program Compliance Guide Page 5

You are required to submit a SLC from the Public Works Department before receiving a building permit for your remodeling project(s). To obtain a SLC you must provide one of the following: Evidence that the sewer lateral is less than 20 years old; A copy of a plumbing permit for replacement or repair work within the last 10 years. (Please review the City s Standard in Appendix S2 for additional information.) If your sewer lateral does not comply, you must have it inspected by closed circuit television (CCTV). A California state licensed plumbing contractor or licensed sanitation sewer contractor can perform the CCTV work. It is important that the contractor is aware of the correct way to handle the inspection of the property. This information is available at the Public Works Department. The cost of the CCTV inspection, including the video, may range between $75 and $350. Please see Appendix S1 for the required standards for completing a CCTV inspection and a sample of a properly completed log to accompany the CCTV inspection. Building Permit Applications. You will have to provide a copy of a SLC from the Public Works Department when you apply for a building permit from the Permit Service Center. For additional reference, see AS3 (Guidelines for Permits and Inspections for Replacement of Sewer Laterals) or AF1 (Plumbing Sewer Lateral Checklist). THE CITY FINDS NONCONFORMING CONNECTIONS If the City discovers that there are nonconforming connections (such as terminations of area or roof drains) to the private sewer lateral, then the City will mandate corrective actions to bring the property into compliance. WHO CAN PERFORM REPAIR OR REPLACEMENT WORK? Repair or replacement work in the public right-of-way must be done by a California state licensed plumbing contractor (C-36 license), a sanitation sewer contractor (C-42 license), or a general engineering contractor. Work on private property for single- and two-family residences may be done by the C-36 or C- 42 contractors, a general building contractor (Class B) or by the homeowner. Homeowners may perform work on their own property only if work is done in compliance with the owner-builder provisions of State law. July 2011 City of Berkeley Private Sewer Lateral Program Compliance Guide Page 6

WHO CAN PRODUCE CLOSED CIRCUIT TELEVISION (CCTV) VIDEOS? The City will accept only CCTV videos and CCTV Reports which are completed by a California licensed plumbing contractor or a licensed sanitation sewer contractor. Please note that the video must be current and have been completed within 30 days of the application for certificate. See Appendix S1 for the required standards for completing a CCTV inspection and a sample of a properly completed CCTV Sanitary Sewer Report form to accompany the CCTV inspection. SEWER LATERAL CERTIFICATE APPLICATION PROCEDURES 1. Complete the Application for Sanitary Sewer Lateral Certificate. Applications may be obtained from the Public Works Department, 1947 Center Street, 4 th Floor or from the Finance Department, 1947 Center Street, 1 st Floor. Applications can also be downloaded from the City s website. 2. Attach to the application one of the following: Documentation that the lateral has been replaced within 20 years of the date of application or has had significant repairs within the last 10 years. (Please review Appendix S2, Standards for Obtaining a Sewer Lateral Certificate Based on Repair) or A closed circuit television (CCTV) video of the entire portion of the private sewer lateral that demonstrates it is in compliance. (A CCTV Sanitary Sewer Report form signed by the Contractor complete with required information must accompany the submitted video. See Appendix S1.) A copy of a plumbing permit signed off by the Building and Safety Division of the Planning Department or confirmation in electronic files maintained by the City. 3. Submit application materials to the Finance Customer Service Center at 1947 Center Street, 1st Floor. There is a $150 fee for all PSL applications. Please allow 5 business days for the processing and review of your application. July 2011 City of Berkeley Private Sewer Lateral Program Compliance Guide Page 7

The total costs for repairing or replacing non-complying sewer laterals, including for permits, inspections and construction, may range between $3,000 and $4,500. ENGINEERING REVIEW The approval process for the Sewer Lateral Certificate (SLC) requires the City to review: 1. The SLC application for completeness and signature. Appendix F3 is a sample of a properly completed application. The closed circuit television (CCTV) video of the existing lateral for completeness and conformance with the City s standards for CCTV inspections. The standards are detailed in Appendix S1. The CCTV Sanitary Sewer Report form for completeness and conformance to the City s standards. Please review Appendix S1, Standards and Requirements for Closed Circuit Television Surveys. A sample of a properly completed inspection log is included in this guide in Appendix S1. 2. All documentation for full replacement and significant repairs, including the following: The plumbing/sewer lateral permit signed off by a Building Inspector from the Building and Safety Division; The scope of work performed and the date of its completion. Refer to Appendix S2 for the standards for obtaining a sewer lateral certificate. 3. All documentation and determine if the work done complies with the City s guidelines as shown in Appendix S2. If the City finds that the information submitted adequately addresses the minimum requirements for a repair/replacement, then the City will issue a SLC. A sample of this document is available as Appendix F4. If the submitted documentation IS NOT in compliance, the City will issue a Deficiency Notice (see sample document in Appendix F6). The applicant will have 90 calendar days to resubmit adequate documentation. Failure to obtain a SLC within 120 calendar days of application submission will result in the City considering the property to be out of compliance with the law. Staff will follow up with code enforcement actions. Such enforcement action will be pursuant to Berkeley Municipal Code Section 17.24.060. July 2011 City of Berkeley Private Sewer Lateral Program Compliance Guide Page 8

ISSUANCE OF SEWER LATERAL CERTIFICATE The City will issue a Sewer Lateral Certificate after you meet all requirements for compliance. The City will maintain a record of this certificate; however, you are encouraged to keep a copy for your own records. The Sewer Lateral Certificate is valid for the following timeframes: 1. If the sewer lateral is entirely replaced, the certificate will be valid for 20 years from the date of replacement. 2. If the sewer lateral had point repairs done but was not completely replaced, the certificate will be valid for 7 years from the date of repair. 3. If the sewer lateral is shown by CCTV inspection to be in compliance and without defect, then the certificate will be valid for 7 years from the date of the video. The expiration date will be shown on the certificates as well as be archived in City records. July 2011 City of Berkeley Private Sewer Lateral Program Compliance Guide Page 9

CITY OF RICHMOND SANITARY SEWER DISTRICT NUMBER 1 SEWER LATERAL COMPLIANCE PLAN SEWER LATERAL COMPLIANCE PLAN Standards & Procedures 2009 07/04/09

Sewer Lateral Compliance Plan TABLE OF CONTENTS Section 1 - Purpose & Applicability page 3 Section 2 - Definitions page 4 Section 3 - Compliance Inspection page 6 Section 4 - Compliance page 8 Section 5 - Lateral Work page 9 Section 6 - Fees, Permits and Inspections page 11 Section 7 - Certification of Sewer Laterals page 12 Section 8 - Long Term Compliance page 13 Section 9 - Appeal of City Engineers Assessment page 14 Section 10 - Failure to Comply page 15 Section 11 - Notification to the Property Owner page 16 07/04/09 2

Sewer Lateral Compliance Plan Section 1 Purpose and Applicability Overall this plan will reduce the leakage of sewage into public receiving waters and the infiltration and inflow (I & I) of storm, ground and tidal waters from private laterals into the City of Richmond s (COR) publicly owned sanitary sewer collection system. The primary result of a poorly operating or failed lateral allowing I & I is hydrological overloading (surcharging) of the COR sanitary sewer collection system during rain events contributing to sanitary sewer overflows. Additionally, the lack of their integrity promotes ex-filtration causing standing sewage on private and public property, discharges of sewage to the storm drains, public health, general nuisance and wellbeing problems. There are approximately 18,000 private laterals in the Richmond Municipal Sewer District, an estimated 272 1 miles in total length. Following the guidelines from the California Regional Water Quality Control Board, San Francisco Bay Region (CRWQBSFB) Resolution number R2-2005-0059, In Support of Program for Inspection and Rehabilitation of Private Sewer Laterals, and the direction of CRWQCBSFB Resolution Number R2-2003-0095, In Support of Collaboration between the Regional Board and Bay Area Clean Water Agencies to Report and Manage Sanitary Sewer Overflows, is the purpose of this plan, and to collectively maintain the beneficial use of all receiving waters. The purpose of this plan is to establish fair and consistent policies and procedures for the testing, repair, and replacement of all defective sewer laterals. To effect the purposes of this plan, the COR may enter upon private property for inspecting, testing, and repair of the sewer laterals. A sewer lateral is defined as the portion of the sewer serving a property starting at the structure or building and running to and including the connection to the COR s main line. The sewer lateral is owned by the property owner, who paid for the installation and therefore is also responsible for its maintenance and repair; at no time has the COR accepted transfer of the ownership of a private lateral. This plan does not reduce, negate, change, modify, or eliminate this basic understanding. 1. Estimated 80 feet per lateral length average 07/04/09 3

Sewer Lateral Compliance Plan Section 2 Definitions The following terms apply to this chapter and augment definitions found in the Uniform Plumbing Code. (a) (b) (c) (d) (e) (f) (g) (h) (i) (j) Backflow Valve shall mean a valve that is opened by the flow of sewage exiting a structure but closes when the flow reverses, preventing sewage from backing into the structure. All backflow valves shall conform to the specifications set forth in the Uniform Plumbing Code and all guidelines and policies established by the City Engineer to implement this Chapter. Building sewer shall have the same meaning as lateral, defined below. Certificate of Lateral Compliance shall mean the certificate issued by the City Engineer certifying that a lateral complies with the standards set forth in this Chapter. A Certificate of Compliance is valid only for the lateral at the address specified in the Certificate and for a period of fifteen (15) years. City authorized representative shall mean the City Engineer or his or her designee. City of Richmond or City shall mean the City of Richmond and shall include Richmond Municipal Sewer District Number 1. City s fee and rate schedule shall mean a list of all City of Richmond service, penalty, interest, and permit fees, and hourly personnel and equipment rates, as amended from time to time. Cleanout shall mean a segment of pipe connected to a sewer lateral and rising to the surface, providing access to the lateral for purposes of inspection and removal of obstructions. (See also two-way cleanout, defined below.) Lateral, building sewer, or service lateral shall mean the sewer pipeline conveying wastewater from the premises of a user to the City s sewer system. "Main or sewer main shall mean any sewer pipe within a public or private street or right-of-way receiving or intended to receive the discharges of one or more sewer lateral(s). No sewer main constructed after the effective date of this Chapter shall be less than eight inches (8 ) in diameter nor be laid or constructed in any city street, easement or right-ofway under the control of the City, except to the lines, grades, and specifications approved by the City Engineer. Maintenance shall mean routine flushing or rodding of a sewer to maintain a free flowing condition. 07/04/09 4

Sewer Lateral Compliance Plan (k) (l) "Overflow device shall mean a device designed to relieve the pressure created when a gravity sewer is flowing full. All overflow devices require the approval of the City Engineer for proper application before their installation. Person shall mean any individual, partnership, firm, company, corporation, association, Joint Stock Company, trust, estate, governmental entity or any other legal entity, or their legal representative, agents or assigns. The masculine gender shall include the feminine, the singular shall include the plural where indicated by context. (m) Plumbing fixtures shall mean sinks, baths, showers, toilets, bidets, and all fixtures and appliances, such as dishwashers and washing machines, from which water or wastewater are discharged. (n) (o) (p) (q) (r) (s) (t) (u) (v) Repair shall mean physical exposure of a section of pipe and/or appurtenances for the purpose of resuming proper operating condition. Replacement shall mean removal and replacement of existing pipe and/or appurtenances. Sanitary sewer system shall have the same meaning as publicly owned treatment works as that term is defined at Richmond Municipal Code Section 12.18.020. Service lateral shall have the same meaning as lateral, defined above. "Sewage shall mean water carrying wastes from residences, business buildings, institutions and industrial establishments; together with such other waters as may be present, or any combination of such wastes and water. Sewer facilities shall mean and include the sanitary and storm sewage collection systems owned and operated by the City, all appurtenances thereto, and all portions thereof. Storm sewer or storm drain shall mean a pipe or conduit which carries storm and surface waters and drainage, but excludes sewage and polluted industrial wastes. Subdivide shall mean to cause land to be divided into separate developed or developable lots that are or may be owned by different persons. Two-way cleanout shall mean a Y - or V -shaped segment of pipe connected to a sewer lateral and rising to the surface, providing access to the lateral in both directions for purposes of inspection and removal of obstructions. (w) User shall mean and include any person who causes or permits a discharge of sewage into the City s sanitary sewer system. 07/04/09 5

Sewer Lateral Compliance Plan Section 3 Compliance Inspection Testing may be accomplished by either a water ex-filtration test or an air test or Closed Circuit Video recording observation. If a Closed Circuit Video recording observation is selected as the preferred method of inspection then the video shall meet the following requirements: 1) shall be in DVD format 2) shall be in color (any black & white, cloudy, fuzzy, or otherwise unclear video will be returned for resubmission) 3) shall show the address of the lateral 4) shall show the date the video was taken 5) shall clearly show the cleanout or access point used to insert the cameral into the lateral 6) shall have a running foot or time marker clearly visible on the screen 7) where joints are present, shall briefly stop the camera at each to clearly indicate their integrity 8) shall have the date the DVD was submitted to the City written on the DVD along with the address of the inspection site and telephone number for the point of contact At the City Engineer s discretion, the video may be returned for resubmission in accordance with the above requirements if any of the above requirements are not strictly adhered to. The selected inspection method can be performed by contractors who have a current state license. The City Engineer will notify the property owner(s) and tenants regarding when a sewer lateral inspection is required except when it is required due the sale of property, otherwise the inspection is initiated as part of all applicable sections of Richmond Municipal Code Chapter (RMC) 12.17. The inspection of the lateral may be initiated by any of the following: Capital Improvement Project Sewer Rehabilitation The project-by-project inspection program will not preclude the COR from testing sewer laterals in conjunction with other projects anywhere in the City of Richmond. It does not preclude a property owner from testing their sewer lateral at any time and making repairs at their expense. Repair of the Sewer Lateral 07/04/09 6

Sewer Lateral Compliance Plan Whenever a sewer lateral fails during normal usage or is broken into before making any repair to the sewer lateral. Sale of Property Whenever a property is to be sold or there is a transfer of title, a sewer Certificate of Lateral Compliance must be obtained. The procedures herein must be followed by the property owner to obtain a Certificate of Lateral Compliance. Upgrades and Remodeling Whenever property located in the City of Richmond is remodeled to include the addition of two or more plumbing fixtures that discharge into a sanitary sewer system, the sewer lateral(s) to the property shall be tested. Before final building inspection, all repairs or replacements necessary to bring a lateral into compliance shall be performed. Issuance of a Building Permit When a building permit is issued by the City or County requires compliance with all applicable Codes Evidence of a improper sewer connection Failure of the property owner to comply with RMC section 12.17.020 or 12.17.040 may require them to conduct testing by direction of the City Engineer and obtain a Certificate of Lateral Compliance at anytime. (RMC12.17.080) Home Owners Associations and Cooperatives The City of Richmond Engineering Division has become aware of the need to clarify sanitary sewer lateral inspections as it relates specifically to Homeowners Associations and Cooperatives during property sales. Each property owner is responsible for obtaining a Certificate of Lateral Compliance of a single family dwelling, or an arrangement between the property owners and the cooperative or homeowners association for ensuring compliance in the stated regulatory time frames for property sales will need to be provided to the City Engineer. If the lateral is jointly shared then an arrangement between the property owners and the cooperative or homeowners association for ensuring compliance in the stated regulatory time frames for property sales will need to be provided to the City Engineer. The mains servicing the development will need to be tested every fifteen (15) years by an arrangement between the property owners and the cooperative or homeowners association. All arrangements between the cooperative or homeowners associations for compliance of this ordinance need to be on record with the City Engineer. 07/04/09 7

Sewer Lateral Compliance Plan As of March 20, 2007 arrangements between the property owners and the cooperative or homeowners association for ensuring compliance in the stated regulatory time frames for property sales will need to be provided to the City Engineer for review by April 1, 2008. After a satisfactory review and approval of the arrangement the lateral inspections and any subsequent repairs or required unified plumbing updates need to be completed and the Certificate of Lateral Compliance obtained no later than April 1, 2009 and every fifteen year thereafter. Waiver of Inspections: 1. The house/dwelling/structure lateral was constructed within the last 15 years, and a Certificate of Lateral Compliance was obtained within 5 years of its construction. 2. The lateral was completely replaced within the last 5 years. (have the receipts/invoices from the contractor that show the repair/replacement done.) 3. Have previously obtained a Certificate of Lateral Compliance The waiver of inspection still requires the issuance of a Certificate of Lateral Compliance to record the 15 year inspection requirement in the City s database. 07/04/09 8

Sewer Lateral Compliance Plan Section 4 Compliance The sewer lateral will be evaluated based upon a review and evaluation of the test results. COR designated staff will perform this evaluation and determine if the lateral complies with RMC 12.17.070, Lateral Certification. Broken pipe, offset and/or distorted joints, root intrusion, lack of cleanouts, all constitute deficiencies that do not comply with Standard Specifications and will require either repair or replacement. Repairs or replacements will be required prior to the close of escrow in the case of property transfer, or within one month of the lateral test results. Properties in escrow The COR has no intention of holding up sales transactions for properties in escrow. However, an extension of 60 days to obtain a Certificate of Lateral Compliance will be verbally granted by the City Engineer on a case by case need. The extension is documented in the escrow addendum. The property owner is responsible to ensure the documentation occurs stating who will complete the compliance action and the timetable of compliance. Generally monies can be left in escrow by the seller to pay the contractor s fees for any necessary repairs. If the buyer elects to assume all responsibility for obtaining a Certificate of Lateral Compliance a notarized letter or a statement in the escrow addendum stating that the requirements will be met sixty (60) days after the close of escrow is necessary. A copy of the signed addendum or notarized letter must be received by the City Engineer s office no later than the close of escrow. Upgrades and Remodeling Extension Currently extensions of up to one year to complete this requirement for upgrades or remodeling are available upon approval by the City Engineer. This is the responsibility of the property owner. 07/04/09 9